The Sector Skills Council for Business and Information Technology

National Occupational Standards

(NOS)
IT and Telecoms
Final version approved September 2009

Document prepared by: Chris Morrow

Contact: 1 Castle Lane, London, SW1E 6DR

Tel: 0207 963 8920
E-mail: [email protected]

Version: 1.0
Date created: 25 Sep 09
Last updated: 25 Sep 09
Next update:

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Table of Contents

Introduction.................................................................................................................................... 3

Discipline 4: Solution Architecture................................................................................................. 6

4.1 Systems Architecture......................................................................................................... 11
4.2 Data Analysis ..................................................................................................................... 32
4.3 Human Needs Analysis ..................................................................................................... 52
4.4 Systems Analysis............................................................................................................... 74
4.5 Data Design ....................................................................................................................... 99
4.6 Human computer interaction / interface (HCI) design ..................................................... 117
4.7 Systems Design............................................................................................................... 141
4.8 IT/Technology infrastructure design and planning .......................................................... 164

Discipline 5. Solution Development and Implementation.......................................................... 190

5.1 Systems development ..................................................................................................... 192
5.2 Software development ..................................................................................................... 207
5.3 IT/Technology Solution Testing ....................................................................................... 224
5.4 Systems Integration ......................................................................................................... 236
5.5 IT/technology systems installation, implementation and handover ................................. 252

Discipline 6. Information Management and Security................................................................. 265

6.1 Information Management................................................................................................. 266
6.2 IT/Technology Security Management.............................................................................. 281
6.3 IT Disaster Recovery ....................................................................................................... 301

Discipline 7. IT Service Management and Delivery Discipline .................................................. 323

7.1 IT/Technology Service Operations and Event Management........................................... 329
7.2 IT/Technology Service Help Desk And Incident Management ........................................ 349
7.3 Problem Management ..................................................................................................... 370
7.4 IT Application Management / Support ............................................................................. 387
7.5 IT/Technology Management And Support....................................................................... 405
7. 6 Availability Management................................................................................................. 425
7.7 IT/Technology Capacity Management............................................................................. 443
7.8 Change And Release Management ................................................................................ 462
7.9 IT/Technology Service Catalogue and/or Service Level Management, Measurement and
Reporting ............................................................................................................................... 482
7.10 IT/Technology Asset And Configuration Management.................................................. 504
7.11 Supplier Management.................................................................................................... 523
7.12 Technical Evaluation...................................................................................................... 547

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Introduction

IT and Telecoms Professional National Occupational Standards (NOS) have been developed in
parallel with and as part of the IT Professional Competency Model – e-skills Procom.
e-skills Procom is being established as the industry recognised, internationally relevant training
framework for organising courses and qualifications. It defines knowledge, understanding, and
competencies for seven broad disciplines.
The disciplines are;
1. Sales and marketing
2. Business change
3. Programme and project management
4. Solutions architecture
5. Solution development and implementation
6. Information management and security
7. IT service management and delivery

The content of disciplines 1-3, while important to the IT&T sectors, do not fall within the scope of
e-skills UK for NOS. Consequently these will not formally be recognised as NOS as is the case
for disciplines 4 – 7. To maintain the relationship these NOS have been numbered to reflect the
relationship to e-skills Procom.
Within each discipline there exist a number of sub-disciplines. Within each sub-discipline the
competences relating to a particular role have been defined. See overview diagram below.

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A NOS unit therefore consists of a related group of competence statements, with associate
performance, knowledge and understanding criteria for a particular role.
The roles are;
• Pre-entry/Junior Technical (J)
• Associated Professional (A)
• Professional (P)
• Senior Professional (S)
• Lead Professional (L)

The reference number for a particular NOS unit comprises the discipline and sub-discipline
codes with the relevant role. For example;
5.2.P = Software Development, Professional role
6.3.A = IT Disaster recovery, Associate professional

See table below for a summary of the disciplines and related sub-disciplines.

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Discipline Sub-discipline Role

Code Title J A P S L
4.1 Systems Architecture
4.2 Data Analysis X X X X X
4.3 Human Needs Analysis X X X X X
4.4 Systems Analysis X X X X X
4. Solutions Architecture
4.5 Data Design X X X X X
4.6 Human Computer Interaction/ Interface (HCI) Design X X X X X
4.7 Systems Design X X X X
4.8 IT/Technology Infrastructure Design and Planning X X X X X
5.1 Systems Development X X X X
5.2 Software Development X X X X X
5. Solution Development and Implementation 5.3 IT/Technology Solution Testing X X X X X
5.4 Systems Integration X X X X
5.5 IT/technology systems installation, implementation and handover X X X X
6.1 Information Management X X X X X
6. Information Management and Security 6.2 IT Security Management X X X X X
6.3 IT Disaster Recovery X X X X X
7.1 IT/Technology service operations and event management X X X X X
7.2 IT/Technology Service Help Desk and Incident Management X X X X X
7.3 IT/Technology Problem Management X X X X X
7.4 IT Application Management / Support X X X X X
7.5 IT/Technology Management And Support X X X X X
7.6 Availability Management X X X X X
7. IT Service Management and Delivery 7.7 IT/Technology Capacity Management X X X X X
7.8 Change And Release Management X X X X X
IT/Technology Service Catalogue and/or Service Level Management,
7.9 Measurement and Reporting X X X X X
7.10 IT/Technology Asset And Configuration Management X X X X X
7.11 Supplier Management X X X X X
7.12 Technical Evaluation X X X X X

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Discipline 4: Solution Architecture

This discipline is concerned with the range of competencies required to create, manage and
maintain a range of architectural designs and system roadmaps for an organisation, and to
produce conceptual, logical and physical designs that translate business needs into the physical
‘blueprint’ of components that may constitute a proposed information technology system.

The sub-disciplines are:

4.1 Systems Architecture

This sub-discipline is concerned with the competencies required to create, maintain and
manage IT architecture models representing the operating model for an organisation and their
lower level components. It also includes those competencies required to interpret, use and
apply information contained within an IT architecture to inform a range of business improvement
activities, particularly those involved in the design, development, enhancement and
maintenance of information technology systems supporting an organisation.
Organisations may be represented by diagrammatic IT architecture models at a variety of levels
of detail. The top level of these is typically referred to as an Enterprise Architecture which seeks
to represent, ‘top down,’ the structure of the organisation, the relationships between the various
business functions, processes, entities and elements, the business rules that define the
relationships between items described in the model and the information assets that exist and
are used within the organisation. The primary purpose of an Enterprise Architecture is to act as
a reference point for the alignment of business and information technology strategy. As such,
actual or proposed changes to the business operating model of an organisation can be
modelled and the implications and ramifications of these changes on the supporting elements
such as processes, information flows and modifications to data identified. Typically, the
Enterprise Architecture model will exist in a number of versions, representing the current
business operating model, any future business operating model as defined by business
strategy, and any relevant interim/transitional stages. The transitional stages between the
versions are frequently referred to as a ‘systems roadmap’ for the organisation’s technology that
guides and informs strategic decision making in information technology investment via IT
governance and strategy processes.
The Enterprise Architecture is typically underpinned by other diagrammatic representations of
the organisation which map it at increasingly lower levels of granularity – for some large
organisations, more detailed representation of the Enterprise will be represented at individual
business unit level within a Segment Architecture. Some of the models represent the
organisation with specific emphasis on one aspect of its operation e.g. a Data Architecture
represents the organisation’s information assets, their relationship with each other, and the
definition of information types used and a Process Architecture concentrates on the process
flows and how information may be processed within the organisation.
A Systems or Solutions Architecture provides a detailed representation of elements of the
organisation that need to be supported by current or new/enhanced information technology
systems. It articulates, at a low level of detail, how individual technology components need to
support the process, processing and information flows required in one or several areas of the
organisation. Frequently, a logical Systems or Solutions Architecture is created and used as the
blueprint upon which physical design work of individual system components, or assessment of
purchased components against requirements is based. The resulting physical Solutions or
Systems Architecture is primarily concerned with the definition of internal interfaces among the
system's components or subsystems, and the interface between the system and its external
environment, especially the user.
All variations and types of IT architecture work are covered within this sub-discipline.

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4.2 Data Analysis

This sub-discipline is concerned with the competencies required to create, model and manage
graphical representations of data used within an organisation. It also includes those
competencies required to interpret, use and apply information contained within IT architecture
models to support data analysis activities.
Data analysis may involve documenting how data flows between various organisational entities,
how data is structured, defined, processed, used and changed within an organisation and the
individual systems supporting the organisation. The analysis and definition of data may initially
be conducted at a high level, representing the use of information within the organisation (eg in a
Data Architecture or Conceptual Schema) with further iterations of decomposition taking place
until it can be described and recorded in its simplest form in a structured manner.
Data analysis and definition typically takes place at an abstract or conceptual level. This
abstract level of data definition may then be used in the design and development of information
technology systems as a means to ensure completeness and consistency. In particular, the
conceptual data design will be used in the specification of the logical data design and followed
through to the physical data design, including the specification of data storage and manipulation
requirements in the information technology system,.
In some organisations, particularly those where rapid development approaches and
methodologies are employed for the development of information technology systems, data
analysis activities take place in parallel with systems analysis activities and may be undertaken
by the same individual. Furthermore, in these situations data analysis and data design activities
may occur iteratively.

4.3 Human Needs Analysis (HCI)

This sub-discipline is concerned with the competencies involved with the analysis of human
needs (HCI) so that IT/technology systems, services and assets can then be designed with
humans in mind. In order for IT/technology to be successful and allow the maximisation of their
potential benefits, there must be a thorough understanding of all of the different needs that
humans can have from a system, service and/or asset, not just in terms of its outputs, but the
format of outputs, the dissemination of outputs, the type and methods of input, of data transfer
and of communication.

Human needs (HCI) analysis may be undertaken as part of a wider business analysis or may be
undertaken as the result of a need to improve processes and procedures, particularly those
supported by IT/technology.

Analysing human needs (HCI) requires particular competencies, both technical and personal
and the transferable competencies associated with communication should be a precursor to
acquiring competencies in this sub-discipline.

The outcomes of human needs (HCI) analysis are used to inform the design of IT/technology
systems, services and assets, when a balance may have to be attained between human and
business needs

4.4 Systems Analysis

This sub-discipline is concerned with the competencies required to conduct systems analysis
within an organisation. It also includes those competencies required to interpret, use and apply
information contained within IT architecture models and the deliverables of business analysis,
data and HCI analysis and benefits realisation to inform systems analysis activities.
Systems analysis typically takes the deliverables from Business Analysis activities in order to
produce a Requirements Specification or Business Specification document which seek to

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translate the physical business needs identified through Business Analysis into a logical
specification of the main information system requirements that will need to be supported in a
technology enabled solution. Further information about business needs may also need to be
gathered during systems analysis in order to ascertain how they will be represented in an
information technology solution and there may also need to be validation of or amendments to
system development options and costs produced by earlier business analysis and benefits
realisation activities.
Frequently, the activities involved in Systems Analysis incorporate or are conducted in parallel
with or Data Analysis and Human Computer Interface (HCI) analysis activities and may be
undertaken by the same individual. Systems analysis activities may reference, apply and update
information contained within IT architecture and conceptual data models as well as HCI analysis
and benefits realisation deliverables. The deliverables from systems analysis are used to assist
with the development of the detailed logical and physical design of the ‘end to end’ information
technology system and as such should give the most complete view of the totality of the
business requirements that need to be translated into a systems design. In some organisations,
particularly where rapid development approaches are used, an iterative process of systems
analysis and systems design may also take place.

4.5 Data Design

This sub-discipline is concerned with the competencies required to create, maintain and
manage logical and physical data designs for information technology solutions to support the
specific business needs represented in a Requirements Specification or Business Specification
document, supported, where appropriate with the interrogation, use and application of
information contained within conceptual data models or domain models produced by data
analysis activities

Data design includes identifying the data required by an information technology solution,
confirming and enhancing information relating to data types and attributes, dealing with
duplication and redundancy of data, ensuring data integrity by using business rules and other
processing steps. As design activities progress through logical design through to physical
design, the level and type of information recorded about items of data is enhanced and
increased, with a view to supporting the practical data handling, security, privacy and integrity
needs required within an IT/technology system.

Logical design involves the graphical organisation of data required by the IT/technology solution
into a logical data model, a set of groups of data items which remain independent of their
physical organisation and structure

Physical data design involves the representation of this logical data model into a physical model
and then further development into specific or organisational forms such as such as files, data
base tables, object orientated and XML structures. These will be organised in a way which
ensures integrity and efficiency of operation and enables them to interact with programs to
perform specific functions required to meet a specific business purpose. Information relating to
the data contained in the physical design of a database, including descriptions of the data, may
be contained within a Data Dictionary.

In some organisations, typically those where rapid development approaches are used, data
design may be undertaken in parallel with HCI design and systems design. Furthermore, in
these organisations, an iterative process of data analysis and data design may also take place.

4.6 Human Interaction and Interface (HCI) Design

This sub-discipline is concerned with the competencies involved with the design of processes
and information technology systems so that they are adopted and used correctly by humans. In

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order for information technology systems to be successful and allow the maximisation of their
potential benefits, user interaction and the interfaces enabling it must be attractive to all users of
the systems.
Human interaction and interface (HCI) design may be undertaken as part of a wider systems
design or may be undertaken as the result of a need to improve particular processes and
procedures within an information technology system.
Designing for human needs requires particular competencies, both technical and personal and
the transferable competencies associated with communication should be a precursor to
acquiring competencies in this sub-discipline.
The outcomes of human interaction and interface (HCI) design are used to inform the overall
systems design of information technology systems and their implementation.

4.7 Systems Design

This sub-discipline is concerned with the competencies required to create, maintain and
manage both logical and physical designs for an information technology solution based on the
information defined in a range of deliverables produced by business, data, HCI and systems
analysis activities. A systems design is effectively a blueprint or plan for how a proposed
information technology system will operate in order to meet business needs. Design activities
produce solutions to address the requirements specified through analysis activities, including, at
a detailed level, functions and processing, interfaces, data handling and storage needs and how
the system will be used by and interact with people, as appropriate.
Logical systems design typically describes the functions, processes and data handling needs of
the information technology solution independent of any specific technologies, platforms or
products that may be used in its actual development. One or more logical solutions may be
proposed.
Physical design translates these logical design principles into a proposed physical design,
where components such as application software products, file and database systems and
infrastructure components are specified and the information contained in the logical design is
converted into a design format that takes account of practical considerations such as location of
physical assets and performance of the system.
In some organisations, typically those where rapid development approaches are used, systems
design may be undertaken in parallel with data design and HCI design. Furthermore, in these
organisations, an iterative process of systems analysis and systems design may also take
place. Systems design commonly incorporates aspects of data design and HCI design in order
to produce an holistic, ‘end to end’ view of the proposed information technology system’s
design.

4.8 IT/Technology infrastructure design and planning

This sub-discipline is part of overall service design. It concerns the design of, and planning for,
resilient IT/ technology infrastructure and environments. It is about the competencies required to
design and plan for the implementation of, the hardware, network and software infrastructure
supporting the IT/technology application services, systems, services and assets used to support
an organisation. IT/ hardware technology hardware, software and network infrastructure may
exist both within a single organisation and also be shared/span across multiple organisations.
Infrastructure hardware, software and networks are usually implemented as a result of business
demands which indirectly require changes to the infrastructure. IT/technology infrastructure
design and planning may also be a proactive activity in terms of trying to improve the availability
of systems, services and assets to support service objectives.

Hardware infrastructure may include:

• Processors
• Storage devices

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• Mobile devices
• Input and output devices
• Any other items of hardware required for the provision of IT/technology systems, services
and systems assets for an organisation

Software infrastructure may include:

• Systems management software such as operating system software

• Database management software
• Software tools
• Storage management software
• Middleware for connecting applications and other components
• Web services

Network infrastructure includes network specific network and hardware comprises and all of the
components necessary for any type of network, whether hard wired or wireless, which support
the provision of IT services, systems and assets for an organisation.

This sub-discipline requires not only technical understanding of individual hardware, software or
network products and services (or any combination of these) but also the architectural
principles, standards and protocols that must be applied within the design of the infrastructure.

Individuals working within this area may have competencies relating solely to hardware,
software or networks or a combination of these elements of the IT/technology infrastructure.

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4.1 Systems Architecture

This sub-discipline is concerned with the competencies required to create, maintain and
manage IT architecture models representing the operating model for an organisation and their
lower level components. It also includes those competencies required to interpret, use and
apply information contained within an IT architecture to inform a range of business improvement
activities, particularly those involved in the design, development, enhancement and
maintenance of information technology systems supporting an organisation.
Organisations may be represented by diagrammatic IT architecture models at a variety of levels
of detail. The top level of these is typically referred to as an Enterprise Architecture which seeks
to represent, ‘top down,’ the structure of the organisation, the relationships between the various
business functions, processes, entities and elements, the business rules that define the
relationships between items described in the model and the information assets that exist and
are used within the organisation. The primary purpose of an Enterprise Architecture is to act as
a reference point for the alignment of business and information technology strategy. As such,
actual or proposed changes to the business operating model of an organisation can be
modelled and the implications and ramifications of these changes on the supporting elements
such as processes, information flows and modifications to data identified. Typically, the
Enterprise Architecture model will exist in a number of versions, representing the current
business operating model, any future business operating model as defined by business
strategy, and any relevant interim/transitional stages. The transitional stages between the
versions are frequently referred to as a ‘systems roadmap’ for the organisation’s technology that
guides and informs strategic decision making in information technology investment via IT
governance and strategy processes.
The Enterprise Architecture is typically underpinned by other diagrammatic representations of
the organisation which map it at increasingly lower levels of granularity – for some large
organisations, more detailed representation of the Enterprise will be represented at individual
business unit level within a Segment Architecture. Some of the models represent the
organisation with specific emphasis on one aspect of its operation eg a Data Architecture
represents the organisation’s information assets, their relationship with each other, and the
definition of information types used and a Process Architecture concentrates on the process
flows and how information may be processed within the organisation.
A Systems or Solutions Architecture provides a detailed representation of elements of the
organisation that need to be supported by current or new/enhanced information technology
systems. It articulates, at a low level of detail, how individual technology components need to
support the process, processing and information flows required in one or several areas of the
organisation. Frequently, a logical Systems or Solutions Architecture is created and used as the
blueprint upon which physical design work of individual system components, or assessment of
purchased components against requirements is based. The resulting physical Solutions or
Systems Architecture is primarily concerned with the definition of internal interfaces among the
system's components or subsystems, and the interface between the system and its external
environment, especially the user.
All variations and types of IT architecture work are covered within this sub-discipline.

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Associate Professional Role:

Competence (4.1.A.1) – Contribute to IT architecture work

This competence will be demonstrated by the following Performance Criteria (4.1.A.1.C.):

a) Correctly follow the processes, tools and techniques to conduct IT/technology
architecture activities

b) Fully comply with all organisational standards relating to IT/technology architecture

activities

c) Correctly identify what information is contained within current IT/technology architecture

models and roadmaps, under the direction of superiors

Competent performance requires Knowledge (4.1.A.1.K.) of how to:

a) identify what information is contained within current IT/technology architecture models
and roadmaps

b) operate with reference to

• organisational strategy, policies and standards relating to IT/technology architecture
activities
• professional and ethical standards relating to IT/technology architecture activities
• integrity and confidentiality during IT/technology architecture activities

c) comply with all relevant

• and applicable legislation, regulations and external standards relating to
IT/technology architecture activities
• internal standards relevant to IT/technology architecture activities

Competent performance requires Understanding (4.1.A.1.U.) of:

a) what is meant by
• IT/technology architecture
• an IT/technology roadmap

b) the fact that

• IT/technology architecture work and its deliverables are important to and valued
by organisations
• IT/technology architecture models and roadmaps may exist in a variety of
formats, including
• those representing the business structure and functions, IT/technology,
processes, data and services
• IT/technology architecture models and roadmaps may represent just an
organisation or span across organisational boundaries and cover one or more
organisations

c) The processes, tools and techniques that can be used to conduct IT/technology
architecture activities

Competence (4.1.A.2) – Gather, use and maintain information relating to IT architecture

models
This competence will be demonstrated by the following Performance Criteria (4.1.A.2.C.):

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a) Accurately gather specified information about the processes, operations and functions
that currently exist within the organisation, and document the relationships between
them, in order to inform IT/technology architecture activities

b) Accurately gather specified information relating to the information that is held within,
processed and used by the organisation

c) Gather all relevant information required to populate IT/technology architecture models

and roadmaps

d) Correctly use and interpret all information contained within current IT/technology
architecture models and roadmaps, under direction

e) Correctly maintain existing IT/technology architecture models and roadmaps, correctly

using and documenting all relevant information required

Competent performance requires Knowledge (4.1.A.2.K.) of how to:

a) gather information
• required to populate IT/technology architecture models and roadmaps
• already contained within IT/technology architecture models and roadmaps
• relating to the information that is held within, processed and used by the
organisation
• relating to the processes, operations and functions that currently exist within the
organisation

b) use
• existing IT/technology architecture models and roadmaps
• all relevant information required within a particular IT/technology architecture
model and/or roadmap

c) apply
• the processes, tools and techniques for undertaking IT/technology architecture
work

d) document
• what information is held within, processed and used by the organisation
• what processes, operations functions and organisational entities currently exist
within the organisation
• information required to populate IT/technology architecture models and
roadmaps
• the relationship between information held within or processed by the
organisation and current IT/technology systems, services and assets
• the relationship between processes, functions and organisational entities within
the organisation and current IT/technology systems, services and assets
• all relevant information within a particular IT/technology architecture model
and/or roadmap
• the potential implications to an organisation of IT/technology architecture
deliverables being incorrect, incomplete and/or inadequate
• the potential implications of failings of integrity, confidentiality and information
security during IT/technology architecture activities

e) maintain existing IT/technology architecture models and roadmaps

f) interpret all information contained within current IT/technology architecture models and
roadmaps

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Competent performance requires Understanding (4.1.A.2.U.) of:

a) the importance of
• IT/technology architecture and roadmap activities being guided by and
supporting the business needs
• using naming conventions and standards in IT/technology architecture work
and its deliverables activities, in line with organisational strategy, policy and
standards
• documenting the deliverables from IT/technology architecture activities in a
clear and understandable manner
• verifying the accuracy, currency, completeness and relevance of information
created, collected, used and documented during IT/technology architecture
work

Competence (4.1.A.3) – Assist others with IT/technology architecture work

This competence will be demonstrated by the following Performance Criteria (4.1.A.3.C.):
a) Accurately collate information from current IT/technology architecture models and
provide this information to others as directed

b) Assist others in sourcing and documenting information relating to the business strategy,
business rules and operating model, so that it may be used to inform IT/technology
architecture work

c) Assist others with the implementation of architecture models and/or roadmaps

d) Assist others in identifying the relationships between processes, functions,

organisational entities and current IT/technology systems, services and assets

Competent performance requires Knowledge (4.1.A.3.K.) of how to:

a) provide information from current IT/technology architecture models to other internal
individuals and groups

Competent performance requires Understanding (4.1.A.3.U.) of:

a) who needs to use IT/technology architecture models and roadmaps

b) the fact that external providers of IT/technology architecture services exist

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Professional Role:
Competence (4.1.P.1) – Carry out IT/technology architecture activities
This competence will be demonstrated by the following Performance Criteria (4.1.P.1.C.):
a) Correctly identify all relevant relationships between information held within or processed
by the organisation and current IT/technology systems, services and assets

b) Correctly identify the relationships between all relevant processes, functions and
organisational entities within the organisation and current IT/technology systems,
services and assets, communicating this information to sponsors, stakeholders and
other internal and external bodies, as required

c) Correctly implement architecture models and/or roadmaps, under direction

d) Correctly use all relevant information relating to the business strategy, business rules
and operating model, under direction

e) Use IT/technology models and roadmaps appropriately and in a timely manner in order
to influence operational IT/technology decision making

Competent performance requires Knowledge (4.1.P.1.K.) of how to:

a) identify
• who needs to use/access any particular IT/technology architecture models and
roadmaps
• the relationship between information held within or processed by the
organisation and current IT/technology systems, services and assets
• the relationship between processes, functions and organisational entities within
the organisation and current IT/technology systems, services and assets
• the potential implications to an organisation of IT/technology architecture
deliverables being incorrect, incomplete and/or inadequate
• the potential implications of failings of integrity, confidentiality and information
security during IT/technology architecture activities

b) use
• information relating to the business strategy, business rules and operating
model
• naming conventions and standards in IT/technology architecture work
• IT/technology models and roadmaps to influence operational IT/technology
decision making
• the range of organisational and IT/technology elements that should be included
in any particular architecture model and/or roadmap
• any business rules that apply to any particular IT/technology architecture
assignment

c) implement
• architecture models and/or roadmaps
• plans associated with any particular IT/technology assignment

d) report any issues arising from IT/technology architecture work

e) take action to populate IT/technology architecture models and roadmaps

Competent performance requires Understanding (4.1.P.1.U.) of:

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a) what is
• meant by business, enterprise, data, process and service architecture
• meant by network and infrastructure architecture
• meant by the operating model of the organisation and its relationship to
architecture work
• the relationship between IT/technology strategy and IT/technology architecture
work
• is the relationship between IT/technology architecture, business change and
projects and programmes
• meant by business rules and their relationship to IT/technology architecture
work
• the range of organisational and IT/technology elements that may be included in
any particular architecture deliverables
• the relationship between IT/technology architecture and the
design/development of IT/technology systems, services and assets
• range of approaches that can be taken to undertake architecture and their
appropriateness in a range of business contexts

b) what are the

• roles and functions of business, enterprise, data, process, service, network
and/or infrastructure architectures
• range and types of IT/technology architecture models and roadmaps that can
be used to represent an organisation, its IT/ technology and the
appropriateness of each to meet specific business needs
• potential implications to an organisation of IT/technology architecture
deliverables being incorrect, incomplete and/or inadequate
• potential implications of failings of integrity, confidentiality and information
security during IT/technology architecture activities
• professional and ethical standards relating to IT/technology architecture work
within an organisation

c) the fact that

• IT/technology architecture models and roadmaps may be effective tools in
business and IT/technology scenario planning and impact (‘what if’) analysis
• IT/technology architecture models and roadmaps have an important role in
informing, influencing and guiding decision making relating to business change
and projects and programmes deployed within an organisation
• the implications of IT/technology architecture work and its deliverables as they
represent the organisation’s needs should be reflected in systems/solutions
and service design work
• there are external providers of IT/technology architecture services available and
that there are disadvantages and benefits of using them
• there are disadvantages and benefits of using external providers of
IT/technology architecture services
d) why
• IT/technology architecture work and its deliverables are important to, and
valued by, organisations
• IT/technology architecture models and roadmaps need to be kept current,
complete and accurate
• the quality and effectiveness of IT/technology architecture work and its
deliverables needs to be monitored

e) who
• are the customers of any particular IT/technology architecture assignment
• are the sponsors of and stakeholders for any particular IT/technology
architecture assignment

f) the processes, tools and techniques that can be used to

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• design, develop and maintain IT/technology architecture models, roadmaps and

other deliverables
• monitor the quality and effectiveness of IT/technology architecture activities
• monitor the alignment of IT/technology architecture models and roadmaps with
the business strategy and operating model(s)
• monitor compliance with any legislation, regulations and standards relating to
IT/technology architecture activities

Competence (4.1.P.2.C) – Contribute to information activities relating to IT/technology

architecture models
This competence will be demonstrated by the following Performance Criteria (4.1.P.2.C.):
a) Accurately populate IT/technology architecture models and roadmaps with relevant and
accurate information

b) Clearly and precisely document information from sponsors, stakeholders and other
individuals that will clarify what IT/technology architecture models and roadmaps need
to support, under direction

c) Critically analyse and fully document the impact of any legislation, regulation and
external standards relevant to the organisation on IT/technology architecture models
and roadmaps

d) Correctly use and document appropriate naming conventions and standards in

IT/technology architecture work

e) Accurately document information relating to the timescales and other relevant criteria
that should apply to IT/technology architecture work and its deliverables, under direction

f) Accurately source and clearly document all necessary information relating to the
business strategy, business rules and operating model, so that it may be used to inform
IT/technology architecture work, under direction

Competent performance requires Knowledge (4.1.P.2.K.) of how to:

a) Source information
• relating to the business strategy, business rules and operating model so that it
may be used by IT/technology architecture activities
• relating to the priorities for and scope of any IT/technology architecture
assignment
• relating to the business expectations of IT/technology architecture deliverables

b) document information
• relating to the business strategy, business rules and operating model
• relating to the priorities for and scope of any IT/technology architecture
assignment
• from sponsors, stakeholders and other individuals that will clarify what
IT/technology architecture models and roadmaps need to support
• relating to the timescales and other relevant criteria that should apply to
IT/technology architecture work and its deliverables
• relating to the external factors and their implications for IT/technology
architecture work
• the range of organisational and IT/technology elements that may be included in
any particular architecture model and/or roadmap, and their relevance in any
particular IT/technology or business context

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• any business rules that apply to any particular IT/technology architecture

assignment
• the impact of any legislation, regulation and external standards relevant to the
organisation on IT/technology architecture models and roadmaps 6

c) analyse the impact of any legislation, regulation and external standards relevant to the
organisation on IT/technology architecture models and roadmaps

Competent performance requires Understanding (4.1.P.2.U.) of:

a) the need for monitoring
• the progress of any particular IT/technology architecture assignment
• the accuracy, currency and completeness of any IT/technology architecture
models and roadmaps
• the alignment of IT/technology architecture models and roadmaps with the
business strategy and operating model(s)
• the alignment of IT/technology architecture activities with all relevant legislation,
regulations and external standards
• the alignment of IT/technology architecture models and roadmaps with
business change and projects and programmes
• the quality and effectiveness of IT/technology architecture activities

b) the importance of
• IT/technology architecture work on the full life cycle of information within an
organisation
• IT/technology architecture work to IT/technology strategic planning activities
• IT/technology architecture work and its deliverables to the operating models,
business processes, IT/technology systems, services and assets that are
deployed to support an organisation
• undertaking IT/technology architecture work in line with organisational strategy,
policies, procedures and standards
• addressing the needs of sponsors and other internal or external stakeholders
as part of IT/technology architecture work
• maintaining the integrity and confidentiality of information during IT/technology
architecture work
• ensuring that sensitive information is not disclosed inappropriately during
IT/technology architecture activities
• representing the organisation and the systems, services and assets used within
it accurately within IT/technology architecture models and roadmaps
• updating IT/technology architecture models and systems roadmaps as a result
of business change, projects, programmes and systems/technology design,
development and implementation activities, where appropriate
• securing sign off to any IT/technology architecture models and/or roadmaps
from appropriately empowered individuals within IT/technology and/or business
functions

Competence (4.1.P.3) – Assist others by providing information relating to IT/technology

architecture models
This competence will be demonstrated by the following Performance Criteria (4.1.P.3.C.):

a) Provide accurate, current and complete information from existing IT/technology

architecture models to other external individuals, groups and bodies

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b) Assist others in the design of IT/technology architecture models and/or roadmaps

relevant to any particular IT/technology assignment

c) Assist others in the documentation of roadmaps to support the move from the current
state to the target state

Competent performance requires Knowledge (4.1.P.3.K.) of how to:

a) provide information from current IT/technology architecture models to other external
individuals, groups and bodies

b) manage relationships with internal and external individuals and groups involved in
IT/technology assignments

c) communicate and liaise

• what information and data is held within, processed and used by the organisation
• what processes, data, operations, functions and organisational entities currently
exist within the organisation

Competent performance requires Understanding (4.1.P.3.U.) of:

c) the importance of
• communicating in a clear, unambiguous and consistent manner with sponsors,
stakeholders and external bodies during IT/technology architecture activities
• having IT/technology architecture models representing how an organisation
currently operates, may operate in the future, and how it may operate in any
transitional states, in line with business strategy and the business operating
model(s)

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Senior Professional Role:

Competence (4.1.S.1) – Manage the development of IT/technology architecture models
This competence will be demonstrated by the following Performance Criteria (4.1.S.1.C.):

a) Correctly identify the relationship between the business operating model, processes,
operations and functions within the business and current IT/technology systems,
services and assets

b) Correctly identify and select all necessary information relating to the business strategy,
business rules and operating model that will be used to inform IT/technology
architecture work

c) Design and develop accurate and comprehensive IT/technology architecture models

and/or roadmaps relevant to any particular IT/technology assignment, under direction

d) Ensure that IT/technology architecture models and/or roadmaps are fully agreed and
signed off in a timely manner by appropriately authorised individuals

Competent performance requires Knowledge (4.1.S.1.K.) of how to:

a) identify and select
• naming conventions and standards appropriate to use in IT/technology
architecture work
• the most appropriate type/s of architecture models to support the requirements
of a particular architecture assignment
• the most appropriate organisational and IT/technology elements to be included
in any particular architecture model and/or roadmap, and their relevance in any
particular IT/technology or business context
• any business rules and their relationship to any particular IT/technology
architecture assignment
• who needs to be involved in any particular IT/technology architecture
assignment
• the processes, tools and techniques for conducting IT/technology architecture
and/or roadmap work
• information relating to the business strategy, business rules and operating
model that will be used to inform IT/technology architecture work
• what information is required to update and maintain IT/technology architecture
models and roadmaps
• the sources of all information that will be used during IT/technology architecture
activities
• the range of issues associated with IT/technology architecture activities
• external factors and their implications on IT/technology architecture activities
• the timescales and other relevant criteria that should apply to any IT/technology
architecture assignment and its deliverables
• what information and data is held within, processed and used by the
organisation
• what processes, operations and functions currently exist within the organisation
and their relationship to IT/technology systems, services and assets
• what IT/technology systems, services and assets currently exist within the
organisation and their relationship to the business operating model
• the impact of any legislation, regulation and external standards relevant to the
organisation on IT/technology architecture models and roadmaps

b) take action

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• to take account of organisational culture and structure in IT/technology

architecture activities
• other individuals involved in the development of IT/technology systems services
and assets understand the content and implications of relevant IT/technology
architecture models and roadmaps
• that IT/technology architecture models and/or roadmaps are agreed and signed
off by appropriately authorised individuals
• that development activities undertaken by others align with architectural models
and roadmaps

c) design and develop

• plans associated with any IT/technology assignment
• IT/technology architecture models and/or roadmaps relevant to any particular
IT/technology assignment

Competent performance requires Understanding (4.1.S.1.U.) of:

a) what
• is the relationship between IT/technology architecture and business strategy
work
• is the relationship between IT/technology architecture and business operating
models
• business and technical expertise may be required to develop any particular type
of architecture model or roadmap

b) what are the

• issues associated with undertaking IT/technology architecture work
• internal and external factors and their implications on IT/technology architecture
activities
• implications of organisational culture and structure on IT/technology
architecture work and it deliverables
• implications of any legislation, regulations and external standards on
IT/technology architecture work and its deliverables
• potential implications of IT/technology architecture activities on the business
strategy and operating model
• potential implications of IT/technology architecture activities on the
IT/technology strategy
• potential implications of IT/technology architecture activities on the design and
development of IT/technology systems, services and assets

c) the fact that

• IT/technology architecture work and its deliverables can have a major influence
on business strategy and the operating models used by an organisation
• IT/technology architecture models are often used by organisations internally
and with external bodies to illustrate and record ‘how the business works’
• IT/technology architecture models are often used by organisations to identify
ineffective and inefficient processes, data handling/usage and IT/technology
components
• architecture models are often used by organisations to identify what data,
IT/technology and processes are most important, critical or valued
• IT/technology architecture models and roadmaps may be used to monitor the
effective alignment of IT/technology systems, services and assets with the
business strategy and operating model
• the impact of any legislation, regulation and external standards relevant to the
organisation needs to be reflected in IT/technology architecture models and
roadmaps
• IT/technology architecture may be used to support strategic, operational and
tactical decision making within an organisation

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• IT/technology architecture may be used to support business activities that span

multiple organisations, such as mergers and acquisitions, joint ventures and
collaborative working
• differing types of IT/technology architecture models require particular technical
and/or business expertise for their design, development and maintenance
• in some organisations, IT/technology deliverables are used by other individuals
and groups within the wider organisation, to support their own decision making
and business operations
• IT/technology architecture activities and individuals involved in them may
become ‘remote from reality’ if they do not proactively engage with all other
relevant IT/technology functions
• there are benefits and disadvantages of using external providers of
IT/technology architecture services

d) why
• some organisations base their decisions on IT/technology projects and
programmes on IT/technology architecture and roadmaps
• some organisations choose to use external providers of IT/technology
architecture and roadmap services and others choose to perform this activity
themselves
• the impact of any legislation, regulation and external standards relevant to the
organisation needs to be reflected in IT/technology architecture models and
roadmaps

e) who
• are the sponsors of and stakeholders for IT/technology architecture activities
within the organisation
• are potential external providers of IT/technology architecture and roadmap
services
• needs to authorize changes to IT/technology architecture models and
roadmaps

Competence (4.1.S.2) – Manage, use and maintain IT/technology architecture models

This competence will be demonstrated by the following Performance Criteria (4.1.S.2.C.):
a) Correctly select, implement and maintain the most appropriate processes, tools and
techniques for undertaking IT/technology architecture work

b) Critically and objectively interpret all relevant information gathered during IT/technology
architecture work, under guidance

c) Critically analyse the implications of external factors, business change, including

projects and programmes, on IT/technology architecture models and roadmaps, under
the direction of superiors

d) Use IT/technology models and roadmaps astutely and persuasively to influence

strategic IT/technology decision making and operational business decision making

e) Routinely monitor and regularly report the progress of any IT/technology architecture
assignment undertaken by other individuals

f) Routinely and regularly monitor the alignment of systems/service design, development

and implementation work with IT/technology architecture models and roadmaps, under
guidance

Competent performance requires Knowledge (4.1.S.2.K.) of how to:

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a) use
• information relating to the priorities for and scope of IT/technology architecture work
• information data and knowledge relating to the timescales and other relevant
criteria that should apply to IT/technology architecture work and its deliverables
• information relating to the external factors and their implications for IT/technology
architecture work
• information already gathered and contained within IT/technology architectures
• best practice in IT/technology architecture work
• IT/technology models and roadmaps to influence strategic IT/technology decision
making
• IT/technology models and roadmaps to influence operational business decision
making
• IT/technology models and roadmaps to support business activities that span
multiple organisations, such as mergers and acquisitions, joint ventures and
collaborative working

b) Implement and maintain

• the processes, tools and techniques for undertaking IT/technology architecture work
• the processes, tools and techniques to monitor the alignment of IT/technology
architecture activities with all relevant legislation, regulations and external
standards

c) gather information relating to the

• timescales and other relevant criteria that should apply to IT/technology architecture
work and its deliverables
• external factors and their implications on IT/technology architecture work

d) analyse and interpret

• all information gathered during IT/technology architecture work
• the implications of IT/technology architecture models and roadmaps for projects
and programmes
• the implications of business change, including projects and programmes on
IT/technology architecture models and roadmaps
• the implications of external factors on IT/technology architecture models and
roadmaps

e) monitor
• the accuracy, currency and completeness of any particular IT/technology model
and/or roadmap
• the progress of any IT/technology architecture assignment
• the alignment of systems/service design, development and implementation work
with IT/technology architecture models and roadmaps
• the alignment of IT/technology architecture models and roadmaps with business
change and projects and programmes

f) report
• the progress of any IT/technology architecture assignment
• the findings and recommendations from any IT/technology architecture assignment

g) take action to ensure that IT/technology architecture deliverables are updated to reflect
changes in the business landscape brought about by a range of activities including
business change, external factors, projects, programmes and IT/technology systems,
services and assets

Competent performance requires Understanding (4.1.S.2.U.) of:

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a) the need for monitoring the

• alignment of systems/service design, development and implementation work with

IT/technology architecture models and roadmaps
• quality and effectiveness of external providers of IT/technology architecture
services
• relevance of IT/technology architecture activities to all other IT/technology
functions and operational activities

b) the processes, tools and techniques that can be used

• monitor the alignment of systems/service design, development and implementation

work with IT/technology architecture models and roadmaps
• the relevance of IT/technology architecture activities to all other IT/technology
functions and operational activities
• monitor the quality and effectiveness of external providers of IT/technology
architecture services

Competence (4.1.S.3) – Document all relevant details relating to IT/technology architecture

activities
This competence will be demonstrated by the following Performance Criteria (4.1.S.3.C.):
a) Document, precisely and accurately, IT/technology architecture models and/or
roadmaps

b) Accurately and clearly document what information, data, knowledge, processes and
functions are most important/critical to, or valued by, the organisation, based on the
results of architecture work

c) Correctly document what IT/technology systems, services and assets currently exist
within the organisation, their relationship to the operating model and what systems,
services and assets may be required in the future, based on the results of
IT/architecture work

Competent performance requires Knowledge (4.1.S.3.K.) of how to:

a) document
• what processes, operations and functions currently exist within the organisation
and may exist in the future and their relationship to data, IT/technology
systems, services and assets
• what IT/technology systems, services and assets currently exist within the
organisation, their relationship to the operating model and what systems,
services and assets may be required in the future
• any particular IT/technology architecture model required and appropriate to an
assignment
• roadmaps to support the move from the current state to the target state
• implications of IT/technology architecture work on projects and programmes
supporting business and IT/technology change
• decisions taken as a result of the deliverables of IT/technology architecture
work
• what information, processes and functions are most important/critical to, or
valued by, the organisation, based on the results of architecture work

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Competence (4.1.S.4) – Provide relevant information to others

This competence will be demonstrated by the following Performance Criteria (4.1.S.4.C.):

a) Ensure that other individuals involved in the development of IT/technology systems

services and assets understand the content and implications of relevant IT/technology
architecture models and roadmaps, under direction

b) Communicate, clearly and persuasively to a range of sponsors, stakeholders and other

individuals, the value of IT/technology architecture work and the importance of having
effective IT/technology architectures and roadmaps as the ‘blueprint’ against which new
IT/technology business processes and operating models may be developed

Competent performance requires Knowledge (4.1.S.4.K.) of how to:

a) manage relationships with sponsors, stakeholders and external bodies on matters
relating to IT/technology architecture work

b) communicate
• the importance and value of IT/technology architecture work to sponsors,
stakeholders and other individuals
• the importance of having IT/technology architectures and roadmaps as the
‘blueprint’ against which new IT/technology business processes and operating
models may be developed
• what processes, data, operations, functions and organisational entities may exist in
the future and their relationship to IT/technology systems, services and assets
• what IT/technology systems, services and assets currently exist within the
organisation and their relationship to the operating model
• what IT/technology systems, services and assets may exist in the future
Competent performance requires Understanding (4.1.S.3.U.) of:

a) the importance of

• IT/technology architecture work in informing, influencing and guiding decision

making relating to the business strategy and operating model
• ensuring that there are appropriate and relevant IT/technology architecture models
and roadmaps to support the needs of the full range of IT/technology components
and elements (e.g. software, infrastructure, networks)
• having clear roadmaps, based on the IT/technology architecture, to inform and
guide decision making about business change, projects, programmes and the
design and development of IT/technology systems, services and assets
• maintaining the accuracy of any IT/technology architecture models and roadmaps,
in line with business strategy and operating models
• having a clear mandate, identified sponsor and scope for any IT/technology
architecture work
• managing relationships with sponsors, stakeholders and external bodies in all
aspects of IT/technology architecture activities

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Lead Professional Role:

Competence (4.1.L.1) – Implement the strategy for the development of IT/technology
architecture work
This competence will be demonstrated by the following Performance Criteria (4.1.L.1.C.):
a) Accurately identify the business expectations of IT/technology architecture work

b) Correctly identify the target architecture for IT/technology, to support the business
strategy and operating model(s), together with suitable roadmaps to drive the
development of the IT/technology landscape from the current position to it

c) Accurately identify and clearly present what information, data, knowledge, processes,
IT/technology and functions are most important/critical to and/or valued by the
organisation, based on the results of architecture work

d) Effectively influence the business strategy, operating model(s), projects and

programmes, presenting the implications for them drawn from IT/technology
architecture activities to executive sponsors and stakeholders

e) Design effective strategy, policies, standards, processes, tools and techniques to

monitor the alignment of IT/technology architecture activities with all relevant legislation,
regulations and external standards

Competent performance requires Knowledge (4.1.L.1.K.) of how to:

a) identify
• what processes, operations and functions may exist in the future operating model
and their relationship to IT/technology systems, services and assets
• the business expectations of IT/technology architecture work
• the priorities for and scope of any IT/technology architecture work and its
deliverables
• internal and external sponsors of, and stakeholders for, IT/technology architecture
work
• the range of approaches that may be taken to undertake IT/technology architecture
work and their appropriateness in a range of business, IT and other technology
contexts
• what IT/technology systems, services and assets may be required the in future and
their relationship to the operating model
• the target architecture for IT/technology to support the business strategy and
operating model(s)
• roadmaps to drive the development of the IT/technology landscape from the current
position to the target IT/technology architecture
• when and how to use external providers of IT/technology architecture services
• which external providers of IT/technology architecture services to use in an
assignment
• what actions may be taken in the event of the deliverables of IT/technology
architecture work being incorrect, incomplete or inadequate
• the actions that may be taken in the event of IT/technology architecture activities
not supporting the business strategy and/or operating model(s)
• opportunities to improve the quality and effectiveness of IT/technology architecture
activities
• the implications for the business strategy, operating model as a result of
IT/technology architecture activities
• the possibilities offered by future IT/technology architectures to support business
strategy and/or operating models
• appropriately skilled internal/external individuals and groups, where necessary, to
undertake and/or lead any particular IT/technology architecture assignment

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• what information, data, knowledge, processes, IT/technology and functions are

most important/critical to and/or valued by the organisation, based on the results of
architecture work

b) verify the accuracy, currency, completeness and relevance of information, created,

collected, used and documented during IT/technology architecture activities

c) present
• what information, data, knowledge, processes, IT/technology and/or functions are
most important/critical to or valued by the organisation, based on the results of
architecture work
• proposals for new business strategies, opportunities and/or operating models that
may be achieved that have been identified through the use of IT/technology models
and roadmaps
• IT/technology architecture models and roadmaps to support the business strategy
and operating model(s)
• the implications of the IT/technology architecture models and roadmaps for the
business strategy and operating model(s)
• the implications of IT/technology architecture models and roadmaps for projects
and programmes
• the results gained from monitoring IT/technology architecture activities
• the effectiveness and quality of IT/technology architecture activities
• the effectiveness and quality of external providers of IT/technology architecture
services
• the alignment of IT/technology developments with IT/technology architecture
models and roadmaps

d) design
• strategy, policies and standards relating to IT/technology architecture work
• strategy and policies to ensure the alignment of IT/technology architecture activities
with all relevant legislation, regulations and external standards
• the processes, tools and techniques to monitor the alignment of IT/technology
architecture activities with all relevant legislation, regulations and external
standards
• proposals for new business strategies, opportunities and/or operating models that
may be achieved as a result of IT/technology

e) authorise, agree and contract

• actions
• approaches
• strategy, policies, plans, procedures, standards, methods, tools and techniques
• contractual arrangements with external providers of IT/technology architecture
services, decisions

Competent performance requires Understanding (4.1.L.1.U.) of:

a) the importance of

• IT/technology architecture activities proactively identifying and proposing

opportunities for business improvement through the application of IT/technology
• using IT/technology architecture models to inform and influence executive decision
making, where appropriate, within the organisation

Competence (4.1.L.2) – Direct the IT/technology architecture activities

This competence will be demonstrated by the following Performance Criteria (4.1.L.2.C.):

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a) Correctly identify, source and use appropriately skilled internal/external individuals and
groups, where necessary, to undertake and/or lead IT/technology architecture and/or
roadmap activities

b) Correctly identify when and how to use external providers of IT/technology architecture
services, selecting those to be used and negotiating and contracting with them as
appropriate

c) Negotiate effectively with sponsors, stakeholders and external bodies on the

implications of IT/technology architecture activities for the wider business

d) Effectively apply IT/technology architecture models and roadmaps to conduct business

and IT/technology scenario planning and impact (‘what if’) analysis

Competent performance requires Knowledge (4.1.L.2.K.) of how to:

a) source
• appropriately skilled internal/external individuals and groups, where necessary, to
undertake and/or lead IT/technology architecture and/or roadmap work

b) take decisions
• on the most appropriate type/s of architecture models that are needed to support
the requirements of a particular architecture assignment
• on when and how to use external providers of IT/technology architecture services
• on which external providers of IT/technology architecture services to use

c) negotiate
• with sponsors, stakeholders and external bodies on the requirements for
IT/technology architecture
• with sponsors, stakeholders and external bodies on the implications of
IT/technology architecture activities for the wider business
• with external providers of IT/technology architecture services

d) use and apply

• information from sponsors, stakeholders and other individuals that will clarify what
IT/technology architecture models and roadmaps need to support1
• the most appropriate approaches to undertake IT/technology architecture work
• the processes, tools and techniques to monitor the alignment of IT/technology
architecture activities with all relevant legislation, regulations and external
standards10 11
• lessons learned from prior and/or others’ experience in IT/technology architecture
work
• appropriately skilled internal/external individuals and groups, where necessary, to
undertake IT/technology architecture and/or roadmap work
• IT/technology architecture models and roadmaps to conduct business and
IT/technology scenario planning and impact (‘what if’) analysis
• IT/technology models and roadmaps to influence strategic business decision
making
• IT/technology models and roadmaps to proactively identify opportunities for
business improvement through the application of IT/technology

e) manage
• the relationships with external providers offering IT/technology architecture services
• actions to be taken in the event of IT/technology architecture work activities not
supporting the business strategy and operating model(s)
• issues arising as a result of IT/technology architecture activities
• external factors that may impact on IT/technology architecture activities

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Competent performance requires Understanding (4.1.L.2.U.) of:

a) what are the benefits and disadvantages of using external providers of IT/technology
architecture services

b) the fact that

• individuals and groups involved in IT/technology architecture and roadmap activities
need to remain involved with ‘real life’ business and IT/technology challenges and
operational activities, to ensure their work remains relevant

c) who
• needs to lead IT/technology architecture assignments
• needs to be involved in any particular IT/technology architecture assignment

d) the importance of ensuring that individuals and groups involved in IT/technology

architecture and roadmap activities have appropriate technical and business expertise
that is relevant for their production ensuring that individuals and groups involved in
IT/technology architecture and roadmap activities remain involved with ‘real life’
business and IT/technology challenges and operational activities, to ensure their work
remains relevant

Competence (4.1.L.3) – Control the management of IT/technology architectures

This competence will be demonstrated by the following Performance Criteria (4.1.L.3.C.):
a) Proactively identify the possibilities offered by future IT/technology architectures to
support business strategy and/or operating models, developing and presenting
proposals for executive sponsors and stakeholders accordingly

b) Regularly monitor the quality, effectiveness and relevance of IT/technology architecture

activities, identifying and managing action in the event of them not supporting the
business strategy and/or operating model(s), or being incorrect, incomplete or
inadequate

c) Make timely and objective decisions on the most appropriate type/s of architecture
models that are needed to support the requirements of a particular architecture
assignment

d) Provide timely and specific advice and guidance to others on the implications of
IT/technology architecture activities for the wider business

e) Critically analyse the implications of the IT/technology architecture models and

roadmaps for the business strategy and operating model(s), providing timely and
specific advice and guidance to other individuals within the wider business accordingly

Competent performance requires Knowledge (4.1.L.3.K.) of how to:

a) Implement and maintain
• strategy, policies and standards relating to IT/technology architecture work
• strategy and policies to ensure the alignment of IT/technology architecture activities
with all relevant legislation, regulations and external standards

b) analyse
• the implications of the IT/technology architecture models and roadmaps for the
business strategy and operating model(s)
• the results gained from monitoring IT/technology architecture activities

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• what information, data, knowledge processes, IT/technology and/or functions are

most important/critical to or valued by the organisation, based on the results of
architecture work

c) monitor
• compliance with all relevant legislation, regulations and external standards relating
to IT/technology architecture activities
• compliance with all professional and ethical standards relating to IT/technology
architecture activities
• the quality and effectiveness of IT/technology architecture activities
• the quality and effectiveness of external providers of IT/technology architecture
services
• the alignment of IT/technology architecture activities with business strategy and
operating model(s)
• the relevance of IT/technology architecture activities to all other IT/technology
functions and operational activities

d) report
• any issues arising from monitoring IT/technology architecture activities
• findings from monitoring the quality and effectiveness of IT/technology architecture
activities

e) take action
• in the event of IT/technology architecture activities not supporting the business
strategy and/or operating model(s)
• to establish effective relationships with external providers of IT/technology
architecture services
• in the event of external providers not providing the appropriate quality of
IT/technology architecture services
• to influence business strategy and operating model(s), where appropriate, as a
result of IT/technology architecture work undertaken
• to influence IT/technology strategy, policies and standards, where appropriate, as a
result of IT/technology architecture work undertaken
• to ensure that IT/technology architecture models and/or roadmaps are developed
and maintained by appropriately skilled individuals for their production
• that IT/technology architecture work fully reflects the business strategy and
operating model(s)
• that individuals and groups involved in IT/technology architecture and roadmap
activities remain involved with ‘real life’ business and IT/technology challenges and
operational activities, to ensure their work remains relevant

f) provide
• information relating to the value, role, purpose of IT/technology architecture work to
sponsors and stakeholders
• information for new business strategy and/or operating model(s) to sponsors and
stakeholders that has been developed through IT/technology architecture work

g) communicate
• the strategic value and importance of IT/technology architectures and roadmaps to
sponsors, stakeholders and other individuals

h) provide advise and guidance on

• all aspects of IT/technology architecture activities
• best practice in IT/technology architecture work
• the actions that may be taken in the event of IT/technology architecture activities
not supporting the business strategy and operating model(s)

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• opportunities for change to the business strategy and/or operating model arising
from IT/technology architecture work

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4.2 Data Analysis

This sub-discipline is concerned with the competencies required to create, model and manage
graphical representations of data used within an organisation. It also includes those
competencies required to interpret, use and apply information contained within IT architecture
models to support data analysis activities.
Data analysis may involve documenting how data flows between various organisational entities,
how data is structured, defined, processed, used and changed within an organisation and the
individual systems supporting the organisation. The analysis and definition of data may initially
be conducted at a high level, representing the use of information within the organisation (eg in a
Data Architecture or Conceptual Schema) with further iterations of decomposition taking place
until it can be described and recorded in its simplest form in a structured manner.
Data analysis and definition typically takes place at an abstract or conceptual level. This
abstract level of data definition may then be used in the design and development of information
technology systems as a means to ensure completeness and consistency. In particular, the
conceptual data design will be used in the specification of the logical data design and followed
through to the physical data design, including the specification of data storage and manipulation
requirements in the information technology system,.
In some organisations, particularly those where rapid development approaches and
methodologies are employed for the development of information technology systems, data
analysis activities take place in parallel with systems analysis activities and may be undertaken
by the same individual. Furthermore, in these situations data analysis and data design activities
may occur iteratively.

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Pre-Entry / Junior Technician Role:

Competence (4.2.J.1) – Carry out specified data analysis activities
This competence will be demonstrated by the following Performance Criteria (4.2.J.1.C.):
a) Correctly follow the processes, tools and techniques applicable to data analysis
activities and their deliverables

b) Fully comply with all organisational standards relating to data analysis activities and
their deliverables

c) Correctly source and use any existing data flow diagrams and conceptual data models
that are appropriate to any particular data analysis assignment

d) Correctly use information and data about any non structured data that may need to be
considered

e) Conduct data analysis on a small scale assignment, in line with all policies, procedures
and standards and under direction of superiors

Competent performance requires Knowledge (4.2.J.1.K.) of how to:

a) source
• any existing data flow diagrams that are appropriate to any particular data analysis
assignment
• any existing conceptual data models that are appropriate to any particular data
analysis assignment
• any data naming conventions and standards that need to be used in data analysis
activities
• any rules need that need to be applied to any data normalisation activities

b) use
• the processes, tools and techniques applicable to data analysis activities and their
deliverables
• data naming conventions and standards in data analysis activities
• any existing data flow diagrams that are appropriate to any data analysis
assignment
• any existing conceptual data models that are appropriate to any data analysis
assignment
• information and data about the data that needs that needs to be included in any
particular data analysis assignment
• information and data about the flows of information and data around, into and out of
an organisation
• the sources and formats of data that will be used in any particular data analysis
assignment
• information and data about the data entities that need to be incorporated into any
particular data model
• information and data about the data attributes for any data entities
• information and data about the relationships between data entities
• information and data about any non structured data that may need to be considered

c) operate with
• reference to professional and ethical standards relating to data analysis activities
and their deliverables
• integrity and confidentiality during data analysis activities
d) comply with
• any relevant legislation, regulation and external standards relating to data analysis
activities and their deliverables

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• any relevant internal policies, approaches and standards relevant to data analysis
activities and their deliverables

e) take action
• to conduct data analysis on a small scale assignment

Competent performance requires Understanding (4.2.J.1.U.) of:

a) what is meant by
• data analysis and what it involves
• a conceptual data model
• the term data flow diagram and what it represents
• the term data entity
• the term data attribute
• a key
• data repetition and redundancy

b) what is involved in defining relationships between data entities

c) the fact that

• data analysis assignments need to be clearly scoped
• data analysis activities and their deliverables must support the identified business
requirements
• data is a valuable asset for organisations
• information about the data used by an organisation needs to be recorded

d) the processes, tools and techniques that can be used to conduct data analysis

Competence (4.2.J.2) – Document specified information and data

This competence will be demonstrated by the following Performance Criteria (4.2.J.2.C.):

a) Correctly source and document any rules that need to be applied to any data
normalisation activities

b) Correctly use and accurately document information and data about the flows of
information and data around, into and out of an organisation

c) Correctly use and accurately document information and data about the data entities that
need to be incorporated into any particular data model. the attributes associated with
them and the relationships between data entities

d) Correctly document the sources and formats of data that will be used in any particular
data analysis assignment

e) Correctly document and store any data flow diagrams that are appropriate to any data
analysis assignment

Competent performance requires Knowledge (4.2.J.2.K.) of how to:

a) use
• the processes, tools and techniques applicable to data analysis activities
• data naming conventions and standards used in data analysis activities

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b) document
• any data flow diagrams that are appropriate to any data analysis assignment
• information and data about the flows of information and data around, into and out of
an organisation
• the sources and formats of data that will be used in any particular data analysis
assignment
• information and data about the data entities that need to be incorporated into any
particular data model
• the rules that need to be applied to any data normalisation activities

Competent performance requires Understanding (4.2.J.2.U.) of:

a) the importance of
• accurately recording the flows of information within, into and out of an organisation
• representing, accurately and completely, information and data used within the
organisation

Competence (4.2.J.3) – Assist others with data relating to data analysis

This competence will be demonstrated by the following Performance Criteria (4.2.J.3.C.):
a) Assist others in the interpretation of any existing data flow diagrams and conceptual
data model(s) relevant to a data analysis assignment

b) Assist others in updating any data flow diagrams and data models as a result of a
particular data analysis assignment

Competent performance requires Understanding (4.2.J.3.U.) of:

a) the fact that
• the information documented in data analysis deliverables needs to be understood
by a wide range of sponsors, stakeholders and other individuals
• organisations frequently have IT/technology systems, services and assets that need
to exchange data with other organisations and individuals

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Associate Professional Role:

Competence (4.2.A.1) – Contribute to data analysis assignment

This competence will be demonstrated by the following Performance Criteria (4.2.A.1.C.):

a) Correctly identify, source and accurately document what information needs to be

included in any particular data analysis assignment

b) Correctly identify and document the flows of information around, into and out of a data
model

c) Correctly identify and document the data entities that need to be incorporated into any
particular data model, the attributes associated with them and the relationships between
data entities

d) Correctly identify, source and accurately document any non structured data that may
need to be considered during a data analysis assignment

Competent performance requires Knowledge (4.2.A.1.K.) of how to:

a) identify, source and document:

• what information needs to be included in any particular data analysis assignment
• the flows of information around, into and out of an organisation
• who needs to use the deliverables produced by any particular data analysis
assignment
• any non structured data that may need to be considered
• the data that needs to be included in any particular data analysis assignment

b) identify and document:

• the data entities that need to be incorporated into any particular data model
• the data attributes for any data entities
• the relationships between data entities
• the sources and formats of data that will be used in any particular data analysis
assignment
• information relating to IT/technology architectures together with analysis
deliverables in order to inform data design activities and their deliverables
• information relating to the information and data that comes into the organisation and
what data is sent out from it
• information relating to the destination/s of any item of information/data
• information relating to any external organisations or bodies with whom an
organisation needs to exchange information and data
• information relating to the owners of data within the organisation
• information relating to the individuals, organisations and bodies who need to use
information held about an organisation’s data

Competent performance requires Understanding (4.2.A.1.U.) of:

a) the systems development lifecycle as it relates to data analysis activities

b) what are the

• rules that apply to data normalisation

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• data naming conventions and standards that need to be used during data analysis
activities
• processes, tools and techniques relating to data analysis activities and their
deliverables
• types of keys that may be defined during data analysis activities

c) why
• data is a valuable asset for organisations
• data needs to be normalised during data analysis activities
• information about the data used by an organisation needs to be recorded

d) the importance of:

• aligning data analysis activities and their deliverables with the business
requirements
• correctly identifying and accurately documenting the source, format, composition
and usage of the data within an organisation
• identifying all of the attributes associated with any particular data entity
• eliminating repetition and redundancy during data analysis
• identifying the relationship between data entities during data analysis
• identifying the source of all items of data
• defining the correct format/s of any item of data
• identifying the owner/s of any particular item of data
• identifying the destination/s of any item of information/data
• soliciting accurate and timely information from others, both internally and externally,
in order to inform data analysis activities and their deliverables
• verifying the accuracy, currency, completeness and relevance of information
created, collected, used and documented during data analysis activities
• having effective data models

Competence (4.2.A.2) – Carry out specified data analysis activities

This competence will be demonstrated by the following Performance Criteria (4.2.A.2.C.):
a) Correctly follow the systems development lifecycle, as appropriate to data analysis
activities

b) Accurately gather and correctly apply information relating to IT/technology architectures

together with analysis deliverables in order to inform data design activities and their
deliverables

c) Correctly source all relevant information relating to any external organisations or bodies
with whom an organisation needs to exchange information and data

d) Critically interpret any existing data flow diagrams and conceptual data model(s)
relevant to a data analysis assignment

e) Critically analyse and fully document any further business requirements that have been
identified so that they may be used to inform data analysis activities, under direction

Competent performance requires Knowledge (4.2.A.2.K.) of how to:

a) Operate with reference to
• the systems development lifecycle, as appropriate to data analysis activities
• organisational strategy, policies and standards in data analysis activities
• IT/technology architecture models

b) apply

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• the systems development lifecycle, as appropriate to data analysis activities

• information relating to IT/technology architecture and analysis activities in order to
inform data analysis activities
• business requirements so that they can be reflected in a conceptual data model
• business rules that need to be incorporated into the conceptual data model
• any further business requirements that are identified so that they can be reflected in
a conceptual data model
• the business rules that need to be incorporated into the conceptual data model
• information relating to IT/technology architectures together with analysis
deliverables in order to inform data design activities and their deliverables
• information relating to the data that comes into the organisation and what data is
sent out from it
• the rules that need to be applied to any data normalisation activities
• information relating to the destination/s of any item of information/data
• information relating to any external organisations or bodies with whom an
organisation needs to exchange information and data
• information relating to the owners of data within the organisation

Competent performance requires Understanding (4.2.A.2.U.) of:

a) the fact that
• some individuals within organisations do not understand the value of their data
• data needs to be normalised during data analysis activities
• organisations need to understand how data supports their operational and strategic
activities
• organisations need to understand what data supports their operational and strategic
activities

Competence (4.2.A.3) – Assist the maintenance of data models

This competence will be demonstrated by the following Performance Criteria (4.2.A.3.C.):
a) Logically and objectively abstract and decompose data within a conceptual data model,
under direction

b) Implement and maintain effective and accurate data flow diagrams required for a
particular data analysis assignment, under direction

c) Accurately update any data flow diagrams and data models as a result of a particular data
analysis assignment, under direction

d) Assist others in the production of conceptual data models

Competent performance requires Knowledge (4.2.A.3.K.) of how to:

a) analyse any
• existing conceptual data model(s) relevant to a data analysis assignment
• existing data flow diagrams relevant to a data analysis assignment
• further business requirements that have been identified so that they may be used
to inform data analysis activities

b) implement and maintain data flow diagrams

c) abstract and decompose data

Competent performance requires Understanding (4.2.A.3.U.) of:

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a) what
• is the difference between structured and unstructured data
• is the role and importance of data analysis in decomposing information and
representing data used within an organisation
• is meant by the term data abstraction
• is meant by the terms data models/schema
• is involved in data decomposition and normalisation

b) the need for monitoring

• the progress of any particular data analysis assignment
• the accuracy, currency and completeness of any data analysis deliverables
• the alignment of data analysis deliverables with the business requirements

c) the processes, tools and techniques that can be used to monitor

• the progress of any particular data analysis assignment
• the accuracy, currency and completeness of any data analysis deliverables

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Professional Role:
Competence (4.1.P.1) – Contribute, under supervision, to the preparation of a data analysis
assignment
This competence will be demonstrated by the following Performance Criteria (4.2.P.1.C.):

a) Correctly identify any existing data flow diagrams and data models

b) Correctly identify any existing IT/technology architecture and analysis deliverables, data
flow diagrams and data models

c) Correctly identify all relevant business requirements and any necessary business rules
so that they can be reflected in a conceptual data model

d) Correctly identify the owners of data, under direction

e) Correctly document all relevant information relating to the individuals, organisations and
bodies who need to use information held about an organisation’s data

Competent performance requires Knowledge (4.2.P.1.K.) of how to:

a) identify
• the processes, tools and techniques relating to data analysis activities and their
deliverables
• data naming conventions and standards in data analysis activities
• business requirements so that they can be reflected in a conceptual data model
• business rules that need to be incorporated into the conceptual data model
• information relating to IT/technology architectures together with analysis
deliverables in order to inform data design activities and their deliverables
• the owners of data for any particular data analysis assignment
• who needs to authorise/sign off the deliverables from any data analysis assignment
• the keys that that are needed in any conceptual data model
• any existing data flow diagrams, that are appropriate to any particular data analysis
assignment
• any existing conceptual data models that are appropriate to any particular data
analysis assignment
• what information and data comes into the organisation and what data is sent out
from it
• what rules need to be applied to any data normalisation activities
• the destination/s of any item of information/data
• any external organisations or bodies with whom an organisation needs to exchange
information and data

b) source
• best practice in data analysis activities
• any further business requirements so that they can be reflected in a conceptual
data model
• any business rules that need to be incorporated into the conceptual data model

c) document
• information relating to any external organisations or bodies with whom an
organisation needs to exchange information and data
• information relating to the owners of data within the organisation
• information relating to the individuals, organisations and bodies who need to use
information held about an organisation’s data
• best practice in data analysis assignments

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• lessons learned from prior data analysis assignments

• all the deliverables from data analysis activities

Competent performance requires Understanding (4.2.P.1.U.) of:

a) what
• is the value of data analysis deliverables as they relate to systems analysis, data
design and systems/service design activities
• is the relationship between data analysis and IT/technology architecture work
• is the importance and relevance of data analysis activities on the full life cycle of
information within an organisation
• is the importance of data analysis activities as they relate to the systems
development lifecycle
• is the role of data analysis activities and their deliverables in the full life cycle of
IT/technology systems, services and assets supporting an organisation
• is the range of issues associated with data analysis and its deliverables

b) what are the

• potential implications of data analysis deliverables being incorrect, incomplete,
inadequate and/or inappropriate
• potential implications of failings of integrity, confidentiality and information security
during data analysis activities
• professional and ethical standards relating to data analysis work within an
organisation
• standards relating to data analysis activities and their deliverables
• internal and external sources of data that are used within the organisation
• formats of data that may be used within the organisation

c) why
• organisations need to understand how data supports their operational and strategic
activities
• organisations need to understand what data supports their operational and strategic
activities
• the impact of any legislation, regulation and external standards relevant to the
organisation’s data handling needs to be reflected in data analysis activities and
their deliverables
• the impact of integrity, confidentiality and information security requirements needs
to be reflected during data analysis activities
• the deliverables from data analysis activities must be reflected in data design work
• the alignment of data analysis activities and their deliverables with all relevant
legislation, regulation and external standards, in line with organisational strategy,
policies and standards, needs to be monitored
• the alignment of data design work with the deliverables from data analysis needs to
be monitored

Competence (4.1.P.2) – Assist in the development of data analysis models

This competence will be demonstrated by the following Performance Criteria (4.2.P.2.C.):
a) Produce effective conceptual data models, under direction

b) Verify all data and information used to produce, and contained within, data analysis
deliverables

c) Ensure that all that data analysis deliverables align with business needs, IT/technology
architecture and other analysis deliverables

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d) Present, clearly and precisely, the data models produced from any particular data
analysis assignment to sponsors, stakeholders and other individuals, under direction

Competent performance requires Knowledge (4.2.P.2.K.) of how to:

a) verify all data and information used to produce and contained within data analysis
deliverables

b) provide information and data contained within data analysis deliverables to

internal/external individuals and groups involved in design and development activities,
as appropriate

c) communicate
• what information and data is contained within data analysis deliverables to owners,
sponsors, stakeholders and other individuals
• with external organisations or bodies with whom an organisation needs to exchange
information and data

d) take action
• to produce effective conceptual data models
• to align data analysis deliverables with IT/technology architecture deliverables
• to integrate analysis activities and their deliverables, where appropriate, into
projects and programmes, where appropriate
• to ensure that data analysis deliverables align with business needs and
IT/technology architecture and analysis deliverables

Competent performance requires Understanding (4.2.P.2.U.) of

a) who
• are the owners of specific items of data, within the organisation
• are the sponsors of and stakeholders for any particular data analysis assignment
• needs to use the deliverables produced by any particular data analysis assignment
• needs to authorise/sign off the deliverables from any data analysis assignment

b) the importance of
• data analysis activities and their deliverables on the full life cycle of information
within an organisation
• and role of data analysis in aligning IT/technology systems, services and assets
with the organisation’s data handling needs
• integrating data analysis activities, where appropriate, into projects and
programmes
• updating data analysis deliverables as a result of projects, programmes and
data/systems design activities, where appropriate
• taking account of external factors during data analysis activities and their
deliverables
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to data analysis
• maintaining the integrity and confidentiality of information during data analysis
activities
• ensuring that sensitive information is not disclosed inappropriately during data
analysis activities
• integrating data analysis activities and their deliverables, where appropriate, into
projects and programmes
• and role of effective communication with a range of individuals, groups and bodies
during data analysis activities
• applying lessons learned from previous data analysis assignments

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• the systems development lifecycle as it relates to data analysis activities

• using information relating to IT/technology architecture and business analysis
activities in order to inform data analysis activities and their deliverables,
• creating a conceptual data model that correctly illustrates what data exists within
the organisation
• abstracting and decomposing data within a conceptual data model
• verifying the accuracy, currency, completeness and relevance of data and
information contained within data analysis deliverables
• making data analysis deliverables available to individuals and groups who require
them from both inside and outside the organisation

Competence (4.1.P.3) – Manage the outcomes from the data analysis assignment
This competence will be demonstrated by the following Performance Criteria (4.2.P.3.C.):
a) Design, implement, maintain and manage an effective conceptual data model relating to
a particular data analysis assignment

b) Accurately implement any business rules that need to be incorporated into any
particular conceptual data model

c) Provide clear and timely information and data contained within data analysis
deliverables to internal/external individuals and groups involved in design and
development activities, as appropriate, under direction

d) Be fully accountable for the quality and effectiveness of the deliverables from any
particular data analysis assignment

e) Negotiate effectively with external organisations or bodies with whom an organisation

needs to exchange information and data

Competent performance requires Knowledge (4.2.P.3.K.) of how to:

a) design a conceptual data model relating to a particular data analysis assignment

b) use
• information relating to the individuals, organisations and bodies who need to use
information held about an organisation’s data
• standards relating to data analysis activities and their deliverables
• best practice in data analysis assignments
• lessons learned from prior experience in IT data analysis assignments

c) implement and maintain

• a conceptual data model for a given data analysis assignment
• any business rules that need to be incorporated into any particular conceptual data
model

d) report any issues arising from data analysis activities

e) manage a conceptual data model supporting a particular data analysis assignment

f) interpret
• all deliverables from IT/technology architecture and analysis activities in order to
produce accurate data analysis deliverables

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g) present the data models produced from any particular data analysis assignment

h) negotiate
• with external organisations or bodies with whom an organisation needs to exchange
information and data
• with owners of data, where necessary, in order to conduct a data analysis
assignment

i) be accountable for the quality and effectiveness of the deliverables from any particular
data analysis assignment

Competent performance requires Understanding (4.2.P.3.U.) of

a) the fact that

• the impact of any legislation, regulation and external standards relevant to the
organisation’s data handling, needs to be reflected in data analysis activities and
their deliverables
• the impact of integrity, confidentiality and information security requirements needs
to be reflected during data analysis activities
• the deliverables from data analysis activities must be reflected in data design work
• there are disadvantages and benefits of using external providers of data analysis
services
• there are internal and external individuals, groups and bodies who require access to
the deliverables form data analysis activities
• information and data can be generated

b) the need for monitoring of

• the alignment of data analysis activities and their deliverables with all relevant
legislation, regulations and external standards, in line with organisational strategy,
policies and standards
• the interpretation and use of data analysis deliverables within data design activities
• the quality and effectiveness of data analysis activities and their deliverables

c) the processes, tools and techniques that can be used to

• monitor the alignment of data analysis activities and their deliverables with all
relevant legislation, regulation and external standards, in line with organisational
strategy, policies and standards
• monitor the alignment of data analysis deliverables with the business requirements
• monitor the use of data analysis deliverables within business change and projects
and programmes
• monitor the quality and effectiveness of data analysis activities and their
deliverables

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Senior Professional Role:

Competence (4.2.S.1) – Prepare for data analysis activities

This competence will be demonstrated by the following Performance Criteria (4.2.S.1.C.):

a) Implement and maintain effectively strategy, policies, plans, standards, processes, tools
and techniques applicable to data analysis activities

b) Implement and maintain appropriate data naming conventions and standards to be

used in all data analysis activities

c) Correctly identify the impact of any legislation, regulation and external standards on
data analysis activities

d) Correctly identify the owners of data within the organisation and who uses information
held about an organisation’s data

e) Correctly identify the range of approaches that can be taken to data analysis and use
the most appropriate in a range of business and IT/technology contexts

Competent performance requires Knowledge (4.2.S.1.K.) of how to:

a) identify
• the owners of data within the organisation
• who needs to use information held about an organisation’s data
• standards relating to data analysis activities and their deliverables
• the range of approaches that can be taken to undertake data analysis and their
appropriateness in a range of business and IT/technology contexts
• internal and external factors that may impact on data analysis activities and their
deliverables
• the range of issues associated with data analysis and its deliverables
• the impact of any legislation, regulation and external standards on data analysis
activities and their deliverables

b) implement and maintain

• the processes, tools and techniques applicable to data analysis activities and their
deliverables
• the processes, tools and techniques to monitor the alignment of data analysis
activities and their deliverables with all relevant legislation, regulations and external
standards
• standards relating to data analysis activities and their deliverables
• the rules that need to be applied to all data normalisation activities
• data naming conventions and standards to be used in all data analysis activities

c) negotiate with external providers of data analysis services

Competent performance requires Understanding (4.2.S.1.U.) of:

a) what
• is the range of approaches that can be taken to undertake data analysis and their
appropriateness in a range of business contexts
• data is used within the organisation
• data comes into the organisation and what data is sent out from it

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b) what are the

• types and range of data analysis deliverables that can be used to represent an
organisation’s data handling needs and their appropriateness to meet specific
business purposes
• potential implications and constraints of data being derived from/owned by external
sources
• potential implications of an organisation’s data being required by external
individuals, groups and bodies
• internal and external factors and their implications on data activities and their
deliverables
• implications of any legislation, regulations and external standards on data analysis
work and its deliverables
• implications of data analysis activities and their deliverables on data design
activities
• implications of particular data being unstructured on data analysis activities

c) who
• are the sponsors of and stakeholders for any data analysis activities
• are potential external providers of data analysis services
• needs to use information held about an organisation’s data

d) the importance of
• managing relationships with external providers offering data analysis services
• differentiating between data that is owned by an organisation and data that is
used/accessed by an organisation

Competence (4.2.S.2) – Manage effective data analysis activities

This competence will be demonstrated by the following Performance Criteria (4.2.S.2.C.):

a) Carry out any integrity, confidentiality and information security requirements that need
to be reflected during data analysis activities

b) Verify that all business requirements are accurately reflected in a conceptual data
model

c) Ensure that any data design and development activities align with data analysis
deliverables

d) Ensure that that any conceptual data model(s) are signed off by appropriately
authorised individuals prior to them being used in design and development activities

Competent performance requires Knowledge (4.2.S.2.K.) of how to:

a) identify
• any integrity, confidentiality and information security requirements that need to be
reflected during data analysis activities
• the sponsors of and stakeholders for data analysis activities
• who needs to be involved in any particular data analysis assignment
• opportunities to improve data analysis activities and their deliverables
• best practice in data analysis assignments
• learning from prior data analysis assignments

b) verify that business requirements are accurately reflected in a conceptual data model

c) use the most appropriate approach for any particular data analysis assignment

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d) manage
• any issues arising from a particular data analysis assignment
• the impact of any internal and external factors on a particular data analysis
assignment
• the progress of any data analysis assignment
• the accuracy, currency and completeness of any data analysis deliverables
• the alignment of data analysis deliverables with the business requirements
• the alignment of data analysis activities with IT/technology architecture and other
analysis deliverables
• the alignment of data analysis activities and their deliverables with any relevant
legislation, regulations and external standards, in line with organisational strategy,
policies and standards
• relationships with external providers of data analysis services
• relationships with sponsors of and stakeholders for data analysis activities

e) take action
• to establish effective relationships with external providers of data analysis services
• in the event of the deliverables and outcomes of data analysis being incorrect,
incomplete or inadequate to ensure that any conceptual data model(s) are signed
off by appropriately authorised individuals prior to them being used in design and
development activities
• that any data design and development activities align with data analysis
deliverables

f) communicate
• the need for data design and development activities to align with data analysis
deliverables to those individuals involved in them
• with external providers of data analysis services,
• with sponsors, stakeholders and external bodies on all matters relating to data
analysis activities and their deliverables

g) advise and guide others on

• best practice in data analysis assignments
• both internally and externally, on all aspects of data analysis activities and their
deliverables

Competent performance requires Understanding (4.2.S.2.U.) of:

a) the need for monitoring of
• the alignment of data analysis deliverables with any relevant IT/technology
architecture models and roadmaps
• the quality and effectiveness of external providers of data analysis services

b) the importance of
• aligning data analysis deliverables as appropriate, to IT/technology architecture
models
• identifying the data analysis deliverables required to meet specific business
purposes

Competence (4.2.S.3) – Maintain effective data analysis deliverables

This competence will be demonstrated by the following Performance Criteria (4.2.S.3.C.):

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a) Effectively manage and routinely monitor the progress of any data analysis assignment,
reporting the status to sponsors, stakeholders and other individuals and bodies as
appropriate

b) Critically monitor and manage the accuracy, currency and completeness of any data
analysis deliverables and their alignment with both the business requirements and with
IT/technology architecture and other analysis deliverables

c) Critically review the data models produced from any particular data analysis assignment
undertaken by others

Competent performance requires Knowledge (4.2.S.3.K.) of how to:

a) monitor
• the progress of any data analysis assignment
• the accuracy, currency and completeness of any data analysis deliverables
• the alignment of data analysis deliverables with the business requirements
• the interpretation and use of data analysis deliverables within data design activities
• the alignment of data analysis activities with IT/technology architecture and other
analysis deliverables
• the alignment of data analysis activities and their deliverables with any relevant
legislation, regulations and external standards, in line with organisational strategy,
policies and standards
• the quality and effectiveness of data analysis activities and their deliverables
• the quality and effectiveness of external providers of data analysis services
• the quality and effectiveness of external providers of data analysis services

b) report
• the progress of any particular data analysis assignment
• findings from monitoring the quality and effectiveness of data analysis activities
• findings from monitoring the quality and effectiveness of external providers of data
analysis activities

c) present and review

• the data models produced from any particular data analysis assignment
• the quality and effectiveness of data analysis activities and their deliverables
• findings from monitoring the alignment of data analysis deliverables with the
business requirements and/or IT/technology architecture and other analysis
deliverables
• findings from monitoring the alignment of data analysis activities and their
deliverables with any relevant legislation, regulation and external standards, in line
with organisational strategy, policies and standards
• the findings from monitoring the quality and effectiveness of external providers of
data analysis services

Competent performance requires Understanding (4.2.S.3.U.) of:

a) the processes, tools and techniques that can be used to
• monitor the alignment of data analysis deliverables with any relevant IT/technology
architecture models and roadmaps
• monitor the quality and effectiveness of external providers of data analysis services

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Lead Professional Role:

Competence (4.2.L.1) – Direct the data analysis activities

This competence will be demonstrated by the following Performance Criteria (4.2.L.1.C.):

a) Design effective strategy, policies, plans, standards, processes, tools and techniques
applicable to data analysis activities and their deliverables

b) Design appropriate data naming conventions and standards to use in all data analysis
activities

c) Correctly select the most appropriate individuals to undertake data analysis activities

d) Make well reasoned decisions on when and how to use external providers of data
analysis services, selecting the preferred organisations and negotiating/contracting with
them accordingly on behalf of the organisation

Competent performance requires Knowledge (4.2.L.1.K.) of how to:

a) design
• the processes, tools and techniques applicable to data analysis activities and their
deliverables
• the processes, tools and techniques to monitor the alignment of data analysis
activities and their deliverables with all relevant legislation, regulations and external
standards
• standards relating to data analysis activities and their deliverables
• the rules that need to be applied to all data normalisation activities
• data naming conventions and standards used in all data analysis activities

b) select
• who are the most appropriate individuals to undertake data analysis activities
• when and how to use external providers of data analysis services
• which external providers of data analysis services to use

c) authorise, agree and contract

• actions
• approaches
• strategy, policies, plans, procedures, standards, methods, tools and techniques
• contractual arrangements with external providers of data analysis services
• decisions

Competent performance requires Understanding (4.2.L.1.U.) of:

a) what are the benefits and disadvantages of using external providers of data analysis
services

Competence (4.2.L.2) – Provide direction and guidance on data analysis activities and
outcomes
This competence will be demonstrated by the following Performance Criteria (4.2.L.2.C.):

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a) Critically review the quality and effectiveness of data analysis activities and their
deliverables undertaken by others, making decisions for improvement as a result

b) Make objective, clear and timely decisions on the appropriateness, accuracy and
completeness of any conceptual data models produced by others

c) Correctly identify what actions may be taken in the event of data analysis activities not
meeting the business needs and/or IT/technology architecture and analysis
deliverables, advising others accordingly

d) Make effective and timely decisions on the actions that may be taken in the event of
IT/technology architecture activities and their deliverables not meeting the business
needs and/or IT/technology and analysis deliverables

e) Critically and regularly review the findings from monitoring the quality and effectiveness
of external providers of data analysis services

Competent performance requires Knowledge (4.2.L.2.K.) of how to:

a) Identify

• what actions may be taken in the event of data analysis activities not meeting the
business needs and/or IT/technology architecture and analysis deliverables

• what actions may be taken in the event of data analysis activities not meeting the
service and operational performance needs

b) make decisions
• to improve the quality and effectiveness of data analysis activities and their
deliverables within an organisation
• on the appropriateness, accuracy and completeness of any conceptual data models
produced
• on when and how to use external providers of data analysis services
• on which external providers of data analysis services to use
• on the results provided by monitoring data analysis activities and their deliverables
• on the actions that may be taken in the event of IT/technology architecture activities
and their deliverables not meeting the business needs and/or IT/technology and
analysis deliverables

c) review
• the quality and effectiveness of data analysis activities and their deliverables
• findings from monitoring the alignment of data analysis deliverables with the
business requirements and/or IT/technology architecture and other analysis
deliverables
• findings from monitoring the alignment of data analysis activities and their
deliverables with any relevant legislation, regulation and external standards, in line
with organisational strategy, policies and standards
• the findings from monitoring the quality and effectiveness of external providers of
data analysis services
• recommend actions in the event of data analysis deliverables not meeting the
business needs and/or IT/technology architecture and analysis deliverables

d) take action
• in the event of data analysis activities not supporting the business needs and
IT/technology architecture and analysis deliverables

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• in the event of external providers not providing the appropriate quality of data
analysis service

e) advise and guide others on

• what actions may be taken in the event of data analysis activities not meeting the
business needs and/or IT/technology architecture and analysis deliverables
• what actions may be taken in the event of data analysis activities not meeting the
service and operational performance needs

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4.3 Human Needs Analysis

This sub-discipline is concerned with the competencies involved with the analysis of human
needs (HCI) so that IT/technology systems, services and assets can then be designed with
humans in mind. In order for IT/technology to be successful and allow the maximisation of their
potential benefits, there must be a thorough understanding of all of the different needs that
humans can have from a system, service and/or asset, not just in terms of its outputs, but the
format of outputs, the dissemination of outputs, the type and methods of input, of data transfer
and of communication.

Human needs (HCI) analysis may be undertaken as part of a wider business analysis or may be
undertaken as the result of a need to improve processes and procedures, particularly those
supported by IT/technology.

Analysing human needs (HCI) requires particular competencies, both technical and personal
and the transferable competencies associated with communication should be a precursor to
acquiring competencies in this sub-discipline.

The outcomes of human needs (HCI) analysis are used to inform the design of IT/technology
systems, services and assets, when a balance may have to be attained between human and
business needs

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Pre-Entry / Junior Technician Role:

Competence (4.3.J.1) – Carry out, under supervision, specified human needs analysis
activities
This competence will be demonstrated by the following Performance Criteria (4.3.J.1.C.):
a) Correctly follow the processes, tools and techniques to conduct human needs analysis
activities

b) Fully comply with all internal policies, approaches and standards relevant to human
needs analysis activities

c) Accurately gather all relevant information relating to any existing interfaces/interactions

that are appropriate to human needs analysis assignment

d) Assist others in identifying who are the target users/audiences for human needs
analysis assignment

Competent performance requires Knowledge (4.3.J.1.K.) of how to:

a) gather information relating to interfaces/interactions that are appropriate to human
needs analysis assignment

b) use
• the processes, tools and techniques applicable to human needs analysis activities
and their deliverables
• naming conventions and standards in human needs analysis activities

c) operate with
• reference to professional and ethical standards relating to human needs analysis
activities and their deliverables
• integrity and confidentiality during human needs analysis activities

d) comply with relevant

• legislation, regulations and external standards relating to human needs analysis
activities and their deliverables
• internal policies, approaches and standards relevant to human needs analysis
activities and their deliverables

Competent performance requires Understanding (4.3.J.1.U.) of:

a) what
• needs to be considered when analysing human needs
• is meant by a user experience
• is the range of available communication methods and media, both electronic and
non electronic and their appropriateness for meeting the needs of consumers
and/or organisations

b) the importance of undertaking investigations such as interviewing, observation and

questioning during human needs analysis

c) the processes, tools and techniques that can be used to undertake human needs
analysis activities

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d) how different senses are used in human communication and how these relate to input
and output in information technology systems

Competence (4.3.J.2) – Document specified information relating to human needs analysis

requirements
This competence will be demonstrated by the following Performance Criteria (4.3.J.2.C.):

a) Correctly document and store all the processes, tools and techniques applicable to
human needs analysis activities

b) Accurately document any existing interfaces/interactions that are appropriate to

human needs analysis assignment

c) Precisely document all findings from any investigations undertaken into human
needs as part of a human needs analysis assignment

d) Accurately source, correctly document and apply all naming conventions and
standards used in human needs analysis activities

e) Correctly source and accurately document all relevant information relating to the
potential technologies that may be used for any system, service or asset that is the
subject of human needs analysis assignment

f) Accurately document and store all relevant information relating to the needs of the
target users

g) Assist others in documenting the required user experiences

Competent performance requires Knowledge (4.3.J.2.K.) of how to:

a) source
• any naming conventions and standards that need to be used in human needs
analysis activities
• information relating to the potential technologies that may be used for any system,
service or asset that is the subject of any particular human needs analysis
assignment

b) apply naming conventions and standards in human needs analysis activities

c) document
• naming conventions and standards used in human needs analysis activities
• information relating to the needs of the target users
• information relating to the literacy levels and skills of the target users
• any existing interfaces/interactions that are appropriate to any human needs
analysis assignment
• information relating to the potential operating environment for any systems, service
or asset that is the subject of any particular human needs analysis assignment
• information relating to any existing interfaces/interactions that are appropriate to
any particular human needs analysis assignment
• information relating to their literacy levels and skills and the target social,
operational and environmental conditions for any human needs analysis
assignment
• information relating to the potential technologies that may be used for any system,
service or asset that is the subject of any particular human needs analysis
assignment

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• the processes, tools and techniques applicable to human needs analysis activities
and their deliverables
• findings from any investigations undertaken into human needs as part of a human
needs analysis assignment

Competent performance requires Understanding (4.3.J.2.U.) of:

a) what are the most common human needs associated with interaction/interfaces with
IT/technology systems, services and assets for instance the need for help and support,

b) the fact that

• different users have different requirements from an IT/technology system, service
and/or asset, even within the same “group of users” e.g. one customer may like the
navigation on an on-line ordering system, another may not
• the environment of use affects the suitability of different HCIs
• different individuals have different needs for interaction/interfaces with
IT/technology
• human needs analysis activities and their deliverables must support the identified
business requirements
• the human needs in terms of both physical and mental processes/actions must be
considered during human needs analysis

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Associate Professional Role:

Competence (4.3.A.1) – Carry out, under supervision, preparations for human needs analysis
activities

This competence will be demonstrated by the following Performance Criteria (4.3.A.1.C.):

a) Correctly identify who are the target users/audiences for human needs analysis
assignment, accurately sourcing, documenting and using all relevant information
relating to them and their needs

b) Correctly identify any individuals or groups of target users for any human needs
analysis assignment who may have particular needs, sourcing, documenting and using
all relevant information relating to those needs

c) Accurately document the required user interfaces

d) Correctly gather all relevant information relating to IT/technology architectures together

with analysis deliverables in order to inform human needs analysis activities and their
deliverables

e) Negotiate effectively and empathetically with the target users for any particular human
needs analysis assignment, in respect of their needs and priorities

f) Assist others in analysing the needs of the target users

Competent performance requires Knowledge (4.3.A.1.K.) of how to:

a) negotiate with the target users for any particular human needs analysis assignment

b) identify
• what information needs to be included in any particular human needs analysis
assignment
• who are the target users/audiences for human needs analysis assignment
• the potential operational capabilities for any system, service or asset that is the
subject of a human needs analysis assignment
• any individual users or groups of target users that have particular needs that will
have to be considered as part of any human needs analysis assignment

c) source and gather

• information relating to the potential operating environment for any systems, service
or asset that is the subject of human needs analysis assignment
• information relating to IT/technology architectures together with analysis
deliverables in order to inform human needs analysis activities
• information relating to the target users for any human needs analysis assignment
• information relating to any individuals or groups of target users for any human
needs analysis assignment who may have particular needs
• information relating to the target social, operational and environmental conditions
for any human needs analysis assignment
• information relating to the needs of the target users

d) document
• the required user experiences

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• information relating to IT/technology architectures together with analysis

deliverables in order to inform human needs analysis activities
• information relating to the target users for any human needs analysis assignment
• information relating to any individuals or groups of target users for any human
needs analysis assignment who may have particular needs
• information relating to the needs of the target users

e) operate with reference to

• the systems development lifecycle, as appropriate to human needs analysis
activities
• organisational strategy, policies and standards in human needs analysis activities
• IT/technology architecture models
• the sensitivities of individuals and groups of target users
• organisational culture and the prevailing culture of the proposed audience/users
during human interaction and interface (HCI) analysis activities

Competent performance requires Understanding (4.3.A.1.U.) of:

a) the role and value of human needs analysis in improving the quality and effectiveness
of human interaction in processes and IT/technology systems

b) what is
• by human needs analysis and the stages of activity that constitute it
• by personal/particular needs in the context of human needs analysis
• the relationship between human needs (HCI) analysis, other analysis activities,
benefits realisation and business process redesign/re-engineering within an
organisation

c) what are the

• basics of cognitive theory and the effect of perception on HCI
• limitations of current technologies in mirroring human to human communication
• advantages of current and emerging technologies for communication between both
humans and machines and for human to human communication
• different characteristics and needs of clients, users, both technical and non
technical, individuals and groups, and potential audiences
• types of communication technologies eg one to one, one to many, broadcast and
pull/push ‘on-demand’ that form the basis of human/technology communication
• available technologies and emerging technologies that can be used for enabling
effective HCI
• processes, tools and techniques that can be used to record, analyse and document
the HCI needs of users
• the skills and characteristics that are needed to perform tasks involved in interaction
enabled by IT/technology, including physical characteristics as well as such items
as concentration spans and language
• standards and naming conventions that can be used in human needs analysis work
• potential implications to an organisation of human needs analysis deliverables
being incorrect, incomplete, inadequate and/or inappropriate

d) the fact that

• the effectiveness of any IT/technology system, service and/or asset depends on the
adoption of it by users
• take up/adoption of any IT/technology system, service and/or asset by users
depends on the perceived usability of it
• human needs analysis deliverables provide the basis for HCI design activities
• human needs analysis must consider the need for the integrity,
privacy/confidentiality and security of data and information

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e) why
• the needs of the target users must be incorporated into any system/solution/service
design
• ergonomic needs must be considered in human needs analysis
• human needs analysis must be carried out to support the identified business
requirements
• human needs must be verified with sample target users to validate their
appropriateness

f) who are the target users in any human needs analysis assignment

g) the importance of
• collating and analysing the HCI needs of users in order to inform future decisions
on HCI design
• accurately eliciting the HCI needs of target users
• documenting user needs in order to inform future HCI design activities
• undertaking human needs (HCI) analysis in line with organisational strategy,
policies, procedures and standards
• the systems development lifecycle as it relates to human needs analysis activities
• using naming conventions and standards, where appropriate, in human needs
analysis activities

Competence (4.3.A.2) – Analyse, under supervision, all relevant operational capabilities

required for human needs analysis assignment
This competence will be demonstrated by the following Performance Criteria (4.3.A.2.C.):

a) Correctly identify and critically analyse the potential operational capabilities for any
system, service or asset that is the subject of a human needs analysis assignment

b) Correctly identify and objectively analyse the potential technologies that may be used
for any system, service or asset that is the subject of any further business requirements
that have been identified so that they may be used to inform human needs analysis
activities

c) Accurately use and critically analyse any existing interfaces/interactions that are
appropriate to any human needs analysis assignment

d) Accurately collate and critically analyse all relevant information relating to the potential
operating environment for any systems, service or asset that is the subject of human
needs analysis assignment

Competent performance requires Knowledge (4.3.A.2.K.) of how to:

a) Identify the potential technologies that may be used for any system, service and/or
asset that is the subject of any particular human needs analysis assignment

b) use
• any existing interfaces/interactions that are appropriate to any human needs
analysis assignment
• information relating to the potential technologies that may be used for any system,
service or asset that is the subject of any particular human needs analysis
assignment
• information relating to the potential operating environment for any system, service
or asset that is the subject of any particular human needs analysis assignment

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• information relating to IT/technology architectures together with analysis

deliverables in order to inform human needs analysis activities and their
deliverables
• information relating to the target users for any human needs analysis assignment
including their literacy levels and skills
• information relating to any individuals or groups of target users for any human
needs analysis assignment who may have particular needs
• the systems development lifecycle, as appropriate to human needs analysis
activities
• information relating to the target social, operational and environmental conditions
for any human needs analysis assignment

c) analyse
• any existing interface/interactions relevant to a human needs analysis assignment
• the potential operating environment for any system, service or asset that is the
subject of a human needs analysis assignment
• the potential technologies that may be used for any system, service or asset that is
the subject of any further business requirements that have been identified so that
they may be used to inform human needs analysis activities
• findings from any investigations undertaken into human needs as part of a human
needs analysis assignment

Competent performance requires Understanding (4.3.A.2.U.) of:

a) the need for monitoring
• the progress of any particular human needs analysis assignment
• the accuracy, currency, completeness and appropriateness of any human needs
analysis deliverables
• the alignment of human needs analysis deliverables with the business requirements

b) the processes, tools and techniques which can be used to monitor the
• progress of any particular human needs analysis assignment
• accuracy, currency, completeness and appropriateness of any human needs
analysis deliverables
• alignment of human needs analysis assignments with the business requirements

Competence (4.3.A.3) – Report findings from human needs analysis activities

This competence will be demonstrated by the following Performance Criteria (4.3.A.23.C.):

a) Clearly report all relevant findings from any investigations undertaken into human needs
as part of a human needs analysis assignment to sponsors, stakeholders, superiors and
other individuals, so that they may be used to inform human needs analysis activities

b) Assist others in presenting the findings produced from human needs analysis
assignment

Competent performance requires Knowledge (4.3.A.3.K.) of how to:

a) report findings from any investigations undertaken into human needs as part of a
human needs analysis assignment

Competent performance requires Understanding (4.3.A.2.U.) of:

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a) the importance of

• validating findings from human needs analysis with sample target users using a
range of techniques

• considering the requirements for integrity, security and privacy/confidentiality of

data in human needs analysis

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Professional Role:
Competence (4.3.P.1) – Manage, under supervision, information to direct human needs
analysis assignments
This competence will be demonstrated by the following Performance Criteria (4.3.P.1.C.):

a) Correctly identify and use business requirements and the required user experiences, so
that they can be reflected in human needs analysis assignments, under direction

b) Correctly select relevant information relating to IT/technology architectures together with

other analysis deliverables in order to inform human needs analysis activities, under
direction

c) Correctly use political awareness, people and negotiation skills during human needs
analysis assignments, under direction

d) Accurately document organisational culture and the prevailing culture of the proposed
audience/users during human interaction and interface (HCI) analysis activities

Competent performance requires Knowledge (4.3.P.1.K.) of how to:

a) identify and select
• the scope for any particular human needs analysis assignment
• the required user experiences
• the processes, procedures, methods, tools and techniques relating to human needs
analysis activities and their deliverables
• naming conventions and standards to be used in human needs analysis activities
• business requirements so that they can be reflected in human needs analysis
assignments
• information relating to IT/technology architectures together with other analysis
deliverables in order to inform human needs analysis activities and their
deliverables
• who needs to authorise/sign off the deliverables from any human needs analysis
assignment
• any existing interfaces/interactions currently used by the target users, that are
appropriate to any particular human needs analysis assignment
• the target social, operational and environmental conditions for any human needs
analysis assignment
• who needs to use the deliverables from any human needs analysis assignment
• any individuals or groups that may influence any particular human needs analysis
assignment

b) source
• best practice in human needs analysis activities
• any integrity, confidentiality and information security requirements that need to be
considered during human needs analysis activities
• any further business requirements so that they can be reflected in human needs
analysis

c) use
• political awareness, people and negotiation skills during human needs analysis
assignments
• best practice in human needs analysis assignments
• business requirements so that they can be considered during any human needs
analysis assignment

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• any further business requirements so that they can be reflected in human needs
analysis
• any integrity, confidentiality and information security requirements that need to be
considered during human needs analysis activities
• standards relating to human needs analysis activities and their deliverables
• lessons learned from prior experience in human needs analysis assignments

d) document
• business requirements from business analysis so that they can guide human needs
analysis assignments
• any further business requirements that are identified so that they can be reflected in
human needs analysis
• organisational culture and the prevailing culture of the proposed audience/users
during human interaction and interface (HCI) analysis activities
• standards relating to human needs analysis activities
• best practice in human needs analysis assignments
• lessons learned from human needs analysis assignments
• all the deliverables from human needs analysis activities
• recommendations and decisions made as a result of human needs analysis

Competent performance requires Understanding (4.3.P.1.U.) of:

a) the role of political awareness, ‘people’ and negotiation skills in effective human needs
analysis

b) what
• is the role of political awareness, ‘people’ and negotiation skills in effective human
needs (HCI) analysis
• influence can particular individuals, or groups thereof, have on human needs (HCI)
analysis
• is the range of typical/most common human needs that must be identified during
human needs analysis
• is the relationship between human needs analysis and system/solution/service
analysis activities
• is the relevance of human needs analysis activities and their deliverables to
system/solution/service analysis activities associated with any IT/technology
system, service and/or asset
• is the relevance and role of psychology in human needs analysis

c) what are the

• processes, tools, and techniques that can be used to elicit the HCI needs of target
users and audiences
• potential implications to an organisation of human needs (HCI) analysis
deliverables and outcomes being incorrect, incomplete, inadequate and/or
inappropriate
• techniques that can be used to avoid conflict when ascertaining human needs
• potential implications of human needs analysis deliverables being incorrectly or
inadequately specified
• potential implications of failings of integrity, confidentiality and information security
during human needs analysis activities
• professional and ethical standards relating human needs analysis work within an
organisation
• strategy, policies. plans and standards relating to human needs analysis activities
and their deliverables

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d) the fact that

• human needs (HCI) analysis activities frequently result from the need for the
implementation of new or enhanced IT/technology systems
• there is a requirement to analyse the needs of a range of users, including
employees, customers, partners and suppliers, who have different requirements
from an IT/ technology system
• human behaviour/psychology is a critical consideration in human needs analysis
assignment
• sometimes it may be necessary or desirable to elicit the needs of individuals
• specialised human needs analysis may be required to elicit the needs of people
with particular requirements
• the effectiveness of human needs analysis will have a direct impact on any designs
for HCI interfaces and interaction
• individuals often find it difficult to explain what their needs are for
interfaces/interaction

e) why
• requirements for integrity, security and privacy/confidentiality of data need to be
considered during human needs analysis
• standards and naming conventions, where relevant, are used in human needs
analysis work
• the target social, operational and environmental conditions in which any
IT/technology system will be used needs to be considered during human needs
analysis activities

f) the importance of
• ascertaining the HCI needs of all groups of users/individuals (employees,
customers, suppliers, partners) in order to facilitate the design of effective
IT/technology systems, services or assets
• identifying any particular individuals needs in relation to IT/technology systems,
services and assets
• determining the IT/technology literacy levels and skills of the target users when
undertaking human needs analysis activities
• integrating the findings from human needs analysis with other relevant analysis
activities
• securing sign off to the findings from any human needs analysis assignment from
appropriately authorised individuals
• managing changes to business requirements through change control mechanisms
during human needs analysis activities
• using the deliverables from human needs analysis to inform human interaction and
interface (HCI) design activities
• applying lessons learned from previous human needs analysis assignments
• taking account of internal and external factors during human needs analysis
activities and their deliverables
• maintaining the integrity and confidentiality of information during human needs
analysis activities
• ensuring that sensitive information is not disclosed inappropriately during human
needs analysis activities
• accurately and completely representing the business requirements for the user
experience in the HCI design

Competence (4.3.P.2) – Produce, implement and maintain, quality human needs analysis
activities
This competence will be demonstrated by the following Performance Criteria (4.3.P.2.C.):
a) Correctly select, implement and maintain all of the processes, tools and techniques
relating to human needs analysis activities, under direction

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b) Verify all information used to produce, and contained within, human needs analysis
deliverables, as directed

c) Verify that human needs analysis findings for any assignment have been validated by
the target users and accurately represent what is required, as directed

d) Critically analyse all the relevant findings from any investigations undertaken into
human needs as part of a human needs analysis assignment, including the needs of all
the target users and the particular needs of individuals or groups of target users, as
directed

e) Be fully accountable for the quality and effectiveness of the deliverables from any
particular human needs analysis assignment

Competent performance requires Knowledge (4.3.P.2.K.) of how to:

a) implement and maintain the processes, tools and techniques applicable to human
needs analysis activities

b) verify
• all data, information and knowledge used to produce and contained within human
needs analysis deliverables
• that human needs analysis findings for any assignment have been validated by the
target users and accurately represent what is required

c) analyse
• the target social, operational and environmental conditions for any human needs
analysis assignment
• the needs of the target users
• any particular needs of individuals or groups of target users
• findings from any investigations undertaken into human needs as part of a human
needs analysis assignment

d) report any issues arising from human needs analysis activities

e) take action
• to align human needs analysis deliverables with other analysis deliverables
• to integrate human needs analysis activities and their deliverables, where
appropriate, into projects and programmes, where appropriate
• to ensure that human needs analysis deliverables align with other analysis
deliverables

f) be accountable for the quality and effectiveness of the deliverables from any particular
human needs analysis assignment

Competent performance requires Understanding (4.3.P.2.U.) of:

a) the need for monitoring
• the alignment of human needs analysis activities and their deliverables with all
relevant legislation, regulations and external standards
• the alignment of human needs analysis work with other related analysis activities
and their deliverables
• the quality and effectiveness of human needs analysis activities and their
deliverables

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• changes to business requirements through change control mechanisms during

human needs analysis activities

b) the processes, tools and techniques which can be used to monitor

• the alignment of human needs analysis activities with all relevant legislation,
regulations and external standards
• monitor the alignment of human needs analysis work with other related analysis
activities
• monitor the quality and effectiveness of human needs analysis activities
• monitor changes to business requirements through change control mechanisms
during human needs analysis activities

c) who needs to
• validate any human needs analysis deliverables
• sign off the deliverables from any human needs analysis assignment

Competence (4.3.P.3) – Provide human needs analysis findings to others

This competence will be demonstrated by the following Performance Criteria (4.3.P.3.C.):
a) Present, clearly and persuasively, the findings produced from human needs analysis
assignment to sponsors, stakeholders and other individuals, as directed

b) Provide timely and complete information and data contained within human needs
analysis deliverables to internal/external individuals and groups involved in design and
development activities, as directed

c) Communicate clearly and precisely what information is contained within human needs
analysis deliverables to sponsors, stakeholders and other individuals, as directed

Competent performance requires Knowledge (4.3.P.3.K.) of how to:

a) present the findings produced from any particular human needs analysis assignment

b) provide information and data contained within human needs analysis deliverables to
internal/external individuals and groups involved in design and development activities,
as appropriate

c) manage relationships with users during human needs analysis assignments

d) communicate
• what information and data is contained within human needs analysis deliverables to
sponsors, stakeholders and other individuals
• with target users in any human needs analysis assignment

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Senior Professional Role:

Competence (4.3.S.1) – Prepare for human needs analysis activities

This competence will be demonstrated by the following Performance Criteria (4.3.S.1.C.):
a) Design effective processes, tools and techniques applicable to human needs analysis
activities

b) Design, implement and maintain clear and specific naming conventions and standards
to be used in all human needs analysis activities

c) Correctly identify organisational culture and the prevailing culture of the proposed
audience/users during human interaction and interface (HCI) analysis activities

d) Correctly identify and use the most appropriate approach to undertake any human
needs analysis assignment

Competent performance requires Knowledge (4.3.S.1.K.) of how to:

a) design
• the processes, tools and techniques applicable to human needs analysis activities
and their deliverables
• naming conventions and standards used in all data analysis activities

b) identify
• what information needs to be ascertained about target users/audiences in any
particular human needs analysis assignment
• who are the sponsors and stakeholders for any human needs analysis assignment
• any integrity, confidentiality and information security requirements that need to be
considered during human needs analysis activities
• internal and external sponsors of and stakeholders for human needs analysis
activities
• standards relating to human needs analysis activities and their deliverables
• the most appropriate approach to undertake any particular human needs analysis
assignment
• internal and external factors that may impact on human needs analysis activities
and their deliverables
• any legislation, regulations and external standards that are relevant to human
needs analysis activities and their deliverables
• opportunities to improve human needs analysis activities and their deliverables
• best practice in human needs analysis assignments
• organisational culture and the prevailing culture of the proposed audience/users
during human interaction and interface (HCI) analysis activities
• internal and external factors that may impact on human needs analysis activities
and their deliverables
• any issues associated with undertaking human needs analysis activities
• processes, tools and techniques to monitor the quality and effectiveness of human
needs analysis activities and their deliverables
• the potential implications to the organisation of the deliverables from human needs
analysis being incorrect, inadequate, incomplete and/or inappropriate
• potential failings in integrity, confidentiality and information security during human
needs analysis activities
• learning from prior human needs analysis assignments

Competent performance requires Understanding (4.3.S.1.U.) of:

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a) the influence that particular individuals, or groups thereof, can have on human needs
analysis

b) what
• is the range of approaches for undertaking human needs (HCI) analysis
• legislation, regulations and external standards are relevant to human needs
analysis and its outcomes

c) what are the

• issues associated with undertaking human needs (HCI) analysis
• processes, tools and techniques to measure the effectiveness and quality of human
needs (HCI) analysis
• processes, tools and techniques to measure the quality and effectiveness of human
needs analysis activities
• techniques that can be used to avoid conflict when undertaking human needs
analysis activities
• implications of internal and external factors on all stages of human needs analysis
activities and their deliverables
• implications of any legislation, regulations and external standards as they relate to
human needs analysis and its outcomes and how to comply with them

d) who
• are the sponsors of and stakeholders for any human needs analysis activities

Competence (4.3.S.2) – Implement, maintain and monitor an effective human needs analysis
assignment
This competence will be demonstrated by the following Performance Criteria (4.3.S.2.C.):

a) Correctly select, implement and maintain standards relating to human needs analysis
activities

b) Closely manage and monitor all changes to business requirements through change
control mechanisms during human needs analysis activities, under guidance

c) Verify that business requirements have been met during human needs analysis

d) Effectively manage and routinely monitor the progress of any human needs analysis
assignment against plan

e) Critically review the findings produced from any particular human needs analysis
assignment undertaken by others, taking action in the event of the deliverables and
outcomes being incorrect, incomplete or inadequate

Competent performance requires Knowledge (4.3.S.2.K.) of how to:

a) verify
• that business requirements have been met during human needs analysis
• that the particular needs of individuals and groups of target users have been
considered during human needs analysis

b) use the most appropriate approach for any particular human needs analysis assignment

c) implement and maintain

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• the processes, tools and techniques to monitor the alignment of human needs
analysis activities and their deliverables with all relevant legislation, regulations and
external standards
• standards relating to human needs analysis activities and their deliverables
• naming conventions and standards to use in all human needs analysis activities

d) monitor
• the progress of any human needs analysis assignment against plan
• the accuracy, currency and completeness of any human needs analysis
deliverables
• the alignment of human needs analysis deliverables with the business requirements
• the interpretation and use of human needs analysis deliverables within human
needs (HCI) design activities
• the alignment of human needs analysis activities with IT/technology architecture
and other analysis deliverables
• the alignment of human needs analysis activities and their deliverables with any
relevant legislation, regulations and external standards, in line with organisational
strategy, policies and standards
• the quality and effectiveness of human needs analysis activities and their
deliverables
• the quality and effectiveness of external providers of human needs analysis
services
• changes to business requirements through change control mechanisms during
human needs analysis activities

e) negotiate with external providers of human needs analysis services

f) manage
• any issues arising from a particular human needs analysis assignment
• any issues arising as a result of the influence of any particular individual or group
during human needs analysis assignments
• the impact of any internal and external factors on a particular human needs analysis
assignment
• the progress of any human needs analysis assignment
• the accuracy, currency and completeness of any human needs analysis
deliverables
• the alignment of human needs analysis deliverables with the business requirements
• the alignment of human needs analysis activities with IT/technology architecture
and other analysis deliverables
• the alignment of human needs analysis activities and their deliverables with any
relevant legislation, regulations and external standards, in line with organisational
strategy, policies and standards
• changes to business requirements through change control mechanisms during
human needs analysis assignments
• relationships with external providers of human needs analysis services
• relationships with sponsors of and stakeholders for human needs analysis activities

g) present and review

• the findings produced from any particular human needs analysis assignment
• the quality and effectiveness of human needs analysis activities and their
deliverables
• recommend actions to be taken as a result of human needs analysis activities
• findings from monitoring the alignment of human needs analysis deliverables with
the business requirements and/or IT/technology architecture and other analysis
deliverables

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• findings from monitoring the alignment of human needs analysis activities and their
deliverables with any relevant legislation, regulation and external standards, in line
with organisational strategy, policies and standards
• the findings from monitoring the quality and effectiveness of external providers of
human needs analysis services

Competent performance requires Understanding (4.3.S.2.U.) of:

a) the processes, tools and techniques that can be used to monitor
• the quality and effectiveness of external providers of human needs analysis
services
• that data integrity, privacy/confidentiality and security considerations have been
considered in any human needs analysis assignment
• that user skills and IT/technology literacy levels have been considered within any
human needs analysis assignment

b) the need for monitoring of

• the quality and effectiveness of external providers of human needs analysis
services
• the fact that data integrity, privacy/confidentiality and security issues have been
considered within any HCI design
• the fact that user skills and IT/technology literacy levels have been considered
within any human needs analysis

c) the fact that

• the available operational delivery capabilities, such as bandwidth, screen
size/resolution, input devices size/type and other factors need to be considered
during human needs analysis activities
• in many scenarios, there are a wide range of human needs which have to be
considered
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in human needs analysis activities and their deliverables
• the deliverables of human needs analysis activities must accurately represent what
is required by target users
• external providers of human needs analysis services exist and there are
disadvantages and benefits of using them

d) why
• target operational delivery capabilities, such as bandwidth, screen size/resolution,
input devices size/type and other factors need to be considered during human
needs analysis
• the alignment of human needs analysis activities and their deliverables with all
relevant legislation, regulations and external standards needs to be monitored
• the alignment of human needs analysis work with other related analysis activities
and their deliverables needs to be monitored
• the alignment of HCI design activities and their deliverables with human needs
analysis work needs to be monitored

e) the importance of
• validating HCI user needs with the target audience(s) using a range of techniques
• considering the intended IT/technology operational environments and infrastructure
relevant to the target IT/technology system/solution/service when undertaking
human needs analysis activities
• tact and diplomacy when eliciting and verifying human needs
• applying a range of interpersonal communications skills during human interaction
and interface (HCI) design activities

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• considering any relevant legislation, regulations and external standards in human

needs analysis activities and their deliverables
• integrating human needs analysis activities into projects and programmes, as
appropriate
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to human interaction and interface (HCI) design
• using appropriately skilled individuals, groups and bodies in any human needs
analysis activities

Competence (4.3.S.3) – Provide reliable advice and guidance to others

This competence will be demonstrated by the following Performance Criteria (4.3.S.3.C.):
a) Report, clearly and in a timely manner, the progress of any particular human needs
analysis assignment against plan to sponsors, stakeholders, superiors and other
individuals

b) Make clear and specific recommendations as to the actions to be taken as a result of

human needs analysis activities

c) Provide specific and timely advice and guidance to others on best practice in human
needs analysis assignments

Competent performance requires Knowledge (4.3.S.3.K.) of how to:

a) report
• the progress of any particular human needs analysis assignment against plan
• findings from monitoring the quality and effectiveness of human needs analysis
activities
• findings from monitoring the quality and effectiveness of external providers of
human needs analysis activities
• the organisational culture and the prevailing culture of the proposed audience/users

b) take action
• to establish effective relationships with external providers of human needs analysis
services
• in the event of the deliverables and outcomes of human needs analysis being
incorrect, incomplete or inadequate
• to take account of any internal or external factors affecting human needs analysis
activities or their deliverables

c) communicate
• the need for IT/technology design and development activities to align with human
needs analysis deliverables to those individuals involved in them
• with external providers of human needs analysis services,
• with sponsors, stakeholders and external bodies on all matters relating to human
needs analysis activities and their deliverables

d) advise and guide others on

• best practice in human needs analysis assignments
• both internally and externally, on all aspects of human needs analysis activities and
their deliverables

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Lead Professional Role:

Competence (4.3.L.1) – Develop the strategy for human needs analysis activities
This competence will be demonstrated by the following Performance Criteria (4.3.L.1.C.):
a) Design effective standards relating to human needs analysis activities

b) Correctly select who are the most appropriate individuals to undertake human needs
analysis activities

c) Ensure that all of the needs of different users such as customers, suppliers and clients
have been ascertained during human needs analysis assignments

d) Ensure that any necessary integrity, confidentiality and information security

requirements have been considered during human needs analysis activities

e) Ensure that the findings from human needs analysis activities have been validated with
the target users

f) Ensure that human needs analysis deliverables align with all relevant business needs
and IT/technology architecture

Competent performance requires Knowledge (4.3.L.1.K.) of how to:

a) select
• who are the most appropriate individuals to undertake human needs analysis
activities
• when and how to use external providers of human needs analysis services
• which external providers of human needs analysis services to use
• what actions may be taken in the event of human needs analysis activities not
meeting the business needs and/or IT/technology architecture and other analysis
deliverables
• what actions may be taken in the event of human needs analysis activities not
meeting the service and operational performance requirements

b) review
• the quality and effectiveness of human needs analysis activities and their
deliverables
• actions to be taken as a result of human needs analysis activities
• findings from monitoring the alignment of human needs analysis deliverables with
the business requirements and/or IT/technology architecture and other analysis
deliverables
• findings from monitoring the alignment of human needs analysis activities and their
deliverables with any relevant legislation, regulation and external standards, in line
with organisational strategy, policies and standards
• the findings from monitoring the quality and effectiveness of external providers of
human needs analysis services

c) design
• the processes, tools and techniques to monitor the alignment of human needs
analysis activities and their deliverables with all relevant legislation, regulations and
external standards
• standards relating to human needs analysis activities and their deliverables

d) authorise, agree and contract

• actions

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• approaches
• strategy, policies, plans, procedures, standards, methods, tools and techniques
• contractual arrangements with external providers of human needs analysis services
• decisions

Competent performance requires Understanding (4.3.L.1.U.) of:

a) what are the
• benefits and disadvantages of using external providers of human needs analysis
services
• issues involved in outsourcing human needs analysis activities
• range of approaches for undertaking human needs analysis and their
appropriateness in any IT/technology and business context

b) who are external providers of human needs analysis services

c) the importance of identifying the organisational culture and the prevailing culture of the
audience/users in human needs analysis activities

Competence (4.3.L.2) – Maintain effective and operational human needs analysis activities

This competence will be demonstrated by the following Performance Criteria (4.3.L.2.C.):

a) Objectively review findings from monitoring the alignment of human needs analysis
deliverables with the business requirements and/or IT/technology architecture and other
analysis deliverables

b) Critically review the quality and effectiveness of human needs analysis activities and
their deliverables

c) Provide specific and timely advice and guidance to others on what actions may be
taken in the event of human needs analysis activities not meeting the business needs,
IT/technology architecture and analysis deliverables and/or the service and operational
performance needs

d) Make well reasoned decisions on when and how to use external providers of human
needs analysis services, selecting the preferred organisations and
negotiating/contracting with them accordingly on behalf of the organisation

e) Make objective and specific decisions to improve the quality and effectiveness of
human needs analysis activities and their deliverables within an organisation

Competent performance requires Knowledge (4.3.L.2.K.) of how to:

a) Make decisions
• to improve the quality and effectiveness of human needs analysis activities and
their deliverables within an organisation
• on the appropriateness, accuracy and completeness of any deliverables from
human needs analysis
• on when and how to use external providers of human needs analysis services
• on which external providers of human needs analysis services to use
• on the results provided by monitoring human needs analysis activities and their
deliverables

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b) recommend actions to be taken in the event of human needs analysis deliverables not
aligning with the business needs, IT/technology architecture and analysis deliverables
and/or the service and operational performance needs

c) take action
• in the event of human needs analysis activities not supporting the business and
service needs and IT/technology architecture and analysis deliverables
• in the event of the deliverables from human needs analysis being incorrect,
inadequate, incomplete and/or inappropriate
• in the event of external providers not providing the appropriate quality of human
needs analysis service
• to ensure
• that human needs analysis deliverables align with business needs and
IT/technology architecture
• that the needs of different users such as customers, suppliers and clients have
been ascertained during human needs analysis assignments
• any integrity, confidentiality and information security requirements have been
considered during human needs analysis activities
• that human needs analysis findings have been validated with the target users
• that any findings from human needs analysis assignments are signed off by
appropriately authorised individuals prior to them being used in design and
development activities
• that any design and development activities align with human needs analysis
deliverables

d) advise and guide others on

• what actions may be taken in the event of human needs analysis activities not
meeting the business needs and/or IT/technology architecture and analysis
deliverables
• what actions may be taken in the event of human needs analysis activities not
meeting the service and operational performance needs

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4.4 Systems Analysis

This sub-discipline is concerned with the competencies required to conduct systems analysis
within an organisation. It also includes those competencies required to interpret, use and apply
information contained within IT architecture models and the deliverables of business analysis,
data and HCI analysis and benefits realisation to inform systems analysis activities.
Systems analysis typically takes the deliverables from Business Analysis activities in order to
produce a Requirements Specification or Business Specification document which seek to
translate the physical business needs identified through Business Analysis into a logical
specification of the main information system requirements that will need to be supported in a
technology enabled solution. Further information about business needs may also need to be
gathered during systems analysis in order to ascertain how they will be represented in an
information technology solution and there may also need to be validation of or amendments to
system development options and costs produced by earlier business analysis and benefits
realisation activities.
Frequently, the activities involved in Systems Analysis incorporate or are conducted in parallel
with or Data Analysis and Human Computer Interface (HCI) analysis activities and may be
undertaken by the same individual. Systems analysis activities may reference, apply and update
information contained within IT architecture and conceptual data models as well as HCI analysis
and benefits realisation deliverables. The deliverables from systems analysis are used to assist
with the development of the detailed logical and physical design of the ‘end to end’ information
technology system and as such should give the most complete view of the totality of the
business requirements that need to be translated into a systems design. In some organisations,
particularly where rapid development approaches are used, an iterative process of systems
analysis and systems design may also take place.

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Pre-Entry / Junior Technician Role:

Competence (4.4.J.1) – Follow, under supervision, the organisational strategy for systems
analysis assignments
This competence will be demonstrated by the following Performance Criteria (4.2.J.1.C.):
a) Correctly follow the processes, tools and techniques applicable to systems analysis
activities

b) Fully comply with all organisational strategy, policies and standards relating to systems
analysis activities

c) Correctly identify any further requirements for small scale systems analysis
assignments or for any particular element of an ‘end to end’ large scale systems
analysis assignment

d) Verify all existing or further requirements with sponsors, stakeholders and other
individuals for small scale systems analysis assignments or for any particular element of
an ‘end to end’ large scale systems analysis assignment

Competent performance requires Knowledge (4.4.J.1.K.) of how to:

a) operate with
• reference to organisational strategy, policies and standards in systems analysis
activities
• reference to professional and ethical standards in systems analysis activities
• integrity and confidentiality during systems analysis activities

b) comply with all relevant legislation, regulations and external standards relating to
systems analysis activities

c) identify
• naming conventions and standards to be used in systems analysis activities
• diagrammatic conventions and symbology appropriate to systems analysis activities
and their deliverables
• functions and processes that need to be considered in any small scale systems
analysis assignment or any specific element of an ‘end to end’ systems analysis
assignment
• existing requirements and any further ones that may need to be considered for any
small scale assignment or as part of an element of any ‘end to end assignment’
during systems analysis activities

d) verify existing or further requirements with sponsors, stakeholders and other individuals
for small scale systems analysis assignments or for any particular element of an ‘end to
end’ large scale systems analysis assignment

Competent performance requires Understanding (4.4.J.1.U.) of:

a) what is meant by
• a system (or solution or service)
• systems analysis
• processing and functions

b) what are the

• inputs to any systems analysis activities and the expected deliverables from them
• standards and naming conventions that are used in systems analysis work

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c) why some systems analysis assignments need to span across organisational

boundaries

Competence (4.4.J.2) – Collate, use and document specified information and further
requirements relating to systems analysis
This competence will be demonstrated by the following Performance Criteria (4.4.J.2.C.):
a) Accurately gather all relevant information from other related analysis deliverables in
order to inform systems analysis activities

b) Accurately gather feedback on systems analysis activities, including feedback on

models, prototypes and ‘mock ups’ of requirements, from sponsors, stakeholders and
other individuals and bodies, as directed

c) Accurately gather and correctly use all relevant information, about functions and
processes that are required for any small scale systems analysis assignment or any
specific element of an ‘end to end’ systems analysis assignment

d) Correctly gather and collate service and operational requirements in order that they may
be incorporated within systems analysis deliverables, under direction

e) Accurately document and correctly use all relevant diagrammatic conventions and
symbology appropriate to systems analysis activities and their deliverables

f) Correctly document, collate and use all relevant information about further requirements
as part of any small scale systems analysis assignment or during the analysis of any
particular element of an ‘end to end’ systems analysis assignment

Competent performance requires Knowledge (4.4.J.2.K.) of how to:

a) source, gather and collate

• information from other related analysis deliverables in order to inform systems
analysis activities and their deliverables
• further requirements as part of any small scale systems analysis assignment or
during the analysis of any particular element of an ‘end to end’ systems analysis
assignment
• information about functions and processes that are required for any small scale
systems analysis assignment or any specific element of an ‘end to end’ systems
analysis assignment
• service and operational requirements in order that they may be incorporated within
systems analysis deliverables
• feedback on systems analysis activities, including feedback on models, prototypes
and ‘mock ups’ of requirements, from sponsors, stakeholders and other individuals
and bodies

b) use
• the processes, tools and techniques relating to systems analysis activities and their
deliverables
• information about existing or further requirements as part of any small scale
systems analysis assignment or during the analysis of any particular element of an
‘end to end’ systems analysis assignment
• information about functions and processes that are required for any small scale
systems analysis assignment or any specific element of an ‘end to end’ systems
analysis assignment

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• standards and naming conventions as appropriate to systems analysis activities

and their deliverables
• diagrammatic conventions and symbology appropriate to systems analysis activities
and their deliverables
• a requirements/business specification document relating to any particular systems
analysis assignment

c) document
• information about further requirements as part of any small scale systems analysis
assignment or during the analysis of any particular element of an ‘end to end’
systems analysis assignment
• standards and naming conventions as appropriate to systems analysis activities
and their deliverables
• diagrammatic conventions and symbology appropriate to systems analysis activities
and their deliverables

Competent performance requires Understanding (4.4.J.2.U.) of:

a) the importance of
• documenting the deliverables and decisions associated with systems analysis
activities
• and role of effective communication in systems analysis activities

b) the processes, tools and techniques that can be used to

• conduct and document systems analysis activities
• monitor the progress of any particular systems analysis assignment

Competence (4.4.J.3) – Carry out under supervision, systems analysis activities

This competence will be demonstrated by the following Performance Criteria (4.4.J.3.C.):

a) Correctly use a requirements/business specification document relating to any particular

systems analysis assignment, as directed

b) Clarify, where necessary, existing requirements with sponsors, stakeholders and other
individuals for small scale systems analysis assignments or for any particular element of
an ‘end to end’ large scale systems analysis assignment

c) Critically interpret existing requirements and any further ones identified during systems
analysis activities

d) Critically analyse all relevant functions and processes that are required for any small
scale systems analysis assignment or any specific element of an ‘end to end’ systems
analysis assignment

Competent performance requires Knowledge (4.4.J.3.K.) of how to:

a) analyse
• existing requirements and any further ones identified during systems analysis
activities
• functions and processes that are required for any small scale systems analysis
assignment or any specific element of an ‘end to end’ systems analysis assignment

b) take action

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• to clarify existing requirements with sponsors, stakeholders and other individuals for
small scale systems analysis assignments or for any particular element of an ‘end
to end’ large scale systems analysis assignment
• to identify any further requirements for small scale systems analysis assignments or
for any particular element of an ‘end to end’ large scale systems analysis
assignment

Competent performance requires Understanding (4.4.J.3.U.) of:

a) the fact that
• external providers of systems analysis services exist
• some IT/technology systems/solutions/services need to span across organisational
boundaries
• system/solution/service analysis activities and their deliverables must support the
identified business requirements
• the individuals and groups who need to use the deliverables of any systems
analysis activities may be both internal and external to the organisation
• significant change to any business requirements or the scope of an analysis
assignment once analysis activities have begun can have a major impact on cost
and delivery timescales
• the deliverables of systems analysis activities must be accurately represented in
systems/solutions/service design work

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Associate Professional Role:

Competence (4.4.A.1) – Assist with the development for systems analysis activities

This competence will be demonstrated by the following Performance Criteria (4.4.A.1.C.):

a) Correctly select all relevant processes, tools and techniques relating to systems
analysis activities, under direction

b) Correctly use standards relating to systems analysis activities, as directed

c) Correctly use the systems development lifecycle as appropriate to systems analysis

activities, under direction

d) Correctly identify what needs to be included within a requirements/business

specification for systems analysis assignment, under direction

e) Accurately specify and define processing and functional needs for small scale
assignments or for an element of any ‘end to end’ large scale systems analysis
assignment within systems analysis deliverables

f) Be fully accountable for the quality and effectiveness of any particular element of a
systems analysis assignment

Competent performance requires Knowledge (4.4.A.1.K.) of how to:

a) select
• the processes, tools and techniques relating to systems analysis activities and their
deliverables
• what needs to be included within a requirements/business specification for any
particular systems analysis assignment

b) take action
• to specify and define processing and functional needs for small scale assignments
or for an element of any ‘end to end’ large scale systems analysis assignment
within systems analysis deliverables

c) operate with reference to

• the systems development lifecycle as appropriate to systems analysis activities
• all IT/technology architecture and analysis deliverables pertinent to any systems
analysis

d) be accountable for the quality and effectiveness of any particular element of a systems
analysis assignment

Competent performance requires Understanding (4.4.A.1.U.) of:

a) what is
• meant by a conceptual model
• meant by a logical specification
• meant by a requirements/business specification and what it contains
• the scope of any systems analysis assignment

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• involved in systems analysis

b) what are the

• relevancies of systems analysis activities and their deliverables to the design and
development activities associated with the production of IT/ technology systems,
services and assets
• relationships between systems analysis, and business, HCI, and data analysis
activities
• relationships between other analysis activities and their deliverables and systems
analysis activities
• benefits of using diagrammatic representations of processes and functions in
conceptual modelling

c) the need for monitoring the

• progress of any particular systems analysis assignment
• accuracy, currency, completeness and appropriateness of any systems analysis
deliverables

d) the processes, tools and techniques that can be used to monitor systems analysis
activities

Competence (4.4.A.2) – Operate, under supervision, systems analysis activities

This competence will be demonstrated by the following Performance Criteria (4.4.A.2.C.):

a) Accurately source and document and correctly apply all relevant information about
existing or further business requirements gathered, together with the functions,
processes, business rules and service and operational requirements that need to be
incorporated, during systems analysis activities

b) Accurately document a requirements/business specification document relating to any

particular systems analysis assignment

c) Provide appropriate models, prototypes and ‘mock ups’ of requirements to sponsors,

stakeholders and other individuals during systems analysis activities to assist with the
clarification of needs, under direction

d) Correctly apply feedback on systems analysis, including feedback on models,

prototypes and ‘mock ups’ of requirements, from sponsors, stakeholders and other
individuals and bodies

e) Effectively design, implement and maintain appropriate elements of any ‘end to end’
systems analysis assignment

f) Liaise effectively with other individuals involved in the analysis of other elements of an
‘end to end’ systems analysis assignment, as directed

Competent performance requires Knowledge (4.4.A.2.K.) of how to:

a) source
• information about existing or further requirements during systems analysis activities
• information about functions and processes that are required during systems
analysis activities
• information that needs to be included within a requirements/business specification

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• information from IT/technology architecture models in order to inform systems

analysis activities and their deliverables
• information during systems analysis activities in order to specify precisely how the
IT/technology system, service and/or asset needs to function in order to meet
business needs

b) apply
• business requirements during systems analysis activities
• business rules that need to be incorporated into systems analysis deliverables
• standards relating to systems analysis activities
• the systems development lifecycle as appropriate to systems analysis activities
• information from any related analysis deliverables in order to inform systems
analysis activities and their deliverables
• information relating to service and operational requirements in order that they may
be incorporated within systems analysis deliverables

c) document
• information about existing or further business requirements gathered during
systems analysis activities
• information about functions and processes that are required during systems
analysis activities
• a requirements/business specification document relating to any particular systems
analysis assignment
• changes to business requirements agreed and authorised during systems analysis
activities
• business rules that need to be incorporated into systems analysis deliverables
• service and operational requirements in order that they may be incorporated within
systems analysis deliverables

d) design elements of any ‘end to end’ systems analysis assignment

e) implement and maintain elements of an ‘end to end’ systems analysis assignment

f) provide
• models, prototypes and ‘mock ups’ of requirements to sponsors, stakeholders and
other individuals during systems analysis activities to assist with the clarification of
needs
• elements of any systems analysis to others so that it may be incorporated into any
‘end to end’ analysis deliverables

g) Apply feedback on systems analysis, including feedback on models, prototypes and

‘mock ups’ of requirements, from sponsors, stakeholders and other individuals and
bodies

h) communicate with other individuals involved in the analysis of other elements of an ‘end
to end’ systems analysis assignment

Competent performance requires Understanding (4.4.A.2.U.) of:

a) why
• security requirements need to be analysed during the end to end analysis of any
business system, or service
• the deliverables of systems analysis activities must accurately specify what is
required in systems design work

b) the fact that

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• the deliverables from systems analysis are used to assist with the development of
the detailed logical and physical design of the ‘end to end’ IT/technology system
• the deliverables from systems analysis should give the most complete view of the
totality of the business requirements that need to be translated into a systems
design
• the deliverables of systems analysis activities must accurately model what business
processes/functions are required
• systems design activities need to align with the deliverables from systems analysis
activities
• security requirements need to be analysed for any IT/technology
system/solution/service
• any ‘end to end’ systems analysis assignment needs to ensure that all elements are
analysed
• large scale analysis assignments may need to be delegated out to internal and
external individuals, groups and teams
• several conceptual models and possible options may be outlined in a requirements
specification

c) who are the individuals and organisations involved in other related analysis activities

d) the importance of
• the value of business analysis deliverables in informing systems analysis activities
• using information and data contained within IT/technology architecture models and
the deliverables of business analysis, data and HCI analysis and benefits
realisation to inform systems analysis activities
• the systems development lifecycle as it relates to system analysis activities
• and relevance of systems analysis activities on the full life cycle of information
within an organisation
• systems analysis activities and their deliverables being guided by and supporting
the business needs
• systems analysis deliverables aligning with business analysis deliverables
• gathering information during systems analysis activities in order to specify precisely
the functional and data handling needs that will meet the business requirements
• clarifying existing requirements with sponsors, stakeholders and other individuals
during systems analysis activities
• identifying any further requirements during systems analysis activities
• gaining agreement to requirements during systems analysis activities
• verifying the accuracy, currency, completeness and relevance of information
created, collected, used, produced and documented during systems analysis
activities
• getting sign off to any systems analysis deliverables
• and value of systems analysis activities in informing the design of any IT/technology
system, service and/or asset
• and role of systems analysis in guiding the design of IT/technology systems,
services and assets

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Professional Role:

Competence (4.4.P.1) – Prepare, under supervision, for a systems analysis assignment

This competence will be demonstrated by the following Performance Criteria (4.4.P.1.C.):

a) Design, implement and maintain effective and feasible plans for any particular element
of a systems analysis assignment

b) Implement and maintain a clear and accurate requirements/business specification

document for any particular systems analysis assignment

c) Critically review information contained in IT/technology architectures and business, HCI

and data analysis deliverables so as to inform systems analysis activities

d) Critically analyse and apply all relevant information about existing or further business
requirements, functions, processes and business rules and from IT/technology
architectures, to inform systems analysis activities, under direction

e) Proactively solicit accurate and timely information from others on what any
IT/technology system needs to do in order to inform systems analysis activities

Competent performance requires Knowledge (4.4.P.1.K.) of how to:

a) design
• plans relating to any particular element of an ‘end to end’ systems analysis
assignment

b) implement and maintain

• any requirements/business specification document relating to any particular
systems analysis assignment
• plans for any particular element of a systems analysis assignment
• plans for the analysis of any element of a systems analysis assignment
• models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system,
service and/or asset during systems analysis activities to assist with the
clarification of requirements

c) analyse
• the deliverables from all business, HCI and data analysis activities so that they may
be incorporated into systems analysis deliverables
• the impact and implications of changes to business requirements during systems
analysis activities
• all other relevant analysis deliverables in order to inform systems analysis activities
• architecture deliverables to inform systems analysis activities

d) use
• information from IT/technology architectures to inform systems analysis activities
• information about existing or further business requirements during systems analysis
activities
• information about functions and processes that are required during systems
analysis activities

e) document
• the progress of any particular systems analysis assignment
• decisions made during systems analysis activities

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• lessons learned from previous systems analysis assignments and/or from other
contexts

f) source
• information about internal and external individuals and groups to whom particular
elements of systems analysis may be delegated
• information, about decisions made during systems analysis assignments
• information about external providers of systems analysis services

g) communicate with individuals involved in the review of any systems analysis models,
prototypes and ‘mock ups’

Competent performance requires Understanding (4.4.P.1.U.) of:

a) the systems development lifecycle as it relates to systems analysis activities

b) what is
• involved in producing conceptual models for IT/technology systems
• the relationship between systems analysis, data, business and HCI analysis and
benefits realisation activities

c) what are the

• standards relating to systems analysis activities and their deliverables
• potential implications of the need for IT/technology systems/solutions/services to
span across organisational boundaries on systems analysis work
• potential implications of systems analysis deliverables being incorrect, incomplete,
inadequate or inappropriate
• potential implications of failings of integrity, confidentiality and information security
during systems analysis activities
• professional and ethical standards relating to systems analysis work within an
organisation
• potential implications on systems analysis activities of the need for IT/technology
system/solution/services to span across organisational boundaries

d) the processes, tools and techniques that can be used to

• monitor the alignment of systems analysis work with IT/technology architectures
and other related analysis deliverables
• manage changes to business requirements through change control mechanisms
during systems analysis activities

Competence (4.4.P.2) – Carry out, as required, systems analysis activities

This competence will be demonstrated by the following Performance Criteria (4.4.P.2.C.):
a) Develop, implement and maintain effective models, prototypes and ‘mock ups’ for
all/parts of the business requirements for use during systems analysis activities to assist
with the clarification of needs

b) Develop and maintain an effective requirements/business specification document

relating to any particular systems analysis assignment

c) Correctly select all relevant existing business requirements and identify any further
business requirements during a systems analysis assignment, under direction

d) Verify all existing or further business requirements during systems analysis activities

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e) Accurately translate any particular logical systems analysis element into a physical
systems analysis deliverable for an IT/technology system, service and/or asset

Competent performance requires Knowledge (4.4.P.2.K.) of how to:

a) Develop
• any requirements/business specification document relating to any particular
systems analysis assignment
• models, prototypes and ‘mock ups’ of all/parts of business requirements for use
during systems analysis activities to assist with the clarification of needs

b) select
• changes to business requirements agreed and authorised during systems analysis
activities
• standards relating to systems analysis activities and their deliverables
• the processes, procedures, methods, tools and techniques to monitor the alignment
of systems analysis activities and their deliverables with all relevant legislation,
regulations and external standards
• the IT/technology architecture that needs to be referenced during systems analysis
activities
• existing business requirements when producing systems analysis deliverables
• business rules that need to be incorporated into systems analysis deliverables
• further business requirements during systems analysis activities
• functions and processes that need to be considered systems analysis activities
• deliverables for systems analysis that can be best used to represent functional and
data handling needs of specific business processes

c) verify
• existing or further business requirements during systems analysis activities
• business rules that need to be incorporated into systems analysis deliverables

Competent performance requires Understanding (4.4.P.2.U.) of:

a) the fact that
• other analysis deliverables should be considered within systems analysis activities
• the analysis of any system/solution/service needs to include an analysis of the
requirements for its efficiency, robustness, maintainability and ability to meet the
needs of its users
• service management and operational needs must be considered during systems
analysis activities
• processing and functional needs required by the business must be identified and
specified during systems analysis

b) why standards and naming conventions are used in systems analysis work

Competence (4.4.P.3) – Monitor the effectiveness of systems analysis activities and their
deliverables
This competence will be demonstrated by the following Performance Criteria (4.4.P.3.C.):

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a) Effectively manage and monitor the progress of any particular element of a systems
analysis assignment against plan, reporting issues and status to sponsors, stakeholders
and superiors

b) Proactively solicit specific feedback on systems analysis, including feedback on models,

prototypes and ‘mock ups’ of requirements, from sponsors, stakeholders and other
individuals and bodies

c) Identify any changes to business requirements, analysing the impact and implications of
them on systems analysis activities and their deliverables

d) Ensure that all systems analysis deliverables always accurately represent functions and
processes necessary to support business requirements, under the direction of superiors

Competent performance requires Knowledge (4.4.P.3.K.) of how to:

a) manage the progress of any particular element of a systems analysis assignment
against plan

b) monitor the progress of any particular element of a systems analysis assignment

against plan

c) report
• the progress of any particular element of a systems analysis assignment against
plan
• any issues arising from systems analysis activities
• discrepancies between systems analysis deliverables and other related analysis
and IT/technology architecture deliverables
• discrepancies between systems analysis deliverables and business, HCI and data
analysis deliverables

d) present and review

• information contained in IT/technology architectures and business, HCI and data
analysis deliverables during systems analysis activities
• any particular element as part of the ‘end to end’ systems analysis

e) take action to
• clarify existing requirements with sponsors, stakeholders and other individuals
during systems analysis activities
• identify any further requirements during systems analysis activities
• manage changes to business requirements during systems analysis activities
• solicit feedback on systems analysis, including feedback on models, prototypes and
‘mock ups’ of requirements, from sponsors, stakeholders and other individuals and
bodies
• solicit accurate and timely information from others on what any IT/technology
system needs to do in order to inform systems analysis activities and their
deliverables
• translate any particular logical systems analysis element into a physical systems
analysis deliverable for an IT/technology system, service and/or asset
• ensure that systems analysis deliverables always accurately represent functions
and processes necessary to support business requirements
• ensure that systems analysis activities are guided and informed by the business
needs

Competent performance requires Understanding (4.4.P.3.U.) of:

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a) the need for monitoring

• the alignment of systems analysis activities and their deliverables with all relevant
legislation, regulations and external standards
• the alignment of systems analysis work with other analysis deliverables
• the alignment of systems analysis work with business analysis activities and their
deliverables
• the quality and effectiveness of systems analysis activities and their deliverables
• changes to business requirements through change control mechanisms during
systems analysis activities

b) who
• are the sponsors of and stakeholders for any particular systems analysis
assignment
• needs to use the deliverables produced by any particular systems analysis
assignment

c) the importance of
• soliciting feedback on systems analysis, including feedback on models, prototypes
and ‘mock ups’ of requirements, from sponsors, stakeholders and other individuals
and bodies
• soliciting accurate and timely information from others on what any IT/technology
system needs to do in order to inform systems analysis activities and their
deliverables
• translating any particular logical systems analysis element into a physical systems
analysis element for an IT/technology system, service and/or asset
• representing the processing and functions required by the business in a way which
can be readily translated into the design of system components
• accurately and completely representing and recording the processing and functions
required for a specific technology solution
• gathering further information during systems analysis activities in order to specify
what the information technology solution design needs to do
• systems analysis deliverables incorporating data and HCI analysis deliverables
• systems analysis deliverables aligning with the IT/technology architecture of an
organisation
• managing changes to business requirements through change control mechanisms
during systems analysis activities
• effective communication to a range of other individuals involved in related analysis
and design activities
• producing a comprehensive analysis of a service/solution/system which contains
clear requirements
• applying lessons learned from previous systems analysis assignments
• taking account of internal and external factors during systems analysis activities
and their deliverables
• maintaining the integrity and confidentiality of information during systems analysis
activities
• ensuring that sensitive information is not disclosed inappropriately during systems
analysis activities

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Senior Professional Role:

Competences (4.4.S.1) – Design, implement and maintain systems analysis activities
This competence will be demonstrated by the following Performance Criteria (4.4.S.1.C.):
a) Design, implement and maintain effective processes, tools and techniques relating to
systems analysis activities

b) Design, develop, implement and maintain plans and standards relating to any ‘end to
end’ system analysis assignment within own area of accountability

c) Effectively develop and maintain all relevant systems analysis deliverables aligned, as
appropriate, to business, HCI and data analysis deliverables, IT/technology architecture
deliverables, service objectives and the service strategy

d) Clearly and accurately identify how any IT/technology system, service and/or asset
needs to function in order to meet the business needs

Competent performance requires Knowledge (4.4.S.1.K.) of how to:

a) design and develop
• plans and standards relating to any ‘end to end’ system analysis assignment
• systems analysis deliverables aligned, as appropriate, to analysis deliverables
• systems analysis deliverables aligned, as appropriate, to IT/technology architecture
deliverables
• systems analysis deliverables aligned, as appropriate, to service objectives and the
service strategy
• the processes, tools and techniques relating to systems analysis activities and their
deliverables
• the processes, tools and techniques to monitor the alignment of systems analysis
activities and their deliverables with all relevant legislation, regulations and external
standards and plans and standards relating to systems analysis activities and their
deliverables
• the processes, tools and techniques to monitor the quality and effectiveness of all
aspects of systems analysis activities and their deliverables

b) implement and maintain

• plans and standards relating to any ‘end to end’ system analysis assignment
• systems analysis deliverables aligned, as appropriate, to business, HCI and data
analysis deliverables
• systems analysis deliverables aligned, as appropriate, to IT/technology architecture
deliverables
• systems analysis deliverables aligned, as appropriate, to service objectives and the
service strategy
• the processes, tools and techniques relating to systems analysis activities and their
deliverables
• the processes, tools and techniques to monitor the alignment of systems analysis
activities and their deliverables with all relevant legislation, regulations and external
standards and plans and standards relating to systems analysis activities and their
deliverables
• the processes, tools and techniques to monitor the quality and effectiveness of all
aspects of systems analysis activities and their deliverables
• plans and standards for an ‘end to end’ systems analysis

c) identify
• the elements of large/complex systems analysis assignments that may be
delegated to others

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• which internal and external individuals, groups and teams may have elements of a
large/complex systems analysis assignment delegated to them
• the implications of internal and external factors on systems analysis activities
• the impact and implications of changes to business requirements during systems
analysis activities
• lessons learned from previous systems analysis assignments
• how the IT/technology system, service and/or asset needs to function in order to
meet the business needs
• who are the sponsors of and stakeholders for any systems analysis activities
• service and operational performance requirements in order that they may be
incorporated within systems analysis deliverables
• best practice in systems analysis activities
• what information needs to be gathered about external providers of systems analysis
services

Competent performance requires Understanding (4.4.S.1.U.) of:

a) what is the range of issues associated with systems analysis activities

b) what are the

• systems analysis deliverables that can be used to represent functional and data
handling needs and their appropriateness to meet specific business purposes
• issues associated with systems analysis activities and their deliverables
• range and types of systems analysis deliverables that can be used to represent the
holistic, ‘end to end’ analysis of any IT/ technology system, service or asset to meet
specific business needs
• legislation, regulations and external standards that may apply to systems analysis
activities
• benefits and disadvantages of using external suppliers of systems analysis services
• implications of internal and external factors on systems analysis activities and their
deliverables
• range of approaches that may be used for systems analysis activities and their
appropriateness in a range of business and organisational contexts

c) the fact that

• the impact of any relevant legislation, regulations and external standards needs to
be reflected in systems analysis activities and their deliverables
• systems analysis activities should reference, apply and update information
contained within IT/technology architecture and conceptual data models as well as
other analysis and benefits realisation deliverables

Competence (4.4.S.2) – Manage the systems analysis assignment activities

This competence will be demonstrated by the following Performance Criteria (4.4.S.2.C.):
a) Correctly identify the elements of large/complex systems analysis assignments that may
be delegated to others, selecting and making timely decisions on the internal and
external individuals, groups and teams that may have elements assigned to them

b) Effectively co-ordinate the analysis efforts of groups and individuals involved in the
production of any integrated ‘end to end’ analysis assignment

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c) Effectively manage the ‘end to end’ conceptual model and the logical specification for
an IT/technology system, service and/or asset

d) Effectively manage the alignment of systems analysis activities within own area of
accountability with the business requirements, relevant legislation, regulations and
external standards, IT/technology architecture deliverables, service objectives and the
service strategy

Competent performance requires Knowledge (4.4.S.2.K.) of how to:

a) make decisions on the individuals to whom individual elements of any systems analysis
assignment may be delegated

b) manage
• any issues arising from systems analysis activities
• the ‘end to end’ conceptual model and the logical specification for an IT/technology
system, service and/or asset
• changes to business requirements through change control mechanisms during
systems analysis activities
• the alignment of systems analysis activities with the business requirements
• the alignment of systems analysis activities and its deliverables with all relevant
legislation, regulations and external standards
• the alignment of systems analysis activities with other business, HCI and data
analysis deliverables
• the alignment of systems analysis activities with service objectives and the service
strategy
• the alignment of systems analysis activities with IT/technology architectures
• relationships with sponsors, stakeholders and external bodies on matters relating to
systems analysis activities
• the relationships with external providers offering systems analysis services

c) take action
• to delegate the production of elements of any ‘end to end’ systems analysis
appropriately
• to allocate the analysis of individual elements of any ‘end to end’ systems analysis
assignment to appropriate individuals/teams
• to co-ordinate the analysis efforts of groups and individuals involved in the
production of any integrated ‘end to end’ analysis assignment
• to discuss, negotiate and agree priorities and resolutions to conflicting needs with
sponsors and stakeholders during systems analysis
• to translate an ‘end to end’ logical systems analysis into a physical systems
analysis for an IT/technology system, service and/or asset
• to incorporate a range of real life factors and constraints, such as security controls
and operational service levels, within the physical systems analysis
• to bring all elements of an systems analysis assignment together into an integrated
whole
• to optimize the ‘end to end’ physical systems analysis deliverables
• to secure sign off to the physical systems analysis prior to system/solution/service
development activities commencing
• to take account of internal and external factors in systems analysis activities
• to review and update, as appropriate, information contained in IT/technology
architecture and analysis deliverables as a result of systems analysis activities
• to reflect business needs in a conceptual model in a way which represents them
accurately as part of any possible IT/technology system/solution/service
• to ensure that the information produced by systems analysis activities is used to
inform system/solution/service development/fulfilment/implementation activities

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• systems analysis activities and their deliverables are integrated, where appropriate,
into projects and programmes
• that the deliverables from systems analysis are signed off prior to any
design/development/fulfilment activities commencing

d) use
• the processes, tools and techniques to monitor the alignment of systems analysis
activities and their deliverables with all relevant legislation, regulations and external
standards
• best practice in systems analysis activities
• lessons learned from previous systems analysis assignments
• information about external providers of systems analysis services

e) document
• actions taken in the event of the deliverables of systems analysis not supporting the
business requirements
• actions taken in the event of the deliverables of systems analysis being incorrect,
incomplete or inadequate
• actions taken in the event of the deliverables of systems analysis not meeting the
service and operational performance needs
• actions may be taken in the event of systems analysis activities not aligning with
IT/technology architecture deliverables
• best practice in systems analysis
• the quality and effectiveness of external providers of systems analysis services

Competent performance requires Understanding (4.4.S.2.U.) of:

a) the importance of
• validating or amending systems analysis deliverables including the development
options and costs produced by earlier business analysis and benefits realisation
activities
• systems analysis deliverables being used to update, where appropriate,
IT/technology architecture models and roadmaps
• and role of systems analysis activities and their deliverables in specifying the
holistic, ‘end to end’ requirements for IT/technology systems, services and assets to
meet the business needs
• and value of systems analysis deliverables in informing and directing IT/technology
design activities
• ensuring that any systems analysis assignment considers ‘real world’ factors and
constraints, such as security considerations
• requirements/business specifications specifying clearly and precisely the
requirements for any IT/technology system or service
• presenting information produced by systems analysis activities, particularly
information relating to the proposed information technology solution, in an
understandable form to a wide range of sponsors, stakeholders and other
individuals, in order to confirm understanding and ensure meets are being met
• discussing, negotiating and agreeing priorities and resolutions to conflicting needs
with sponsors and stakeholders during systems analysis
• securing sign off to the requirements/business specification prior to design activities
commencing
• integrating systems analysis activities into projects and programmes, as appropriate

Competence (4.4.S.3) – Liaise with others on matters relating to systems analysis activities
This competence will be demonstrated by the following Performance Criteria (4.4.S.3.C.):

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a) Negotiate effectively and sensitively with sponsors, stakeholders and other individuals
on the priorities and potential resolutions to conflicting needs during systems analysis

b) Negotiate effectively and collaboratively with individuals and organisations both

internally and externally involved with service, operational and environmental
management issues as to how the target IT/technology system, service and/or asset will
function

Competent performance requires Knowledge (4.4.S.3.K.) of how to:

a) negotiate
• priorities and potential resolutions to conflicting needs with sponsors, stakeholders
and other individuals during systems analysis
• how the target IT/technology system, service and/or asset will function, with
individuals and organisations both internally and externally involved with service,
operational and environmental management

b) provide
• any relevant analysis and IT/technology architecture deliverables together with any
business and service requirements to any external providers of systems analysis
services
• systems analysis deliverables to other internal and external individuals and/or
organisations for review and sign off

c) communicate
• with sponsors, stakeholders and external bodies on matters relating to systems
analysis activities
• with internal and external individuals and groups involved in other related analysis
activities

Competent performance requires Understanding (4.4.S.3.U.) of:

a) the importance of
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to systems analysis
• communicating effectively with stakeholders and sponsors during systems analysis
activities
• using appropriately skilled individuals, groups and bodies in any systems analysis
activities

Competence (4.4.S.4) – Review and sign off systems analysis outcomes

This competence will be demonstrated by the following Performance Criteria (4.4.S.4.C.):
a) Present, clearly and persuasively, all relevant information produced by systems analysis
activities, particularly information relating to how the proposed IT/technology will
function, in an understandable form, to a wide range of sponsors, stakeholders and
other individuals, in order to confirm understanding and ensure business needs are
being met

b) Verify the accuracy, currency, completeness and relevance of all data, information and
knowledge used and produced by systems analysis activities within own area of
accountability

c) Ensure the review and sign off of all relevant systems analysis deliverables by
appropriately authorised internal and external individuals and/or organisations

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d) Be fully accountable for the quality and effectiveness of any systems analysis
deliverables produced within own area of accountability

Competent performance requires Knowledge (4.4.S.4.K.) of how to:

a) present and review
• any particular element as part of the ‘end to end’ systems analysis
• information produced by systems analysis activities, particularly information relating
to how the proposed IT/technology will function, in an understandable form to a
wide range of sponsors, stakeholders and other individuals, in order to confirm
understanding and ensure business needs are being met
• and update, where necessary, information data and knowledge contained in
IT/technology architectures as a result of systems analysis activities
• the findings from monitoring the alignment of any ‘end to end’ systems analysis with
a range of factors and requirements
• any requirements/business specification document relating to any particular
systems analysis assignment
• the quality and effectiveness of systems analysis activities and their deliverables
• the quality and effectiveness of external providers of systems analysis services

b) verify the accuracy, currency, completeness and relevance of all data, information and
knowledge used and produced by systems analysis activities

c) monitor
• the quality and effectiveness of any particular element of a systems analysis
assignment
• the alignment of systems analysis activities with the business requirements
• the alignment of systems analysis activities and its deliverables with all relevant
legislation, regulations and external standards
• the alignment of systems analysis activities with business, HCI and data analysis
deliverables

d) report
• the results of monitoring the alignment of systems analysis activities with the
business requirements
• the results of monitoring the alignment of systems analysis activities and its
deliverables with all relevant legislation, regulations and external standards
• the results of monitoring the quality and effectiveness of any particular element of a
systems analysis assignment

e) analyse
• information about external providers of systems analysis services
• the results gained from monitoring the alignment of systems analysis activities and
their deliverables with all legislation, regulations and external standards
• the results gained from monitoring the alignment of systems analysis activities with
other related analysis deliverables and their deliverables
• the results gained from monitoring the alignment of systems analysis activities with
analysis activities and their deliverables

f) be accountable for the quality and effectiveness of any systems analysis deliverables
produced within own area of accountability

Competent performance requires Understanding (4.4.S.4.U.) of:

a) why

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• the alignment of systems analysis activities and their deliverables with all relevant
legislation, regulations and external standards needs to be monitored
• the alignment of systems analysis activities with other analysis deliverables needs
to be monitored
• the alignment of systems design work with systems analysis deliverables needs to
be monitored
• the alignment of systems analysis deliverables with IT architecture and conceptual
data models as well as HCI analysis and benefits realisation deliverables needs to
be monitored

b) the need for monitoring

• the quality and effectiveness of external providers of systems analysis services
• the alignment of systems analysis deliverables with IT/technology architectures for
an organisation

c) the processes, tools and techniques that can be used to monitor the
• quality and effectiveness of systems analysis activities and their deliverables
• quality and effectiveness of external providers of systems analysis services
• alignment of systems analysis activities and their deliverables with any relevant
legislation, regulations and external standards

d) who
• needs to authorise/sign off the deliverables from any systems analysis assignment
• are the sponsors of and stakeholders for any systems analysis activities

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Lead Professional Role:

Competence (4.4.L.1) – Direct the strategy relating to systems analysis activities
This competence will be demonstrated by the following Performance Criteria (4.4.L.1.C.):

a) Design, implement and maintain strategy and policies relating to systems analysis
activities

b) Verify the accuracy and appropriateness of all processing and functions specified within
any requirements/business specification

c) Negotiate effectively and empathetically with sponsors and stakeholders, reaching

agreement with them as to how the target IT/technology system, service and/or asset
will function

d) Make considered decisions on when and how to use external providers of systems
analysis services, selecting the preferred organisations and negotiating/contracting with
them accordingly on behalf of the organisation

Competent performance requires Knowledge (4.4.L.1.K.) of how to:

a) design
• strategy and policies relating to systems analysis activities and their deliverables
• strategy and policies to ensure the alignment of systems analysis activities and their
deliverables with all relevant legislation, regulations and external standards

b) implement and maintain

• strategy and policies relating to systems analysis activities and their deliverables
• strategy and policies to ensure the alignment of systems analysis activities and their
deliverables with all relevant legislation, regulations and external standards

c) verify
• the accuracy and appropriateness of any processing and functions specified within
any requirements/business specification
• the alignment of systems analysis deliverables with the business requirements
• the alignment of systems analysis deliverables with IT/technology architectures and
any other related analysis deliverables
• the alignment systems analysis deliverables with service objectives and the service
strategy

d) negotiate how the target IT/technology system, service and/or asset will function with
sponsors and stakeholders during systems analysis

e) select
• when and how to use external providers of systems analysis services
• which external providers of systems analysis services to use

f) make decisions
• on the appropriateness of using external suppliers of systems analysis services
• on which external providers of systems analysis services to use

g) authorise, agree and contract

• how the target IT/technology system, service and/or asset, service and/or asset will
function with sponsors and stakeholders during systems analysis
• actions
• approaches
• strategy, policies, plans, procedures, standards, methods, tools and techniques

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• contractual arrangements with external providers of systems analysis services

• decisions

Competent performance requires Understanding (4.4.L.1.U.) of:

a) who are external providers of systems analysis services

Competence (4.4.L.2) – Oversee the delivery of systems analysis outcomes

This competence will be demonstrated by the following Performance Criteria (4.4.L.2.C.):
a) Ensure the integrity and coherency of all ‘end to end’ systems analysis deliverables

b) Effectively manage the delivery of individual analysis deliverables produced by internal

and external individuals and groups and external organisations in support of an ‘end to
end IT/technology systems analysis

c) Effectively manage and regularly monitor the progress of any ‘end to end’ systems
analysis assignment against plan, reporting issues and status to sponsors, stakeholders
and superiors

d) Critically analyse and accurately report the results of monitoring the quality and
effectiveness of any systems analysis activities and their deliverables, identifying and
taking action to improve these activities in the future

e) Correctly identify and then take appropriate and timely action in the event of systems
analysis activities being out of alignment with the business requirements, service
objectives, the service strategy, IT/technology architecture and/or other related analysis
deliverables

Competent performance requires Knowledge (4.4.L.2.K.) of how to:

a) manage the
• delivery of individual analysis deliverables produced by internal individuals and
groups and external individual, groups and organisations in support of an ‘end to
end IT/technology systems analysis
• progress of any ‘end to end’ systems analysis assignment against plan

b) monitor
• the alignment of systems analysis activities with service objectives and the service
strategy
• the alignment of systems analysis activities with IT/technology architectures
• the progress of any ‘end to end’ systems analysis assignment against plan
• the quality and effectiveness of any systems analysis activities and their
deliverables
• the quality and effectiveness of external providers of systems analysis services
c) analyse
• the results gained from monitoring the alignment of systems analysis activities with
IT/technology architectures
• the results gained from monitoring the alignment of systems analysis activities with
service objectives and the service strategy
• the results gained from monitoring the quality and effectiveness of external
providers of systems analysis services

d) report

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• the results of monitoring the quality and effectiveness of external providers of

systems analysis services
• the progress of the ‘end to end’ systems analysis against plan
• the results of monitoring the quality and effectiveness of any systems analysis
activities and their deliverables

e) review
• the findings from monitoring the alignment of any ‘end to end’ systems analysis with
a range of factors and requirements
• any requirements/business specification document relating to any particular
systems analysis assignment
• the quality and effectiveness of systems analysis activities and their deliverables
• the quality and effectiveness of external providers of systems analysis services

f) identify
• what actions may be taken in the event of systems analysis activities not
supporting the business needs
• what actions may be taken in the event of systems analysis activities not meeting
the service and operational performance needs
• what actions may be taken in the event of systems analysis activities being
incorrect, incomplete, inadequate and/or inappropriate
• what actions may be taken in the event of systems analysis activities not aligning
with IT/technology architecture deliverables
• what actions may be taken to improve future systems analysis activities

g) take action
• in the event of systems analysis activities being out of alignment with the business
requirements
• in the event of systems analysis activities being out of alignment with service
objectives and the service strategy
• in the event of systems analysis activities being out of alignment with IT/technology
architecture and other related analysis deliverables
• to improve future systems analysis activities
• to ensure the integrity and coherency of all ‘end to end’ systems analysis
deliverables

Competent performance requires Understanding (4.4.L.2.U.) of:

a) what are the actions that may be taken in the event of systems analysis activities being
out of alignment with
• the business needs
• IT/technology architecture and/or other analysis deliverables
• service requirements

Competence (4.4.L.3) – Advise others on effective systems analysis strategy

This competence will be demonstrated by the following Performance Criteria (4.4.L.3.C.):
a) Be fully accountable for the quality and effectiveness of any ‘end to end’ systems
analysis assignment and associated deliverables, and its alignment with business
needs, service objectives, the service strategy, IT/technology architecture and other
related analysis deliverables

b) Provide specific and timely advice and guidance to others on all aspects of systems
analysis activities and their deliverables, including best practice

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Competent performance requires Knowledge (4.4.L.3.K.) of how to:

a) be accountable for
• the quality and effectiveness of any ‘end to end’ systems analysis assignment and
associated deliverables
• the alignment of systems analysis activities with IT/technology architecture and
other related analysis deliverables
• the alignment of systems analysis activities with business needs, service objectives
and the service strategy

b) advise and guide other on

• all aspects of systems analysis activities and their deliverables
• best practice in systems analysis

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4.5 Data Design

This sub-discipline is concerned with the competencies required to create, maintain and
manage logical and physical data designs for information technology solutions to support the
specific business needs represented in a Requirements Specification or Business Specification
document, supported, where appropriate with the interrogation, use and application of
information contained within conceptual data models or domain models produced by data
analysis activities

Data design includes identifying the data required by an information technology solution,
confirming and enhancing information relating to data types and attributes, dealing with
duplication and redundancy of data, ensuring data integrity by using business rules and other
processing steps. As design activities progress through logical design through to physical
design, the level and type of information recorded about items of data is enhanced and
increased, with a view to supporting the practical data handling, security, privacy and integrity
needs required within an IT/technology system.

Logical design involves the graphical organisation of data required by the IT/technology solution
into a logical data model, a set of groups of data items which remain independent of their
physical organisation and structure

Physical data design involves the representation of this logical data model into a physical model
and then further development into specific or organisational forms such as such as files, data
base tables, object orientated and XML structures. These will be organised in a way which
ensures integrity and efficiency of operation and enables them to interact with programs to
perform specific functions required to meet a specific business purpose. Information relating to
the data contained in the physical design of a database, including descriptions of the data, may
be contained within a Data Dictionary.

In some organisations, typically those where rapid development approaches are used, data
design may be undertaken in parallel with HCI design and systems design. Furthermore, in
these organisations, an iterative process of data analysis and data design may also take place.

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Pre-entry / Junior Technician Role:

Competence (4.5.J.1) – Carry out, under supervision, data design activities
This competence will be demonstrated by the following Performance Criteria (4.5.J.1.C.):
a) Correctly follow the processes, tools and techniques to conduct data design activities,
as directed

b) Fully comply with all organisational standards relating to data analysis activities

c) Correctly use a data dictionary as part of a data design assignment, under direction

d) Assist others in gathering information from data models and analysis deliverables

e) Correctly use all relevant information derived from data models, under direction

f) Assist others in the interpretation of data analysis deliverables in order to produce

logical and physical designs

Competent performance requires Knowledge (4.5.J.1.K.) of how to:

a) use
• a data dictionary
• information from data models
• the processes, tools and techniques relating to data design activities

b) operate with reference to

• organisational strategy, policies and standards in data design activities
• ethical and professional standards in data design activities

c) comply with all relevant legislation, regulations and external standards that may relate
to data design activities

Competent performance requires Understanding (4.5.J.1.U.) of:

a) the processes, tools and techniques which can be use to conduct and document data
design activities

b) what is meant by the term

• data decomposition
• data normalisation and de-normalisation and what is involved in them
• data dictionary
• data type
• data attribute
• key and indexes
• involved in data structures

c) what are the

• are the most commonly used data structures
• types of physical data organisation structures that exist

a) the fact that

• data design activities and their deliverables must support the identified business
requirements
• organisations frequently have IT/technology systems, services and assets that need
to exchange data with other organisations and individuals
• external providers of data design services exist

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Competence (4.5.J.2) – Document specified information relating to data design activities

This competence will be demonstrated by the following Performance Criteria (4.5.J.2.C.):

a) Accurately document all relevant business rules that need to be incorporated into data
designs for a specific assignment

b) Accurately document and store the contents of a data dictionary

c) Accurately document any business rules that need to be incorporated into data designs

d) Assist others with the documentation of any logical and/or physical data design to
support a particular assignment

Competent performance requires Knowledge (4.5.J.2.K.) of how to:

a) document and store
• any data dictionary and its contents
• data naming conventions and standards used in any data design assignment
• any business rules that need to be incorporated into data designs

Competent performance requires Understanding (4.5.J.2.U.) of:

a) the importance of
• accurately documenting the design of data and the physical data organisation
structures that will hold them

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Associate Professional Role:

Competence (4.5.A.1) – Collate specified information relating to data design activities

This competence will be demonstrated by the following Performance Criteria (4.5.A.1.C.):
a) Accurately gather all relevant information during data design activities in order to specify
precisely the data definition, organisation, storage and management within the target
IT/technology system/solution/service, under direction

b) Correctly source and gather all relevant information from data models and analysis
deliverables

c) Correctly source all relevant information in order to populate a data dictionary for a data
design assignment

Competent performance requires Knowledge (4.5.A.1.K.) of how to:

a) source and gather

• information from data models and analysis deliverables
• information during data design activities in order to specify precisely the data
definition, organisation, storage and management systems, services and assets
within the target IT/technology system/solution/service
• information in order to populate a data dictionary
• service management and operational performance requirements in order that they
may be incorporated within physical data design deliverables
• information relating IT/technology architectures together with business, data and
HCI analysis deliverables in order to inform data design activities and their
deliverables

Competent performance requires Understanding (4.5.A.1.U.) of:

a) the processes, tools and techniques which can be used to monitor the progress of any
particular data design assignment

Competence (4.5.A.2) – Contribute to producing and maintaining data designs

This competence will be demonstrated by the following Performance Criteria (4.5.A.2.C.):
a) Critically interpret all necessary data analysis deliverables in order to produce logical
and physical designs

b) Correctly apply all data naming conventions and standards appropriately in data design
activities, in line with organisational strategy, policy and standards, as directed

c) Correctly apply all of the business requirements and any relevant business rules when
producing logical and physical data designs

d) Assist others in de-normalising data in order to maximise the efficiency and

effectiveness of a physical design

e) Assist others in the identification of any primary, secondary and foreign keys and
indexes required

f) Be fully accountable for the quality, effectiveness and integrity of own data design
deliverables

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Competent performance requires Knowledge (4.5.A.2.K.) of how to:

a) use and apply
• business requirements when producing logical and physical data designs
• business rules that need to be incorporated into data designs
• appropriate logical and physical organisation structures in which to store data
• appropriate file, data organisation and storage technologies for any particular
assignment
• the systems development lifecycle as appropriate to data design activities,
• data naming conventions and standards appropriately in data design activities, in
line with organisational strategy, policy and standards

b) interpret data analysis deliverables in order to produce logical and physical designs

c) be accountable for the quality, effectiveness and integrity of own data design
deliverables

Competent performance requires Understanding (4.5.A.2.U.) of:

a) what is
• involved in logical data design
• involved in physical data design
• involved in data denormalisation
• the relationship between logical data design and physical data design
• meant by the terms primary, secondary and foreign keys
• meant by referential integrity

b) what are the

• naming conventions and standards that apply to data design activities
• implications of unstructured data on data design activities

c) the fact that

• data design activities need to align with the deliverables from data analysis
activities
• physical data designs need to consider the integrity, privacy and security of data
held within any physical data organisation structure

d) who
• needs to access data from both within and outside the organisation
• are providers of file and data handling/storage technologies

e) the need for monitoring

• the progress of any particular data design assignment
• the accuracy, currency, completeness and appropriateness of any data design
deliverables
• the alignment of data design deliverables with the business requirements

Competence (4.5.A.3) – Assist, under supervision, the management of data relating to data
designs

This competence will be demonstrated by the following Performance Criteria (4.5.A.3.C.):

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a) Correctly identify and select any relevant file, data organisation and storage
technologies that are available/in existence and can be used to define, organise, store
and manage data

b) Use appropriate logical and physical organisation structures in which to store data

c) Correctly populate a data dictionary in support of any particular data design assignment

d) Clearly document any logical and/or physical data designs to support a particular
assignment

e) Accurately document all of the needs of any external organisations or bodies with whom
an organisation needs to exchange information and data together with information
about the design considerations for data exchange with them

Competent performance requires Knowledge (4.5.A.3.K.) of how to:

a) identify and select which file, data organisation and storage technologies are
available/in existence and can be used to define, organise, store and manage data

b) take action to populate a data dictionary in support of any particular data design
assignment

c) document
• a logical and/or physical data design to support a particular assignment
• the needs of any external organisations or bodies with whom an organisation may
need to exchange information and data
• information about the design considerations for data that may need to be
exchanged with any external organisations, individuals or bodies

Competent performance requires Understanding (4.5.A.3.U.) of:

a) the importance of
• using data naming conventions and standards in data design activities, in line with
organisational strategy, policy and standards
• the systems development lifecycle as it relates to data design activities
• having an effective data dictionary
• data design activities and their deliverables being guided by and supporting the
business needs
• verifying the accuracy, currency, completeness and relevance of information
created, collected, used and documented during data design activities

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Professional Role:
Competence (4.5.P.1) – Assist with the development for data design activities
This competence will be demonstrated by the following Performance Criteria (4.5.P.1.C.):
a) Correctly select all relevant processes, tools and techniques relating to data design
activities, under direction

b) Correctly select all business requirements and any relevant business rules so that they
can be reflected in a logical and physical data design

c) Critically interpret all relevant information held within architecture models in order to
inform data design activities

d) Accurately identify and source all relevant information relating to IT/technology

architectures together with business, data and HCI analysis deliverables in order to
inform data design activities

e) De-normalise all relevant data in order to maximise the efficiency and effectiveness of a
physical design for a particular assignment, under direction

Competent performance requires Knowledge (4.5.P.1.K.) of how to:

a) select
• the processes, tools and techniques relating to data design activities and their
deliverables
• data naming conventions and standards in data design activities, in line with any
data storage standards
• business requirements so that they can be reflected in a logical and physical data
design
• business rules that need to be incorporated into data designs
• information relating to data entities and the relationships between them
• information relating IT/technology architectures together with business, data and
HCI analysis deliverables in order to inform data design activities
• appropriate physical organisation structures in which to store data for any particular
design assignment

b) interpret information held within architecture models in order to inform data design
activities

c) source
• further information during data design activities, as appropriate, in order to specify
precisely how the data within an IT/technology solution needs to be defined,
organised, stored and managed in order to meet business need

d) take action
• to de-normalise data in order to maximise the efficiency and effectiveness of a
physical design
• to secure sign off to the physical data design prior to development activities
commencing
• to ensure referential integrity in any data designs
• that any discrepancies between data design deliverables and data analysis
deliverables can be justified

Competent performance requires Understanding (4.5.P.1.U.) of:

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a) what is
• the contribution of data design to ‘end to end’ systems/solutions/service design
• the most appropriate physical data organisation structure to meet differing needs
• meant by data reuse and what it involves

b) what are the

• business rules that need to be incorporated into data designs
• advantages and disadvantages of differing types of physical data organisation
structures
• potential implications of data design deliverables being incorrectly or inadequately
specified
• potential implications of failings of integrity, confidentiality and information security
during data design activities
• professional and ethical standards relating to data design work within an
organisation
• strategy, policies. plans and standards relating to data design activities and their
deliverables
• potential implications of the need to exchange data, between organisations and
individuals, on physical data design activities

c) who
• are the sponsors of and stakeholders for any particular data design assignment
• needs to use the deliverables produced by any particular data design assignment
• needs to authorise/sign off the deliverables from any data design assignment

d) the importance of
• data design activities and their deliverables on the full life cycle of information within
an organisation
• data design deliverables aligning with IT/technology architectures and data
architectures in an organisation
• the value of data design deliverables in informing systems and file/database
development activities, as appropriate
• physical data design models and other deliverables specifying precisely how the
data should be defined, organised, stored and managed in any IT/technology
solution
• and value of data design activities in specifying what is required of the data
handling systems and assets that will be used to provide the target IT/technology
system
• ensuring referential integrity in any data designs
• gathering information during data design activities, as appropriate, in order to
specify precisely how the data within an information technology solution needs to
be defined, organised, stored and managed in order to meet business needs

Competence (4.5.P.2) – Manage, under supervision, the maintenance of data design

assignments
This competence will be demonstrated by the following Performance Criteria (4.5.P.2.C.):
a) Design, implement and maintain effective and appropriate physical organisation
structures, such as files or tables, for any particular data design assignment, under
direction

b) Ensure referential integrity in any data designs produced within own area of
accountability

c) Correctly identify any primary, secondary and foreign keys and indexes required, under
direction

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d) Effectively manage a data dictionary and its contents, in support of a data design
assignment within own area if accountability, under direction

e) Ensure secure sign off to all the physical data design deliverables relating to a particular
assignment, prior to development activities commencing

Competent performance requires Knowledge (4.5.P.2.K.) of how to:

a) design
• appropriate physical organisation structures, such as files or tables, for any
particular data design assignment
• data design deliverables aligned, as appropriate, to architectures, business, data
and HCI analysis deliverables

b) implement and maintain

• a data dictionary
• appropriate physical organisation structures in which to store data
• appropriate file, organisation and storage technologies for any particular
assignment

c) identify
• any primary, secondary and foreign keys and indexes required
• the design considerations associated with information and data which may need to
be exchanged with any external organisations, individuals or bodies

d) apply
• standards relating to data design activities and their deliverables
• information gained from analysis activities during data design activities in order to
specify precisely the data definition, organisation, storage and management
systems and assets within the target IT/technology system/solution/service
• information relating to architectures together with business, data and HCI analysis
deliverables in order to inform data design activities and their deliverables

e) monitor changes to business requirements through change control mechanisms during

data design activities

f) report
• the progress of any particular data design assignment
• any issues arising from a particular data design assignment
• the results from any data design assignment

g) manage a data dictionary and its contents

Competent performance requires Understanding (4.5.P.2.U.) of:

a) the processes, tools and techniques that can be used to
• monitor that the requirements for the integrity, privacy and security of data are met
within the logical and physical data design
• monitor the alignment of data design deliverables with IT/technology architectures
and data architectures of an organisation

b) the need for monitoring

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• the alignment of data design activities and their deliverables with all relevant
legislation, regulations and external standards, in line with organisational strategy,
policies and standards
• the alignment of data design activities with data analysis deliverables
• the alignment of data design activities and their deliverables with
systems/services/solutions design activities
• the quality and effectiveness of data design activities and their deliverables
• changes to business requirements through change control mechanisms during data
design activities

c) the fact that

• redundancy of data may need to exist within physical data designs and/or physical
data organisation structures in order to support practical processing needs
• the design of how data is structured within any IT/technology system, service and/or
asset is important to the efficiency, robustness and ability of that IT/technology
system, service and/or asset to meet the needs of its users

d) why physical data organisation structures may need to include some element of data
redundancy

e) the importance of
• managing changes to business requirements through change control mechanisms
during data design activities
• integrating data design activities, where appropriate, into projects and programmes
• securing sign off to the physical data design prior to the development of physical
data storage systems and assets
• designing effective and efficient data organisation structures
• producing data designs which can be maintained and operated using existing skills
and expertise
• and role of effective communication during data design activities
• and relevance of data design activities and their deliverables on the range of
systems and file/database development activities associated with production of an
IT and/or technology system
• applying lessons learned from previous data design assignments
• taking account of internal and external factors during data design activities and their
deliverables
• maintaining the integrity and confidentiality of information during data design
activities
• ensuring that sensitive information is not disclosed inappropriately during data
design activities
• accurately and completely representing and recording business requirements for
data definition, organisation, storage and management into the logical and physical
data design
• ensuring that the requirements for the integrity, privacy and security of data within
the logical and physical data design are met

Competence (4.5.P.1) – Provide others, when requested, with specified information relating to
data design activities
This competence will be demonstrated by the following Performance Criteria (4.5.P.3.C.):

a) Clearly present information produced by data design activities, particularly information

relating to how data will be defined, organised, stored and managed within the
proposed IT/technology system/solution/service, in an understandable form to a wide
range of sponsors, stakeholders and other individuals, in order to confirm understanding
and ensure business needs are being met

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b) Provide all relevant logical and physical data designs as required to other organisations
and/or bodies with whom an organisation needs to exchange information and data

c) Assist others in the documentation of all rules and controls required to ensure the
integrity, privacy and security of data held within the data design, under direction

d) Assist others in the identification of what changes may be required to translate a logical
design into an appropriate physical design, under direction

Competent performance requires Knowledge (4.5.P.3.K.) of how to:

a) present
• the alignment of data design deliverables with data analysis deliverables and
architectures
• information produced by data design activities, particularly information relating to
how data will be defined, organised, stored and managed within the proposed
IT/technology system/solution/service, in an understandable form to a wide range of
sponsors, stakeholders and other individuals, in order to confirm understanding and
ensure business needs are being met

b) provide logical and physical data designs as required to other organisations and/or
bodies with whom an organisation needs to exchange information and data

c) document and store

• data into appropriate physical data organisation structures
• decisions made during and relating to data design activities
• data reuse requirements in any data design activities

Competent performance requires Understanding (4.5.P.3.U.) of:

a) the importance of presenting information produced by data design activities, particularly
information relating to how the data will be defined, organised, stored and managed, in
an understandable form to a wide range of sponsors, stakeholders and other
individuals, in order to confirm understanding and ensure needs are being met

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Senior Professional Role:

Competence (4.5.S.1) – Select and implement appropriate data design processes

This competence will be demonstrated by the following Performance Criteria (4.5.S.1.C.):

a) Correctly select standards relating to data design activities

b) Correctly implement and maintain all processes, tools and techniques relating to data
design activities

c) Correctly identify any specific security, privacy and integrity requirements for physical
data structures, documenting the rules and controls required to ensure that they are met
within the data design

d) Source and use, in a timely manner, appropriate advice and guidance from other
individuals and organisations on the suitability of available data structures to meet any
particular business needs

e) Negotiate effectively with any external organisations and bodies with whom information
and data needs to be exchanged, in respect of data standards, conventions, types and
formats

Competent performance requires Knowledge (4.5.S.1.K.) of how to:

a) identify and select

• standards relating to data design activities and their deliverables
• further information during data design activities, as appropriate, in order to specify
precisely how the data within an IT/technology system/solution/service needs to be
defined, organised, stored and managed in order to meet business needs
• service and operational performance requirements in order that they may be
incorporated or considered within physical data design deliverables
• appropriate file and data organisation technologies, based on the business needs
and the need to integrate the physical data design with the ‘end to end’ design of
the target IT/technology system/solution/service
• what changes may be required to translate a logical design into an appropriate
physical design
• any specific security, privacy and integrity requirements for physical data structures
• any real life factors and constraints that need to be incorporated into physical data
designs
• any external organisations or bodies with whom an organisation needs to exchange
information and data

b) source advice and guidance from other individuals and organisations on the
appropriateness of available data structures for the particular business needs

c) implement and maintain

• the processes, tools and techniques relating to data design activities and their
deliverables
• the processes, tools and techniques to monitor the alignment of data design
activities and their deliverables with all relevant legislation, regulation and external
standards
• the rules and controls required to ensure the integrity, privacy and security of data
held within the data design

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d) use
• service management and operational performance requirements in order that they
may be incorporated within physical data design deliverables
• the processes, tools and techniques to monitor the alignment of data design
activities and their deliverables with all relevant legislation, regulations and external
standards
• lessons learned from previous data design assignments
• best practice in data design activities
• internal and external expertise, as required, on the appropriateness of available
data structures to meet particular business requirements
• data reuse requirements in any data design activities
• the rules and controls required to ensure the integrity, privacy and security of data
held within the data design

e) document the rules and controls required to ensure the integrity, privacy and security of
data held within the data design

f) negotiate
• with any external organisations and bodies with whom information and data needs
to be exchanged, in respect of data standards, conventions, types and formats
• how the data will be defined, organised, stored and managed within the target IT/
technology system/solution/service with sponsors and stakeholders during data
design
• with other individuals and organisations involved in design and development
activities as to how the design of the data structures will integrate with other
elements in any IT/ technology system/solution/service

g) communicate information relating to the data design with individuals involved in the
design and development of other elements of any ‘end to end’ IT/technology
system/solution/service

h) design a data dictionary

Competent performance requires Understanding (4.5.S.1.U.) of:

a) what is the range of issues associated with logical and physical data design activities

b) what are the

• implications of internal and factors on data design activities and their deliverables
• benefits and disadvantages of using external providers of data design services
• range of approaches that may be used for logical and physical data design and
their appropriateness in a range of business and organisational contexts

c) why
• the alignment of data design activities and their deliverables with all relevant
legislation, regulations and external standards needs to be monitored
• the alignment of data design work with systems design and business requirements
work needs to be monitored

d) who are the sponsors of and stakeholders for data design activities

Competence (4.5.S.2) – Manage the progress of data design assignments

This competence will be demonstrated by the following Performance Criteria (4.5.S.2.C.):

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a) Effectively manage all changes to business requirements through change control

mechanisms during data design activities

b) Optimise any physical data design within own area of accountability, under direction

c) Make well reasoned and rational decisions on what changes may be required to
translate a logical design into an appropriate physical design

d) Assist others in identifying any data re-use requirements in any data design activities

e) Regularly monitor the progress of any particular data design assignment within own
area of accountability

Competent performance requires Knowledge (4.5.S.2.K.) of how to:

a) manage
• changes to business requirements through change control mechanisms during data
design activities
• the alignment of data design activities and their deliverables with all relevant
legislation, regulations and external standards,
• relationships with sponsors, stakeholders and external bodies on matters relating to
data design activities
• relationships with external providers offering data design services
• issues arising as a result of data design activities
• internal and external factors that may impact on data design activities

b) take action
• to incorporate a range of real life factors and constraints, such as the need to de-
normalise data, within the physical systems design
• in the event of data design activities being out of alignment with architecture and
analysis deliverables
• to take account of internal and external factors in data design activities
• to optimise any physical data design
• to establish effective relationships with external providers of data design services
• to ensure data design activities and their deliverables are integrated, where
appropriate, into projects and programmes
• data design activities and their deliverables are coordinated with other design and
development activities to ensure the integrity of the ‘end to end’ IT/technology
system/solution/service
• approved changes to requirements are incorporated into data design deliverables
• the information produced by data analysis activities is used to inform data design
activities
• data design deliverables always accurately represent how the data contained within
the target IT/technology system/solution/service needs to be defined, organised,
stored and managed in order to meet business requirements

c) monitor the
• progress of any particular data design assignment
• accuracy, currency, completeness and appropriateness of any data design
deliverables
• alignment of data design deliverables with the business requirement
• alignment of data design activities and their deliverables with all relevant legislation,
regulations and external standards, in line with organisational strategy, policies and
standards
• alignment of data design activities with data analysis deliverables
• alignment of data design activities and their deliverables with
systems/services/solutions design activities
• quality and effectiveness of data design activities and their deliverables

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• quality and effectiveness of external providers of data design services

d) report
• any discrepancies between data design deliverables and IT/technology
architecture, business, data and HCI analysis deliverables
• findings from monitoring data design deliverables
• findings from monitoring the quality and effectiveness of external suppliers of data
design services

Competent performance requires Understanding (4.5.S.2.U.) of:

a) the importance of
• data design deliverables being used to update, where appropriate, IT/technology
architectures, data architectures and data models as appropriate
• ensuring that the translation of a logical into physical design incorporates ‘real
world’ factors and constraints, such as the need to de-normalise data from its
logical structure in order to meet data handling needs of the target IT/technology
system
• ensuring that operational performance and service needs are considered during
data design activities
• ensuring the implications of data reuse in any data design activities
• explaining, discussing, negotiating and agreeing how the data will be defined,
organised, stored and managed within an information technology system with
sponsors and stakeholders during data design
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to data design
• considering any relevant legislation, regulations and external standards in data
design activities and their deliverables
• using appropriately skilled individuals, groups and bodies in any data design
activities

Competence (4.5.S.3) – Review the effectiveness of data design deliverables

This competence will be demonstrated by the following Performance Criteria (4.5.S.3.C.):
a) Routinely monitor the logical and physical data design within own area of accountability,
to ensure that the requirements for the integrity, privacy and security of data have been
met within it

b) Verify that data design deliverables always accurately represent how the data contained
within the target IT/technology system/solution/service needs to be defined, organised,
stored and managed in order to meet business needs

c) Assist others in the verification of the accuracy and completeness of any translation
from logical to physical designs

d) Provide all relevant logical and physical data designs to sponsors and stakeholders for
review and sign off, as directed by superiors

Competent performance requires Knowledge (4.5.S.3.K.) of how to:

a) monitor
• that the requirements for the integrity, privacy and security of data have been met
within the logical and physical data design

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• the alignment of data design deliverables with IT/technology architectures used by

an organisation

b) analyse
• the implications of internal and external factors on data design activities and their
deliverables
• the results gained from monitoring the alignment of data design activities and their
deliverables with all legislation, regulations and external standards

c) review
• the alignment of data design deliverables with data analysis deliverables and
architectures
• information produced by data design activities, particularly information relating to
how data will be defined, organised, stored and managed within the proposed
IT/technology system/solution/service, in an understandable form to a wide range of
sponsors, stakeholders and other individuals, in order to confirm understanding and
ensure business needs are being met

d) present
• the quality and effectiveness of data design activities and their deliverables
• the quality and effectiveness of external providers of data design services

e) make decisions on what changes may be required to translate a logical design into an
appropriate physical design

f) verify
• that data design deliverables always accurately represent how the data contained
within the target IT/technology system/solution/service needs to be defined,
organised, stored and managed in order to meet business needs
• the accuracy, currency, completeness and relevance of data and information used
by data design activities

g) provide logical and physical data designs to sponsors and stakeholders for review and
sign off

Competent performance requires Understanding (4.5.S.3.U.) of:

a) the need for monitoring
• the quality and effectiveness of external providers of data design services
• that the requirements for the integrity, privacy and security of data have been met
within the logical and physical data design
• the alignment of data design deliverables with IT/technology architectures for an
organisation

b) the fact that

• service management and operational needs must be considered within physical
data design activities
• the deliverables of data design activities must be accurately represented in the ‘end
to end’ systems design deliverables

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Lead Professional Role:

Competence (4.5.L.1) – Plan the strategy for data design activities

This competence will be demonstrated by the following Performance Criteria (4.5.L.1.C.):

a) Design, develop, implement and maintain effective standards relating to data design
activities

b) Correctly identify all of the rules and controls required to ensure the integrity, privacy
and security of data held within the data design

c) Design effective rules and controls required to ensure the integrity, privacy and security
of data held within the data design

d) Make well reasoned decisions on when and how to use external providers of data
design services, selecting the preferred organisations and negotiating/contracting with
them accordingly on behalf of the organisation

Competent performance requires Knowledge (4.5.L.1.K.) of how to:

a) design and develop
• standards relating to data design activities and their deliverables
• the rules and controls required to ensure the integrity, privacy and security of data
held within the data design
• strategy and policies to ensure the alignment of data design activities and their
deliverables with all relevant legislation, regulations and external standards,
• the processes, procedures, methods, tools and techniques to monitor the alignment
of data design activities and their deliverables with all relevant legislation,
regulations and external standards,

b) identify
• who are the most appropriate individuals to undertake data design activities
• when and how to use external providers of data design services
• what actions may be taken in the event of data design activities not meeting the
business needs
• what actions may be taken in the event of data design activities not meeting the
service and operational performance needs
• data reuse requirements in any data design activities
• the rules and controls required to ensure the integrity, privacy and security of data
held within the data design

c) implement and maintain

• standards relating to data design activities and their deliverables
• strategy and policies to ensure the alignment of data design activities and their
deliverables with all relevant legislation, regulations and external standards, in line
with organisational strategy, policies and standards

d) make decisions on when and how to use external providers of data design services

e) negotiate with external providers of data design services

f) authorise, agree and contract

• actions
• approaches
• strategy, policies, plans, procedures, standards, methods, tools and techniques

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• contractual arrangements with external providers of data design services

• decisions

Competent performance requires Understanding (4.5.L.1.U.) of:

a) the fact that physical data design activities need to be informed by knowledge of the
range of possible data organisation structures that may be employed for the
management of data and the appropriateness of each type to meet the business needs

b) who are potential external providers of data design services

Competence (4.5.L.2) – Direct the management of data design activities and their deliverables

This competence will be demonstrated by the following Performance Criteria (4.5.L.2.C.):

a) Correctly identify any data reuse requirements in data design activities

b) Verify the accuracy and completeness of any translation from logical to physical designs
and that appropriate file and data organisation structures have been designed to meet
business, service and operational needs

c) Identify and manage, appropriate actions to be taken in the event of data design
activities and their deliverables not supporting the business requirements

d) Provide timely and objective advice and guidance to others on all aspects of data
design activities and their deliverables, including best practice

e) Critically review the quality and effectiveness of data design activities and their
deliverables, including those data design services provided by external providers

Competent performance requires Knowledge (4.5.L.2.K.) of how to:

a) verify
• that appropriate file and data organisation structures have been designed
• the accuracy and completeness of any translation from logical to physical designs

b) manage
• actions to be taken in the event of data design activities and their deliverables not
supporting the business requirements

c) take action
• in the event of external providers not providing the appropriate quality of data
design services
• in the event of physical data design activities not supporting the business needs
• to ensure that data design assignments are carried out by appropriately skilled
individuals, groups and/or bodies

d) review
• the quality and effectiveness of data design activities and their deliverables
• the quality and effectiveness of external providers of data design services

e) advise and guide others on

• best practice in data design activities
• all aspects of data design activities and their deliverables
• when and how to use external providers of data design services

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4.6 Human computer interaction / interface (HCI) design

This sub-discipline is concerned with the competencies involved with the design of processes
and information technology systems so that they are adopted and used correctly by humans. In
order for information technology systems to be successful and allow the maximisation of their
potential benefits, user interaction and the interfaces enabling it must be attractive to all users of
the systems.
Human interaction and interface (HCI) design may be undertaken as part of a wider systems
design or may be undertaken as the result of a need to improve particular processes and
procedures within an information technology system.
Designing for human needs requires particular competencies, both technical and personal and
the transferable competencies associated with communication should be a precursor to
acquiring competencies in this sub-discipline.
The outcomes of human interaction and interface (HCI) design are used to inform the overall
systems design of information technology systems and their implementation.

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Pre-entry / Junior Technician Role:

Competence (4.6.J.1) – Follow, under supervision, organisational policies for human interaction
and interface (HCI) design activities
This competence will be demonstrated by the following Performance Criteria (4.6.J.1.C.):
a) Correctly follow the processes, tools and techniques to conduct human interaction and
interface (HCI) design activities

b) Fully comply with all organisational strategy, policies and standards in human
interaction and interface (HCI) design activities

c) Accurately gather and collate information, relating to available interfaces, equipment

and environments of use, under direction

d) Design effective elements for any HCI design delegated by superiors, assuming full
accountability for the quality and effectiveness of the design deliverables

Competent performance requires Knowledge (4.6.J.1.K.) of how to:

a) comply with any relevant legislation, regulations and external standards in human
interaction and interface (HCI) design activities

b) use the processes, tools and techniques for undertaking human interaction and
interface (HCI) design

c) operate with
• reference to organisational strategy, policies and standards in human interaction
and interface (HCI) design activities
• reference to professional and ethical standards in human interaction and interface
(HCI) design activities
• integrity and confidentiality during human interaction and interface (HCI) design
activities

d) collate information relating to available interfaces, equipment and environments of use

e) develop elements of HCI designs

f) be accountable for own HCI designs

Competent performance requires Understanding (4.6.J.1.U.) of:

a) the processes, tools and techniques that can be used to undertake human interaction
and interface HCI design activities

b) what is meant by
• the term user experience
• an human interaction and interface HCI
• a graphical user interface (GUI)
• a web user interface (WUI)
• what is the range of input/output devices that users can use to interact with
IT/technology systems, services and assets

c) what are the industry and vendor standards, conventions and ‘norms’ associated with
particular user interfaces on commonly used devices and platforms

d) the fact that

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• different types of HCI exist

• HCI design activities and their deliverables must support the identified business
requirements
• a range of different input/output devices and/or IT/technology platforms may need
to be considered as part of the design of the user experience with IT/technology
systems, services and assets, in order to meet the business and user needs
• the designed HCI associated with any IT/technology should be easy to use/intuitive
• there are industry and vendor standards, conventions and ‘norms’ associated with
user interfaces that are readily understandable by and familiar to a wide range of
individuals

e) why
• different types of HCI exist
• a range of different devices may need to be considered as part of the design of the
user experience with IT/technology systems, services and assets

f) the importance of incorporating the desired user experience into any

system/solution/service design

Competence (4.6.J.2) – Document specified information relating to human interaction and

interface (HCI) design
This competence will be demonstrated by the following Performance Criteria (4.6.J.2.C.):
a) Accurately document elements of HCI designs, under direction

b) Accurately document all naming conventions and standards used during HCI design
activities, under direction

c) Accurately document and collate feedback from sample target users on any human
interaction and interface (HCI) design, under direction

Competent performance requires Knowledge (4.6.J.2.K.) of how to:

a) document and collate
• elements of HCI designs
• naming conventions and standards used during HCI design activities
• feedback from sample target users on any human interaction and interface (HCI)
design

Competent performance requires Understanding (4.6.J.2.U.) of:

a) the importance of documenting the deliverables from human interaction and interface
(HCI) design activities

Competence (4.6.J.3) – Assist others with human interaction and interface (HCI) designs
This competence will be demonstrated by the following Performance Criteria (4.6.J.3.C.):
a) Assist others in soliciting feedback on human interaction and interface (HCI) designs
from sample target users, under direction

b) Assist others in sourcing and gathering information gained from analysis activities
during human interaction and interface (HCI) design activities, under direction

c) Assist others in identifying the information gained from analysis activities during human
interaction and interface (HCI) design activities, under direction

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Competent performance requires Knowledge (4.6.J.3.K.) of how to:

a) provide elements for an HCI design

Competent performance requires Understanding (4.6.J.3.U.) of:

a) the fact that different individuals respond differently to particular interfaces

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Associate Professional Role:

Competence (4.6.A.1) – Contribute to human interaction and interface (HCI) design activities
This competence will be demonstrated by the following Performance Criteria (4.6.A.1.C.):
a) Correctly source all relevant information relating to IT/technology architectures in order
to inform human interaction and interface (HCI) design activities

b) Correctly gather and collate all relevant information gained from analysis activities
during human interaction and interface (HCI) design activities

c) Use effective prototype human interaction and interface (HCI) designs in order to
validate the acceptability of any IT/technology system to users

d) Assist others in identifying the IT/technology infrastructure that is to be used to support

the IT/technology system, service and/or asset as it applies to HCI design

e) Correctly apply naming conventions and standards, where relevant, in human

interaction and interface (HCI) design activities, under direction

Competent performance requires Knowledge (4.6.A.1.K.) of how to:

a) source, gather and collate
• information relating to IT/technology architectures in order to inform human
interaction and interface (HCI) design activities and their deliverables
• information gained from analysis activities during human interaction and interface
(HCI) design activities

b) apply
• validity and accuracy requirements for human interaction and interface (HCI) design
• prototype human interaction and interface (HCI) designs, where relevant
• naming conventions and standards, where relevant, in human interaction and
interface (HCI) design activities

c) operate with reference to external best practice and standards, such as ergonomics and
prevailing behavioural ‘norms’, in human interaction and interface (HCI) design activities

Competent performance requires Understanding (4.6.A.1.U.) of:

a) the role and value of human interaction and interface (HCI) design in improving the
quality and effectiveness of human interaction in processes and IT/technology systems

b) what is meant by
• human interaction and human interface (HCI) design activities and the stages of
activity that constitute them
• the term ergonomics
• the term personalisation in the context of user interfaces

c) what are the

• standards and naming conventions that can be used in human interaction and
interface (HCI) design work
• potential implications to an organisation of human interaction and interface (HCI)
design deliverables being incorrect, incomplete, inadequate and/or inappropriate

d) the fact that

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• different types of HCI standards and norms apply to a range of differing input/output
devices and/or IT/technology platforms
• HCI design activities need to align with the deliverables from HCI analysis activities
• HCI designs need to consider data and information integrity, privacy and security
issues

e) why
• the desired user experience needs to be incorporated into any
system/solution/service design
• ergonomic needs must be considered within any HCI design
• HCI design activities and their deliverables must support the identified business
requirements
• human interaction and interface (HCI) designs need to be tested with sample target
users to validate their appropriateness

f) who are the target users for any human interaction and interface (HCI) design activities

g) the importance of
• the systems development lifecycle as it relates to human interaction and interface
(HCI) design activities
• using naming conventions and standards, where appropriate, in human interaction
and interface (HCI) design activities
• considering opportunities for personalisation in human interaction and interface
(HCI) designs
• validating human interaction and interface (HCI) designs with sample target users
using a range of techniques
• considering the integrity, security and privacy/confidentiality of data in human
interaction and interface (HCI) design

Competence (4.6.A.2) – Assist, under supervision, with the progress of human interaction and
interface (HCI) design assignments
This competence will be demonstrated by the following Performance Criteria (4.6.A.2.C.):

a) Solicit timely and specific feedback on human interaction and interface (HCI) designs
from sample target users

b) Critically analyse all relevant data and information gathered as a result of the
verification of human interaction and interface (HCI) design

c) Assist others in analysing existing information and data contained within IT/technology
architectures and analysis deliverables in order to inform human interaction and
interface (HCI) design activities

d) Clearly document the progress of any particular HCI design assignment

e) Assist others in documenting design options for individual HCI design assignments

Competent performance requires Knowledge (4.6.A.2.K.) of how to:

a) provide prototype human interaction and interface (HCI) designs where appropriate, to
sample target users

b) analyse data and information gathered as a result of the verification of human

interaction and interface (HCI) design

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c) take action to
• solicit feedback on human interaction and interface (HCI) designs from sample
target users
• use prototype human interaction and interface (HCI) designs in order to validate the
acceptability of any IT/technology system to users
• conduct human interaction and interface (HCI) design to an appropriate standard

d) document
• deliverables and outcomes relevant to each stage of human interaction and
interface (HCI) design
• the progress of any particular human interaction and interface (HCI) design

Competent performance requires Understanding (4.6.A.2.U.) of:

a) the need for monitoring
• the progress of human interaction and interface (HCI) design assignment
• the accuracy, currency, completeness and appropriateness of any HCI design
deliverables
• the alignment of human interaction and interface (HCI) design deliverables with the
business requirements

a) the processes, tools and techniques which can be used to monitor the
• progress of any particular HCI design assignment
• accuracy, currency, completeness and appropriateness of any HCI design
deliverables
• alignment of HCI design deliverables with the business requirements

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Professional Role:
Competence (4.6.P.1) – Prepare for human interaction and interface (HCI) design activities
This competence will be demonstrated by the following Performance Criteria (4.6.P.1.C.):

a) Correctly follow all standards for undertaking human interaction and interface (HCI)
design activities, under direction

b) Accurately document all of the processes, tools and techniques for undertaking and
monitoring human interaction and interface (HCI) design activities

c) Correctly select all of the relevant information contained within HCI analysis
deliverables in order to inform human interaction and interface (HCI) design activities,
under direction

d) Critically analyse all the deliverables from human needs analysis and ensure that these
guide the human interaction and interface (HCI) design assignment, under direction

e) Develop effective design options for individual HCI design assignments and document
them clearly and provide to sponsors, stakeholders and other individuals for review

Competent performance requires Knowledge (4.6.P.1.K.) of how to:

a) identify and select
• the deliverables from human needs analysis and ensure that these guide the
human interaction and interface (HCI) design assignment
• information contained within HCI analysis deliverables in order to inform human
interaction and interface (HCI) design activities
• naming conventions and standards, where relevant, for human interaction and
interface (HCI) design activities
• appropriate interaction and interfaces for different users, including employees,
customers, partners and suppliers, who have different requirements from an IT/
technology system, service and/or asset
• the processes, tools and techniques for undertaking human interaction and
interface (HCI) design
• information contained within IT/technology architecture deliverables

b) source and gather

• information from a range of individuals and other internal and external sources as
appropriate, in order to verify human interaction and interface (HCI) designs

c) interpret
• existing information and data contained within IT/technology architectures and
analysis deliverables in order to inform human interaction and interface (HCI)
design activities
• the deliverables from human needs analysis and ensure that these guide the
human interaction and interface (HCI) design assignment

d) document
• prototype human interaction and interface (HCI) designs where appropriate
• design options for individual HCI design assignments
• decisions made during human interaction and interface (HCI) design activities
• the processes, tools and techniques to monitor the accuracy, currency,
completeness and appropriateness of any HCI design deliverables
• the processes, tools and techniques to monitor the alignment of HCI design
deliverables with the business requirements

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• the processes, tools and techniques for undertaking human interaction and
interface (HCI) design
• the human interaction and interface (HCI) design requirements to support the
IT/technology literacy levels and skills of the target users
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design activities and their deliverables with all relevant
legislation, regulations and external standards
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design work with other related analysis and design activities
and their deliverables
• changes to business requirements through change control mechanisms during HCI
design activities
• best practice in human interaction and interface (HCI) design
• lessons learned from previous human interaction and interface (HCI) design
assignments and/or from other contexts
• the processes, tools and techniques to monitor the quality and effectiveness of
human interaction and interface (HCI) design activities

e) develop
• prototype human interaction and interface (HCI) designs where appropriate
• design options for individual human interaction and interface (HCI) design
assignments

Competent performance requires Understanding (4.6.P.1.U.) of:

a) the role of political awareness, ‘people’ and negotiation skills in effective human
interaction and interface design

b) what
• is the range of typical/most commonly used interfaces that can be used in human
interaction and interface (HCI) design and their appropriateness in a range of
business contexts
• is the relationship between human interaction and interface (HCI) design and
systems/solution/service design activities
• is the relevance of human interaction and interface (HCI) design activities and their
deliverables to systems development activities associated with the production of an
IT/technology system/solutions/service
• is the relevance and role of ergonomics in HCI design considerations

c) what are the

• processes, tools and techniques that can be used to undertake human interaction
and interface (HCI) design
• inputs to any human interaction and interface (HCI) design activities and the
expected deliverables from them
• range of methods, tools and techniques that can be used to undertake human
interaction and interface (HCI) designs
• advantages and disadvantages of differing types of interfaces that may be used on
any IT/technology system, service and/or asset
• potential implications of HCI design deliverables being incorrectly or inadequately
specified
• potential implications of failings of integrity, confidentiality and information security
during HCI design activities
• professional and ethical standards relating HCI design work within an organisation

d) the fact that

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• human interaction and interface (HCI) design deliverables need to align with any
relevant existing IT/technology designs, where appropriate
• the effectiveness of any IT/technology system depends on the human interaction
and interface (HCI) designs incorporating features that will secure the adoption of
the system by users
• ergonomics are a critical consideration in any human interaction and interface (HCI)
design activities
• sometimes it may be necessary or desirable to provide interaction and interface
designs that can be personalised for the needs and/or preferences of individual
users
• specialised HCI design deliverables are frequently required to meet the needs of
the disabled
• the ease of use of any IT/technology system, service and/or asset can a direct
impact on the cost of its operation

e) why
• integrity, security and privacy of data need to be considered in human interaction
and interface (HCI) design
• standards and naming conventions, where relevant, are used in human interaction
and interface (HCI) design work
• the target social, operational and environmental conditions in which any
IT/technology system will be used needs to be considered during HCI design
activities

f) who
• needs to validate any HCI design
• needs to approve/sign off any HCI design

g) the importance of
• being able to interpret existing information contained within IT/technology
architectures in order to inform human interaction and interface (HCI) design
activities
• human interaction and interface (HCI) design deliverables being used to update
IT/technology architectures as appropriate during human interaction and interface
(HCI) design activities
• undertaking human interaction and interface (HCI) design
• integrating the human interaction and interface (HCI) design within all relevant
analysis and design activities
• securing sign off to the HCI design from appropriately authorised individuals
• designing effective and efficient user interfaces that will encourage the adoption
and use of IT/technology systems, services and/or assets
• producing HCI designs which can be maintained and operated using existing skills
and expertise
• managing changes to business requirements through change control mechanisms
during human interaction and interface (HCI) design activities
• using the deliverables from human needs analysis to inform human interaction and
interface (HCI) design activities
• considering the integrity security, privacy of data in human interaction and interface
(HCI) design
• applying lessons learned from previous HCI design assignments
• taking account of internal and external factors during HCI design activities and their
deliverables
• maintaining the integrity and confidentiality of information during data design
activities
• ensuring that sensitive information is not disclosed inappropriately during HCI
design activities
• accurately and completely representing the business requirements for the user
experience in the HCI design

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Competence (4.6.P.2) – Implement, under supervision, human interaction and interface (HCI)
design activities
This competence will be demonstrated by the following Performance Criteria (4.6.P.2.C.):
a) Verify the acceptability and appropriateness of all human interaction and interface (HCI)
designs using a range of techniques such as prototype designs and sample user
feedback

b) Accurately identify all of the IT/technology infrastructure that is to be used to support the
IT/technology system, service and/or asset as it applies to HCI design

c) Effectively manage the progress of HCI design assignments against plans and present
findings clearly and in a timely manner to sponsors, stakeholders and superiors, under
direction

Competent performance requires Knowledge (4.6.P.2.K.) of how to:

a) verify the acceptability of human interaction and interface (HCI) designs using a range
of techniques such as prototype designs and sample user feedback

b) identify the IT/technology infrastructure that is to be used to support the IT/technology

system, service and/or asset as it applies to HCI design

c) implement and maintain plans and standards relating to human interaction and interface
(HCI) design assignments

d) present the progress of HCI design assignments against plans

e) report
• the progress of any HCI design assignment
• any issues arising as a result of any HCI design assignment

f) manage
• the progress of HCI design assignments against plans
• relationships with any sample target users providing feedback on human interaction
and interface (HCI) designs
• any issues arising in HCI design assignments as a result of internal or external
factors

Competent performance requires Understanding (4.6.P.2.U.) of:

a) the need for monitoring
• the alignment of human interaction and interface (HCI) design activities and their
deliverables with all relevant legislation, regulations and external standards
• the alignment of human interaction and interface (HCI) design work with other
related analysis activities and their deliverables
• the alignment of human interaction and interface (HCI) design work with other
related design activities and their deliverables
• the quality and effectiveness of HCI design activities and their deliverables
• changes to business requirements through change control mechanisms during HCI
design activities

b) the processes, tools and techniques that can be used to monitor

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• the alignment of human interaction and interface (HCI) design activities and their
deliverables with all relevant legislation, regulations and external standards
• the alignment of human interaction and interface (HCI) design work with other
related analysis and design activities and their deliverables
• the quality and effectiveness of HCI design activities and their deliverables
• changes to business requirements through change control mechanisms during HCI
design activities

Competence (4.6.P.3) – Manage the needs of different users of HCI design activities
This competence will be demonstrated by the following Performance Criteria (4.6.P.3.C.):
a) Take account of all the needs of different users, including employees, customers,
partners and suppliers, who have different requirements from an IT/ technology system,
in HCI design activities

b) Effectively manage the relationships with any sample target users, negotiating with
them on elements of any proposed design and changes required to it, under the
direction of superiors

c) Correctly identify and accurately document the most appropriate interaction and
interfaces for different users, including employees, customers, partners and suppliers,
who have different requirements from an IT/ technology system, service and/or asset

d) Apply all of the human interaction and interface (HCI) design requirements appropriately
to support the IT/technology literacy levels and skills of the target users

Competent performance requires Knowledge (4.6.P.3.K.) of how to:

a) take action to take account of
• any particular individual’s or groups of individuals influence on human interaction
and interface (HCI) design assignments
• all the needs of different users, including employees, customers, partners and
suppliers, who have different requirements from an IT/ technology system, in HCI
design activities

b) communicate with
• internal and external individuals and groups concerned with the development of HCI
designs into target systems, services and assets
• sample target users

c) provide design options for any HCI design assignment

d) apply
• the human interaction and interface (HCI) design requirements to support the
IT/technology literacy levels and skills of the target users
• feedback from sample target users on any human interaction and interface (HCI)
design
• information gathered as a result of the verification of human interaction and
interface (HCI) designs
• standards relating to human interaction and interface (HCI) design
• the IT/technology infrastructure that is to be used to support the IT/technology
system, service and/or asset as it applies to HCI design

e) negotiate with sample target users regarding elements of any proposed design and
changes required to it

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Competent performance requires Understanding (4.6.P.3.U.) of:

a) The fact that there is a need to design appropriate interaction and interfaces for different
users, including employees, customers, partners and suppliers, who have different
requirements from an IT/ technology system

b) The importance of considering the IT/technology literacy levels and skills of the target
users when undertaking human interaction and interface (HCI) design activities

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Senior Professional Role:

Competence (4.6.S.1) – Plan human interaction and interface (HCI) design activities
This competence will be demonstrated by the following Performance Criteria (4.6.S.1.C.):

a) Correctly select all relevant standards relating to human interaction and interface (HCI)
design activities

b) Design effective plans and standards for undertaking human interaction and interface
(HCI) design

c) Correctly identify and appropriately apply all relevant service level and operational
environment and infrastructure requirements within human interaction and interface
(HCI) design activities

d) Correctly identify when and how to optimise human interaction and interface (HCI)
analysis deliverables based on feedback from sample target users

Competent performance requires Knowledge (4.6.S.1.K.) of how to:

a) identify and select
• standards relating to human interaction and interface (HCI) design
• the human interaction and interface (HCI) design requirements to support the
IT/technology literacy levels and skills of the target users
• any relevant legislation, regulations and external standards in human interaction
and interface (HCI) design activities and their deliverables
• internal and external factors on human interaction and interface (HCI) design
activities and their deliverables
• internal and external sponsors of and stakeholders for human interaction and
interface (HCI) design activities
• design options to meet the human needs as identified in the deliverables from
human needs analysis
• strategy and policies to ensure the compliance of human interaction and interface
(HCI) design and its outcomes with any relevant legislation, regulations and
external standards
• the processes, tools and techniques to monitor the quality and effectiveness of
human interaction and interface (HCI) design activities
• any particular individual’s or groups of individuals influence on human interaction
and interface (HCI) design assignments
• lessons learned from previous human interaction and interface (HCI) design
assignments and/or from other contexts
• where there is a need for integrity, security and privacy/confidentiality of data and
information in human interaction and interface (HCI) design
• when and how to optimise HCI analysis deliverables based on feedback from
sample target users
• service level and operational environment and infrastructure requirements during
human interaction and interface (HCI) design activities
b) design
• plans and standards relating to human interaction and interface (HCI) design
• the processes, tools and techniques for undertaking human interaction and
interface (HCI) design
• the processes, tools and techniques to monitor human interaction and interface
(HCI) design activities and their deliverables with all relevant legislation, regulations
and external standards
• the processes, tools and techniques to monitor the accuracy, currency,
completeness and appropriateness of any HCI design deliverables

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• the processes, tools and techniques to monitor the alignment of HCI design
deliverables with the business requirements
• the processes, tools and techniques to monitor that the (HCI) design requirements
support the IT/technology literacy levels and skills of the target users
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design work with other related analysis and design activities
and their deliverables

c) analyse
• how effectively the human interaction and interface (HCI) design supports the
IT/technology literacy levels and skills of the target users

d) liaise
• with internal and external sponsors and stakeholders on all aspects of human
interaction and interface (HCI) design assignments and their outcomes
• with external suppliers of human interaction and interface (HCI) design services

Competent performance requires Understanding (4.6.S.1.U.) of:

a) the influence that particular individuals, or groups thereof, can have on human
interaction and interface (HCI) design

b) what legislation, regulations and external standards are relevant to human interaction
and interface (HCI) design and its outcomes

c) what are the

• strategies, policies. plans and standards relating to HCI design activities and their
deliverables
• range of issues associated with undertaking human interaction and interface (HCI)
design
• processes, tools and techniques to measure the effectiveness and quality of human
interaction and interface (HCI) design
• techniques that can be used to avoid conflict when verifying human interaction and
interface (HCI) designs
• implications of internal and external factors on all stages of human interaction and
interface (HCI) design activities and their deliverables
• implications of any legislation, regulations and external standards as they relate to
human interaction and interface (HCI) design and its outcomes and how to comply
with them
• target social, operational and environmental conditions in which any IT/technology
system will be used

d) the fact that

• service level and operational requirements must be considered within human
interaction and interface (HCI) design activities
• the target operational delivery capabilities, such as bandwidth, screen
size/resolution, input devices size/type and other factors need to be considered in
any HCI design activities
• in certain, specific scenarios, which typically support specialised business functions,
there are controlled and standardised HCIs and devices that are used
• in many scenarios, the HCI design needs to cater for a wide range of user
input/output devices and IT/technology platforms
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in human interaction and interface (HCI) design activities and their
deliverables

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• the deliverables of human interaction and interface (HCI) design activities must be
accurately represented in the ‘end to end’ systems design deliverables
• external providers of human interaction and interface (HCI) design services exist
and there are disadvantages and benefits of using these services

e) who are the sponsors of and stakeholders for any human interaction and interface (HCI)
design activities

Competence (4.6.S.2) – Manage human interaction and interface (HCI) design activities
This competence will be demonstrated by the following Performance Criteria (4.6.S.2.C.):
a) Design, implement and maintain effective processes, tools and techniques for
undertaking and monitoring human interaction and interface (HCI) design activities

b) Correctly apply all relevant data integrity, privacy and security requirements within any
HCI design and clearly document how they have been met, under guidance

c) Apply appropriate and timely expertise from internal and external individuals and
organisations, as appropriate, on ergonomics and other factors such as the prevailing
culture of the target audience/users of any IT/technology system, in order to inform
human interaction and interface (HCI) design activities

Competent performance requires Knowledge (4.6.S.2.K.) of how to:

a) gather recommendations as a result of the verification of human interaction and
interface (HCI) design in order to inform system design activities

b) design
• the processes, tools and techniques to monitor the quality and effectiveness of
human interaction and interface (HCI) design activities
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design deliverables with ergonomics and other factors such
prevailing behavioural ‘norms’ of the target audience/users
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design deliverables with the target social, operational and
environmental conditions in which the system will be used

c) apply
• service level and operational environment and infrastructure requirements within
human interaction and interface (HCI) design activities
• integrity, security and privacy/confidentiality requirements for human interaction and
interface (HCI) design
• existing information contained within IT/technology architectures and analysis
deliverables
• strategy and policies to ensure the compliance of human interaction and interface
(HCI) design and its outcomes with any relevant legislation, regulations and
external standards
• the processes, tools and techniques to monitor the quality and effectiveness of
human interaction and interface (HCI) design activities
• lessons learned from previous human interaction and interface (HCI) design
assignments and/or from other contexts
• expertise from internal and external individuals and organisations, as appropriate,
on ergonomics and other factors such as the prevailing culture of the target
audience/users of any IT/technology system, in order to inform human interaction
and interface (HCI) design activities
• the human interaction and interface (HCI) requirements that will support the target
social, operational and environmental conditions in which the system will be used

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• the human interaction and interface (HCI) design requirements to support the
prevailing behavioural ‘norms’ of the target audience/users
• best practice in human interaction and interface (HCI) design

d) verify
• that existing/available infrastructure can support the proposed deigns for HCI
interfaces/interaction
• human interaction and interface (HCI) designs with internal and external individuals
and organisations, as appropriate, on ergonomics and other factors such as the
prevailing culture of the target audience/users of any IT/technology

e) take action
• to take account of the range of issues associated with human interaction and
interface (HCI) design and its deliverables
• to integrate human interaction and interface (HCI) design activities into projects and
programmes, as appropriate
• to take account of internal and external factors in human interaction and interface
(HCI) design activities and their deliverables
• to optimise human interaction and interface (HCI) designs based on feedback from
sample target users
• to take account of organisational culture and the prevailing culture of the target
audience/users in human interaction and interface (HCI) design activities
• to evaluate and prioritise options in order to produce recommendations for human
interaction and interface (HCI) designs

f) document
• standards relating to human interaction and interface (HCI) design
• actions taken in the event of the deliverables and outcomes of human interaction
and interface (HCI) design being incorrect, incomplete or inadequate
• the quality and effectiveness of external providers of HCI design services
• how the data integrity, privacy and security considerations have been met within
any HCI design

g) implement and maintain

• the processes, tools and techniques to monitor the quality and effectiveness of
human interaction and interface (HCI) design activities
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design activities and their deliverables with all relevant
legislation, regulations and external standards
• the processes, tools and techniques to monitor the accuracy, currency,
completeness and appropriateness of any HCI design deliverables
• the processes, tools and techniques to monitor the alignment of HCI design
deliverables with the business requirements
• the processes, tools and techniques for undertaking human interaction and
interface (HCI) design
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design activities and their deliverables with all relevant
legislation, regulations and external standards
• the processes, tools and techniques to monitor the alignment of human interaction
and interface (HCI) design work with other related analysis and design activities
and their deliverables
• the processes, tools and techniques to monitor the quality and effectiveness of
human interaction and interface (HCI) design activities

Competent performance requires Understanding (4.6.S.2.U.) of:

a) why

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• target operational delivery capabilities, such as bandwidth, screen size/resolution,

input devices size/type and other factors need to be considered in any HCI design
activities
• the alignment of human interaction and interface (HCI) design activities and their
deliverables with all relevant legislation, regulations and external standards needs
to be monitored
• the alignment of human interaction and interface (HCI) design work with other
related analysis activities and their deliverables needs to be monitored
• the alignment of human interaction and interface (HCI) design work with other
related design activities and their deliverables needs to be monitored

b) the importance of
• human interaction and interface (HCI) design deliverables aligning with
IT/technology architectures
• considering the IT/technology operational environments and infrastructure relevant
to the target system/solution/service when undertaking human interaction and
interface (HCI) design activities
• tact and diplomacy when verifying human interaction and interface (HCI) designs
• applying a range of interpersonal communications skills during human interaction
and interface (HCI) design activities
• optimising any human interaction and interface (HCI) design based on feedback
from sample target users of the system/solution/service
• ensuring that operational performance and service needs are considered during
HCI design activities
• considering any relevant legislation, regulations and external standards in HCI
design activities and their deliverables
• integrating human interaction and interface (HCI) design activities into projects and
programmes, as appropriate
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to human interaction and interface (HCI) design
• using appropriately skilled individuals, groups and bodies in any HCI design
activities

Competence (4.6.S.3) – Monitor and maintain effective human interaction and interface (HCI)
designs
This competence will be demonstrated by the following Performance Criteria (4.6.S.3.C.):
a) Regularly monitor and clearly report the alignment of human interaction and interface
(HCI) design deliverables with other relevant factors

b) Routinely monitor and effectively manage changes to business requirements through

change control mechanisms during human interaction and interface (HCI) design
activities

c) Critically evaluate and prioritise options in order to produce recommendations for

human interaction and interface (HCI) designs

d) Effectively manage all actions required in the event of the deliverables and outcomes of
human interaction and interface (HCI) design being incorrect, incomplete or inadequate

e) Be fully accountable for the all HCI design deliverables produced within own area of
accountability

Competent performance requires Knowledge (4.6.S.3.K.) of how to:

a) monitor
• the progress of any HCI design assignment

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• human interaction and interface (HCI) design activities and their deliverables with
all relevant legislation, regulations and external standards
• the accuracy, currency, completeness and appropriateness of any HCI design
deliverables
• the alignment of HCI design deliverables with the business requirements
• that the (HCI) design requirements support the IT/technology literacy levels and
skills of the target users
• the alignment of human interaction and interface (HCI) design activities and their
deliverables with all relevant legislation, regulations and external standards
• the alignment of human interaction and interface (HCI) design work with other
related analysis and design activities and their deliverables
• changes to business requirements through change control mechanisms during HCI
design activities
• the quality and effectiveness of human interaction and interface (HCI) design
activities

b) report
• any discrepancies in the alignment of human interaction and interface (HCI) design
work with all relevant legislation, regulations and external standards
• the alignment of human interaction and interface (HCI) design deliverables with
other relevant factors

c) manage
• changes to business requirements through change control mechanisms during
human interaction and interface (HCI) design activities
• relationships with sponsors, stakeholders and external bodies on matters relating to
human interaction and interface (HCI) design
• the relationships with external providers of human interaction and interface (HCI)
design services
• actions required in the event of in the event of the deliverables and outcomes of
human interaction and interface (HCI) design being incorrect, incomplete or
inadequate

d) present and review

• the progress of HCI design assignments against plans
• recommendations as a result of human interaction and interface (HCI) design in
order to inform system/solution/service design activities
• and summarise recommendations relating to human interaction and interface (HCI)
design to sponsors and other internal and external stakeholders
• the results from monitoring the alignment of HCI design activities
• the quality and effectiveness of external providers of human interaction and
interface (HCI) design activities

e) be accountable for designs produced within own area of accountability

Competent performance requires Understanding (4.6.S.3.U.) of:

a) the need for monitoring
• the quality and effectiveness of external providers of human interaction and
interface (HCI) design services
• integrity, privacy and security considerations being met within any human
interaction and interface (HCI) design
• the alignment of human interaction and interface (HCI) design deliverables with
IT/technology architectures for an organisation

b) the processes, tools and techniques that can be used to

• monitor the quality and effectiveness of external providers of HCI design services

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• monitor that data integrity, privacy and security considerations have been met
within any human interaction and interface (HCI) design
• the alignment of human interaction and interface (HCI) design deliverables with
IT/technology architectures for an organisation

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Lead Professional Role:

Competence (4.6.L.1) – Develop and implement the strategy for human interaction and
interface (HCI) design activities
This competence will be demonstrated by the following Performance Criteria (4.6.L.1.C.):
a) Design, implement and maintain effective strategy and policies relating to human
interaction and interface (HCI) design activities

b) Correctly identify any organisational culture and the prevailing culture of the proposed
audience/users so that it may inform in human interaction and interface (HCI) design
activities

c) Correctly identify where there is a need for personalisation of interfaces/interaction to

meet the needs of different users, including employees, customers, partners and
suppliers

d) Source the most appropriate expertise from internal and external individuals and
organisations, as appropriate, on ergonomics and other factors such as the prevailing
culture of the target audience/users of any IT/technology system, service and/or asset,
in order to inform human interaction and interface (HCI) design activities

e) Correctly use all relevant human interaction and interface (HCI) design deliverables to
update IT/technology architectures as appropriate during human interaction and
interface (HCI) design activities

f) Make well reasoned decisions on when and how to use external providers of human
interaction and interface (HCI) design services, selecting the preferred organisations
and negotiating/contracting with them accordingly on behalf of the organisation

Competent performance requires Knowledge (4.6.L.1.K.) of how to:

a) design
• strategy and policies relating to human interaction and interface (HCI) design
• strategy and policies to ensure the compliance of human interaction and interface
(HCI) design and its outcomes with any relevant legislation, regulations and
external standards

b) implement and maintain strategy and policies relating to human interaction and
interface (HCI) design

c) identify
• the human interaction and interface (HCI) requirements to support the target social,
operational and environmental conditions in which the system will be used
• the human interaction and interface (HCI) design requirements to support the
prevailing behavioural ‘norms’ of the target audience/users
• where there is a need for personalisation of interfaces/interaction to meet the needs
of different users, including employees, customers, partners and suppliers
• what actions may be taken in the event of the deliverables and outcomes of human
interaction and interface (HCI) design being incorrect, incomplete or inadequate
• what actions may be taken in the event of human interaction and interface (HCI)
design activities and their deliverables not meeting the business needs
• best practice in human interaction and interface (HCI) design
• organisational culture and the prevailing culture of the proposed audience/users in
human interaction and interface (HCI) design activities
• when and how to use external providers of human interaction and interface (HCI)
design services
• which external providers of human interaction and interface (HCI) design services
to use in any assignment

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d) source expertise from internal and external individuals and organisations, as

appropriate, on ergonomics and other factors such as the prevailing culture of the target
audience/users of any IT/technology system, service and/or asset, in order to inform
human interaction and interface (HCI) design activities

e) use
• organisational culture and the current culture of the proposed audience in human
interaction and interface (HCI) design activities
• human interaction and interface (HCI) design deliverables to update IT/technology
architectures as appropriate during human interaction and interface (HCI) design
activities

f) make decisions
• on when and how to use external providers of human interaction and interface
(HCI) design services
• as a result of any issues arising during human interaction and interface (HCI)
design activities
• to improve the quality and effectiveness of human interaction and interface (HCI)
design activities
• on the appropriateness, accuracy and completeness of any HCI design deliverables
• on which external providers of human interaction and interface (HCI) design
services to use
• on the results provided by monitoring human interaction and interface (HCI) design
activities and their deliverables
• on the actions that may be taken in the event of human interaction and interface
(HCI) design activities and their deliverables not meeting the business needs

g) negotiate with external suppliers of human interaction and interface (HCI) design
services

h) authorise, agree and contract

• external suppliers of human interaction and interface (HCI) design services
• actions
• approaches
• strategy, policies, plans, procedures, standards, tools and techniques relating to
human interaction and interface (HCI) design activities
• decisions

Competent performance requires Understanding (4.6.L.1.U.) of:

a) what are the
• benefits and disadvantages of using external suppliers of HCI design services
• issues involved in outsourcing human interaction and interface (HCI) design
activities
• range of approaches for undertaking human interaction and interface (HCI) design
and their appropriateness in any IT/technology and business context

b) who are external providers of human interaction and interface (HCI) design services

c) the importance of having an awareness of organisational culture and an awareness of

the prevailing culture of the audience/users in human interaction and interface (HCI)
design activities

Competence (4.6.L.2) – Control effective HCI design activities and their deliverables
This competence will be demonstrated by the following Performance Criteria (4.6.L.2.C.):

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a) Regularly monitor the alignment of human interaction and interface (HCI) design
deliverables with ergonomics and other factors such as the prevailing behavioural
‘norms’ of the target audience/users, IT/technology literacy levels and skills of the target
users and the target social, operational and environmental conditions in which the
system will be used

b) Critically analyse how effectively the human interaction and interface (HCI) design
supports the target social, operational and environmental conditions in which the
system will be used and prevailing behavioural ‘norms’ of the target audience/users

c) Make objective and timely decisions on the appropriateness, accuracy and

completeness of any HCI design deliverables and any actions that may be taken in the
event of human interaction and interface (HCI) design activities and their deliverables
not meeting the business needs

d) Take timely and effective action in the event of the deliverables and outcomes of human
interaction and interface (HCI) design activities not meeting the business needs and/or
being incorrect, incomplete or inadequate

e) Provide timely and objective advice and guidance to others on all aspects of HCI design
activities and their deliverables, including best practice

Competent performance requires Knowledge (4.6.L.2.K.) of how to:

a) monitor
• the alignment of human interaction and interface (HCI) design deliverables with
ergonomics and other factors such prevailing behavioural ‘norms’ of the target
audience/users
• the alignment of human interaction and interface (HCI) design deliverables with the
target social, operational and environmental conditions in which the system will be
used
• the alignment of human interaction and interface (HCI) design deliverables with
IT/technology literacy levels and skills of the target users

b) review
• recommendations as a result of human interaction and interface (HCI) design in
order to inform system/solution/service design activities
• and summarise recommendations relating to human interaction and interface (HCI)
design to sponsors and other internal and external stakeholders
• the results from monitoring the alignment of HCI design activities
• the quality and effectiveness of external providers of human interaction and
interface (HCI) design activities

c) present the quality and effectiveness of human interaction and interface (HCI) design
activities

d) analyse
• the results gained from monitoring the quality and effectiveness of human
interaction and interface (HCI) design activities
• how effectively the human interaction and interface (HCI) design supports the target
social, operational and environmental conditions in which the system will be used
• how effectively the human interaction and interface (HCI) design supports prevailing
behavioural ‘norms’ of the target audience/users

e) take action
• in the event of the deliverables and outcomes of human interaction and interface
(HCI) design being incorrect, incomplete or inadequate

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• in the event of human interaction and interface (HCI) design activities and their
deliverables not meeting the business needs

f) advise and guide others on

• best practice in human interaction and interface (HCI) design
• all aspects of human interaction and interface (HCI) design

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4.7 Systems Design

This sub-discipline is concerned with the competencies required to create, maintain and
manage both logical and physical designs for an information technology solution based on the
information defined in a range of deliverables produced by business, data, HCI and systems
analysis activities. A systems design is effectively a blueprint or plan for how a proposed
information technology system will operate in order to meet business needs. Design activities
produce solutions to address the requirements specified through analysis activities, including, at
a detailed level, functions and processing, interfaces, data handling and storage needs and how
the system will be used by and interact with people, as appropriate.
Logical systems design typically describes the functions, processes and data handling needs of
the information technology solution independent of any specific technologies, platforms or
products that may be used in its actual development. One or more logical solutions may be
proposed.
Physical design translates these logical design principles into a proposed physical design,
where components such as application software products, file and database systems and
infrastructure components are specified and the information contained in the logical design is
converted into a design format that takes account of practical considerations such as location of
physical assets and performance of the system.
In some organisations, typically those where rapid development approaches are used, systems
design may be undertaken in parallel with data design and HCI design. Furthermore, in these
organisations, an iterative process of systems analysis and systems design may also take
place. Systems design commonly incorporates aspects of data design and HCI design in order
to produce an holistic, ‘end to end’ view of the proposed information technology system’s
design.

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Associate Professional Role:

Competence (4.7.A.1) – Follow, under supervision, the organisation’s procedures for informing
systems design activities
This competence will be demonstrated by the following Performance Criteria (4.7.A.1.C.):
a) Correctly follow the processes, tools and techniques relating to system/solution/service
design activities and their deliverables

b) Fully comply with all organisational strategy, policies and standards in

system/solution/service design activities and their deliverables

c) Correctly gather all relevant information from analysis deliverables in order to inform
system/solution/service design activities and their deliverables, under direction

d) Correctly source and precisely document all relevant service and operational
requirements in order that they may be incorporated within system/solution/service
design deliverables

Competent performance requires Knowledge (4.7.A.1.K.) of how to:

a) Comply with all relevant legislation, regulations and external standards relating to
system/solution/service design activities

b) source and gather

• information from analysis deliverables in order to inform system/solution/service
design activities and their deliverables
• service and operational requirements in order that they may be incorporated within
system/solution/service design deliverables

c) use
• the processes, tools and techniques relating to system/solution/service design
activities and their deliverables
• standards and naming conventions as appropriate to system/solution/service
design activities and their deliverables

d) document service and operational requirements in order that they may be incorporated
within system/solution/service design deliverables

e) operate with
• reference to organisational strategy, policies and standards in
system/solution/service design activities
• reference to professional and ethical standards in system/solution/service design
activities
• integrity and confidentiality during system/solution/service design activities
• reference to the systems development lifecycle, as appropriate to
system/solution/service design activities
• reference to all IT/technology architecture, design and analysis deliverables
pertinent to any system/solution/service design
Competent performance requires Understanding (4.7.A.1.U.) of:
a) the relevance of system/solution/service design activities and their deliverables on the
development activities associated with the production of IT/ technology systems,
services and assets
b) the relationship between system/solution/service design, and any other particular
design activities

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c) the relationship between analysis activities and their deliverables and

system/solution/service design activities

d) what is meant by
• system/solution/service design and the stages of activity that constitute it
• a logical design
• physical design

e) why
• security requirements need to be included in the end to end design of any
IT/technology system, service or asset
• the deliverables of physical system/solution/service design activities must
accurately define what is required from system/solution/service development work
• models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system, service
and/or asset may be useful during system/solution/service design activities

f) who
• are the target users of any particular IT/technology system, service and/or asset
that is being designed
• are the individuals and organisations involved in other related analysis, design and
development activities

g) the processes, tools and techniques which can be used to monitor the
• progress of any particular system/solution/service design assignment
• alignment of system/solution/service design deliverables with the business
requirements

Competence (4.7.A.2) – Carry out, under supervision, specified systems design activities
This competence will be demonstrated by the following Performance Criteria (4.7.A.2.C.):
a) Effectively implement and maintain models, prototypes and ‘mock ups’ of all/parts of the
‘end to end’ system, service and/or asset during system/solution/service design
activities and provide them to sponsors, stakeholders and other individuals to assist
with the clarification of design details

b) Provide particular elements of any system/solution/service design to others so that they

may be incorporated into any ‘end to end’ design

c) Communicate effectively and in a timely manner with other individuals involved in the
design of other elements of an ‘end to end’ system/solution/service design

d) Be fully accountable for the quality and effectiveness of any particular design element of
a system/solution/service design

Competent performance requires Knowledge (4.7.A.2.K.) of how to:

a) implement and maintain models, prototypes and ‘mock ups’ of all/parts of the ‘end to
end’ system, service and/or asset during system/solution/service design activities to
assist with the clarification of design details

b) provide
• models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system, service
and/or asset to sponsors, stakeholders and other individuals during
system/solution/service design activities to assist with the clarification of design
details

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• elements of any system/solution/service design to others so that it may be

incorporated into any ‘end to end’ design

c) communicate with other individuals involved in the design of other particular elements of
an ‘end to end’ system/solution/service design

d) develop design elements of an ‘end to end’ system/solution/service design

e) be accountable for the quality and effectiveness of any particular design element of a
system/solution/service design

Competent performance requires Understanding (4.7.A.2.U.) of:

a) the fact that
• the deliverables of physical system/solution/service design activities must
accurately define what is required from system/solution/service development work
• system/solution/service design activities need to align with the deliverables from
analysis activities
• security requirements need to be included in the ‘end to end’ design of any
IT/technology system/solution/service
• any ‘end to end’ system/solution/service design needs to ensure that all elements
used in its delivery can operate together efficiently and effectively
• individuals responsible for signing off and authorising system/solution/service
design deliverables often find it difficult to visualise how the ‘end to end’
IT/technology system, service or asset will work
• models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system, service
and/or asset may be used during system/solution/service design activities to assist
with the clarification of design details
• the delivery of any ‘end to end’ IT/technology system/solution/service design may
be delegated out to internal and external individuals, groups and teams

b) the importance of
• the systems development lifecycle as it relates to system, service and/or asset
design activities
• and relevance of system/solution/service design activities on the full life cycle of
information within an organisation
• system/solution/service activities and their deliverables being guided by and
supporting the business needs
• system/solution/service design deliverables aligning with analysis deliverables
• gathering information during system/solution/service design activities in order to
specify precisely how the IT/technology solution needs to function in order to meet
business needs
• getting sign off to any system/solution/service design deliverables

c) the need for monitoring

• the progress of any particular system/solution/service design assignment
• the consistency, integrity and alignment of all elements of an ‘end to end’
system/solution/service design
• the accuracy, currency, completeness and appropriateness of any end to end
system/solution/service design deliverables

Competence (4.7.A.3) – Document, under supervision, specified information relating to

system/solution/service designs
This competence will be demonstrated by the following Performance Criteria (4.7.A.3.C.):

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a) Correctly use and accurately document all relevant standards and naming conventions
as appropriate to system/solution/service design activities

b) Accurately document all changes to business requirements agreed and authorised

during system/solution/service design activities, under direction

c) Clearly document all necessary business requirements and business rules when
producing logical and physical system/solution/service designs

d) Develop and accurately document effective design elements of an ‘end to end’

system/solution/service design, under direction

Competent performance requires Knowledge (4.7.A.3.K.) of how to:

a) document
• elements of any system/solution/service design
• standards and naming conventions as appropriate to system/solution/service
design activities and their deliverables
• changes to business requirements agreed and authorised during
system/solution/service design activities
• business requirements when producing logical and physical system/solution/service
designs
• business rules that need to be incorporated into system/solution/service designs

Competent performance requires Understanding (4.7.A.1.U.) of:

a) what are the
• inputs to any system/solution/service design activities and the expected
deliverables from them
• standards and naming conventions that are used in system/solution/service design
work

b) the importance of
• verifying the accuracy, currency, completeness and relevance of information
created, collected, used and documented during system/solution/service design
activities
• clearly documenting system/solution/service design deliverables so that they are
easily understandable by a range of individuals, including those involved in
development, implementation and deployment activities

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Professional Role:

Competence (4.7.P.1) – Prepare, under supervision, for system/solution/service design

activities
This competence will be demonstrated by the following Performance Criteria (4.7.P.1.C.):

a) Correctly follow standards relating to system/solution/service design activities

b) Correctly source all relevant information from IT/technology architecture models in order
to inform system/solution/service design activities

c) Correctly source and collate the full range of design specifications, for example those
relating to data and HCI, in order to produce an holistic, ‘end to end’
system/solution/service design for an IT/technology system, service and/or asset, under
direction

d) Objectively interpret the deliverables from all relevant analysis and related design
activities so that they may be incorporated into system/solution/service design
deliverables

Competent performance requires Knowledge (4.7.P.1.K.) of how to:

a) source and collate
• information from IT/technology architecture models in order to inform
system/solution/service design activities and their deliverables
• the full range of design specifications, for example those relating to data and HCI, in
order to produce an holistic, ‘end to end’ system/solution/service design for an
IT/technology system, service and/or asset
• information during system/solution/service design activities in order to specify
precisely how the IT/technology system, service and/or asset needs to function in
order to meet business needs
• information about internal and external individuals and groups to whom particular
design elements may be delegated

b) apply
• business requirements when producing logical and physical system/solution/service
design designs
• business rules that need to be incorporated into system/solution/service designs
• standards relating to system/solution/service design activities and their deliverables
• the systems development lifecycle as appropriate to system/solution/service design
activities
• information relating to analysis deliverables in order to inform
system/solution/service design activities and their deliverables
• information relating to service and operational requirements in order that they may
be incorporated within system/solution/service design deliverables
• models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system, service
and/or asset during system/solution/service design activities to assist with the
clarification of design details

c) interpret
• the deliverables from all relevant analysis activities so that they may be
incorporated into system/solution/service design deliverables
• the impact and implications of changes to business requirements during
system/solution/service design activities

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• design options to meet the business needs developed during

system/solution/service design activities in order to produce recommendations for
review by sponsors, stakeholders and other individuals/bodies
• all relevant design deliverables in order to inform system/solution/service design
activities
• architectures and roadmaps

Competent performance requires Understanding (4.7.P.1.U.) of:

a) the systems development lifecycle as it relates to system/solution/service design
activities

b) what is involved in translating logical designs into physical designs

c) what are the

• potential implications of system/solution/service design deliverables being incorrect,
incomplete, inadequate or inappropriate
• potential implications of failings of integrity, confidentiality and information security
during system/solution/service activities
• professional and ethical standards relating to system/solution/service design work
within an organisation
• strategies, policies. plans and standards relating to system/solution/service design
activities and their deliverables
• potential implications of the need for IT/technology system/solution/service to span
across organisational boundaries

d) why
• standards and naming conventions are used in system/solution/service design work

Competence (4.7.P.2) – Assist with the design of system/solution/service design

This competence will be demonstrated by the following Performance Criteria (4.7.P.2.C.):
a) Develop, implement and maintain effective and comprehensive plans for the design of
any element of a system/solution/service design, communicating them to all relevant
individuals and groups, as directed by superiors

b) Design effective models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’
system, service and/or asset during system/solution/service design activities to assist
with the clarification of design details

c) Clearly identify and verify all business requirements and business rules when producing
logical and physical system/solution/service design designs

d) Clearly and persuasively present the design for any particular design element as part of
the ‘end to end’ system/solution/service design to sponsors, stakeholders, superiors
and other relevant individuals

Competent performance requires Knowledge (4.7.P.2.K.) of how to:

a) design and develop
• plans for the design of any element of system/solution/service design
• models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system, service
and/or asset during system/solution/service design activities to assist with the
clarification of design details

b) verify

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• business requirements when producing logical and physical system/solution/service

design designs
• business rules that need to be incorporated into system/solution/service designs
• the acceptability of any ‘end to end’ system/solution/service design using a range of
techniques such as models, prototypes and ‘mock ups’ with sponsors,
stakeholders and other individuals

c) identify changes to business requirements agreed and authorised during

system/solution/service design activities

d) implement and maintain plans for any element of system/solution/service design

Competent performance requires Understanding (4.7.P.2.U.) of:

a) the fact that
• data design and HCI design deliverables may also be incorporated within
system/solution/service design activities and the ‘end to end’
system/solution/service design
• the design of any IT/technology system, service or asset needs to consider its
efficiency, robustness, maintainability and ability to meet the needs of its users
• service management and operational needs must be incorporated within
system/solution/service design activities
• processing and functional needs required by the business must be specified and
defined within the logical and physical system/solution/service design
• physical system/solution/service design activities need to be informed and directed
by knowledge of the technologies, products, services and items of equipment that
are available and can be used by an IT/technology system, service and/or asset
supporting the organisation

b) who
• are the sponsors of and stakeholders for any particular system/solution/service
design assignment
• needs to use the deliverables produced by any particular system/solution/service
design assignment
• needs to authorise/sign off the deliverables from any system/solution/service design
assignment

Competence (4.7.P.3) – Monitor the progress of system/solution/service design activities

This competence will be demonstrated by the following Performance Criteria (4.7.P.3.C.):
a) Correctly identify and actively manage changes to business requirements during
system/solution/service design activities, under the direction of superiors

b) Assist others in identifying business requirements when producing logical and physical
system/solution/service designs

c) Effectively manage and regularly monitor the progress of any particular element of a
system/solution/service design against plan, reporting progress and issues arising to
superiors as appropriate

Competent performance requires Knowledge (4.7.P.3.K.) of how to:

a) manage the progress of any particular element of a system/solution/service design

against plan

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b) monitor the progress of any particular element of a system/solution/service design

against plan

c) report
• the progress of any particular element of a system/solution/service design against
plan
• any issues arising from system/solution/service design activities
• discrepancies between system/solution/service design deliverables and other
related design and IT/technology architecture deliverables
• discrepancies between system/solution/service design deliverables and analysis
deliverables

Competent performance requires Understanding (4.7.P.3.U.) of:

a) the need for monitoring
• the alignment of system/solution/service design activities and their deliverables with
all relevant legislation, regulations and external standards
• the alignment of system/solution/service design work with other design deliverables
• the alignment of system/solution/service design work with analysis activities and
their deliverables
• the quality and effectiveness of system/solution/service design activities and their
deliverables
• changes to business requirements through change control mechanisms during
system/solution/service design activities

Competence (4.7.P.4) – Review and document system/solution/service design deliverables

This competence will be demonstrated by the following Performance Criteria (4.7.P.4.C.):
a) Proactively solicit feedback on system/solution/service designs, including feedback on
models, prototypes and ‘mock ups’ of the ‘end to end’ design, from sponsors,
stakeholders and other individuals and bodies in order to verify the validity of the
designs, under guidance

b) Clearly document and critically analyse all relevant design options to meet the business
needs developed during system/solution/service design activities in order to produce
recommendations for review by sponsors, stakeholders and other individuals/bodies

c) Accurately document the ‘end to end’ system/solution/service design deliverables, as

directed

Competent performance requires Knowledge (4.7.P.4.K.) of how to:

d) document
• the progress of any particular system/solution/service design assignment
• design options to meet the business needs developed during
system/solution/service design activities
• the ‘end to end’ system/solution/service design deliverables accurately and clearly
• decisions made during system/solution/service design activities
• lessons learned from previous system/solution/service design assignments and/or
from other contexts

e) present the design of any particular design element as part of the ‘end to end’
system/solution/service design

f) take action

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• to manage changes to business requirements during system/solution/service

design activities
• to solicit feedback on system/solution/service designs, including feedback on
models, prototypes and ‘mock ups’ of the ‘end to end’ design, from sponsors,
stakeholders and other individuals and bodies

g) liaise with individuals involved in the review of any ‘end to end’ system/solution/service
design models, prototypes and ‘mock ups’

Competent performance requires Understanding (4.7.P.4.U.) of:

a) the importance of
• system/solution/service design deliverables aligning with other design deliverables
• system/solution/service design deliverables aligning with the IT/technology
architecture of an organisation
• managing changes to business requirements through change control mechanisms
during system/solution/service design activities
• effective communication to a range of other individuals involved in and impacted by
system/solution/service design activities
• development deliverables aligning with system/solution/service design deliverables
• designing effective and efficient system/solution/service designs that meet the
business needs
• producing system/solution/service designs which can be maintained and operated
using existing skills and expertise so as to optimise the cost of ownership
• applying lessons learned from previous system/solution/service design assignments
• taking account of internal and external factors during system/solution/service
design activities and their deliverables
• maintaining the privacy, integrity and confidentiality of information during
system/solution/service design activities
• ensuring that sensitive information is not disclosed inappropriately during
system/solution/service design activities

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Senior Professional Role:

Competence (4.7.S.1) – Identify and implement the processes required for
system/solution/service design activities
This competence will be demonstrated by the following Performance Criteria (4.7.S.1.C.):

a) Correctly select, implement and maintain the processes, tools and techniques relating
to system/solution/service design activities

b) Correctly identify the IT/technology architectures that need to be referenced during

system/solution/service design activities, and apply all relevant information from them to
inform system/solution/service design activities

c) Clearly identify what changes may be required to translate a logical

system/solution/service design into an appropriate physical design

d) Be fully accountable for the quality and effectiveness of any logical and physical
system/solution/service design elements produced within own area of accountability

Competent performance requires Knowledge (4.7.S.1.K.) of how to:

a) identify and select
• standards relating to system/solution/service design activities and their deliverables
• the processes, tools and techniques relating to system/solution/service design
activities and their deliverables
• the IT/technology architecture that need to be referenced during
system/solution/service design activities
• business requirements when producing logical and physical system/solution/service
designs
• business rules that need to be incorporated into system/solution/service designs
• elements of an ‘end to end’ system/solution/service design that may be delegated
to others
• which internal and external individuals, groups and teams may have elements of an
‘end to end’ design delegated to them
• design options developed to meet the business needs during
system/solution/service design activities
• the full range of design specifications in order to produce an holistic, ‘end to end’
system/solution/service design for an IT/technology system, service and/or asset
• naming conventions and standards to be used in system/solution/service design
activities in line with organisational standards
• which technologies, such as programming languages, software packages, data
organisation and storage systems and infrastructure components are available and
can be used by an IT/technology system, service and/or asset supporting the
organisation
• real life factors and constraints, such as security controls and operational service
levels, that need to be incorporated within the physical system/solution/service
design
• internal and external factors in system/solution/service design activities
• the impact and implications of changes to business requirements during
system/solution/service design activities
• lessons learned from previous system/solution/service design assignments
• how the IT/technology system, service and/or asset needs to function in order to
meet the business needs
• who are the sponsors of and stakeholders for any system/solution/service design
activities

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• the rules and controls required to ensure the privacy, integrity and security of data
held within the system/solution/service design
• what changes may be required to translate a logical system/solution/service design
into an appropriate physical design
• what models, prototypes and ‘mock ups’ of all/parts of the ‘end to end’ system,
service and/or asset may be required during system/solution/service design
activities to assist with the clarification of design details

b) implement and maintain

• the processes, tools and techniques relating to system/solution/service design
activities and their deliverables
• the processes, tools and techniques to monitor the alignment of
system/solution/service design activities and their deliverables with all relevant
legislation, regulations and external standards and plans and standards relating to
system/solution/service design activities and their deliverables
• the processes, tools and techniques to monitor the quality and effectiveness of all
aspects of system/solution/service design activities and their deliverables
• a logical and physical system/solution/service design for an IT/technology system,
service and/or asset
• plans and standards for an ‘end to end’ system/solution/service design

c) be accountable for the quality and effectiveness of any logical and physical
system/solution/service design elements produced within own area of accountability

Competent performance requires Understanding (4.7.S.1.U.) of:

a) what is the range of issues associated with system/solution/service design activities

b) the processes, tools and techniques that can be used to monitor the
• alignment of system/solution/service design work with IT/technology architecture,
analysis and other design deliverables
• quality and effectiveness of external providers of system/solution/service data
services
• privacy, integrity and security aspects of the ‘end to end’ system/solution/service
design
• alignment of system/solution/service design activities and their deliverables with
any relevant legislation, regulations and external standards
• alignment of system/solution/service design work with analysis activities and their
deliverables
• alignment of system/solution/service design work with service level requirements
• quality and effectiveness of system/solution/service design activities and their
deliverables

Competence (4.7.S.2) – Manage the design of an ‘end to end’ system/solution/ service design
This competence will be demonstrated by the following Performance Criteria (4.7.S.2.C.):
a) Make clear and well reasoned decisions on the individuals and teams to whom
individual design elements may be delegated and effectively manage those individuals
and/or teams in the production of logical and/or physical design elements of any 'end to
end' system/solution/service design

b) Verify the accuracy, currency, completeness and relevance of all data and information
used by system/solution/service design activities and the accuracy and appropriateness
of any processing and functions contained within the ‘end to end’ design

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c) Correctly identify elements of an ‘end to end’ system/solution/service design so that

they may be delegated to others

d) Design, implement and maintain effective and feasible plans and standards for the
design of an ‘end to end’ system/solution/service, under direction

Competent performance requires Knowledge (4.7.S.2.K.) of how to:

a) make decisions on the individuals to whom individual design elements may be
delegated

b) negotiate how the target IT/technology system, service and/or asset, service and/or
asset will function, with individuals and organisations both internally and externally
involved with service, operational and environmental management

c) verify
• the accuracy, currency, completeness and relevance of all data and information
used by system/solution/service design activities
• the accuracy and appropriateness of any processing and functions contained within
any ‘end to end’ system/solution/service design

d) apply
• information from IT/technology architectures to inform system/solution/service
design activities and their deliverables
• real life factors and constraints, such as security controls and operational service
levels, within the physical system/solution/service design
• processes, tools and techniques to monitor the alignment of system/solution/service
design activities and their deliverables with all relevant legislation, regulations and
external standards
• best practice in system/solution/service design activities
• lessons learned from previous system/solution/service design assignments
• service and operational requirements in order that they may be incorporated within
system/solution/service design deliverables

e) design
• plans and standards for the design of an ‘end to end’ system/solution/service
• system/solution/service design deliverables aligned, as appropriate, to analysis
deliverables
• system/solution/service design deliverables aligned to IT/technology architecture
deliverables
• system/solution/service design deliverables aligned to related design deliverables
• system/solution/service design deliverables aligned, as appropriate, to service
objectives and the service strategy
• logical and physical ‘end to end’ system/solution/service designs for an
IT/technology system, service and/or asset

f) monitor
• the quality and effectiveness of any particular element of a system/solution/service
design
• the alignment of system/solution/service design activities with the business
requirements
• the alignment of system/solution/service design activities and its deliverables with
all relevant legislation, regulations and external standards
• the alignment of system/solution/service design activities with other related design
activities
• the alignment of system/solution/service design activities with analysis deliverables

g) report

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• the results of monitoring the alignment of system/solution/service design activities

with the business requirements
• the results of monitoring the alignment of system/solution/service design activities
and its deliverables with all relevant legislation, regulations and external standards
• the results of monitoring the quality and effectiveness of system/solution/service
design activities and their deliverables

Competent performance requires Understanding (4.7.S.2.U.) of:

a) who
• are the sponsors of and stakeholders for any system/solution/service design
activities

b) the need for monitoring

• the quality and effectiveness of external providers of system/solution/service data
services
• the privacy, integrity and security aspects of the ‘end to end’
system/solution/service design
• the alignment of system/solution/service design deliverables with IT/technology
architectures for an organisation

c) what are the

• problems and opportunities that system/solution/service designs are required to
address
• range and types of system/solution/service design deliverables that can be used to
represent the holistic, ‘end to end’ design of any IT/ technology system, service or
asset to meet specific business needs
• technologies, such as programming languages, software packages, data storage
systems, that are available and can be used by an IT/ technology system, service
or asset supporting the organisation and their advantages and disadvantages
• legislation, regulations and external standards that may apply to
system/solution/service design activities
• benefits and disadvantages of using external suppliers of system/solution/service
design services
• implications of internal and external factors on system/solution/service design
activities and their deliverables
• benefits and disadvantages of using external providers of system/solution/service
design services
• range of approaches that may be used for system/solution/service design activities
and their appropriateness in a range of business and organisational contexts

Competence (4.7.S.3) – Produce ‘end to end’ system/solution/service designs

This competence will be demonstrated by the following Performance Criteria (4.7.S.3.C.):

a) Amalgamate the full range of design specifications in order to produce an holistic, ‘end
to end’ system/solution/service design for an IT/technology system, service and/or
asset, under the guidance of superiors

b) Correctly identify appropriate technologies, products, services and items of equipment

and assets that are available to /exist within, the organisation and ensure that physical
designs take account of/ use them appropriately

c) Develop, implement and maintain appropriate and technically robust logical and
physical ‘end to end’ system/solution/service designs for an IT/technology system,

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service and/or asset that align fully with all relevant analysis, design and architecture
deliverables and service requirements

Competent performance requires Knowledge (4.7.S.3.K.) of how to:

a) take action
• to translate any particular logical system/solution/service design element into a
physical system/solution/service design for an IT/technology system, service and/or
asset
• to delegate the production of elements of any ‘end to end’ system/solution/service
design appropriately
• to co-ordinate the design efforts of groups and individuals involved in designing
individual physical and/or logical elements of any 'end to end' IT
system/solution/service design
• to specify and define processing and functional needs within logical and physical
system/solution/service design deliverables
• to produce design options, where appropriate, for review by sponsors,
stakeholders, superiors and other individuals
• to incorporate the full range of design specifications in order to produce an holistic,
‘end to end’ system/solution/service design for an IT/technology system, service
and/or asset
• to translate an ‘end to end’ logical system/solution/service design into a physical
system/solution/service design for an IT/technology system, service and/or asset
• to incorporate a range of real life factors and constraints, such as security controls
and operational service levels, within the physical system/solution/service design
• to bring all elements of an ‘end to end’ logical and physical design together into an
integrated whole
• to optimize the ‘end to end’ physical system/solution/service design
• to secure sign off to the physical system/solution/service design prior to
system/solution/service development activities commencing
• to take account of internal and external factors in system/solution/service design
activities
• to review and update, as appropriate, information contained in IT/technology
architecture and analysis deliverables as a result of system/solution/service design
activities
• to ensure
• that system/solution/service design activities are guided and informed by the
business needs
• that the information produced by system/solution/service design activities is used to
inform system/solution/service development activities
• that the physical design take account of and uses appropriate, technologies,
products, services and items of equipment and assets that are available to /exist
within the organisation
• system/solution/service design activities and their deliverables are integrated,
where appropriate, into projects and programmes

b) manage
• any issues arising from system/solution/service design activities
• the ‘end to end’ logical and physical system/solution/service design for an
IT/technology system, service and/or asset
• individuals and/or teams producing logical and/or physical design elements of any
'end to end' system/solution/service design
• the design efforts of groups and individuals involved in the logical and/or physical
design of elements of any 'end to end' IT/technology system/solution/service
• changes to business requirements through change control mechanisms during
system/solution/service design activities

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• the alignment of system/solution/service design activities with the business

requirements
• the alignment of system/solution/service design activities and its deliverables with
all relevant legislation, regulations and external standards
• the alignment of system/solution/service design activities with other related design
activities
• the alignment of system/solution/service design activities with analysis deliverables
• the alignment of system/solution/service design activities with service objectives
and the service strategy
• the alignment of system/solution/service design activities with IT/technology
architectures
• relationships with sponsors, stakeholders and external bodies on matters relating to
system/solution/service design activities
• the relationships with external providers offering system/solution/service design
services

Competent performance requires Understanding (4.7.S.3.U.) of:

a) the fact that the impact of any relevant legislation, regulations and external standards
need to be reflected in system/solution/service design activities and their deliverables

b) why
• the alignment of system/solution/service design activities and their deliverables with
all relevant legislation, regulations and external standards needs to be monitored
• the alignment of system/solution/service development activities with
system/solution/service design deliverables needs to be monitored
• the alignment of system/solution/service design work with other design deliverables
needs to be monitored
• the alignment of system/solution/service design work with analysis deliverables
needs to be monitored

Competence (4.7.S.4) – Present system/solution/service designs to others

This competence will be demonstrated by the following Performance Criteria (4.7.S.4.C.):
a) Critically review the design of any particular design element that has been produced by
other individuals as part of the ‘end to end’ system/solution/service design

b) Clearly present all relevant information produced by system/solution/service design

activities, particularly information relating to how the proposed IT/technology will
function, in an understandable form to a wide range of sponsors, stakeholders and
other individuals, in order to confirm understanding and ensure business needs are
being met, under the direction of superiors

c) Provide accurate and comprehensive logical and physical system/solution/service

designs to other internal and external individuals and/or organisations for review and
sign off

Competent performance requires Knowledge (4.7.S.4.K.) of how to:

a) present and review

• review the design of any particular design element as part of the ‘end to end’
system/solution/service design
• information produced by system/solution/service design activities, particularly
information relating to how the proposed IT/technology will function, in an

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understandable form to a wide range of sponsors, stakeholders and other

individuals, in order to confirm understanding and ensure business needs are being
met
• information contained in IT/technology architectures and from analysis activities as
a result of system/solution/service design activities
• the findings from monitoring the alignment of any ‘end to end’
system/solution/service design with a range of factors and requirements
• design recommendations for any ‘end to end’ system/solution/service design
• the quality and effectiveness of system/solution/service design activities and their
deliverables
• the quality and effectiveness of external providers of system/solution/service design
services

b) document
• actions taken in the event of the deliverables of system/solution/service design not
supporting the business requirements
• actions taken in the event of the deliverables of system/solution/service design
being incorrect, incomplete or inadequate
• actions taken in the event of the deliverables of system/solution/service design not
meeting the service and operational performance needs
• actions may be taken in the event of system/solution/service design activities not
aligning with IT/technology architecture deliverables
• best practice in system/solution/service design
• the quality and effectiveness of external providers of system/solution/service design
services

c) interpret
• the results gained from monitoring the alignment of system/solution/service design
activities and their deliverables with all legislation, regulations and external
standards
• the results gained from monitoring the alignment of system/solution/service design
activities with related design deliverables and their deliverables
• the results gained from monitoring the alignment of system/solution/service design
activities with analysis activities and their deliverables

d) provide
• any relevant analysis, design, IT/technology architecture deliverables together with
any business and service requirements to any external providers of
system/solution/service design services
• logical and physical system/solution/service designs to other internal and external
individuals and/or organisations for review and sign off

e) communicate
• with sponsors, stakeholders and external bodies on matters relating to
system/solution/service design activities
• with individuals, groups and organisations involved in other related design and
development activities

Competent performance requires Understanding (4.7.S.4.U.) of:

a) the importance of
• system/solution/service design deliverables being used to update, where
appropriate, architecture models and roadmaps
• having a design authority for any ‘end to end’ system/solution/service design
• role of system/solution/service design activities and their deliverables in
representing the holistic, ‘end to end’ design of IT/technology systems, services and
assets to meet the business needs

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• and value of system/solution/service design deliverables in informing and directing

IT/technology development activities
• ensuring that the translation of a logical into physical design incorporates ‘real
world’ factors and constraints, such as security considerations
• ensuring the integrity of any ‘end to end’ system/solution/service design
• physical system/solution/service design deliverables specifying precisely how the
IT/ technology system, service and/or asset should be structured and operate
• the value of system/solution/service design activities in informing and directing the
development, use or reuse of any IT/technology systems. services and/or assets
that will be used to provide a solution
• presenting information produced by system/solution/service design activities,
particularly information relating to how the proposed IT/technology system, service
and/or asset will function, in an understandable form to a wide range of sponsors,
stakeholders and other individuals, in order to confirm understanding and ensure
meets are being met
• explaining, discussing, negotiating and agreeing how the IT/technology system,
service and/or asset will function with sponsors and stakeholders during
system/solution/service design activities
• securing sign off to the physical system/solution/service design prior to
development activities commencing
• integrating system/solution/service design activities into projects and programmes,
as appropriate
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to system/solution/service design
• communicating effectively with stakeholders and sponsors during
system/solution/service design activities
• using appropriately skilled individuals, groups and bodies in any
system/solution/service design activities

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Lead Professional Role:

Competence (4.7.L.1) – Direct the strategy for system/solution/service designs

This competence will be demonstrated by the following Performance Criteria (4.7.L.1.C.):

a) Design, develop, implement and maintain effective strategy and policies relating to
system/solution/service design activities

b) Correctly identify the impact of any physical design for an ‘end to end’ IT/technology
system, service and or asset on business activities and users, communicating the
impact clearly and in a timely manner to sponsors, stakeholders and external bodies

c) Correctly identify the implications of any physical design for an ‘end to end’
IT/technology system, service and/or asset on technology infrastructure, including
relevant environmental factors, resources and operational activities

d) Ensure that that all elements of an ‘end to end’ design combine together into an
integrated and consistent whole and that the integrity and coherency of the ‘end to end’
system/solution/service design is maintained

e) Ensure that the implications of any physical design for any ‘end to end’ IT/technology
system/solution/service on technology infrastructure, including relevant environmental
factors and operational activities and resources are reviewed and signed off by
appropriate individuals and/or organisations prior to development activities commencing

Competent performance requires Knowledge (4.7.L.1.K.) of how to:

a) design and develop
• strategy and policies relating to system/solution/service design activities and their
deliverables
• strategy and policies to ensure the alignment of system/solution/service design
activities and their deliverables with all relevant legislation, regulations and external
standards
• the processes, procedures, methods, tools and techniques to monitor the alignment
of system/solution/service design activities and their deliverables with all relevant
legislation, regulations and external standards

b) identify
• which individual or groups needs to be the design authority for any ‘end to end’
system/solution/service design
• service and operational performance requirements in order that they may be
incorporated within system/solution/service design deliverables
• best practice in system/solution/service design activities
• the implications of any physical design for an ‘end to end’ IT/technology system,
service and/or asset on technology infrastructure, including relevant environmental
factors, resources and operational activities
• the implications of any physical design for an ‘end to end’ IT/technology system,
service and/or asset on business activities and users
• when and how to use external providers of system/solution/service design services
• which external providers of system/solution/service design services to use
• what actions may be taken in the event of system/solution/service design activities
not supporting the business needs
• what actions may be taken in the event of system/solution/service design activities
not meeting the service and operational performance needs
• what actions may be taken in the event of system/solution/service design activities
being incorrect, incomplete, inadequate and/or inappropriate

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• what actions may be taken in the event of system/solution/service design activities

not aligning with IT/technology architecture deliverables

c) implement and maintain

• strategy and policies relating to system/solution/service design activities and their
deliverables
• strategy and policies to ensure the alignment of system/solution/service design
activities and their deliverables with all relevant legislation, regulations and external
standards

d) authorise, agree and contract

• how the target IT/technology system, service and/or asset, service and/or asset will
function with sponsors and stakeholders during system/solution/service design
• actions
• approaches
• strategy, policies, plans, standards, tools and techniques
• contractual arrangements with external providers of system/solution/service design
services
• decisions

e) be accountable for
• the quality and effectiveness of any logical and physical ‘end to end’
system/solution/service design deliverables and activities
• the alignment of system/solution/service design activities with IT/technology
architecture, design and analysis deliverables
• the alignment of system/solution/service design activities with business needs,
service objectives and the service strategy

Competent performance requires Understanding (4.7.L.1.U.) of:

a) what are the
• implications of any physical design for an ‘end to end’ IT/technology
system/solution/service on IT/technology infrastructure, including relevant
environmental factors and operational activities
• range of approaches that may be used for the logical and physical design of an
IT/technology system/solution/service, and their appropriateness in a range of
business and organisational contexts
• range of issues associated with system/solution/service design activities
• implications of any physical design for an ‘end to end’ IT/technology
system/solution/service on business activities and users
• actions that may be taken in the event of system/solution/service design activities
being out of alignment with architecture and analysis deliverables
• issues involved in outsourcing system/solution/service design activities

Competence (4.7.L.2) – Control the delivery for system/solution/service designs

This competence will be demonstrated by the following Performance Criteria (4.7.L.2.C.):
a) Verify the consistency, integrity and alignment of all elements of an ‘end to end’
system/solution/service design

b) Negotiate effectively and empathetically with sponsors and stakeholders during

system/solution/service design as to how the target 'end to end' IT/technology system,
service and/or asset, service and/or asset will function

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c) Make well reasoned decisions on when and how to use external providers of
system/solution/service design services, selecting the preferred organisations and
negotiating/contracting with them accordingly on behalf of the organisation

d) Regularly monitor the quality and effectiveness of external providers of

system/solution/service design services, identifying and recommending action where
appropriate

Competent performance requires Knowledge (4.7.L.2.K.) of how to:

a) verify
• the accuracy and completeness of any translation from logical to physical
system/solution/service designs
• the alignment of the ‘end to end’ system/solution/service designs with the business
requirements
• the alignment of the ‘end to end’ system/solution/service designs with
IT/technology architectures
• the alignment of the ‘end to end’ system/solution/service designs with service
objectives and the service strategy
• the consistency, integrity and alignment of all elements of an ‘end to end’
system/solution/service design
• the implications of any physical design for an ‘end to end’ IT/technology system,
service and/or asset on business activities and users

b) negotiate how the target IT/technology system, service and/or asset, service and/or
asset will function with sponsors and stakeholders during system/solution/service
design

c) take action
• in the event of system/solution/service design activities being out of alignment with
the business requirements
• in the event of system/solution/service design activities being out of alignment with
service objectives and the service strategy
• in the event of system/solution/service design activities being out of alignment with
architecture and analysis deliverables
• to ensure that all elements of an ‘end to end’ design combine together into an
integrated and consistent whole
• that the implications of any physical design for any ‘end to end’ IT/technology
system/solution/service on technology infrastructure, including relevant
environmental factors and operational activities and resources are reviewed and
signed off by appropriate individuals and/or organisations prior to development
activities commencing
• that the implications of any physical design for an ‘end to end’ IT/technology
system, service and/or asset on business activities and users are understood and
signed off by appropriately authorised individuals
• the integrity and coherency of the ‘end to end’ system/solution/service design

d) liaise with sponsors, stakeholders and external bodies on matters relating to the impact
of any physical design for an ‘end to end’ IT/technology system, service and or asset on
business activities and users

e) make decisions
• on the appropriateness of using external suppliers of system/solution/service design
services
• on which external providers of system/solution/service design services to use

f) manage

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• the delivery of individual design deliverables produced by internal individuals and

groups and external individual, groups and organisations in support of an ‘end to
end IT/technology system/solution/service design
• the progress of the ‘end to end’ system/solution/service design against plan

Competent performance requires Understanding (4.7.L.2.U.) of:

a) who are external providers of system/solution/service design services

Competence (4.7.L.3) – Monitor system/solution/service designs activities and their

deliverables
This competence will be demonstrated by the following Performance Criteria (4.7.L.4.C.):
a) Effectively manage and regularly monitor the timely delivery against plan of individual
design deliverables produced by internal individuals and groups and external individual,
groups and organisations in support of an ‘end to end IT/technology
system/solution/service design

b) Routinely monitor the quality and effectiveness of ‘end to end’ system/solution/service

design activities and their deliverables, identifying what actions may be taken in the
event of them not supporting the business needs, service requirements and IT
technology, analysis and design deliverables

c) Be fully accountable for the quality and effectiveness of any logical and physical ‘end to
end’ system/solution/service design deliverables and activities and their alignment with
business and service requirements and architecture, analysis and design deliverables

d) Provide timely and objective advice and guidance to others on all aspects of
system/solution/service design activities and their deliverables, including best practice

Competent performance requires Knowledge (4.7.L.3.K.) of how to:

a) monitor
• the alignment of system/solution/service design activities with service objectives
and the service strategy
• the alignment of system/solution/service design activities with IT/technology
architectures
• the progress of the ‘end to end’ system/solution/service design against plan
• the quality and effectiveness of ‘end to end’ system/solution/service design
activities and their deliverables
• the quality and effectiveness of external providers of system/solution/service design
services

b) analyse
• the results gained from monitoring the alignment of system/solution/service design
activities with IT/technology architectures
• the results gained from monitoring the alignment of system/solution/service design
activities with service objectives and the service strategy
• the results gained from monitoring the quality and effectiveness of external
providers of system/solution/service design services

c) report
• the results of monitoring the quality and effectiveness of external providers of
system/solution/service design services
• the implications of any physical design for an ‘end to end’ IT/technology system,
service and/or asset on technology infrastructure, including relevant environmental
factors, resources and operational activities

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• the implications of any physical design for an ‘end to end’ IT/technology system,
service and/or asset on business activities and users
• the progress of the ‘end to end’ system/solution/service design against plan

d) review the
• findings from monitoring the alignment of any ‘end to end’ system/solution/service
design with a range of factors and requirements
• design recommendations for any ‘end to end’ system/solution/service design
• quality and effectiveness of system/solution/service design activities and their
deliverables
• quality and effectiveness of external providers of system/solution/service design
services

e) advise and guide others on

• all aspects of system/solution/service design activities and their deliverables
• best practice in system/solution/service design

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4.8 IT/Technology infrastructure design and planning

This sub-discipline is part of overall service design. It concerns the design of, and planning for,
resilient IT/ technology infrastructure and environments.

This sub-discipline is about the competencies required to design and plan for the
implementation of, the hardware, network and software infrastructure supporting the
IT/technology application services, systems, services and assets used to support an
organisation. IT/ hardware technology hardware, software and network infrastructure may exist
both within a single organisation and also be shared/span across multiple organisations.
Infrastructure hardware, software and networks are usually implemented as a result of business
demands which indirectly require changes to the infrastructure. IT/technology infrastructure
design and planning may also be a proactive activity in terms of trying to improve the availability
of systems, services and assets to support service objectives.

Hardware infrastructure may include:

• Processors
• Storage devices
• Mobile devices
• Input and output devices
• Any other items of hardware required for the provision of IT/technology systems, services
and systems assets for an organisation

Software infrastructure may include:

• Systems management software such as operating system software

• Database management software
• Software tools
• Storage management software
• Middleware for connecting applications and other components
• Web services

Network infrastructure includes network specific network and hardware comprises and all of the
components necessary for any type of network, whether hard wired or wireless, which support
the provision of IT services, systems and assets for an organisation.

This sub-discipline requires not only technical understanding of individual hardware, software or
network products and services (or any combination of these) but also the architectural
principles, standards and protocols that must be applied within the design of the infrastructure.

Individuals working within this area may have competencies relating solely to hardware,
software or networks or a combination of these elements of the IT/technology infrastructure.

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Pre-Entry / Junior Technician Role:

Competence (4.8.J.1) – Follow, under supervision, organisational strategy for IT/technology

infrastructure design and planning activities
This competence will be demonstrated by the following Performance Criteria (4.8.J.1.C.):

a) Correctly follow the processes, tools and techniques to use for IT/technology
infrastructure design and planning activities

b) Fully comply with all organisational strategy, policies and standards relating to
infrastructure design and planning activities and their deliverables

c) Correctly reference all relevant design and configuration principles and standards that
apply to IT/technology infrastructure supporting an organisation

d) Correctly gather and collate all relevant information contained within the service
catalogue, any service level agreements, service improvement and service quality plans
that are required for IT/technology infrastructure design and planning activities

e) Accurately source all relevant information concerning problems or errors with any
existing infrastructure product/service and/or items of equipment so that it may inform
IT/technology infrastructure design and planning activities, under direction

f) Accurately source all relevant information required to assess the suitability of

IT/technology infrastructure components for any particular design assignment, under
direction

Competent performance requires Knowledge (4.8.J.1.K.) of how to:

a) comply with
• any relevant legislation, regulations and external standards relating to infrastructure
design and planning activities
• any relevant internal policies, approaches and standards relevant to infrastructure
design and planning activities and their deliverables

b) use and apply the processes, tools and techniques for IT/technology infrastructure
design and planning activities and their deliverables

c) source, gather and collate information

• contained within any service improvement and service quality plans that is required
for IT/technology infrastructure design and planning
• from service level agreements required for IT/technology infrastructure design and
planning activities
• required to assess the suitability of infrastructure components
• relating to incidents, problems, changes, events and service availability in order to
inform and guide IT/technology infrastructure design and planning activities
• required from the service catalogue and the targets and levels contained within it,
during any IT/technology infrastructure design and planning activities
• concerning problems or errors with any existing infrastructure product/service
and/or items of equipment during IT/technology infrastructure design and planning
activities
• regarding any changes, repairs and replacements made to infrastructure
products/services and/or equipment in the current configuration

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• about future infrastructure product/service and/or equipment releases and/or

refreshes
• customer demands for new and/or enhanced services from IT/technology
infrastructure
• required to design and plan an individual IT/technology infrastructure component

d) operate with reference to

• IT/technology design and configuration principles and standards that apply to
infrastructure supporting an organisation
• confidentiality, integrity and security during IT/technology infrastructure design and
planning activities
• professional and ethical standards relating to infrastructure design and planning
activities and their deliverables
• organisational strategy, policies and standards in infrastructure design and planning
activities

Competent performance requires Understanding (4.8.J.1.U.) of:

a) what is meant by IT/Technology infrastructure design and planning

b) what are the

• types of activities undertaken during IT/technology infrastructure design and
planning
• processes, tools and techniques to conduct IT/technology infrastructure design and
planning
• inputs to and required outputs from IT/technology infrastructure design and
planning activities

c) the processes, tools and techniques that can be used to conduct IT/technology
infrastructure design and planning activities in a range of business and organisational
contexts

d) the fact that

• major organisation changes, such as mergers and acquisitions can have a
significant impact on IT/technology infrastructure and often results in the need for it
to be redesigned
• external providers of IT/technology infrastructure design and planning services exist
• some external providers host infrastructure services or provide outsourcing
capabilities whilst others purely supply and/or support products/services and/or
equipment and that IT/Technology infrastructure design and planning may
incorporate use of external providers
• some organisations choose to design IT/Technology infrastructure that makes use
of external/shared infrastructure products/services, and/or equipment either wholly
or partially
• IT/technology infrastructure design and planning may occur as a result of problems
occurring with existing infrastructure products/services and/or equipment, changes
to the business requirements, or the availability of new or enhanced IT/technology
infrastructure products, services and/or assets
• IT/technology infrastructure design and planning activities need to be aligned with
other design activities associated with the production of any IT/technology system,
service and/or assets
• organisations rely on infrastructure products/services and/or equipment being
available and accessible for their business operations
• incidents, problems and issues associated with infrastructure may result in the need
for IT/technology infrastructure design and planning activities

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• customers of infrastructure products/services and/or equipment may be internal or

external to the organisation

Competence (4.8.J.2) – Carry out, under supervision, customer requirements for IT/technology
infrastructure design and planning
This competence will be demonstrated by the following Performance Criteria (4.8.J.2.C.):
a) Critically interpret and accurately document customer demands for new and/or
enhanced services from IT/technology infrastructure and the requirements for the
design and planning of an individual IT/technology infrastructure component

b) Correctly identify who are the external providers of IT/technology infrastructure used by
the organisation and which components can be sourced from them

c) Critically analyse all relevant information regarding the external providers of

IT/technology infrastructure used by the organisation and the components that can be
sourced from them

d) Correctly document all relevant naming conventions and standards used in

infrastructure design and planning activities

e) Develop and accurately document effective and appropriate designs and plans for
individual IT/technology infrastructure components

f) Assist others in identifying any potential implications of customer and service demands
for new and/or enhanced services on IT/technology infrastructure design and planning
activities

Competent performance requires Knowledge (4.8.J.2.K.) of how to:

a) identify
• who are the external providers of infrastructure products, services and equipment
used by the organisation
• which infrastructure products, services and equipment can be sourced from which
external providers
• the requirements for the design and planning of an individual IT/technology
infrastructure component
• customer demands for new and/or enhanced services from IT/technology
infrastructure

b) analyse and interpret

• information regarding the external providers of infrastructure products/services
and/or equipment used by the organisation
• information regarding infrastructure products/services and/or equipment that can be
sourced from different external providers
• the requirements for the design and planning of an individual IT/technology
infrastructure component
• customer demands for new and/or enhanced services from IT/technology
infrastructure

c) document
• naming conventions and standards used in infrastructure design and planning
activities
• the design and plans for individual IT/technology infrastructure components

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• customer demands for new and/or enhanced services from IT/technology

infrastructure

d) develop designs and plans for individual IT/technology infrastructure components

Competent performance requires Understanding (4.8.J.2.U.) of:

a) who
• are external providers of infrastructure products, services and equipment
• needs to be contacted internally and externally to provide information regarding
individual IT/technology products, services and items of equipment for
IT/technology infrastructure design and planning activities

b) the importance of
• understanding the needs of the users of IT/technology systems, services and
assets, including any particular needs, when undertaking IT/technology
infrastructure design and planning activities
• referencing operational information relating to incidents, problems, changes, events
and service availability in order to inform and guide IT/technology infrastructure
design and planning activities
• documenting effective and clear designs and plans for IT/technology infrastructure
products, services and equipment
• referencing standards for infrastructure products, services and equipment during
IT/technology infrastructure design and planning activities
• referencing any documented problems or errors with any existing infrastructure
products, services and equipment during IT/technology infrastructure design and
planning activities
• IT/technology infrastructure designs and plans enabling other design work to be
fulfilled
• matching requirements to components in an IT/technology infrastructure design

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Associate Professional Role:

Competence (4.8.A.1) – Prepare, under supervision, for IT/technology infrastructure design

and planning activities
This competence will be demonstrated by the following Performance Criteria (4.8.A.1.C.):
a) Correctly follow the systems development lifecycle, service lifecycle and reference all
relevant IT/technology architecture models as appropriate to infrastructure design and
planning activities

b) Accurately source and collate any relevant information about the capabilities and
availability of IT/technology products, services and equipment in order to make well
reasoned decisions on whether they can be incorporated into designs for IT/technology
infrastructure, under direction

c) Correctly source any relevant internal and external sources of expertise in particular
infrastructure products, services and equipment, as and when required during
infrastructure design and planning activities

d) Correctly identify any potential implications of customer demands and service

requirements, using any information relating to them appropriately in relation to
IT/technology infrastructure design and planning activities, under direction

Competent performance requires Knowledge (4.8.A.1.K.) of how to:

a) operate with
• reference to the systems development lifecycle, as appropriate to IT/technology
infrastructure design and planning activities
• reference to the service lifecycle, as appropriate to IT/technology infrastructure
design and planning activities
• reference to IT/technology architecture models

b) source and collate

• information about the capabilities and availability of IT/technology products,
services and equipment in order to make well reasoned decisions on whether they
can be incorporated into designs for IT/technology infrastructure
• information regarding external suppliers of IT/technology infrastructure design and
planning services
• internal and external sources of expertise in particular infrastructure products,
services and equipment, as and when required

c) identify
• potential implications of customer demands for new and/or enhanced services on
IT/technology infrastructure design and planning activities
• potential implications of service requirements in relation to IT/technology
infrastructure design and planning activities
• any documented problems or errors with any existing infrastructure product/service
and/or items of equipment during IT/technology infrastructure design and planning
activities
• information required from the service catalogue and the targets and levels
contained within it, during any IT/technology infrastructure design and planning
activities
• information regarding any changes, repairs and replacements made to
infrastructure products/services and/or equipment

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Competent performance requires Understanding (4.8.A.1.U.) of:

a) what
• is meant by a Service Improvement plan and a Service Quality plan
• is the relevance of service levels in relation to IT/technology Infrastructure design
and planning activities
• information might need to be referenced and used during IT/Technology
infrastructure design and planning activities
• is the range of available IT/technology equipment/products and services that can be
incorporated into IT/technology infrastructure designs and plans

b) what are the

• different approaches that may apply to the design and planning of hardware,
software and network infrastructure products/services and/or equipment
• implications of technology products/services and/or equipment provided by
external service providers/hosts on IT/technology infrastructure design and planning
activities
• implications of customer demands for new and/or enhanced services on
IT/technology infrastructure design and planning activities
• implications of service requirements in relation to IT/technology infrastructure
design and planning activities
• internal and external standards that apply to IT/technology infrastructure supporting
an organisation
• IT/technology architecture, design and configuration principles and standards that
apply to infrastructure supporting an organisation
• the potential implications of poor quality IT/technology infrastructure designs and
plans on the operation of an organisation
• potential implications of designing IT/technology infrastructure that makes use of
externally provided and/or shared infrastructure products/services, and/or
equipment, either wholly or partially
• advantages and disadvantages of using any individual IT/Technology product,
service or item of equipment within IT/technology infrastructures

c) the fact that

• changes to and/or replacements/refreshes of IT/technology infrastructure often
need to be supported by clearly defined benefits and a business case
• design and planning of IT/technology infrastructure frequently requires the
application of specific expertise
• large, complex infrastructure design and planning assignments may require the
involvement of a number of individuals and teams
• external providers may be required to assist with IT/technology infrastructure design
and planning
• as infrastructure ages, the cost and complexity of repairing faults with it may be
prohibitive and result in the design and planning of new IT/technology infrastructure
• structured processes and procedures are essential for effective IT/technology
infrastructure design and planning activities
• the loss of access to or availability of IT/technology infrastructure products/services
and/or equipment can have a major impact on an organisation’s operational
activities, brand and reputation and designs must ensure continuity of service is
possible
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in IT/technology infrastructure design and planning activities and their
deliverables

d) why
• IT/technology infrastructure needs to be designed and planned

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• some organisations choose to design IT/technology infrastructures that make use of

externally hosted/shared infrastructure products/services and/or equipment whilst
others choose to provide them internally
• IT/technology design and planning activities should only include infrastructure
products/services and/or equipment that has been approved for us within an
organisation’s configuration
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with IT/technology architecture, analysis and design activities needs to
be monitored

e) the importance of
• referencing related design deliverables during IT/technology infrastructure design
and planning activities
• IT/technology infrastructure design and planning activities being informed by future
IT/technology service, capacity and availability needs
• referencing any service improvement plans and service quality plans, during any
IT/technology infrastructure design and planning activities
• referencing the service catalogue and the service targets and levels contained
within it, during any IT/technology infrastructure design and planning activities
• communicating effectively with external providers of IT/technology infrastructure
design and planning services
• making accurate assessment of the cost and complexity of new IT/technology
infrastructure designs and plans
• and relevance of IT/technology infrastructure design and planning activities on the
service lifecycle supporting an organisation
• IT/technology infrastructure design and planning activities being informed and
directed by the business requirements and customer needs
• the interdependency and functionality of infrastructure products/services and/or
equipment during IT/technology infrastructure design and planning activities
• referencing current architecture and configuration management deliverables for
infrastructure products/services and/or equipment during IT/technology
infrastructure design and planning activities
• applying version control, where appropriate, to infrastructure products/services
and/or equipment during IT/technology infrastructure design and planning activities
• and relevance of IT/technology infrastructure design and planning activities on the
full life cycle of information within an organisation
• verifying the accuracy, currency, completeness and relevance of information used
during IT/technology infrastructure design and planning activities
• considering the total effort, elapsed time, risk, complexity and cost that may be
required to develop, test and implement new designs for IT/technology
infrastructure products/services and/or equipment
• having sufficient reliable information data and knowledge about the capabilities and
availability of IT/technology products/services and equipment in order to make well
reasoned decisions on whether they can be incorporated into designs for
IT/technology infrastructure
• IT/technology infrastructure designs and plans supporting the business needs

f) The need for monitoring the quality and effectiveness of IT/technology infrastructure
design and planning activities

g) how
• effective IT/technology infrastructure designs and plans can improve the efficiency
and effectiveness of IT/technology systems, services and assets
• IT/technology infrastructure designs and plans need to support new IT/technology
services, systems and assets

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Competence (4.8.A.2) – Assist with IT/technology infrastructure design and planning activities

This competence will be demonstrated by the following Performance Criteria (4.8.A.2.C.):

a) Negotiate effectively and empathetically with customers who demand new improved
IT/technology infrastructure components, as directed

b) Correctly use relevant information contained within any service improvement and
service quality plans in order to inform IT/technology infrastructure design and planning
activities, under direction

c) Correctly apply any relevant information regarding particular individual infrastructure

components and the technical standards that may apply to them, during IT/technology
infrastructure design and planning activities, as directed

d) Correctly identify and objectively analyse relevant documented problems or errors with
any existing IT/technology infrastructure product, service and items of equipment
together with information regarding any changes, repairs and replacements made to
IT/technology infrastructure products, services and equipment in order to inform
IT/technology infrastructure design and planning activities, under direction

e) Critically interpret and use any relevant information, from the service catalogue and the
targets and levels contained within it in order to inform an IT/technology infrastructure
design and planning assignment

Competent performance requires Knowledge (4.8.A.2.K.) of how to:

a) negotiate with customers who demand new/improved IT/technology infrastructure
components

b) use and apply

• the requirements for the design and planning of individual IT/technology
infrastructure components
• the technical standards required for any individual infrastructure product or item of
equipment
• customer demands for new and/or enhanced services from IT/technology
infrastructure
• the service lifecycle as appropriate to IT/technology infrastructure design and
planning activities
• the systems lifecycle as appropriate to IT/technology infrastructure design and
planning activities
• information contained within any service improvement and service quality plans that
is required for IT/technology infrastructure design and planning
• information from service level agreements required for IT/technology infrastructure
design and planning activities
• information regarding particular individual infrastructure components
• operational information relating to incidents, problems, changes, events and service
availability in order to inform and guide IT/technology infrastructure design and
planning activities
• information required from the service catalogue and the targets and levels
contained within it, during any IT/technology infrastructure design and planning
activities
• information concerning problems or errors with any existing infrastructure
product/service and/or items of equipment during IT/technology infrastructure
design and planning activities
• information regarding any changes, repairs and replacements made to
infrastructure products/services and/or equipment

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c) document
• the processes, tools and techniques applicable to IT/technology infrastructure
design and planning activities and their deliverables
• any further business requirements that are identified so that they can be reflected in
IT/technology infrastructure design and planning activities
• the processes, tools and techniques to monitor the effectiveness of IT/technology
infrastructure design and planning activities and their deliverables

d) analyse
• any documented problems or errors with any existing IT/technology infrastructure
product, service and items of equipment during IT/technology infrastructure design
and planning activities
• information from the service catalogue and the targets and levels contained within
it, IT/technology infrastructure design and planning assignment
• information regarding any changes, repairs and replacements made to
infrastructure products/services and/or equipment

Competent performance requires Understanding (4.8.A.2.U.) of:

a) who
• are the customers of IT/technology infrastructure design and planning activities
• internally or externally has the expertise to produce designs and plans for new,
enhanced IT/technology infrastructure
• needs to be contacted internally and externally to provide information and expertise
for IT/technology infrastructure design and planning activities
• are external providers of IT/technology infrastructure design and planning services

Competence (4.8.A.3) – Assist others with relevant information concerning IT/technology

infrastructure design and planning assignments
This competence will be demonstrated by the following Performance Criteria (4.8.A.3.C.):

a) Provide clear and timely information concerning IT/technology infrastructure design and
planning to sponsors, stakeholders and other relevant internal individuals and groups,
as directed by superiors

b) Assist others in applying information about the capabilities and availability of

IT/technology products, services and equipment in order to make well reasoned
decisions on whether they can be incorporated into designs for IT/technology
infrastructure

c) Be fully accountable for the quality and effectiveness of the designs and plans for any
individual IT/technology infrastructure component

Competent performance requires Knowledge (4.8.A.3.K.) of how to:

a) Provide information concerning IT/technology infrastructure design and planning to

• sponsors and stakeholders
• internal individuals as requested

b) be accountable for the quality and effectiveness of the designs and plans for any
individual IT/technology infrastructure component

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Professional Role:

Competence (4.8.P.1) – Contribute to preparing for IT/technology infrastructure design and

planning activities
This competence will be demonstrated by the following Performance Criteria (4.8.P.1.C.):
a) Correctly implement and maintain the processes, tools and techniques to use for
IT/technology infrastructure design and planning activities

b) Accurately source any relevant IT/technology architecture, design and configuration

principles and standards that apply to IT/technology infrastructure supporting an
organisation, so that it may be used to inform any IT/technology infrastructure design
and planning assignment conducted by self or others

c) Accurately source all relevant information in order to estimate the effort, cost,
complexity, risk and elapsed time for any IT/technology infrastructure decommissioning,
replacement option(s) and prepare a business case, under direction

d) Correctly identify what are the available IT/technology equipment, products and
services that can be considered when designing and planning IT/technology
infrastructure, under direction

Competent performance requires Knowledge (4.8.P.1.K.) of how to:

a) source
• information regarding the progress of the design and planning of individual
IT/technology infrastructure components
• IT/technology architecture, design and configuration principles and standards that
apply to infrastructure supporting an organisation
• future service, capacity and availability needs that the IT/technology infrastructure
needs to provide
• current architecture, design and configuration management deliverables for
infrastructure products, services and equipment during IT/technology infrastructure
design and planning activities
• information in order to estimate the effort, cost, complexity, risk and elapsed time
for any IT/technology infrastructure decommissioning/replacement option(s)
• information to support the reporting of the performance of IT/technology
infrastructure design and planning activities against its targets and/or metrics
• information to prepare clearly defined benefits and a business case for any changes
to and/or replacements, refreshes of IT/technology infrastructure that are required
• best practice in IT/technology infrastructure design and planning activities
• lessons learned from prior IT/technology infrastructure design and planning
activities

b) identify
• who has been allocated which individual IT/technology infrastructure
components/groups of components to design and plan
• who are potential external providers of IT/technology infrastructure design and
planning activities used by the organisation
• information contained within any service improvement and service quality plans that
is relevant to IT/technology infrastructure design and planning
• what information is required to assess the suitability of infrastructure components
• which infrastructure products/services and/or equipment will be provided externally
and which internally
• any issues involved in the external hosting of infrastructure services
• what are the available IT/technology equipment/products and services that can be
considered when designing and planning IT/technology infrastructure

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• information from other design activities that may affect IT/technology infrastructure
design and planning activities
• potential implications of business change, organisational design and/or business
process design/redesign activities on IT/technology infrastructure design and
planning activities
• potential implications of projects and programmes on IT/technology infrastructure
design and planning activities
• potential implications of IT/technology infrastructure design and planning activities
and their deliverables being incorrect, incomplete, inadequate and/or inappropriate
• the objectives of IT/technology infrastructure design and planning
• operational information relating to incidents, problems, changes, events and service
availability in order to inform and guide IT/technology infrastructure design and
planning activities
• information data and knowledge about the capabilities and availability of
IT/technology products/services and equipment in order to make well reasoned
decisions on whether they can be incorporated into designs for IT/technology
infrastructure
• how effective IT/technology infrastructure designs and plans can improve the
efficiency and effectiveness of IT/technology services, systems and assets
• who needs to be contacted internally and externally to provide information to be
used for IT/technology infrastructure design and planning activities
• who needs to authorise designs and plans for new/enhanced IT/technology
infrastructure

c) verify where appropriate, the accuracy, currency, completeness and relevance of any
information relating to known errors or problems with existing IT/technology
infrastructure components

Competent performance requires Understanding (4.8.P.1.U.) of:

a) the role of IT/technology infrastructure design and planning in supporting business

operations and the service strategy
b) the relationship between IT/Technology infrastructure design and planning and their
deliverables and all other architecture, analysis and design activities

c) the processes, tools and techniques that can be used to monitor the
• alignment of IT/technology infrastructure designs and plans with business needs,
service operation objectives and service strategy
• quality and effectiveness of IT/technology infrastructure design and planning
activities and their deliverables
• alignment of IT/technology infrastructure design and planning activities and their
deliverables with any relevant legislation, regulations and external standards

d) what
• is the range of issues associated with IT/technology infrastructure design and
planning activities and their deliverables
• is best practice in IT/technology infrastructure design and planning activities
• is the range of internal and external factors that could result in issues arising with
the current/existing infrastructure

e) the importance of
• ensuring confidentiality, integrity and security during IT/technology infrastructure
design and planning activities
• ensuring that sensitive business information is not disclosed inappropriately during
IT/technology infrastructure design and planning activities

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• metrics to measure the performance of IT/technology infrastructure design and

planning activities
• proactive IT/infrastructure design and planning in trying to improve the availability of
systems, services and assets to support service objectives and the service strategy

Competence (4.8.P.2) – Manage and implement, under supervision, IT/technology

infrastructure design planning activities
This competence will be demonstrated by the following Performance Criteria (4.8.P.2.C.):
a) Correctly identify any potential implications of business change, projects, programmes,
organisational design and/or business process design, redesign activities on
IT/technology infrastructure design and planning activities

b) Correctly identify what information is required to assess the suitability of infrastructure

components that is used in IT/technology infrastructure design and planning activities

c) Correctly use current IT/technology architecture, design and configuration management

deliverables in order to inform and guide IT/technology infrastructure design and
planning activities

d) Critically analyse all relevant information from service improvement and service quality
plans and other related design activities that may affect IT/technology infrastructure
design and planning activities

e) Consider the available and suitable IT/technology equipment, products and services
when designing and planning IT/technology infrastructure

Competent performance requires Knowledge (4.8.P.2.K.) of how to:

a) use
• future service, capacity and availability needs that the IT/technology infrastructure
needs to provide
• current IT/technology architecture, design and configuration management
deliverables for infrastructure products/services and/or equipment during
IT/technology infrastructure design and planning activities
• version control, where appropriate, during IT/technology infrastructure design and
planning activities
• information data and knowledge about the capabilities and availability of
IT/technology products/services and equipment in order to make well reasoned
decisions on whether they can be incorporated into designs for IT/technology
infrastructure
• standards relating to IT/technology infrastructure design and planning activities
• best practice in IT/technology infrastructure design and planning activities
• lessons learned from prior IT/technology infrastructure design and planning
activities

b) document
• clearly defined benefits and a business case for any changes to and/or
replacements/refreshes of IT/technology infrastructure
• designs and plans for infrastructure products/services and/or equipment
• the processes, procedures, methods, tools and techniques to monitor the alignment
of IT/technology infrastructure design and planning activities and their deliverables
with business needs, service delivery/operation objectives and the service strategy
• strategy and policies to ensure the alignment of IT/technology infrastructure design
and planning activities and their deliverables with all relevant legislation, regulations
and external standards

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• standards relating to infrastructure design and planning activities and their

deliverables
• best practice in infrastructure design and planning assignments
• lessons learned from infrastructure design and planning assignments

c) analyse
• future service, capacity and availability needs that the IT/technology infrastructure
needs to provide
• information contained within any service improvement and service quality plans that
is relevant to IT/technology infrastructure design and planning
• information from other design activities that may affect IT/technology infrastructure
design and planning activities
• operational information relating to incidents, problems, changes, events and service
availability in order to inform and guide IT/technology infrastructure design and
planning activities
• information data and knowledge about the capabilities and availability of
IT/technology products/services and equipment in order to make well reasoned
decisions on whether they can be incorporated into designs for IT/technology
infrastructure

d) present
• clearly defined benefits and a business case for any changes to and/or
replacements, refreshes of IT/technology infrastructure
• IT/technology infrastructure designs and plans
• the total effort, elapsed time, risk, complexity and cost that may be required to
develop, test and implement new designs for infrastructure products, services and
equipment
• how effective IT/technology infrastructure designs and plans can improve the
efficiency and effectiveness of IT/technology services, systems and assets

Competent performance requires Understanding (4.8.P.2.U.) of:

a) what are the
• objectives of IT/technology infrastructure design and planning
• potential implications of business change, organisational design and/or business
process design/redesign activities on IT/technology infrastructure design and
planning activities
• potential implications of projects and programmes on IT/technology infrastructure
design and planning activities
• potential implications of IT/technology infrastructure design and planning activities
and their deliverables being incorrect, incomplete, inadequate and/or inappropriate
• benefits and disadvantages of using external providers of IT/technology
infrastructure design and planning services
• implications of internal and external factors on IT/technology infrastructure design
and planning activities and their deliverables
• issues involved in the outsourcing of IT/technology infrastructure design and
planning and external hosting of infrastructure
• potential implications of failings in integrity, confidentiality and information security
during IT/technology infrastructure design and planning activities
• implications of any legislation, regulations and external standards on IT/technology
infrastructure design and planning activities and their deliverables
• implications for an organisation’s operational effectiveness, brand and reputation
that may result from IT/technology infrastructure design and planning activities

Competence (4.8.P.3) – Manage, under supervision, progression of the IT/technology

infrastructure designs
This competence will be demonstrated by the following Performance Criteria (4.8.P.3.C.):

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a) Effectively manage the progress of any IT/technology infrastructure design and planning
assignment, reporting progress to sponsors, stakeholders and superiors as required

b) Effectively manage individuals and teams producing individual IT/technology

infrastructure components or groups of components, under direction

c) Ensure that all changes to replacements or refreshes of IT/technology infrastructure are

supported by clearly defined benefits and a viable business case that contains
accurately assed costs and complexity

d) Ensure that IT/technology infrastructure designs support the business needs

e) Clearly present, to sponsors, stakeholders and superiors, the designs and plans and a
clearly defined benefits and business case which incorporates the total effort, elapsed
time, risk, complexity and cost for any IT/technology infrastructure design and planning
assignment

Competent performance requires Knowledge (4.8.P.3.K.) of how to:

a) manage
• the progress of any IT/technology infrastructure design and planning assignment
• changes to business requirements through change control mechanisms during
IT/technology infrastructure design and planning assignments
• individuals and/or teams producing individual IT/technology infrastructure
components or groups of components

b) take action
• to align IT/technology infrastructure design and planning deliverables with other
design deliverables
• to ensure that there is sufficient reliable information data and knowledge about the
capabilities and availability of IT/technology products/services and equipment in
order to make well reasoned decisions on whether they can be incorporated into
designs for IT/technology infrastructure
• that IT/technology infrastructure designs support the business needs
• all changes to and/or replacements/refreshes of IT/technology infrastructure are
supported by clearly defined benefits and a business case
• that accurate assessment of the cost and complexity of new IT/technology
infrastructure designs takes place

c) report the progress of the design and planning of individual IT/technology infrastructure
components

d) provide information concerning IT/technology infrastructure design and planning to

external individuals and bodies as requested

e) communicate with
• external providers of IT/technology infrastructure design and planning services
• a range of individuals both internally and externally during IT/technology
infrastructure design and planning activities

Competent performance requires Understanding (4.8.P.3.U.) of:

a) why
• the quality and effectiveness of IT/technology infrastructure design and planning
activities and their deliverables need to be monitored

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• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with any relevant legislation, regulations and external standards needs
to be monitored
• the quality and effectiveness of any externally hosted/shared IT/technology
infrastructure products/services and/or equipment services needs to be monitored

b) who
• needs to authorise designs and plans for new/enhanced IT/technology
infrastructure
• are the sponsors of and stakeholders for IT/technology infrastructure design and
planning activities

c) the need for monitoring

• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with business needs, service operation objectives and service strategy
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with any relevant legislation, regulations and external standards
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with other related design activities
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with IT/technology architecture and configuration requirements

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Senior Professional Role:

Competence (4.8.S.1) – Prepare for IT/technology infrastructure design and planning activities
This competence will be demonstrated by the following Performance Criteria (4.8.S.1.C.):

a) Correctly identify the implications of current and future business and customer needs on
IT/technology infrastructure design and planning activities

b) Correctly identify any potential implications of designing IT/technology infrastructure that

makes use of external infrastructure products, services, and equipment either wholly or
partially

c) Correctly identify where design work associated with IT/technology infrastructure design
and planning activities for individual components or groups of components can be
allocated to appropriate individuals of teams

d) Verify the accuracy, currency, completeness and relevance of all information used
during IT/technology infrastructure design and planning activities

e) Verify the reliability of information about the capabilities and availability of IT/technology
products, services and items of equipment

Competent performance requires Knowledge (4.8.S.1.K.) of how to:

a) identify
• where design work associated with IT/technology infrastructure design and planning
activities for individual components/groups of components can be allocated to
appropriate individuals/teams
• the strategy, policies, processes, tools and techniques to use for IT/technology
infrastructure design and planning activities and their deliverables
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with all relevant
legislation, regulations and external standards
• the processes, tools and techniques to monitor the quality and effectiveness of
IT/technology infrastructure design and planning activities and their deliverables
• lessons learned from previous IT/technology infrastructure design and planning
activities and experiences
• when and how to source, use and apply best practice in IT/technology infrastructure
design and planning
• internal and external factors that could impact on IT/technology infrastructure
design and planning activities and their deliverables
• who are the sponsors of and stakeholders for IT/technology infrastructure design
and planning activities
• any legislation, regulations and external standards that may apply to IT/technology
infrastructure design and planning activities
• the implications of business and customer needs on IT/technology infrastructure
design and planning activities
• any issues that may impact on IT/technology design and planning activities and
their deliverables
• clearly defined benefits and a business case for any changes to and/or
replacements/refreshes of IT/technology infrastructure that are required
• internal and external factors affecting IT/technology design and planning activities
and their deliverables
• future service, capacity and availability needs that the IT/technology infrastructure
needs to provide
• technical standards for infrastructure products/services and/or equipment during
IT/technology infrastructure design and planning activities

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• the interdependency and functionality of any infrastructure products/services and/or

equipment during IT/technology infrastructure design and planning activities
• benefits and disadvantages of using external providers of IT/technology
infrastructure design and planning services
• implications of internal and external factors on IT/technology infrastructure design
and planning activities and their deliverables
• architecture, design and configuration principles and standards that apply to
infrastructure supporting an organisation
• implications of failings in integrity, confidentiality and information security during
IT/technology infrastructure design and planning activities
• implications of any legislation, regulations and external standards on IT/technology
infrastructure design and planning activities and their deliverables
• the potential implications of poor quality IT/technology infrastructure designs and
plans on the operation of an organisation
• potential implications of designing IT/technology infrastructure that makes use of
external infrastructure products/services, and/or equipment either wholly or partially
• advantages and disadvantages of using particular individual IT/technology
components and brands within IT/technology infrastructures
• current IT/technology architecture, design and configuration management
deliverables for infrastructure products/services and/or equipment during
IT/technology infrastructure design and planning activities
• any further business requirements that are identified so that they can be reflected in
infrastructure design and planning activities
• issues involved in the external hosting of infrastructure

b) verify
• the accuracy, currency, completeness and relevance of information used during
IT/technology infrastructure design and planning activities
• the reliability of information data and knowledge about the capabilities and
availability of IT/technology products/services and/or items equipment
• the total effort, elapsed time, risk, complexity and cost that may be required to
develop, test and implement new designs for infrastructure products/services and/or
equipment

Competent performance requires Understanding (4.8.S.1.U.) of:

a) what
• legislation, regulations and external standards may apply to IT/technology
infrastructure design and planning activities and their deliverables
• is best practice in IT/Technology Infrastructure design and planning activities
• is the range of internal and external factors that could result in issues arising
with infrastructure design and planning activities

Competence (4.8.S.2) – Implement IT/technology infrastructure design and planning activities

This competence will be demonstrated by the following Performance Criteria (4.8.S.2.C.):

a) Correctly identify and effectively implement strategy, policies, processes, tools and
techniques to use for IT/technology infrastructure design and planning activities

b) Effectively manage the alignment of IT/technology infrastructure design and planning

deliverables with the business requirements, IT/technology architecture and other
analysis deliverables and any relevant legislation, regulations and external standards, in
line with organisational strategy, policies and standards

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c) Source any appropriate technical expertise required to inform and guide IT/technology
infrastructure design and planning activities

d) Critically analyse all relevant business and customer needs so that they can direct and
inform any IT/technology infrastructure design and planning activities

e) Critically analyse current IT/technology architecture, design and configuration

management deliverables for infrastructure products, services and equipment so that
they may direct and guide IT/technology infrastructure design and planning activities

f) Effectively allocate the design of individual IT/technology infrastructure components or

groups of components to appropriate individuals or teams and coordinate and manage
their design efforts, as directed

Competent performance requires Knowledge (4.8.S.1.K.) of how to:

a) source appropriate technical expertise during IT/technology infrastructure design and
planning activities

b) design business cases and proposals for any changes to or replacements, refreshes of
IT/technology infrastructure

a) analyse
• lessons learned from previous IT/technology infrastructure design and planning
activities and experiences
• business and customer needs
• future service, capacity and availability needs that the IT/technology infrastructure
needs to provide
• technical standards for IT/technology infrastructure products, services and
equipment during IT/technology infrastructure design and planning activities
• the interdependency and functionality of any IT/technology infrastructure products,
services and equipment during IT/technology infrastructure design and planning
activities
• current IT/technology architecture, design and configuration management
deliverables for IT/technology infrastructure products, services and equipment
during IT/technology infrastructure design and planning activities
• any further business requirements that are identified so that they can be reflected in
IT/technology infrastructure design and planning activities

c) apply
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with all relevant
legislation, regulations and external standards
• the processes, tools and techniques to monitor the quality and effectiveness of
IT/technology infrastructure design and planning activities and their deliverables
• the processes, tools, techniques and plans to monitor the alignment of
IT/technology infrastructure design and planning activities and their deliverables
with any relevant legislation, regulations and external standards
• strategy and policies to ensure the alignment of IT/technology infrastructure design
and planning activities and their deliverables with all relevant legislation, regulations
and external standards
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy

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• information to support reporting of the performance of IT/technology infrastructure

design and planning activities against targets/metrics
• the most appropriate approaches that may be taken to IT/technology infrastructure
design and planning activities in a range of business and organisational contexts
• information relating to the capabilities and performance of existing or potential
external providers of IT/technology infrastructure design and planning services

d) document
• all of the deliverables from infrastructure design and planning activities
• recommendations as a result of infrastructure design and planning assignments

e) implement and maintain

• metrics to measure the performance of IT/technology infrastructure design and
planning activities
• standards relating to IT/technology infrastructure design and planning activities
• the processes, tools and techniques to use for IT/technology infrastructure design
and planning activities and their deliverables
• the processes, tools and techniques to monitor the quality and effectiveness of
IT/technology infrastructure design and planning activities and their deliverables
• strategy and policies to ensure the alignment of IT/technology infrastructure design
and planning activities and their deliverables with all relevant legislation, regulations
and external standards
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with business
needs, service delivery, operation objectives and the service strategy
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with
IT/technology architecture, analysis and design activities
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with any relevant
legislation, regulations and external standards
• the processes, tools and techniques to monitor the quality and effectiveness of
external providers of IT/technology infrastructure design and planning services

Competence (4.8.S.3) – Maintain effective IT/technology infrastructure design and planning

deliverables
This competence will be demonstrated by the following Performance Criteria (4.8.S.3.C.):

a) Routinely monitor the cost and complexity of new IT/technology infrastructure designs
and the quality and effectiveness of all IT/technology infrastructure design and planning
activities, reporting any issues and findings to superiors

b) Provide effective and timely advice and guidance to other individuals on the total effort,
elapsed time, risk, complexity and cost that may be required to develop, test and
implement new designs for IT/technology infrastructure products, services and
equipment

c) Develop accurate and viable business cases and proposals for any changes to,
replacements or refreshes of, IT/technology infrastructure ensuring that the designs and
plans fall within approved cost guidelines, under direction

d) Critically review the designs, plans and any benefits and business case including the
total effort, elapsed time, risk, complexity and cost for any IT/technology infrastructure
design and planning assignment managed by other individuals

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e) Act decisively and promptly in the event of the deliverables of IT/technology

infrastructure design and planning activities not supporting the business needs and
IT/technology architecture and analysis deliverables and/or being inadequate,
inaccurate, insufficient and/or inappropriate

Competent performance requires Knowledge (4.8.S.3.K.) of how to:

a) manage
• the design efforts of groups and individuals to enable the production of holistic
designs for IT/technology infrastructure products/services and/or equipment
• relationships with external providers of IT/technology infrastructure design and
planning services
• issues arising as a result of internal or external factors in IT/technology
infrastructure design and planning activities
• actions in the event of the deliverables from IT/technology infrastructure design and
planning activities being inadequate, incomplete, inaccurate and/or inappropriate
• any issues arising from a particular IT/technology infrastructure design and planning
assignment
• the impact of any internal and external factors on a particular IT/technology
infrastructure design and planning assignment
• the accuracy, currency and completeness of any IT/technology infrastructure design
and planning deliverables
• the alignment of IT/technology infrastructure design and planning deliverables with
the business requirements
• the alignment of IT/technology infrastructure design and planning activities with
IT/technology architecture and other analysis deliverables
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with any relevant legislation, regulations and external standards, in line
with organisational strategy, policies and standards
• relationships with external providers of IT/technology infrastructure design and
planning services
• relationships with sponsors of and stakeholders for IT/technology infrastructure
design and planning activities

b) monitor
• the cost and complexity of new IT/technology infrastructure designs
• the quality and effectiveness of IT/technology infrastructure design and planning
activities
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with any relevant legislation, regulations and external standards
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with IT/technology architecture, analysis and design activities

c) review
• clearly defined benefits and a business case for any changes to and/or
replacements/refreshes of IT/technology infrastructure
• IT/technology infrastructure designs and plans
• the total effort, elapsed time, risk, complexity and cost that may be required to
develop, test and implement new designs for infrastructure products/services and/or
equipment
• how effective IT/technology infrastructure designs and plans can improve the
efficiency and effectiveness of IT/technology services, systems and assets

d) take actions
• to allocate the design or individual IT/technology infrastructure components or
groups of components to appropriate individuals/teams

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• to co-ordinate the design efforts of groups and individuals to produce holistic

designs for IT/technology infrastructure products/services and/or equipment
• to minimise the total effort, elapsed time, risk, complexity and cost that may be
required to develop, test and implement new designs for infrastructure products,
services and equipment
• to integrate IT/technology infrastructure design and planning activities and their
deliverables, where appropriate, into projects and programmes, where appropriate
• to establish effective relationships with external providers of IT/technology
infrastructure design and planning services
• in the event of the deliverables of IT/technology infrastructure design and planning
activities being inadequate, inaccurate, insufficient and/or inappropriate
• to take account of any internal or external factors affecting IT/technology
infrastructure design and planning activities or their deliverables
• in the event of IT/technology infrastructure design and planning activities not
supporting the business needs and IT/technology architecture and analysis
deliverables
• in the event of external providers not providing the appropriate quality of
IT/technology infrastructure design and planning service
• to ensure IT/technology infrastructure designs and plans fall within approved cost
guidelines
• that sensitive business information is not disclosed inappropriately during
IT/technology infrastructure design and planning activities
• IT/technology infrastructure designs enable other design work to be fulfilled

e) report
• the results from monitoring the alignment of IT/technology infrastructure design and
planning activities and their deliverables with any relevant legislation, regulations
and external standards
• the results from monitoring the alignment of IT/technology infrastructure design and
planning activities and their deliverables with IT/technology architecture, analysis
and design activities
• any issues arising from IT/technology infrastructure design and planning activities
• findings from monitoring the quality and effectiveness of IT/technology infrastructure
design and planning activities and their deliverables

f) advise and guide others on the total effort, elapsed time, risk, complexity and cost that
may be required to develop, test and implement new designs for IT/technology
infrastructure products, services and equipment

Competent performance requires Understanding (4.8.S.3.U.) of:

a) the need for monitoring the quality and effectiveness of external providers of
IT/technology infrastructure design and planning services

b) the processes, tools and techniques that can be used to monitor the quality and
effectiveness of external providers of IT/technology infrastructure design and planning
services

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Lead Professional Role:

Competence (4.8.L.1) – Develop the strategy and policies for IT/technology infrastructure
design and planning activities
This competence will be demonstrated by the following Performance Criteria (4.8.L.1.C.):
a) Design effective strategy and policies relating to all aspects of IT/technology
infrastructure design and planning activities

b) Design specific and meaningful metrics to assess the performance of IT/technology

infrastructure design and planning activities

c) Correctly identify, anticipate and respond effectively to business strategy, changes to

the operating model and other strategic issues that may impact on the IT/technology
infrastructure supporting an organisation

d) Correctly identify the implications of the service strategy and service delivery, operation
objectives on IT/technology infrastructure design and planning activities

e) Correctly identify any implications for an organisation’s operational effectiveness, brand

and reputation that may result from IT/technology infrastructure design and planning
activities

Competent performance requires Knowledge (4.8.L.1.K.) of how to:

a) design
• metrics to measure the performance of IT/technology infrastructure design and
planning activities
• the processes, tools and techniques that can be used to conduct IT/technology
infrastructure design and planning activities in a range of business and
organisational contexts
• the processes, tools and techniques that can be used to monitor the alignment of
IT/technology infrastructure designs and plans with business needs, service
operation objectives and service strategy
• the processes, tools and techniques that can be used to monitor the quality and
effectiveness of IT/technology infrastructure design and planning activities and their
deliverables
• the processes, tools and techniques that can be used to monitor the alignment of
IT/technology infrastructure design and planning activities and their deliverables
with any relevant legislation, regulations and external standards
• the processes, tools and techniques that can be used to monitor the quality and
effectiveness of external providers of IT/technology infrastructure design and
planning services
• the processes, tools and techniques to monitor the alignment of IT/technology
infrastructure design and planning activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy
• strategy and policies to conduct IT/technology infrastructure design and planning
activities
• strategy and policies to ensure the alignment of IT/technology infrastructure design
and planning activities and their deliverables with all relevant legislation, regulations
and external standards

b) identify
• the implications of the service strategy and service delivery/operation objectives on
IT/technology infrastructure design and planning activities

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• the range of approaches that may be taken to IT/technology infrastructure design

and planning and their appropriateness in a range of business and organisational
contexts
• what metrics are to be used to measure the performance of IT/technology
infrastructure design and planning activities
• what actions may be taken in the event of IT/technology infrastructure design and
planning not supporting the business needs, service delivery/operation objectives
and/or the service strategy
• when and how to use external providers for IT/technology infrastructure design and
planning activities
• any issues involved in the outsourcing of IT/technology infrastructure design and
planning
• appropriate internal and/or external technical expertise to use during IT/technology
infrastructure design and planning activities
• implications for an organisation’s operational effectiveness, brand and reputation
that may result from IT/technology infrastructure design and planning activities
• the implications of business strategy, changes to the operating model and other
strategic issues on the IT/technology infrastructure supporting an organisation

c) authorise, agree and contract

• actions
• approaches
• strategy, policies, plans, procedures, standards, methods, tools and techniques
• contractual arrangements with external providers of IT/technology infrastructure
design and planning activities services
• decisions

Competent performance requires Understanding (4.8.L.1.U.) of:

a) what is the range of approaches that may be used to conduct IT/technology
Infrastructure design and planning activities and their appropriateness in a range of
business and organisational contexts

Competence (4.8.L.2) – Direct the management of IT/technology infrastructure design and

planning
This competence will be demonstrated by the following Performance Criteria (4.8.L.2.C.):

a) Take proactive action in IT/technology infrastructure design and planning in order to try
to improve the availability of systems, services and assets to support service objectives

b) Verify any proposed designs and plans developed by others for any changes to existing
IT/technology infrastructure

c) Make clear and timely decisions to improve the quality and effectiveness of
IT/technology infrastructure design and planning activities and their deliverables within
an organisation

d) Correctly identify what actions may be taken in the event of IT/technology infrastructure
design and planning activities not supporting the business needs, service
delivery/operation objectives and/or the service strategy

e) Make well reasoned decisions on when and how to use external providers of
IT/technology infrastructure design and planning services, selecting the preferred
organisations and negotiating/contracting with them accordingly on behalf of the
organisation

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Competent performance requires Knowledge (4.8.L.2.K.) of how to:

a) verify
• the proposed designs and plans for any changes to existing IT/technology
infrastructure

b) make decisions
• on the total effort, elapsed time, risk, complexity and cost that may be required to
develop, test and implement new designs for infrastructure products, services and
equipment
• on the actions to be taken in the event of IT/technology infrastructure design and
planning activities being incomplete, inaccurate, inadequate or inappropriate
• to improve the quality and effectiveness of IT/technology infrastructure design and
planning activities and their deliverables within an organisation
• on when and how to use external providers of IT/technology infrastructure design
and planning services
• on which external providers of IT/technology infrastructure design and planning
services to use
• on the results provided by monitoring IT/technology infrastructure design and
planning activities and their deliverables
• on the actions that may be taken in the event of IT/technology infrastructure design
and planning activities and their deliverables not meeting the business needs
• on the actions that may be taken in the event of IT/technology infrastructure design
and planning activities and their deliverables not aligning with other design and
planning activities
• on the actions that may be taken in the event of external providers of IT/technology
infrastructure design and planning services failing to provide an efficient or quality
service

c) apply the metrics to measure the performance of IT/technology infrastructure design

and planning activities

d) interpret the benefits and business case for any changes to replacements or refreshes
of IT/technology infrastructure that are required

e) advise and guide others on best practice in IT/technology infrastructure design and
planning activities

f) negotiate with external providers of IT/technology infrastructure design and planning

services

Competence (4.8.L.3) – Take effective control of IT/technology infrastructure design and

planning activities and their deliverables
This competence will be demonstrated by the following Performance Criteria (4.8.L.3.C.):
a) Routinely monitor the alignment of IT/technology infrastructure design and planning
activities and their deliverables with business needs, service operation objectives and
the service strategy, taking action where appropriate

b) Regularly monitor the quality and effectiveness of external providers of IT/technology

infrastructure design and planning services, identifying and recommending action where
appropriate

c) Clearly and precisely report the results from monitoring the alignment of IT/technology
infrastructure design and planning activities and their deliverables with business needs,
service operation objectives and service strategy

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Competent performance requires Knowledge (4.8.L.3.K.) of how to:

a) monitor
• the quality and effectiveness of external providers of IT/technology infrastructure
design and planning services
• the alignment of IT/technology infrastructure design and planning activities and their
deliverables with business needs, service operation objectives and the service
strategy

b) report
• findings from monitoring the quality and effectiveness of external providers of
IT/technology infrastructure design and planning services
• the results from monitoring the alignment of IT/technology infrastructure design and
planning activities and their deliverables with business needs, service operation
objectives and service strategy

c) present the overall cost and complexity of designs for new IT/technology infrastructure
to support systems/solutions/services

d) take measures
• to be proactive in IT/technology infrastructure design and planning in order to try to
improve the availability of systems, services and assets to support service
objectives
• to anticipate and respond to business strategy, changes to the operating model and
other strategic issues that may impact on the IT/technology infrastructure
supporting an organisation

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Discipline 5. Solution Development and Implementation

This discipline area is concerned with the knowledge and understanding required to create, test,
integrate and implement software solutions.

The areas of competence are:

5.1 Systems development

This area of competence covers the competencies required to develop/enhance, acquire, reuse
and/or commission a range of systems elements, such as software, hardware and network
elements and interface them to produce an holistic, ‘end to end’ working information technology
system that meets a specific business need

5.2 Software development

This sub discipline covers the core competencies required to create software to address the
needs of business problems and opportunities, resulting in a variety of software solutions,
ranging from operating and control software to web based or specialist applications, such as
accounting software and games software.
Development activities produce software that translates the design deliverables from HCI
design, data design and software design, into working software. These designs will include, at a
detailed level, functions and processing, interfaces, data handling and storage needs and how
the system will be used by and interact with people, as appropriate. Development involves the
translation of the designs into working software solutions that meet the business needs.
There is a wide range of software development activities that may be undertaken in a variety of
environments appropriate to both the business and technical contexts in which they will be
used, The software development environments used will be selected and specified during the
design phase when the physical models are produced.
In some organisations, software development may be undertaken as part of a holistic life cycle
approach where one individual or team may complete all stages; whereas in other
organisations, each stage of development may be undertaken by individuals or teams or as part
of projects and/or programmes.

5.3 Testing
This sub-discipline covers the competencies required to ensure the design, planning, execution
and review of the testing of all of the elements that constitute an IT and/or other technology
system, both individually and as part of a holistic end to end system.
The criteria for testing are derived from a range of sources including the business requirements,
expected benefits, service management requirements, expectations of stakeholders and any
legislative or regulatory requirements. When testing activity identifies aspects of an IT and/or
other technology system that do not meet these criteria, remedial activity is typically undertaken
through re-design and re-development activities prior to re-testing of the amended deliverables.
Design of testing incorporates the competencies required to interpret the criteria for testing into
a testing strategy and test plans that define who will test, what will be tested, with what data,
where and how testing is to occur and the expected results of tests.
Any IT and/or other technology system will have a wide range of stakeholders and testing must
ensure that all of their needs have been accommodated before the implementation of the
system. Typical testing might include functional testing (often carried out during development
work), integration testing, system testing, end user testing, acceptance testing and operational
testing.
The competencies required to undertake functional testing of software components are not
included within this sub-discipline, but within the software development sub-discipline, as
functional component testing is considered to be an integral part of development work.

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5.4 Systems integration

This sub discipline covers the competencies required to integrate a range of system elements
together operationally in order to form a coherent set of capabilities that meets the business
needs. These elements or components will already have been subject to systems development
activity to ensure that they can interface with each other in order to produce an holistic ‘end to
end’ IT/technology system. It also covers the competencies required to integrate larger
IT/technology systems, system components and subsystems, each providing unique and
discrete services, in order to support processes which typically span either across business
units and functions within an organisation and/or across organisational boundaries.
Cross organisational integration activities are most commonly required as a result of business
and organisational change such as merger, acquisition partnering and joint venture activity
between organisations, during which the need to integrate and process information, particularly
that relating to customers and revenue, must be maintained, protected and operated with a
minimum of disruption. Failure to integrate systems rapidly and seamlessly is frequently cited as
one of the main causes of the failure to realise the value from such wide ranging business
change
Systems integration activities require a broad range of competencies due to the diverse
characteristics of individual system components that need to be integrated together. These
components may include hardware, software and network system capabilities that have been
developed, acquired or commissioned. Some may be new and others may already be
implemented and used within the infrastructure and are available for reuse

5.5 Systems implementation and handover

This sub-discipline covers the competencies required to plan and manage the effective
installation, implementation and handover of an information technology system. It also includes
the competencies required to ensure that post implementation review activities take place.
Planning of installation, implementation and handover activities may commence at an early
point in the lifecycle, in some cases running in parallel with analysis, design and development
activities. In the case of information technology systems, services and assets that require
implementation on a national or global scale, many of the activities relating to education and
training will commence well in advance of any planned implementation date(s). In some
organisations, installation, implementation and handover may be initiated as part of wider
change management activities within an organisation.

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5.1 Systems development

This area of competence covers the competencies required to develop/enhance, acquire, reuse
and/or commission a range of systems elements, such as software, hardware and network
elements and interface them to produce an holistic, ‘end to end’ working information technology
system that meets a specific business need

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Associate Professional Role

Competence (5.1.A.1): Carry out system development activities under direction
This competence will be demonstrated by the following Performance Criteria (5.1.A.1.C):
a) Follow specified organisational standards for the systems development lifecycle
b) Correctly use systems development procedures, tools and techniques, as directed by
superiors
c) Comply with any relevant legislation, regulation and external standards relating to
systems development activities
d) Identify correctly required inputs and outputs to individual system elements in order to
ensure the integrity of the" end to end" IT/Technology system
e) Gather specified information required to support decision making relating to ‘buy or build’
options‘ including ‘off the shelf’ packaged systems and services
f) Document accurately decisions made regarding 'buy or build' options and other decisions
made relating to systems development activities.

Competent performance requires Understanding (5.1.A.1.U) of:

a) What is meant by a system and the range of elements, including software, hardware and
networking that can constitute it
b) The value and role of systems development in addressing business problems and
opportunities
c) The systems development lifecycle and related organisational standards
d) The relationship between systems development activities and testing activities
e) The activities and tasks involved in systems development
f) The fact that system elements, such as hardware, software and network communication
system elements may need to be developed or acquired/commissioned or existing ones
enhanced, in order to meet business needs for an ‘end to end’ IT/technology system
g) The fact that external providers of systems development services exist
h) The fact that a range of individuals may work together to develop systems elements that
comprise an ‘end to end’ IT/technology system
i) The importance of accurately translating design deliverables in systems development
work
j) The importance of documenting the deliverables from systems development work in a
clear and understandable manner that will allow further development, amendments and
updates to be made to solutions
k) The procedures, tools and techniques that can be used to conduct and document
systems development activities

Competent performance requires Knowledge (5.1.A.1.K) of how to:

a) Use and apply the systems development lifecycle
b) Use systems development procedures, tools and techniques
c) Operate with reference to:
• organisational standards for systems development activities
• professional and ethical standards in systems development activities
• integrity and confidentiality during systems development activities

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d) Comply with relevant legislation and regulations for systems development activities
e) Identify what inputs and outputs are required between individual system elements in
order to ensure the integrity of the ‘end to end’ IT/technology system
f) Gather information required to support decision making
g) Document:
• decisions made relating to ‘buy or build’ options
• decisions made relating to the use of external providers of systems development
activities

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Professional Role
Competence (5.1.P.1): Perform systems development activities
This competence will be demonstrated by the following Performance Criteria (5.1.P.1.C):
a) Follow organisational standards for the systems development lifecycle
b) Correctly select and apply systems development procedures, tools and techniques
following organisational standards
c) Operate with reference to systems architecture, design and service level requirements
and the environment in which an IT/technology system will operate
d) Collate, interpret and document relevant information relating to architecture models and
existing system elements in order to inform systems development activities
e) Collate, interpret and document relevant information from design deliverables, service
level requirements and operational environments to inform systems development
activities

Competent performance requires Understanding (5.1.P.1.U) of:

a) The fact that systems development involves the enhancement, commissioning, reuse or
acquisition of system elements, such as software, hardware and network
communications, that may be combined to produce an holistic, ‘end to end’ working
IT/technology system to meet a business need
b) The stages of activity that constitute systems development
c) The importance and relevance of systems development activities to the full life cycle of
information within an organisation
d) The importance and relevance of systems architecture to systems development work
e) The importance of systems development activities being informed and directed by the
deliverables from systems design
f) What is involved in translating systems designs into working IT/technology systems
g) The importance of ensuring that any systems development uses all relevant inputs to it
and provides all necessary outputs from it
h) The fact that new systems may need to be developed or existing systems enhanced,
adapted or decommissioned to take account of changing business needs
i) The fact that IT/technology solutions frequently need to be able to operate on a wide
range of hardware platforms and across a range of network communication
infrastructures, as appropriate to the business needs
j) The information that needs to be referenced and used during systems development
activities
k) The importance of verifying the accuracy, currency, completeness and relevance of
information used during systems development activities
l) What are the potential implications of systems development deliverables being incorrect,
incomplete, inadequate and/or inappropriate
m) The fact that all system elements must work coherently and efficiently together to
provide an effective and ‘fit for purpose’ IT/technology system

Competent performance requires Knowledge (5.1.P.1.K) of how to:

a) Collate, interpret and document information in order to inform systems development
activities:
• relating to architecture models

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• from design deliverables

• on existing system elements that may be reused, enhanced or may need to be
commissioned/decommissioned
• the service levels and operational environment

b) Use and apply

• organisational standards for systems development activities
• organisational standards for the use of external providers of systems
development services and/or ‘off the shelf’ packages and services
• the procedures, tools and techniques for systems development activities
c) Operate with reference to systems architecture, design and service level requirements
and the environment in which an IT/technology system will operate

Competence (5.1.P.2): Contribute to the management of systems development

This competence will be demonstrated by the following Performance Criteria (5.1.P.2.C):
a) Assist with identifying, collating and documenting requirements for co-ordinating systems
development with testing activities and the results of any testing carried out as part of
systems development activities
b) Document and provide information from systems development activities in accordance
with organisational standards
c) Accurately gather and document information on existing or potential external providers of
systems development activities according to organisational standards
d) Assist with the co-ordination of systems development activities with other solution
development and implementation activities
e) Accurately document how the system and all its elements has been developed and
functions

Competent performance requires Understanding (5.1.P.2.U) of:

a) The importance and relevance of systems development activities to systems testing,
integration and implementation activities associated with production of an ‘end to end’
IT/ technology system
b) The relationship between systems development activities and service management
activities
c) The value and role of ‘off the shelf’ packaged systems and services in meeting business
needs
d) The importance of managing changes to business requirements through change control
mechanisms during systems development activities
e) The importance of ensuring co-ordination between systems development, systems
testing, systems integration, installation and implementation activities
f) The importance of securing sign off of systems development deliverables
g) Who needs to be involved in, and informed of systems development activities

Competent performance requires Knowledge (5.1.P.2.K) of how to:

a) Identify any requirements for co-ordinating systems development with testing activities

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b) Collate, interpret and document information:

• required for co-ordinating systems development and testing activities
• on the capabilities of existing or potential external providers of products and
systems development activities
c) Use and apply organisational standards for the use of external providers of systems
development services and/or ‘off the shelf’ packages and services
d) Document:
• how the system and all its elements has been developed and functions
• systems development deliverables accurately and clearly to allow further
development, amendments and updates to be made to IT/technology systems
• decisions made during systems development activities
• changes authorised and actioned during systems development activities
• lessons learned to inform future systems development assignments
• the results of any testing that has been carried out during development work
e) Provide updated information, as appropriate, for use in:
• systems architecture and design deliverables as a result of systems
development activities
• operational and service management documentation as a result of systems
development activities
f) Provide deliverables from systems development activities to testing and integration
activities

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Senior Professional Role

Competence (5.1.S.1): Implement the infrastructure for systems development activities

This competence will be demonstrated by the following Performance Criteria (5.1.S.1.C):
a) Select and apply appropriate standards relating to systems development activities
b) Identify and implement systems development procedures, tools and techniques
c) Implement and maintain effectively the procedures, tools and techniques to monitor and
assess the effectiveness of systems development activities
Competent performance requires Understanding (5.1.S.1.U) of:
a) The range of approaches that may be used to undertake systems development, and their
appropriateness in a range of business and organisational contexts
b) The range of issues associated with systems development activities
c) Best practice in systems development
d) The potential implications of failings in integrity, confidentiality and information security
during systems development activities
e) The procedures, tools and techniques that can be used to:
• conduct and document systems development activities
• monitor the progress of systems development activities against standards and
budgets
• manage the assessment, selection and delivery of ‘off the shelf’ packaged
systems and services
• monitor the alignment of internal and external systems development activities
and ‘off the shelf’ packages and services with any relevant legislation,
regulations and external standards
• monitor the alignment of with any relevant legislation, regulations and external
standards
• monitor the alignment of systems development work with systems designs and
service level and operational requirements
• monitor the alignment of systems development and testing activities
• monitor the delivery from and the quality and effectiveness of external providers
of systems development deliverables
• monitor the delivery, quality and effectiveness of ‘off the shelf’ packages and
services
• monitor the quality and effectiveness of internal and external systems
development activities

Competent performance requires Knowledge (5.1.S.1.K) of how to:

a) Identify, select and apply standards relating to:
• internal systems development activities
• the use of external providers of systems development services and ‘off the shelf’
packages and services

b) Identify, select and implement procedures, tools and techniques to:

• conduct and document systems development activities
• monitor the progress of systems development activities against standards and
budgets
• manage the assessment, selection and delivery of ‘off the shelf’ packaged
systems and services

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• monitor the alignment of internal and external systems development activities

and ‘off the shelf’ packages and services with any relevant legislation,
regulations and external standards
• monitor the alignment of with any relevant legislation, regulations and external
standards
• monitor the alignment of systems development work with systems designs and
service level and operational requirements
• monitor the alignment of systems development and testing activities
• monitor the delivery from and the quality and effectiveness of external providers
of systems development deliverables
• monitor the delivery, quality and effectiveness of ‘off the shelf’ packages and
services
• monitor the quality and effectiveness of internal and external systems
development activities

Competence (5.1.S.2): Initiate systems development activities

This competence will be demonstrated by the following Performance Criteria (5.1.S.2.C):
a) Correctly identify sponsors of and stakeholders for any systems development assignment
b) Verify the accuracy, currency, completeness and relevance of information used during
systems development activities
c) Interpret all information that needs to be considered during any systems development
assignment
d) Recommend effective well argued proposals on ‘buy or build’ options in order to meet
business needs

Competent performance requires Understanding (5.1.S.2.U) of:

a) Who are the sponsors of and stakeholders for any systems development activities
b) The range of system elements that may be developed, enhanced or
acquired/commissioned in order to produce a working IT/technology system
c) The implications of external factors on systems development activities
d) The fact that effective systems development activities require clear and timely decision
making about which system elements are to be developed/enhanced, which are to be
commissioned, which can be reused and which need to be acquired
e) The fact that the selection of the most appropriate systems elements to be used is a
critical aspect of systems development activities
f) Who are the external providers of systems development services
g) The benefits and disadvantages of using external systems development providers
h) The benefits and disadvantages of using ‘off the shelf’ packaged systems and services in
a range of business and organisational contexts
i) The importance of assessing ‘off the shelf’ package systems and services against design
deliverables and business requirements in order to identify gaps and mismatches
j) The importance of making timely decisions as to how to close any gaps between ‘off the
shelf’ package systems and services and design deliverables and business
requirements

Competent performance requires Knowledge (5.1.S.2.K) of how to:

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a) Identify who are the internal and external sponsors of, and stakeholders for, any systems
development activities
b) Verify the accuracy, currency, completeness and relevance of information used during
systems development activities
c) Identify and apply lessons learned from previous systems development assignments
d) Use information to identify:
• the full range of design specifications required to support the ‘end to end’
IT/technology system
• what system elements need to be developed, acquired, commissioned and
combined in order to produce the ‘end to end’ IT/technology system
• which packaged systems and services should be considered and/or assessed
against the design deliverables and business requirements
• which existing system elements should be considered for reuse, enhancement
and or decommissioning in order to meet the business requirements
• service level and operational requirements that must be met by systems
development deliverables
• the gaps and mismatches that may exist between business requirements and
package systems and services
• external factors in systems development activities
• what inputs need to be incorporated into any system and what required outputs
need to be produced from it
• the rules and controls required to ensure the integrity and security of the
proposed IT /technology system

e) Manage the assessment of the suitability of:

• ‘off the shelf’ packages and services to meet business needs for an
IT/technology system
• external providers of systems development services to meet business needs for
an IT/technology system

Competence (5.3.S.3): Manage systems development activities

This competence will be demonstrated by the following Performance Criteria (5.1.S.3.C):
a) Ensure the alignment of systems development activities with all relevant legislation,
regulations and external standards in line with organisational policies and strategy
b) Ensure the co-ordination of systems development activities with all other solution
development and implementation activities within own area of accountability
c) Ensure that the ‘end to end’ IT/technology system incorporates all system elements in a
way which ensures its optimum effectiveness
d) Take timely and appropriate action in the event of systems development
activities/packages not supporting the business needs
e) Effectively manage external providers of systems development services and products

Competent performance requires Understanding (5.1.S.3.U) of:

a) The legislation, regulations and external standards that may apply to systems
development activities
b) The fact that the impact of any relevant legislation, regulations and external standards
needs to be reflected in systems development activities
c) Why systems development activities need to be aligned with testing activities

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d) The importance of ensuring co-ordination between systems development and service

management activities
e) The importance of agreeing how the ‘end to end’ IT/technology system will be integrated
and implemented with sponsors and stakeholders during systems development
f) Who needs to sign off systems development deliverables or the
acquisition/commissioning of package elements or system deliverables
g) The importance of integrating systems development activities into projects and
programmes, as appropriate
h) The importance of handing over responsibility for the system to systems testing,
integration and implementation activities
i) The importance of ensuring all system elements work coherently together in the most
effective manner to meet the business requirements and that the effectiveness of
individual system elements may need to be compromised in order to achieve this
j) The importance of managing relationships with and deliverables from external providers
of systems development services and products

Competent performance requires Knowledge (5.1.S.3.K) of how to:

a) Identify who:
• needs to be involved in any systems development activities
• needs to sign off any systems development or package selection deliverables

b) Use and apply information to manage systems development activities

• from architecture models and design deliverables
• from service level and operational requirements
• relating to the business

c) Manage:
• changes to business requirements through change control mechanisms during
systems development activities
• the co-ordination of the delivery of a range of system elements from internal and
external sources
• the combination of individual system elements into a working ‘end to end’
IT/technology system to meet the business needs
• the alignment of systems development activities with all relevant legislation,
regulations and external standards
• the acquisition, commissioning and decommissioning of appropriate system
elements
• the sign off of systems development deliverables
• the hand over of responsibility for an ‘end to end’ developed system to systems
testing, integration and implementation activities
• relationships with external providers of software development services and
products

d) Design and develop systems:

• aligned to architecture models and systems design deliverables
• aligned to service level and operational requirements

e) Take actions:
• in the event of systems development activities not supporting the business
needs

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• in the event of systems development deliverables/packages failing to operate as

required to support the business needs
• to take account of external factors external in systems development activities

f) Take actions to ensure:

• that the ‘end to end’ IT/technology system incorporates all system elements in a
way which ensures its optimum effectiveness
• that inputs that need to be incorporated within any system and the outputs
required from it are in place
• co-ordination between systems development and any relevant testing,
integration, implementation and service delivery activities
• the rules and controls required to ensure the integrity and security of the
proposed are applied consistently across all system elements supporting the
‘end to end’ IT/technology system
• that consistent and coherent standards are applied across all system elements
used in an IT/technology system
• that systems development activities are integrated, where appropriate, into
projects and programmes

Competence (5.1.S.4): Monitor, analyse and report on systems development activities

This competence will be demonstrated by the following Performance Criteria (5.1.S.4.C):
a) Monitor the quality and progress of systems development work within own area of
accountability, reporting any issues in a timely manner
b) Communicate effectively and in a timely manner with sponsors, stakeholders and external
bodies on all aspects of systems development activities
c) Clearly and accurately present and report as requested, findings and recommendations
from systems development activities

Competent performance requires Understanding (5.1.S.4.U) of:

a) The fact that rules and controls are required to operate consistently across all systems
elements to ensure the integrity and security of any proposed IT/technology system
b) Why systems development activities and external deliverables need to be monitored:
• for alignment with any relevant legislation, regulations and external standards
• for alignment with systems designs and service level and operational
requirements
• for quality an effectiveness
• to optimise the use of system resources
• to ensure confidentiality, integrity and security
c) Why the quality and effectiveness of systems development activities needs to be
monitored
d) The importance of managing relationships with sponsors, stakeholders and external
bodies

Competent performance requires Knowledge (5.1.S.4.K) of how to:

a) Verify that a complete set of system elements have been identified, selected and are
available for use in an IT/technology system

b) Monitor, analyse and report on:

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• the progress of systems development activities against standards and budgets

• the alignment of internal and external systems development activities and ‘off
the shelf’ packages and services with any relevant legislation, regulations and
external standards
• the alignment with any relevant legislation, regulations and external standards
• the alignment of systems development work with systems designs and service
level and operational requirements
• the alignment of systems development and testing activities
• the delivery of development deliverables from external providers of systems
• the delivery, quality and effectiveness of ‘off the shelf’ packages and services
• the quality and effectiveness of internal and external systems development
activities

c) Manage relationships with sponsors, stakeholders and external bodies on matters relating
to systems development activities
d) Present information on systems development activities in an understandable form to a
wide range of sponsors, stakeholders and other individuals, in order to confirm
understanding and ensure business needs are being met
e) Identify and document lessons learned from software development activities to inform
future assignments

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Lead Professional Role

Competence (5.1.L.1): Control the infrastructure for systems development activities

This competence will be demonstrated by the following Performance Criteria (5.1.L.1.C):
a) Design and implement effective and appropriate systems development standards,
procedures, tools and techniques
b) Determine the most appropriate approach to be taken to systems development activities
c) Advise others, both internally and externally, on appropriate best practice in systems
development
d) Advise and guide others on all aspects of systems development activities

Competent performance requires Understanding (5.1.L.1.U) of:

No additional understanding defined for this role.

Competent performance requires Knowledge (5.1.L.1.K) of how to:

a) Identify the range of approaches that may be taken to systems development activities and
their appropriateness in a range of business and organisational contexts
b) Design and implement:
• standards relating to systems development activities
• standards relating to the use of external providers of systems development
services and/or ‘off the shelf’ packages and services
• the procedures, tools and techniques to use for systems development activities
• the procedures, tools and techniques to monitor the progress of systems
development activities against plans, schedules, quality standards and budgets
• the procedures, tools and techniques to use to manage the delivery of ‘off the
shelf’ packaged systems and services and/or systems developed by external
providers
• the procedures, tools and techniques and plans to monitor the alignment of
systems development activities with any relevant legislation, regulations and
external standards
c) Advise and guide others on:
• all aspects of systems development activities
• best practice in systems development
• the assessment and selection of ‘off the shelf’ package systems and services

Competence (5.1.L.2): Control systems development activities

This competence will be demonstrated by the following Performance Criteria (5.1.L.2.C):
a) Make appropriate decisions on the appropriateness of ‘off the shelf’ packaged systems
and services to meet the business needs
b) Make effective decisions regarding external suppliers of systems development services
c) Identify and make rational decisions on when it is necessary to combine bespoke
developed systems elements with others that have been acquired/commissioned in
order to create the ‘end to end’ IT/technology system

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d) Monitor and analyse systems development activities and act on findings in a timely
manner
e) Take timely and appropriate action to resolve issues escalated by less experienced
individuals relating to the alignment of systems development activities with other
solution development and implementation activities
f) Verify that correct decisions are made regarding which system elements are to be
developed/enhanced, which are to be commissioned, which can be reused, which need
to be acquired and which may need to be decommissioned
g) Take timely and appropriate action in the event of systems development
deliverables/packages failing to operate as required to support the business needs

Competent performance requires Understanding (5.1.L.2.U) of:

No additional understanding defined for this role.

Competent performance requires Knowledge (5.1.L.2.K) of how to:

a) Identify and select when and how:
• packaged systems and services should be considered to meet the business
needs for an IT/technology system
• to use external providers of systems development services
b) Identify and select when it is necessary to combine bespoke developed systems
elements with others that have been acquired/commissioned in order to create the ‘end
to end’ IT/technology system
c) Monitor and analyse the quality and effectiveness of:
• internal and external systems development activities
• external providers of systems development products and services
d) Identify, select and implement the actions to be taken:
• to close any gaps and mismatches between ‘off the shelf’ package systems and
services and design deliverables and business requirements
• in the event of systems development activities/packages not supporting the
business needs as reflected in systems design deliverables
• in the event of systems development deliverables/packages failing to operate as
required to support the business needs
• in the event of ‘off the shelf’ packages and services not supporting the business
needs
• in the event of ‘off the shelf’ packages and services failing to operate as required
to support the business needs
• to ensure the optimal use of individual system elements during systems
development activities
e) Verify that correct decisions are made regarding which system elements are to be
developed/enhanced, which are to be commissioned, which can be reused, which need
to be acquired and which may need to be decommissioned

Competence (5.1.L.3): Manage external relationships during systems development

activities

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This competence will be demonstrated by the following Performance Criteria (5.1.L.3.C):

a) Negotiate effectively and tactfully with sponsors and stakeholders during systems
development activities
b) Agree how the IT/technology system will operate with sponsors and stakeholders during
systems development
c) Liaise as appropriate with external bodies on all aspects of software development
activities
d) Secure sign off of systems development deliverables from all sponsors and stakeholders

Competent performance requires Understanding (5.1.L.3.U) of:

No additional understanding defined for this role.

Competent performance requires Knowledge (5.1.L.3.K) of how to:

a) Negotiate and agree with sponsors and stakeholders during systems development on
how:
• the IT /technology system will operate and support business needs
• with sponsors and stakeholders during systems development on how gaps and
mismatches between requirements and packaged systems and services will be
met
b) Negotiate and contract with external providers of systems development services

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5.2 Software development

This sub discipline covers the core competencies required to create software to address the
needs of business problems and opportunities, resulting in a variety of software solutions,
ranging from operating and control software to web based or specialist applications, such as
accounting software and games software.
Development activities produce software that translates the design deliverables from HCI
design, data design and software design, into working software. These designs will include, at a
detailed level, functions and processing, interfaces, data handling and storage needs and how
the system will be used by and interact with people, as appropriate. Development involves the
translation of the designs into working software solutions that meet the business needs.
There is a wide range of software development activities that may be undertaken in a variety of
environments appropriate to both the business and technical contexts in which they will be
used, The software development environments used will be selected and specified during the
design phase when the physical models are produced.
In some organisations, software development may be undertaken as part of a holistic life cycle
approach where one individual or team may complete all stages; whereas in other
organisations, each stage of development may be undertaken by individuals or teams or as part
of projects and/or programmes.

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Pre-Entry / Junior Technician Role:

Competence (5.2.J.1): Perform specified software development activities
This competence will be demonstrated by the following Performance Criteria (5.2.J.1.C):
a) Follow organisational standards for the systems development lifecycle
b) Use given information relating to IT architecture models together with business, data and
HCI design deliverables to inform software development and testing activities
c) Correctly use specified software development procedures, tools and techniques to create
software that meets given designs
d) Functionally test that given designs have been met
e) Use naming conventions and standards in line with organisational standards
f) Use appropriate programming constructs to produce effective software
g) Document own software development activities

Competent performance requires Understanding (5.2.J.1.U) of:

a) What is meant by software development and the stages of activity that constitute it
b) The fact that many developers may work together to develop differing elements of a total
software solution and these individual software elements need to work coherently
together
c) The importance of the systems development lifecycle as it relates to software
development activities
d) The relationship between physical software design, data and HCI design and software
development
e) the value and role of software development in addressing business problems and
opportunities
f) The fact that new software may need to be developed or existing software enhanced or
adapted to take account of changing business needs
g) The fact that software solutions must combine data and the commands to manipulate it in
the most effective manner to meet the business requirements
h) The relationship between programming languages and file/database structures
i) Data types that can be used and how they can be represented and manipulated in
software development work
j) Programming constructs available and the uses they can be put to
k) The activities and tasks involved in software development
l) Why naming conventions and standards are used during software development work
m) The importance of documenting software development and testing activities in a clear
and understandable manner that will allow further development, amendments and
updates to be made to solutions

Competent performance requires Knowledge (5.2.J.1.K) of how to:

a) Operate with reference to organisational standards for software development activities
b) Use and apply the systems development lifecycle as appropriate to software development
activities
c) Identify:
• the functional requirements for individual software components

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• information required to perform functional testing

• functional and unit testing which will be required as an integral part of development
work
• appropriate programming constructs to produce effective software

d) Use and apply:

• specified software development procedures, tools and techniques
• naming conventions and standards in line with organisational standards
• appropriate programming constructs to produce effective software
• information relating to data and HCI design deliverables in order to inform software
development activities
• the procedures, tools and techniques to undertake functional testing

e) Document software development and testing activities accurately and clearly to allow
further development, amendments and updates to be made to solutions

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Associate Professional Role:

Competence (5.2.A.1): Assist with the management of software development activities
This competence will be demonstrated by the following Performance Criteria (5.2.A.1.C):
a) Follow organisational standards for the systems development lifecycle
b) Assist with the collation and use of information relating to IT architecture models together
with business, data and HCI design deliverables in order to inform software
development and testing activities
c) Assist in specifying precisely how the software that has been developed functions
d) Assist with the documentation of software development activities

Competent performance requires Understanding (5.2.A.1.U) of:

a) The importance of the systems development lifecycle as it relates to software
development activities
b) What is meant by software development and the stages of activity that constitute it
c) The fact that many developers may work together to develop differing elements of a total
software solution and these individual software elements need to work coherently
together
d) The importance of verifying the accuracy, currency, completeness and relevance of
information used during software development activities
e) The relationship between physical software design, data and HCI design and software
development
f) The importance of accurately translating design deliverables in software development
work
g) The importance of and value of software development activities being informed and
directed by the deliverables from software design
h) the relationship between software development and other solution development and
implementation activities
i) the value and role of software development in addressing business problems and
opportunities
j) The fact that new software may need to be developed or existing software enhanced or
adapted to take account of changing business needs
k) The fact that external providers of software development services exist
l) The importance of documenting software development and testing activities in a clear and
understandable manner that will allow further development, amendments and updates
to be made to solutions

Competent performance requires Knowledge (5.2.A.1.K) of how to:

a) Use and apply the systems development lifecycle as appropriate to software development
activities
b) Collate information from data and HCI design deliverables in order to inform software
development and testing activities
c) Verify functional requirements for individual software components
d) Document software development and testing activities accurately and clearly to allow
further development, amendments and updates to be made to solutions

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Competence (5.2.A.2): Carry out software development activities under direction

This competence will be demonstrated by the following Performance Criteria (5.2.A.2.C):
a) Correctly use software development procedures, tools and techniques, as directed by
superiors
b) Comply with any relevant legislation, regulation and external standards relating to
software development activities
c) Create software that incorporates the full range of design specifications, for example
those relating to data and HCI, in order to produce effective software
d) Functionally test that the processing and functional needs specified within logical and
physical software design deliverables have been met
e) Use naming conventions and standards in line with organisational standards
f) Use appropriate programming constructs to produce effective software
g) Optimize the use of system resources in software

Competent performance requires Understanding (5.2.A.2.U) of:

a) The fact that software solutions must combine data and the commands to manipulate it in
the most effective manner to meet the business requirements
b) What is meant by the syntax (grammar) of a programming language
c) The relationship between programming languages and development environments
d) The relationship between programming languages and file/database structures
e) What is involved in translating physical designs into working software
f) Data types that can be used and how they can be represented and manipulated
g) Programming constructs available and the uses they can be put to
h) The inputs to and required outputs from any piece of software development
i) The activities and tasks involved in software development
j) Why naming conventions and standards are used during software development work
k) The importance of optimising the use of system resources in software development work
l) The importance of ensuring that any software development uses all relevant inputs to it
and provides all necessary outputs from it
m) The fact that software development deliverables must meet design requirements

Competent performance requires Knowledge (5.2.A.2.K) of how to:

a) Interpret physical and logical designs to Identify and select:
• the processing and functional needs specified within logical and physical software
design deliverables
• the functional requirements for individual software components
• what inputs need to be incorporated into software and what required outputs need to
be produced from it
• information required to perform functional testing
• functional and unit testing which will be required as an integral part of development
work
• appropriate programming constructs to produce effective software

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b) Use and apply:

• specified software development procedures, tools and techniques
• naming conventions and standards in line with organisational standards
• appropriate programming constructs to produce effective software
• information relating to data and HCI design deliverables in order to inform software
development activities
• the procedures, tools and techniques to undertake functional testing

c) Operate with reference to:

• organisational standards for software development activities
• professional and ethical standards in software development activities
• integrity and confidentiality during software development activities
• design requirements and operating environments

d) Comply with all relevant and applicable legislation and regulations relating to software
development activities
e) Optimise the use of system resources in software

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Professional Role:
Competence (5.2.P.1): Plan software development activities
This competence will be demonstrated by the following Performance Criteria (5.2.P.1.C):
a) Assist with the identification of sponsors of and stakeholders for software development
activities
b) Identify and collate information on IT architecture models and design deliverables to
inform software development
c) Verify data and information contained within software development deliverables
d) Allocate the development of software components to subordinates
e) Ensure that software components will operate on the required range of technology
platforms

Competent performance requires Understanding (5.2.P.1.U) of:

a) who are the sponsors of and stakeholders for software development activities
b) The range of software that may be developed
c) The importance and relevance of software development activities on the full life cycle of
information within an organisation
d) The importance and role of software development activities in enabling the ‘end to end’
development of an information technology solution to meet the business needs
e) The importance and relevance of architecture to software development work
f) The potential implications of software development deliverables being incorrect,
incomplete, inadequate and/or inappropriate
g) The range of issues associated with software development activities
h) The procedures, tools and techniques that can be used to conduct and document
software development activities
i) The procedures, tools and techniques that can be used to undertake functional testing
j) The importance undertaking ongoing functional testing against functional requirements
during software development
k) The importance of undertaking functional/unit testing as an integral part of software
development work
l) The importance of integrating testing into development work as required

Competent performance requires Knowledge (5.2.P.1.K) of how to:

a) Gather and use information data and knowledge relating to IT architecture models in
order to inform software development activities
b) Analyse and interpret IT architecture models
c) Verify the accuracy, currency, completeness and relevance of information used during
software development activities
d) Identify and select the procedures, tools and techniques to use for software development
activities
e) Implement and maintain procedures, tools and techniques relating to software
development activities

Competence (5.2.P.2): Perform software development activities

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This competence will be demonstrated by the following Performance Criteria (5.2.P.2.C):

a) Correctly select and apply software development procedures, tools and techniques
b) Follow organisational standards for the systems development lifecycle
c) Accurately translate a physical software design into functional designs for software
components
d) Define clearly and accurately the functional requirements of software components
e) Update software as required to ensure continued effectiveness or in response to external
factors
f) Transfer own skills, knowledge and understanding from one development environment
and programming language to other languages and environments
g) Assist with discussion, negotiation and agreement of how the software will function with
sponsors and stakeholders during software development

Competent performance requires Understanding (5.2.P.2.U) of:

a) The programming languages available and their suitability for different tasks
b) The range of development environments that are available and their advantages and
disadvantages
c) The range of data formats that can be used and their suitability for use in different types
of software development work
d) The range of commands that can be used to manipulate data and their suitability to meet
a range of business needs
e) The range and types of data structures that can be used and their suitability for different
applications

Competent performance requires Knowledge (5.2.P.2.K) of how to:

a) Identify and select naming conventions and standards to be used during software
development in line with organisational standards
b) Identify, select and apply service level requirements as specified in physical designs that
must be incorporated within software development deliverables
c) Identify, select and use the full range of design specifications, for example those relating
to data and HCI
d) Identify, select and implement the most appropriate data storage structures to use
e) Identify, select and apply lessons learned from previous software development
assignments
f) Use and apply plans and standards relating to software development activities

Competence (5.2.P.3): Control software development activities

This competence will be demonstrated by the following Performance Criteria (5.2.P.3.C):
a) Advise colleagues on the use of appropriate programming constructs to produce effective
software
b) Advise subordinates on how to optimize the use of system resources by software
c) Monitor the effectiveness of software produced in optimizing system resources and
meeting design specifications

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d) Analyse and interpret the results of testing in order to inform development work

Competent performance requires Understanding (5.2.P.3.U) of:

a) The importance of software development aligning with software design requirements
b) The importance of ensuring that program constructs work coherently and effectively
together
c) The importance of ensuring that software solutions combine data and the commands to
manipulate it in the most effective manner
d) The need for monitoring of the alignment of software development work with software
design work
e) The procedures, tools and techniques that can be used to monitor software development
against:
• software designs
• service level requirements
• testing activities and deliverables
f) The procedures, tools and techniques that can be used to monitor the quality and
effectiveness of software development activities
g) the importance of communicating the results of testing to others as necessary

Competent performance requires Knowledge (5.2.P.3.K) of how to:

a) Verify that developed software meets:
• the design requirements
• specified processing and functional needs

b) Use and apply procedures, tools and techniques to monitor, analyse and report on:
• alignment of software development activities with any relevant legislation,
regulations and external standards
• alignment of software development with software designs
• that specified processing and functional needs are met
• the alignment of software development work with service level requirements
c) Analyse and interpret the results of testing in order to inform development work

Competence (5.2.P.4): Contribute to the management of software development

This competence will be demonstrated by the following Performance Criteria (5.2.P.4.C):
a) Contribute to the update of software development deliverables, where appropriate, as a
result of projects, and programmes
b) Contribute to the integration of software development activities , where appropriate, into
projects and programmes
c) Contribute to the communication of the need for systems development and testing
activities to align with software development deliverables
d) Contribute to the monitoring of the alignment of systems development, testing and
implementation activities with software development deliverables
e) Document software development activities clearly and accurately
f) Contribute to the presentation of the information contained within software development
deliverables to a wide range of sponsors, stakeholders and other individuals

Competent performance requires Understanding (5.2.P.4.U) of:

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a) Who is involved with testing activities relevant to software development work

b) Who may be working on the development of other elements of a software solution
c) The importance of discussing, negotiating and agreeing how the information technology
system will be integrated and implemented with sponsors and stakeholders during
software development
d) The importance of managing changes to business requirements through change control
mechanisms during software development activities
e) The importance of ensuring co-ordination between software development, systems
development and testing activities
f) The importance of securing sign off of software development deliverables prior to
handover
g) The importance of the handover of responsibility for the software to service
management/support services
h) The importance of integrating software development activities into projects and
programmes, as appropriate
i) The importance of coordinating testing carried out during development work with testing
that will be carried out subsequently by others
j) The possible implications of software development deliverables being incorrect,
incomplete, inadequate and/or inappropriate

Competent performance requires Knowledge (5.2.P.4.K) of how to:

a) Document how the software has been developed and functions
b) Document lessons learned from software development activities to inform future
assignments
c) Analyse and interpret the strategy and plans for testing

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Senior Professional Role

Competence (5.2.S.1): Implement the infrastructure for software development activities
This competence will be demonstrated by the following Performance Criteria (5.2.S.1.C):
a) Select and apply organisational standards relating to software development activities
b) Identify which development environments and programming languages are to be used for
specific software development activities
c) Identify and implement the procedures, tools and techniques applicable to software
development activities
d) Identify, use and apply best practice in software development assignments

Competent performance requires Understanding (5.2.S.1.U) of:

a) The range of approaches that may be used to undertake software development and their
appropriateness in a range of business and organisational contexts
b) The range and types of software development deliverables that can be produced to
enable the holistic, ‘end to end’ development of an information technology solution to
meet specific business needs
c) External factors that may impact on software development and their implications
d) Legislation, regulations and external standards that may apply to software development
activities
e) Benefits and disadvantages of using external suppliers of software development activities
f) Best practice in software development

Competent performance requires Knowledge (5.2.S.1.K) of how to:

a) Implement procedures and standards relating to software development activities
b) Use the available programming language(s) and development environment(s)
c) Select the most appropriate programming language(s) and development environment(s)
from those available

Competence (5.2.S.2): Initiate software development activities

This competence will be demonstrated by the following Performance Criteria (5.2.S.2.C):
a) Correctly identify sponsors of and stakeholders for any software development assignment
b) Identify information required during software development activities in order to specify the
requirements for system development, testing and implementation activities as these
relate to software development deliverables
c) Discuss, negotiate and agree how the software will function with sponsors and
stakeholders during software development, escalating issues where appropriate
d) Document requirements for software development assignments to be allocated to
colleagues
e) Document requirements for software development assignments in a manner appropriate
for full, fair and considered review by potential suppliers and partners

Competent performance requires Understanding (5.2.S.2.U) of:

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a) The role of sponsors and stakeholders for software development activities

b) The information relating to the business required to inform software development
activities
c) The content of software development assignment documentation

Competent performance requires Knowledge (5.2.S.2.K) of how to:

a) Identify and select where and how existing software can be reused
b) Identify and select any requirements for co-ordinating development, testing and
implementation activities with others
c) Identify and select the rules and controls required to ensure the integrity and security of
the proposed IT and/or other technology system
d) Use information relating to the business in order to inform software development activities
e) Manage relationships with sponsors, stakeholders and external bodies on matters relating
to software development activities

Competence (5.3.S.3): Manage software development activities

This competence will be demonstrated by the following Performance Criteria (5.2.S.3.C):
a) Ensure that all of the required software components are produced
b) Ensure that the software developed takes account of and uses, as appropriate,
technologies, software and assets that are available and can be used by an information
technology system supporting the organisation
c) Verify that the rules and controls required to ensure the integrity and security of the
proposed information technology system have been incorporated into software
d) Ensure that the deliverables of software development activities meet the relevant designs
e) Ensure that the deliverables of software development activities are provided to others as
required
f) Manage changes to business requirements through change control mechanisms during
software development activities, escalating issues where appropriate

Competent performance requires Understanding (5.2.S.3.U) of:

a) Who need to be provided with the deliverables of software development activities and
when this needs to happen

Competent performance requires Knowledge (5.2.S.3.K) of how to:

a) Validate the rules and controls required to ensure the integrity and security of the
proposed IT and/or other technology system
b) Ensure the rules and controls required to ensure the integrity and security of the
proposed information technology system are referenced by (or embedded in) the
software
c) Take action in the event of software development activities not supporting the business
needs as reflected in software design deliverables

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Competence (5.2.S.4): Contribute to the management of software development projects

and programmes
This competence will be demonstrated by the following Performance Criteria (5.2.S.4.C):
a) Integrate software development activities , where appropriate, into projects and
programmes
b) Present the information contained within software development deliverables to a wide
range of sponsors, stakeholders and other individuals in order to confirm understanding
and ensure business needs are being met
c) Update software development deliverables, where appropriate, as a result of projects,
programmes and software design activities
d) Assist with securing sign off of final software development deliverables from sponsors
and stakeholders
e) Assist with the handover of responsibility for software to service management/support
functions
f) Communicate the need for testing, systems development and implementation activities to
align with software development deliverables
g) Advise others, both internally and externally, on all aspects of software development
activities
h) Effectively manage external providers of software development services

Competent performance requires Understanding (5.2.S.4.U) of:

a) Who are the external providers of software development services
b) The importance of managing relationships with sponsors, stakeholders and external
bodies on matters relating to software development
c) The need to secure sign off prior to implementation activities commencing

Competent performance requires Knowledge (5.2.S.4.K) of how to:

a) Manage a range of real life factors and constraints during software development
b) Ensure that the deliverables produced by software development activities are used to
inform software implementation, support and maintenance activities
c) Secure sign off of the software prior to implementation activities commencing
d) Handover responsibility for software to service management/support functions
e) Communicate the deliverables produced by software development activities to others
f) Advise on all aspects of software development activities
g) Update and integrate software development deliverables

Competence (5.2.S.5): Monitor and review software development activities

This competence will be demonstrated by the following Performance Criteria (5.2.S.5.C):
a) Monitor, review and report on the alignment of testing, system development and
implementation activities with software development activities
b) Monitor, review and report on the compliance of software development activities with any
relevant legislation, regulation and external standards, in line with organisational
strategy, policies and standards

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c) Monitor and critically analyse the effectiveness and quality of software development
activities to identify opportunities for improvement

Competent performance requires Understanding (5.2.S.5.U) of:

a) That the impact of any relevant legislation, regulation and external standards needs to be
reflected in software development activities
b) That the alignment of software development activities with any relevant legislation,
regulations and external standards needs to be monitored
c) The importance of maintaining integrity and the confidentiality and security of data and
information during software development activities
d) The need for monitoring of the quality and effectiveness of software development
activities
e) The procedures, tools and techniques that can be used to monitor the alignment of
software development activities with any relevant legislation, regulation and external
standards

Competent performance requires Knowledge (5.2.S.5.K) of how to:

a) Use and apply the procedures, tools and techniques to monitor:
• the alignment of software development work with service level requirements
• the alignment of software development activities and deliverables with testing
activities
• the quality and effectiveness of software development activities

b) Report findings from:

• monitoring the quality and effectiveness of software development activities
• issues concerned with the alignment of software development activities with testing
activities
• issues involving external providers of software development work

c) Manage the alignment of software development activities with all relevant legislation,
regulation and external standards, in line with organisational strategy, policies and
standards

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Lead Professional Role

Competence (5.2.L.1): Design and develop the software development infrastructure

This competence will be demonstrated by the following Performance Criteria (5.2.L.1.C):
a) Design, implement and maintain organisational strategy, procedures, standards, tools
and techniques for software development activities
b) Design, implement and maintain organisational strategy, procedures, standards, tools
and techniques for monitoring software development activities
c) Design and implement strategy, policies, plans and standards to ensure the alignment of
software development activities with any relevant legislation, regulation and external
standards
d) Advise others on which development environments and programming languages are to
be used within the organisation
e) Advise others, both internally and externally, on best practice in software development
activities and their deliverables

Competent performance requires Understanding (5.2.L.1.U) of:

None additional defined
Competent performance requires Knowledge (5.2.L.1.K) of how to:
a) Design and implement and maintain strategy and policies
• relating to software development activities and their deliverables
• to ensure the alignment of software development activities and their deliverables with
all relevant legislation, regulations and external standards

b) Develop software that takes account of the processing and functional needs specified
within logical and physical software design deliverables

Competence (5.2.L.2): Manage software development projects and programmes

This competence will be demonstrated by the following Performance Criteria (5.2.L.2.C):
a) Take action to resolve issues escalated by less experienced individuals relating to the
alignment of testing, integration and implementation activities with software
development activities
b) Advise on actions to be taken in the event of software development activities being out of
alignment with the business needs, as they are represented in software design
deliverables
c) Advise on actions to be taken in the event of software development deliverables being
out of alignment with IT architecture models and software roadmaps
d) Secure sign off of software development deliverables from sponsors and stakeholders
e) Authorise actions to be taken in the event of software development deliverables being out
of alignment with IT architecture models and software roadmaps, following advice from
superiors
f) Liaise as appropriate with external bodies on all aspects of software development
activities

Competent performance requires Understanding (5.2.L.2.U) of:

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a) What are the potential implications of failings in integrity, confidentiality and information
security during software development activities
b) Agree how the information technology system will be integrated and implemented with
sponsors and stakeholders during software development

Competent performance requires Knowledge (5.2.L.2.K) of how to:

a) Identify what actions may be taken in the event of software development activities not
supporting the business needs as reflected in software design deliverables
b) Identify what actions may be taken in the event of software deliverables failing to operate
as required to support the business needs
c) Manage changes to business requirements through change control mechanisms during
software development activities
d) Identify factors external to the organisation in software development activities
e) Be accountable for aligning software development activities with other solution
development and implementation activities
f) Be accountable for the handover of software

Competence (5.2.L.3): Manage the software development infrastructure

This competence will be demonstrated by the following Performance Criteria (5.2.L.3.C):
a) Review the alignment of software development activities with any relevant legislation,
regulation, external standards, strategy, policies, plans and standards, taking action
where appropriate
b) Make decisions on the results provided by monitoring software development activities as
appropriate to the organisation
c) Make recommendations to improve the effectiveness and quality of software development
activities within an organisation
d) Apply lessons learned from prior experience in IT software development assignments

Competent performance requires Understanding (5.2.L.3.U) of:

a) What are the potential implications of failings in integrity, confidentiality and information
security during software development activities

Competent performance requires Knowledge (5.2.L.3.K) of how to:

a) Monitor the ratio/percentage of errors in software produced in relation to the
volume/quantity developed
b) Review the quality and effectiveness of software development activities
c) Be accountable for the quality and effectiveness of software development activities

Competence (5.2.L.4): Manage external providers of software development services

This competence will be demonstrated by the following Performance Criteria (5.2.L.4.C):
a) Establish effective relationships with external providers of software development services

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b) Negotiate effectively with external providers of software development services in line with
organisational policies and procedures
c) Agree contractual arrangements with external providers of software development services

Competent performance requires Understanding (5.2.L.4.U) of:

None additional defined.

Competent performance requires Knowledge (5.2.L.4.K) of how to:

a) Identify when and how to use external providers of software development services
b) Make decisions on which external suppliers of software development services to use
c) Monitor the quality and effectiveness of external providers of software development
activities
d) Manage relationships with external providers offering software development services
e) Analyse the results gained from monitoring the quality and effectiveness of external
providers of software development activities
f) Negotiate and liaise with external providers of software development services

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5.3 IT/Technology Solution Testing

This sub-discipline covers the competencies required to ensure the design, planning, execution
and review of the testing of all of the elements that constitute an IT and/or other technology
system, both individually and as part of a holistic end to end system.
The criteria for testing are derived from a range of sources including the business requirements,
expected benefits, service management requirements, expectations of stakeholders and any
legislative or regulatory requirements. When testing activity identifies aspects of an IT and/or
other technology system that do not meet these criteria, remedial activity is typically undertaken
through re-design and re-development activities prior to re-testing of the amended deliverables.
Design of testing incorporates the competencies required to interpret the criteria for testing into
a testing strategy and test plans that define who will test, what will be tested, with what data,
where and how testing is to occur and the expected results of tests.
Any IT and/or other technology system will have a wide range of stakeholders and testing must
ensure that all of their needs have been accommodated before the implementation of the
system. Typical testing might include functional testing (often carried out during development
work), integration testing, system testing, end user testing, acceptance testing and operational
testing.
The competencies required to undertake functional testing of software components are not
included within this sub-discipline, but within the software development sub-discipline, as
functional component testing is considered to be an integral part of development work.

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Pre-Entry / Junior Technician Role:

Competence (5.3.J.1): Carry out specified IT/Technology solution testing activities under
direction
This competence will be demonstrated by the following Performance Criteria (5.3.A.1.C):
a) Follow organisational standards for the systems development lifecycle
b) Correctly use specified IT/Technology solution testing procedures, tools and techniques,
as directed by superiors
c) Comply with any relevant legislation, regulation and external standards relating to
IT/Technology solution testing activities
d) Assist with the collation and documentation of information relating to specified
IT/Technology solution testing activities
h) Perform specified IT/Technology solution testing activities as directed

Competent performance requires Understanding (5.3.J.1.U) of:

a) the systems development lifecycle as it relates to testing activities
b) the difference between functional testing and other types of testing
c) the role and purpose of the range of different types of testing activities
d) the importance of documenting the deliverables from testing activities in a clear and
understandable manner
e) the importance of undertaking testing activities accurately

Competent performance requires Knowledge (5.3.J.1.K) of how to:

a) Use testing procedures, tools and techniques
b) Comply with all relevant and applicable legislation, regulations and external standards
relating to testing activities
c) Collate and document information:
• relating to the business requirements for tests
• relating to the range of appropriate and acceptable results for any given test
d) Operate with reference to
• organisational standards for testing activities
• professional and ethical standards relating to testing activities

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Associate Professional Role:

Competence (5.3.A.1): Carry out IT/Technology solution testing activities under direction
This competence will be demonstrated by the following Performance Criteria (5.3.A.1.C):
a) Follow organisational standards for the systems development lifecycle
b) Correctly use IT/Technology solution testing, procedures, tools and techniques, as
directed by superiors
c) Comply with any relevant legislation, regulation and external standards relating to
IT/Technology solution testing activities
d) Assist with the collation and documentation of information relating to IT/Technology
solution testing activities
e) Perform complex and non-routine IT/Technology solution testing activities as directed

Competent performance requires Understanding (5.3.A.1.U) of:

a) The systems development lifecycle as it relates to testing activities
b) The difference between business acceptance testing and those tests conducted by
individuals involved with the development of IT and other technology systems, services
and assets
c) The difference between functional testing and other types of testing
d) The role and purpose of the range of different types of testing activities
e) The importance of documenting the deliverables from testing activities in a clear and
understandable manner
f) The importance of undertaking testing activities accurately
g) The importance of involving users, sponsors and stakeholders in testing activities

Competent performance requires Knowledge (5.3.A.1.K) of how to:

a) Use testing procedures, tools and techniques
b) Comply with all relevant and applicable legislation, regulations and external standards
relating to testing activities
c) Collate and document information:
• relating to the business requirements for tests
• relating to the range of appropriate and acceptable results for any given test
• from the users, sponsors, stakeholders and other individuals involved in and
associated with testing activities
d) Operate with reference to
• organisational standards for testing activities
• professional and ethical standards relating to testing activities

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Professional Role:
Competence (5.3.P.1): Carry out IT/Technology solution testing
This competence will be demonstrated by the following Performance Criteria (5.3.P.1.C):
a) Follow organisational standards for the systems development lifecycle
b) Correctly select and apply software development procedures, tools and techniques
c) Gather and use information from internal and external sources to correctly determine
acceptance criteria and expected results for tests
d) Correctly use and apply acceptance criteria and expected results for tests

Competent performance requires Understanding (5.3.P.1.U) of:

a) what is meant by testing and the stages of activity that constitute it
b) the relevance and relationship of testing activities to development, integration and
implementation of IT and/or other technology systems, services and assets
c) the appropriateness of different types of testing for the different components of an IT
and/or other technology system
d) the role of business acceptance testing and the need to agree criteria with business
users, sponsors and stakeholders
e) the potential implications if testing activities are incorrect, incomplete, inadequate and/or
inappropriate
f) the procedures, tools and techniques that can be used to conduct testing activities
g) the fact that:
• testing activities may involve the testing of new or enhanced business processes
together with IT/technology systems, services and assets
• functional testing of software is an integral part of software development
h) the importance of:
• using and applying information gained through design and development
activities during testing
• verifying the accuracy, currency, completeness and relevance of data and
information used during testing activities
• translating acceptance criteria for testing into precisely what needs to be tested
and the expected outcomes of tests

Competent performance requires Knowledge (5.3.P.1.K) of how to:

a) select and apply the procedures, tools and techniques for conducting testing activities
b) identify:
• the range of appropriate and acceptable results for any given test
• business requirements to be used to develop acceptance criteria
• external factors and their implications on testing activities
c) source and gather information from internal and external sources to inform testing
activities
d) interpret a test strategy and test plans to guide testing activities

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e) assess the results of tests against expected results and acceptance criteria

Competence (5.3.P.2): Contribute to the communication of the results of IT/Technology

solution testing
This competence will be demonstrated by the following Performance Criteria (5.3.P.2.C):
a) Communicate effectively, using appropriate communication styles, with relevant persons
during testing activities
b) Document accurately testing activities
c) Assist in presenting and reporting findings and results from testing activities
d) Assist in determining and reporting root causes for test failures.

Competent performance requires Understanding (5.3.P.2.U) of:

a) who needs to be involved in the design, development and conduct of tests
b) the importance of
• analysing test results against acceptance criteria to identify test failures and their
causes
• analysing the results of testing and taking any actions required as a result
• maintaining and storing records relating to testing activities and their deliverables
c) the procedures, tools and techniques that can be used to document testing activities

Competent performance requires Knowledge (5.3.P.2.K) of how to:

a) apply an appropriate communication style with users, sponsors, stakeholders and other
individuals during testing activities
b) identify the individuals who need to be involved in conducting, designing and developing
tests
c) collate and document acceptance criteria and expected results for tests, test scripts, test
results and decisions made relating to testing
d) provide appropriate information related to testing activities to individuals and
organisations
e) determine and report the root causes of test failures

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Senior Professional Role

Competence (5.3.S.1): Implement the infrastructure for testing activities
This competence will be demonstrated by the following Performance Criteria (5.3.S.1.C):
a) Implement organisational standards relating to testing activities
b) Identify and implement the procedures, tools and techniques applicable to testing
activities
c) Identify, use and apply best practice in testing activities

Competent performance requires Understanding (5.3.S.1.U) of:

a) the importance of testing activities in ensuring the ‘end to end’ success of an
IT/technology system or component in meeting the business needs
b) why testing needs to be carried out rigorously and under controlled conditions with
appropriate data and processes
c) the different types of tests that may be required on IT/technology and business process
design/redesign activities and having test strategies for their use
d) the range of testing environments that are available and their advantages and
disadvantages
e) the range and types of testing deliverables that can be produced to enable the clear
identification of deficiencies in processes, components, systems, services or assets
f) using benchmarks and standards identified during design and development work for
measuring IT/technology systems performance during testing
g) the importance of testing:
• attempting to provoke failure
• being undertaken in both simulated and real conditions
h) the procedures, tools and techniques than can be used to:
• conduct testing activities
• monitor the effectiveness and quality of testing activities
• monitor compliance with legislation, regulations and standards relating to testing
activities
• monitor alignment with design, development and implementation and installation
activities

Competent performance requires Knowledge (5.3.S.1.K) of how to:

a) identify and select the most appropriate test environments, conditions, data, test times
and resources required for any given test based on their appropriateness in a range of
business and IT/technology contexts
b) apply the range of approaches that can be taken to undertake testing activities
c) identify and select the sources of information that will be used during testing activities
d) analyse and apply information:
• already gathered in order to define tests and acceptance criteria
• relating to the business requirements for testing
• relating to the range of appropriate and acceptable results for any given test
• from users, sponsors, stakeholders and other individuals

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• from internal and external sources in testing activities

e) use and apply:
• best practice in testing
• lessons learned from prior experience in testing activities
• the systems development lifecycle as appropriate to testing activities
• benchmarks and standards identified during design and development work for
measuring IT /technology systems performance during testing
f) implement and maintain standards, procedures, tools and techniques applicable to
testing activities
g) design and develop:
• test plans that test against acceptance criteria
• test scripts/instructions that business users and other individuals involved in
testing can follow

Competence (5.3.S.2): Manage testing activities

This competence will be demonstrated by the following Performance Criteria (5.3.S.2.C):
a) Identify all internal and external sponsors of and stakeholders for testing activities
b) Co-ordinate testing activities with other solution development and implementation
activities
c) Manage relationships effectively with sponsors, stakeholders and external bodies on
matters relating to tests
d) Manage relationships effectively with external providers offering testing services
e) Manage changes to business requirements identified during testing activities, through
change control mechanisms
f) Ensure that all testing activities carried out within own area of accountability are impartial
g) Ensure the completeness, accuracy and timeliness of all testing activities within own area
of accountability.

Competent performance requires Understanding (5.3.S.2.U) of:

a) who are the sponsors of and stakeholders for any testing activities
b) external factors on and the issues associated with testing activities and their implications
c) the fact that all testing should be undertaken against a set of appropriate criteria derived
from business and operational needs
d) test criteria being derived from business requirements, expected benefits, service
management requirements, expectations of stakeholders and legislative and/or
regulatory requirements
e) who is involved in testing and related implementation activities
f) the need for functional testing to be co-ordinated with a range of other types of testing
activities
g) the importance of co-ordinating testing (including sign-off) with development, integration
and implementation activities
h) the availability of external providers of testing services and the disadvantages and
benefits of using them
i) the importance of:

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• ensuring that testing is conducted impartially

• reflecting changes to business requirements through change control mechanisms
during testing activities
• maintaining the integrity and confidentiality of information during testing
• managing relationships with sponsors, stakeholders and external bodies in all
aspects of testing activities

Competent performance requires Knowledge (5.3.S.2.K) of how to:

a) identify:
• internal and external sponsors of and stakeholders for testing activities
• expected results from tests and the root causes of the failure of tests
• the range of issues associated with testing activities and their deliverables
b) verify:
• the accuracy, currency, completeness and relevance of information created,
collected, used and documented during testing activities
• the results from tests
• that testing has been conducted impartially and completely against any given set
of test criteria
c) use and apply expected results and acceptance criteria in order to design tests
d) manage relationships:
• with sponsors, stakeholders and external bodies on matters relating to tests
• with external providers offering testing services
e) manage:
• changes to business requirements identified during testing activities, through
change control mechanisms
• the provision of most appropriate test environments, conditions, data, test times
and resources required for any given test
• issues and actions arising as a result of testing activities producing results that
are not as expected
• external factors that may impact on testing activities
f) present:
• acceptance criteria to be used in tests, to users, sponsors, stakeholders and
other individuals
• test results to users, sponsors, stakeholders and other individuals
g) ensure the security and integrity of information created, collected, used and documented
during testing activities
h) ensure that:
• appropriate standards are referenced in the design, development and conduct of
tests
• that business acceptance testing criteria are developed and agreed with business
users, sponsors and stakeholders
• testing is impartial

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• testing attempts to provoke failure

i) take actions:
• to conduct testing to an appropriate standard and degree of rigour for the
business context and needs
• in the event of breaches in the security and integrity during testing activities
• in the event of business users not engaging in testing activities to the required
degree
• in the event of external providers not providing the appropriate quality of testing
services
• in the event of software deliverables and/or other system components failing to
operate as required to support the business needs
• in the event of a mismatch between system capabilities and the associated
business processes
• to incorporate real life factors and constraints within testing activities
• to secure sign off of the deliverables from testing activities
• in the event of testing activities not producing results as expected
j) ensure that testing is representative and comprehensive and, where appropriate, covers:
• service level needs
• functional and business/user requirements
• the business rules and controls required to ensure the integrity and security of
any proposed system
• processing volumes and capacity requirements
• operability, interoperability and environmental needs

k) ensure that the outcomes of testing are used to inform integration and acceptance
activities

Competence (5.3.S.3): Monitor and control testing activities

This competence will be demonstrated by the following Performance Criteria (5.3.S.3.C):
a) Monitor testing activities to ensure quality and compliance with all legislation, regulations
and standards
b) Select the priorities for resolving problems identified during testing activities
c) Select and take appropriate and timely action in the event of the deliverables of testing
being incorrect, incomplete or inadequate
d) Present and report findings, recommendations and issues arising from testing activities
accurately, clearly and in a timely manner
e) Take appropriate and timely action in the event of testing deliverables not supporting the
business needs
f) Communicate effectively and in a timely manner with sponsors, stakeholders and external
bodies on all relevant aspects of testing activities

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g) Evaluate all information gathered during testing activities in order to identify lessons for
future activities

Competent performance requires Understanding (5.3.S.3.U) of:

a) the need for monitoring of:
• the effectiveness and quality of testing activities and their alignment with other
design, development and implementation activities
• the alignment of testing activities and their deliverables with the business needs
• the alignment of testing activities and their deliverables with all relevant
legislation, regulations and external standards
• the effectiveness and quality of testing activities and their deliverables
• the effectiveness and quality of external providers of testing services
• the alignment with design and development plans and activities and
implementation and installation plans
b) the implications of any legislation, regulations and external standards as they relate to
testing activities
c) the implications of failings of integrity, confidentiality and information security during
testing activities
d) who needs to be involved in the execution of tests from both within and outside the
organisation
e) the importance of action being taken in the event of testing activities not supporting the
business needs
f) communicating in a clear, unambiguous and consistent manner with sponsors,
stakeholders and external bodies during testing activities

Competent performance requires Knowledge (5.3.S.3.K) of how to:

a) implement and apply the procedures, tools and techniques to monitor the alignment of
testing with:
• all relevant legislation, regulations and external standards
• design, development and implementation plans and activities
b) select, negotiate and document the priorities for resolving problems identified during
testing activities
c) take actions in the event of testing deliverables not meeting the business needs
d) analyse:
• test results against expected results and acceptance criteria
• the root causes for test failures
e) present and report :
• issues arising from testing activities
• the findings and recommendations from testing activities
• the implications and consequences of the root causes of test results
Lead Professional Role

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Competence (5.3.L.1): Design and develop the IT/technology testing environment

This competence will be demonstrated by the following Performance Criteria (5.3.L.1.C):
a) Design and develop standards, procedures, tools and techniques for testing activities
b) Implement and maintain standards to ensure the alignment of testing activities with all
relevant legislation, regulations and external standards
c) Take action to provide the most appropriate test environments, conditions, data, test
times and resources required for any given test
d) Agree actions and approaches to be used in testing assignments
e) Identify and recommend opportunities to improve the quality and effectiveness of testing
activities and their deliverables

Competent performance requires Understanding (5.3.L.1.U) of:

a) the range of approaches that can be taken to undertake testing and their appropriateness
in a range of business contexts
b) the fact that different test strategies may be required to address the particular needs of
differing types of tests

Competent performance requires Knowledge (5.3.L.1.K) of how to:

a) design, develop, implement and maintain standards, procedures, tools and techniques for
testing activities that meet the needs of particular types of tests
b) design, develop, implement and maintain standards to ensure the alignment of testing
activities and their deliverables with all relevant legislation, regulations and external
standards
c) design and implement test environments
d) identify and develop the range of test strategies required to meet the particular needs of
differing types of tests

Competence (5.3.L.2): Manage the IT/technology testing environment

This competence will be demonstrated by the following Performance Criteria (5.3.L.2.C):
a) Review the quality and effectiveness of testing assignments and any external providers
involved in them
b) Make appropriate and timely decisions on the actions required in the event of testing
activities not meeting the business needs
c) Recommend actions to improve the effectiveness and quality of testing activities within an
organisation
d) Negotiate effectively and tactfully with users, sponsors, stakeholders and external bodies
on actions required as a result of testing activities
e) Advise and guide others on all aspects of testing activities, including best practice
f) Identify when and how to use external providers of testing services and which providers
to use
g) Assist in the authorisation of contracts, decisions, actions and approaches in testing
assignments

Competent performance requires Understanding (5.3.L.2.U) of:

a) the importance of ensuring:

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• testing is representative and comprehensive in coverage to ensure rigour

• the integrity and security of IT/ technology systems, services and assets during
testing activities

Competent performance requires Knowledge (5.3.L.2.K) of how to:

a) monitor, analyse and review:
• the effectiveness and quality of testing activities and their deliverables
• the effectiveness and quality of external providers of testing services
• the alignment with design and development plans and activities and systems
implementation and installation plans
b) report and present findings from monitoring the effectiveness and quality of:
• testing activities
• external providers of testing services
c) make decisions based on the results and monitoring of test activities
d) select the actions to be taken in the event of testing activities not supporting the business
needs
e) identify and implement opportunities to improve the quality and effectiveness of testing
activities
f) negotiate and agree with users, sponsors, stakeholders and external bodies on:
• approaches, standards, procedures, tools and techniques for testing
• actions following the results of testing
g) negotiate and contract with external providers of testing services
h) advise and guide others on:
• all aspects of testing activities and their deliverables
• best practice in testing activities
• the actions that may be taken in the event of testing not meeting the business
needs
• the actions that may be taken in the event of testing not producing the expected
results
i) identify when and how to use external providers of testing services
j) select which external providers of testing services to use in an assignment

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5.4 Systems Integration

This sub discipline covers the competencies required to integrate a range of system elements
together operationally in order to form a coherent set of capabilities that meets the business
needs. These elements or components will already have been subject to systems development
activity to ensure that they can interface with each other in order to produce an holistic ‘end to
end’ IT/technology system. It also covers the competencies required to integrate larger
IT/technology systems, system components and subsystems, each providing unique and
discrete services, in order to support processes which typically span either across business
units and functions within an organisation and/or across organisational boundaries.
Cross organisational integration activities are most commonly required as a result of business
and organisational change such as merger, acquisition partnering and joint venture activity
between organisations, during which the need to integrate and process information, particularly
that relating to customers and revenue, must be maintained, protected and operated with a
minimum of disruption. Failure to integrate systems rapidly and seamlessly is frequently cited as
one of the main causes of the failure to realise the value from such wide ranging business
change
Systems integration activities require a broad range of competencies due to the diverse
characteristics of individual system components that need to be integrated together. These
components may include hardware, software and network system capabilities that have been
developed, acquired or commissioned. Some may be new and others may already be
implemented and used within the infrastructure and are available for reuse

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Associate Professional Role:

Competence (5.4.A.1): Perform systems integration activities as directed
This competence will be demonstrated by the following Performance Criteria (5.4.A.1.C):
a) Correctly use specified systems integration procedures, tools and techniques
b) Follow organisational plans and standards for the systems development lifecycle, as
appropriate to systems integration activities
c) Comply with any relevant legislation, regulations and external standards relating to
systems integration activities
d) Assist with the provision of information to update systems architectures and systems
designs as a result of systems integration activities
e) Contribute to the accurate and clear documentation of systems integration deliverables so
that they can be used by implementation and support personnel

Competent performance requires Understanding (5.4.A.1.U) of:

a) what is meant by systems integration and the stages of activity that constitute it
b) The procedures, tools and techniques that can be used to conduct and document
systems integration activities
c) the systems development lifecycle as it relates to systems integration and the relationship
between systems integration and systems installation, implementation and handover
d) systems integration occurring as a result of business activities such as merger and
acquisition or the need to create business processes or ‘value chains’ that span multiple
organisations
e) the impact of effective integration of systems components and subsystems on the
successful operation of an organisation and/or organisations
f) systems integration as a complex activity, involving a wide range of diverse components,
subsystems, infrastructure, business processes, roles and responsibilities across one or
more organisations
g) professional and ethical standards relating to systems integration activities within an
organisation and across organisations
h) the importance of systems integration deliverables supporting the business needs
i) the importance and relevance of systems integration activities on the full life cycle of
information within an organisation and/or organisations
j) The importance of documenting the deliverables from systems integration work in a clear
and understandable manner

Competent performance requires Knowledge (5.4.A.1.K) of how to:

a) apply the systems development lifecycle as appropriate to systems integration activities
b) gather information for business analysis and other design, development and testing
activities to inform systems integration activities
c) use systems integration and documentation procedures, tools and techniques
d) document:
• systems integration deliverables so that they can be used by implementation and
support personnel
• information gathered to conduct systems integration activities

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e) operate with reference to:

• standards from all relevant organisations that are involved in systems integration
activities
• professional and ethical standards relating to systems integration activities
• integrity and confidentiality during systems integration activities
f) comply with all relevant and applicable legislation, regulations and external standards
relating to systems integration activities
g) provide updated information for systems architectures and systems designs as a result of
systems integration activities

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Professional Role:
Competence (5.4.P.1): Contribute to the management of systems integration activities
This competence will be demonstrated by the following Performance Criteria (5.4.P.1.C):
a) Use and apply the systems development lifecycle, as it applies to systems integration, in
line with organisational standards
b) Correctly select and apply systems integration procedures, tools and techniques in line
with organisational standards
c) Gather, collate and correctly use specified information, from all applicable organisations,
in architecture models, system, subsystem and component designs to inform and direct
systems integration activities

Competent performance requires Understanding (5.4.P.1.U) of:

a) the relationships between systems architectures, systems design deliverables, systems
development and systems integration activities
b) the fact that differing system components and subsystems may have diverse
characteristics and these must be considered during systems integration activities
c) the importance of:
• verifying the accuracy, currency, completeness and relevance of data and
information used by systems integration activities
• systems integration accurately reflecting systems architecture and systems
design
• ensuring co-ordination between systems integration, development, testing,
installation, implementation and handover
d) the importance and role of systems integration in:
a. business merger, demerger and acquisition activities
b. the development and support of co-operative business processes that span
multiple organisations
c. delivering an ‘end to end’ IT/technology solution to meet business needs
e) the fact that systems integration activities frequently involve a high degree of disruption
and risk to one or more organisations

Competent performance requires Knowledge (5.4.P.1.K) of how to:

a) apply systems integration standards
b) select and apply procedures, tools and techniques to monitor the alignment of systems
integration activities with all relevant legislation, regulations and external standards
c) identify the potential implications for organisations that are involved in systems integration
activities
d) gather, collate and use information to inform and direct systems integration activities:
• contained within architecture models
• relating to the individual systems, system components and subsystems
e) document budgets, plans and schedules to manage systems integration activities
f) document how systems integration activities need to support business processes that
span multiple organisations

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g) interpret how individual systems, system components and subsystems need to integrate
in order to support business processes and/or value chains, either within an
organisation or across multiple organisations
h) ensure the availability of the IT/technology systems, services and assets that need to be
used during systems integration activities.

Competence (5.4.P.2): Perform systems integration activities

This competence will be demonstrated by the following Performance Criteria (5.4.P.2.C):
a) Correctly use systems integration procedures, tools and techniques in line with
organisational standards
b) Accurately identify redundant systems, system components or subsystems and ensure
that they are correctly decommissioned
c) Document clearly and accurately specified information gathered for system integration
activities
d) Communicate effectively with sponsors and stakeholders during systems integration
activities as directed
e) Provide and exchange accurate and appropriate information within the organisation and
across multiple organisations as directed

Competent performance requires Understanding (5.4.P.2.U) of:

a) the importance of:
• systems integration accurately reflecting systems architecture and systems
design
• service level requirements being incorporated within systems integration
activities
• systems integrity and security needs being met during systems integration
activity
b) optimising the use of system resources in systems integration work, including reuse and
decommissioning of components where appropriate
c) who are the internal and external sponsors of and stakeholders for any systems
integration activities
d) the importance of:
a. effective communications with sponsors, stakeholders and external bodies
during systems integration activities
b. effective communications with other individuals from within the organisation or
other organisations involved in systems integration activities
c. ensuring that appropriate documentation and support materials associated with
any IT/ technology system are produced and/or supplied during systems
integration activities
e) presenting information produced by systems integration activities, particularly information
relating to how the proposed IT/technology solution(s) will function, in an
understandable form to a wide range of sponsors, stakeholders and other individuals, in
order to confirm understanding and ensure needs are being met
f) explaining, discussing, negotiating and agreeing with sponsors and stakeholders, during
systems integration, how the target IT/technology system(s) will function

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Competent performance requires Knowledge (5.4.P.2.K) of how to:

a) apply systems integration standards
b) identify potentially redundant system components or subsystems
c) ensure that redundant systems, system components or subsystems are decommissioned
d) ensure that the rules and controls required to ensure the integrity and security of the
proposed IT/technology system are applied and integrated effectively across systems,
system components and subsystems
e) take actions:
• to incorporate the full range of design specifications in order to integrate all
relevant systems, system components and subsystems into the ‘end to end’
IT/technology system(s)
• to explain, discuss and agree how any proposed IT/technology system(s) will
function with sponsors and stakeholders
• as a result of decisions made by sponsors, stakeholders and external bodies
f) communicate with a wide range of individuals within and across organisations to design,
plan, execute and manage systems integration activities.

Competence (5.4.P.3): Control systems integration activities

This competence will be demonstrated by the following Performance Criteria (5.4.P.3.C):
a) Correctly use the procedures , tools and techniques to monitor the quality and
effectiveness of system integration activities
b) Correctly use the procedures, tools and techniques to monitor the alignment of systems
integration activities with all relevant legislation, regulations and internal and external
standards
c) Contribute to the co-ordination of systems integration with systems development,
testing, installation, implementation and handover
d) Assist with the analysis of all information gathered during systems integration activities in
order to inform decision making and action, as directed

Competent performance requires Understanding (5.4.P.3.U) of:

a) the importance of:
• systems integration accurately reflecting systems architecture and systems
design
• ensuring that service level requirements are incorporated considered within
systems integration activities
• ensuring systems integrity and security needs are met during systems integration
activity
• ensuring co-ordination between systems integration, development, testing,
installation, implementation and handover
• managing changes to business requirements through change control
mechanisms during systems integration activities
• securing sign off of the physical systems integration deliverables prior to
handover to the business
b) the potential implications:
• of any relevant legislation, regulations and internal and external standards

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• of systems integration deliverables being incorrect, incomplete, inadequate

and/or inappropriate
• to an organisation or organisations of systems integration deliverables not
meeting the business needs
• of failings of integrity, confidentiality and information security both within
individual organisations and across them during systems integration activities
c) the need to monitor the:
• quality and effectiveness of systems integration activities within and across
impacted organisations
• alignment of systems integration work with systems design work
• alignment of systems integration activities with all relevant legislation, regulations
and internal and external standards

Competent performance requires Knowledge (5.4.P.3.K) of how to:

a) gather, collate and use information from monitoring systems integration activities
b) interpret information gathered during systems integration activities in order to inform
decision making and action
c) document:
• decisions made during systems integration activities
• the progress being made against systems integration budgets, plans and
schedules

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Senior Professional Role

Competence (5.4.S.1): Plan and prepare for systems integration
This competence will be demonstrated by the following Performance Criteria (5.4.S.1.C):
a) Develop and maintain policies and standards relating to system integration
b) Correctly implement and maintain systems integration procedures, tools and techniques
in line with organisational standards
c) Correctly identify all internal and external sponsors of and stakeholders for systems
integration activities
d) Correctly identify which organisations and individuals may need to be involved in systems
integration activities
e) Prepare accurate budgets and plans for systems integration activities
f) Apply best practice and lessons learned to system integration activities.

Competent performance requires Understanding (5.4.S.1.U) of:

a) the range of approaches that may be used to undertake systems integration, and their
appropriateness in a range of business and organisational contexts
b) the range of issues associated with systems integration activities
c) who:
• needs to be involved in the planning, scheduling and execution of any systems
integration activities
• needs to sign off any systems integration activities
• are the individuals from a range of organisations who need to engage in systems
integration assignments that span multiple organisations
d) the challenges involved in combining systems, system components and/or subsystems
into working solutions that support business processes for one or many organisations
e) the external factors which may impact on systems integration work
f) the systems, services and assets and associated business processes that may need to
be integrated as part of the systems integration activities

Competent performance requires Knowledge (5.4.S.1.K) of how to:

a) design and develop policies and standards relating to systems integration activities
b) implement the procedures, tools and techniques that may be used to conduct systems
integration activities
c) implement the procedures, tools and techniques to monitor the alignment of systems
integration activities with:
• the business needs of any organisations impacted by them
• all relevant legislation, regulations and external standards
• relevant systems architectures
a) the procedures, tools and techniques to monitor the progress of systems integration
activities against budgets and plans
b) identify and select :
• who should be involved in systems integration activities
• who should be involved in the sign off of systems integration activities

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• who are the internal and external sponsors of and stakeholders for any systems
integration activities
• which organisations may need to be involved in systems integration activities
• what systems, system components, subsystems, infrastructure, business
processes, and individuals across one or more organisations need to be involved
in systems integration activities
c) identify external factors and their implications on systems integration activities
d) use and apply:
• the most appropriate approaches to undertake systems integration activities
• best practice in systems integration activities
• lessons learned from prior experience and/or others’ experiences in systems
integration activities
e) prepare budgets and plans for systems integration activities

Competence (5.4.S.2): Manage systems integration activities

This competence will be demonstrated by the following Performance Criteria (5.4.S.2.C):
a) Identify, source and use all relevant information required to support systems integration
activities
b) Verify the accuracy, currency, completeness and relevance of information collected,
used, produced and documented as part of systems integration activities
c) Take appropriate and timely action in the event of the deliverables of systems integration
being incorrect, incomplete or inadequate or failing to meet the business needs
d) Monitor the operation of systems integration activities to ensure quality and compliance
with all legislation, regulations and standards
e) Manage effectively the processes, procedures, methods, tools and techniques to monitor
the alignment and progress of systems integration activities with any relevant systems
architectures
f) Identify, use and manage effectively the budgets, plans and schedules for any systems
integration assignment
g) Evaluate all information gathered during systems integration activities in order to identify
lessons for future activities

Competent performance requires Understanding (5.4.S.2.U) of:

a) the importance of maintaining the integrity and security of individual systems and how
they inter-operate, during systems integration activities
b) the importance of ensuring that information is made available to update the systems
architectures of any relevant organisations as a result of systems integration activities
c) the need for monitoring the alignment of systems integration activities with:
• the business needs of any organisations impacted by them
• relevant systems architectures
d) the need for monitoring:
• the quality and effectiveness of systems integration activities
• the progress of systems integration activities against budgets and plans

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Competent performance requires Knowledge (5.4.S.2.K) of how to:

a) identify and select:
• how systems integration activities need to work in order to support business
processes that span multiple organisations
• how the target ‘end to end’ IT/technology system(s) needs to operate and which
system components and subsystems need to be integrated into it
• which technologies are available and may be required to support the integration
of systems, system components and/or subsystems into an IT/technology system
supporting an organisation and/or organisations
• service level and other operational requirements that need to be incorporated
within systems integration deliverables
b) identify, select and use information to inform systems integration activities:
• from business analysis and other design, development and testing activities
• contained within architecture models
• relating to the organisations that may need to be involved in systems integration
activities
• relating to how systems integration activities need to support business processes
that span multiple organisations
c) verify the accuracy, currency, completeness and relevance of information collected, used,
produced and documented as part of systems integration activities
d) use and apply the procedures, tools and techniques to monitor:
• the alignment of systems integration activities with any relevant systems
architectures
• the progress of systems integration activities against budgets, plans and
schedules
e) ensure the alignment of systems integration activities with all relevant legislation,
regulations and external standards
f) use and apply information, from monitoring the progress of systems integration activities
against budgets and plans
g) monitor:
• the involvement and engagement of all relevant organisations in systems
integration assignments that span multiple organisations
• the quality and effectiveness of systems integration activities within individual
organisations that are impacted, and across them
• the progress of systems integration activities against budgets, plans and
schedules
• the alignment of systems integration activities with the business needs of any
organisations impacted by them
• the alignment of systems integration activities with the systems architectures
relevant to any organisations impacted by or involving them
• compliance with all relevant legislation, regulations and external standards
relating to systems integration activities
• compliance with all professional and ethical standards relating to systems
integration activities
• the quality and effectiveness of external providers of systems integration services

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h) manage:
• the integration of the individual systems components and subsystems to align
with systems architectures, systems design and development deliverables and
service level requirements
• changes to business requirements through change control mechanisms during
systems design integration activities
• the alignment of systems integration activities with all relevant legislation,
regulations and external standards
• the execution and progress of systems integration activities
• the alignment of systems integration activities with any related organisational
design/redesign, process design/redesign and/or business change
• issues arising as a result of systems integration activities
• external factors affecting systems integration activities
i) take actions:
• to incorporate all relevant systems, system components, subsystems
infrastructure, business processes, and individuals across one or more
organisations during in systems integration activities
• to integrate individual systems, systems components and subsystems to align
with systems architectures, systems design and development deliverables and
service level requirements
• to secure sign off to the systems integration deliverables by sponsors and
stakeholders
• to take account of factors external to the organisation in systems integration
activities
• in the event of breaches of security and integrity during systems integration
activities
• in the event of systems integration activities not supporting the business needs
of any organisation involved in or impacted by them
• in the event of systems integration deliverables being inaccurate, incomplete
and/or inadequate
• in the event of systems integration activities being out of alignment with systems
architecture, data and business analysis and systems design and development
deliverables
• in the event of external providers not providing the appropriate quality of systems
integration services
j) take actions to ensure:
• the integrity, confidentiality and information security, both within organisations
and across them, during systems integration activities
• the integrity and security of individual systems and how they inter-operate, during
systems integration activities
• co-ordination between systems integration, development, testing, installation,
implementation and handover activities
• systems integration activities are integrated/incorporated into, and support,
where appropriate, wider business programmes
• that systems integration activities are kept on schedule and align with budgets
and plans

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k) design and develop systems integration deliverables aligned to systems architectures,

and other systems design and development deliverables from one or more
organisations

Competence (5.4.S.3): Manage relationships during system integration activities

This competence will be demonstrated by the following Performance Criteria (5.4.S.3.C):
a) Ensure effective constructive relationships are maintained with sponsors, stakeholders
and external bodies during systems integration activities
b) Ensure co-ordination between systems integration, development, testing, installation,
implementation and handover activities
c) Manage and monitor the quality and effectiveness of systems integration activities within
individual organisations that are impacted, and across them
d) Effectively manage relationships with external providers of systems integration services
e) Monitor and report on the effectiveness of external providers of systems integration
services
f) Clearly and accurately present and report findings and issues arising from system
integration activities within own area of accountability
g) Communicate effectively and in a timely manner with sponsors, stakeholders and external
bodies on all aspects of system integration activities

Competent performance requires Understanding (5.4.S.3.U) of:

a) the importance of:
• incorporating systems integration activities into wider business programmes
• managing relationships with sponsors, stakeholders and external bodies on
matters relating to systems integration
b) the need of to monitor:
• the effectiveness and quality of external providers of systems integration services
• the involvement and engagement of all relevant organisations in systems
integration assignments that span multiple organisations
c) who are the external providers of systems integration services

Competent performance requires Knowledge (5.4.S.3.K) of how to:

a) report:
• the potential implications for the organisation of failures during systems integration
activities
• issues arising from monitoring systems integration activities against budgets, plans
and schedules
• findings from monitoring the quality and effectiveness of systems integration activities
• the progress of systems integration activities to sponsors, stakeholders and other
individuals
b) manage:
• relationships with sponsors, stakeholders and external bodies during systems
integration activities

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• relationships with external providers offering systems integration services

c) analyse and interpret the results gained from monitoring systems integration activities
d) present information produced by systems integration activities, particularly relating to how
the proposed IT/technology system(s) will function, in an understandable form to a wide
range of sponsors, stakeholders and other individuals, in order to confirm understanding
and ensure business needs are being met
e) present the results gained from monitoring systems integration activities across individual
organisations and across all organisations that may be impacted by them
f) review and report on the quality and effectiveness of:
• systems integration activities
• external providers of systems integration services
g) take actions to establish effective relationships with external providers of systems
integration services
h) communicate effectively and in a timely manner:
• with sponsors, stakeholders and external bodies on all aspects of systems
integration activities and how the target IT/technology system(s) will function
• the progress of systems integration activities against budgets and plans
individuals involved in and impacted by them

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Lead Professional Role

Competence (5.4.L.1): Manage the systems integration infrastructure

This competence will be demonstrated by the following Performance Criteria (5.4.L.1.C):
a) Design and develop effective systems integration strategy and policies
b) Design and develop effective standards, procedures, tools and techniques for the
conduct of activities
c) Design and develop effective policies, procedures, tools and techniques to ensure the
alignment of systems integration activities with all relevant legislation, regulations and
external standards
d) Select appropriate approaches to undertake systems integration activities in a range of
business, IT and other technology contexts
e) Advise and guide others on all aspects of systems integration activities, including best
practice
f) Identify when and how it is appropriate to use external providers of systems integration
services and which will be the most effective providers to use based on the business,
technical and organisational issues involved
g) Communicate and negotiate effectively and tactfully with external providers of system
integration services
h) Participate effectively in the negotiation and agreement of contracts and the authorisation
of decisions, actions and approaches in system integration assignments.

Competent performance requires Understanding (5.4.L.1.U) of:

None additional defined

Competent performance requires Knowledge (5.4.L.1.K) of how to:

a) Implement and maintain:
• systems integration strategy and policies including those to ensure the alignment
of systems integration activities with all relevant legislation, regulations and
external standards
• the processes, procedures, methods, tools and techniques that may be used to
conduct systems integration activities
• the processes, procedures, methods, tools and techniques to monitor the
alignment of systems integration activities with the business needs of any
organisations impacted by them
• the processes, procedures, methods, tools and techniques to monitor the
alignment of systems integration activities with all relevant legislation, regulations
and external standards
• the processes, procedures, methods, tools and techniques to monitor the
alignment of systems integration activities with the systems architectures
relevant to any organisations impacted by or involving them
• the processes, procedures, methods, tools and techniques to monitor the
progress of systems integration activities against budgets, plans and schedules
b) identify and select:
• the approaches that can be taken to undertake systems integration activities and
their appropriateness in a range of business, IT and other technology contexts

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• the issues associated with systems integration activities

• when and how to use external providers of systems integration services
• which providers of systems integration services to use
c) advice and guide others:
• all aspects of systems integration activities
• best practice in systems integration activities
d) negotiate and make contractual arrangements with on external providers of systems
integration services
e) agree and authorise
• system integration decision, actions and approaches
• strategy, policies, plans, procedures, standards, tools and techniques relating to
systems integration activities

Competence (5.4.L.2): Manage systems integration

This competence will be demonstrated by the following Performance Criteria (5.4.L.2.C):
a) Identify and recommend opportunities to improve the quality and effectiveness of systems
integration activities
b) Take action to improve the quality and effectiveness of system integration activities
c) Verify that the deliverables of systems integration activities meet the business needs of
any impacted organisation
d) Make timely and appropriate decisions on the actions that may be taken in the event of
systems integration activities not meeting the business need so or being incomplete,
inaccurate or inadequate
e) Review the quality and effectiveness of any external providers of systems integration
activities, drawing meaningful conclusions.

Competent performance requires Understanding (5.4.L.2.U) of:

None additional defined

Competent performance requires Knowledge (5.4.L.2.K) of how to:

a) identify, select and advise on:
• what actions may be taken in the event of systems integration activities not
supporting the business needs
• what actions may be taken in the event of systems integration deliverables being
inaccurate, incomplete and/or inadequate
• what actions may be taken in the event of systems integration activities being out
of alignment with systems architecture, data and business analysis and systems
design and development deliverables
• opportunities to improve the quality and effectiveness of systems integration
activities
b) verify that the deliverables of systems integration activities meet the business needs of
any impacted organisation
c) review the quality and effectiveness of:

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• systems integration activities

• external providers of systems integration services
d) make decisions:
• on the results provided by monitoring systems integration activities
• on the actions that may be taken in the event of systems integration activities not
meeting the business need
• to improve the quality and effectiveness of systems integration activities within
an organisation.

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5.5 IT/technology systems installation, implementation and handover

This sub-discipline covers the competencies required to plan and manage the effective
installation, implementation and handover of an information technology system. It also includes
the competencies required to ensure that post implementation review activities take place.
Planning of installation, implementation and handover activities may commence at an early
point in the lifecycle, in some cases running in parallel with analysis, design and development
activities. In the case of information technology systems, services and assets that require
implementation on a national or global scale, many of the activities relating to education and
training will commence well in advance of any planned implementation date(s). In some
organisations, installation, implementation and handover may be initiated as part of wider
change management activities within an organisation.

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Associate Professional Role:

Competence (5.5.A.1): Assist with gathering and documenting information to support
systems installation, implementation and handover
This competence will be demonstrated by the following Performance Criteria (5.5.A.1.C):
a) Follow organisational policies and standards relating to systems installation,
implementation and handover activities as directed
b) Comply with any relevant legislation, regulations and external standards relating to
systems installation, implementation and handover activities
c) Gather specified information relating to systems installation, implementation and
handover as directed
d) Assist with the identification of the user and support staff training required as a result of
the installation, implementation and handover of a new IT/technology system
e) Assist with the documentation of information relating to systems installation,
implementation and handover as directed

Competent performance requires Understanding (5.5.A.1.U) of:

a) what information needs to be available for users and support staff of a new IT/technology
system and its associated business processes
b) what documentation and support materials need to be produced for users and support
staff of a new IT/technology system and its associated business processes
c) the type and range of user and support staff training required as a result of the
installation, implementation and handover of a new IT/technology system

Competent performance requires Knowledge (5.5.A.1.K) of how to:

a) gather and document information to inform systems installation, implementation and
handover plans from business analysis and other design, development and testing
activities that may
b) operate with:
• reference to organisational policies and standards relating to systems installation,
implementation and handover activities
• reference to professional and ethical standards relating to systems installation,
implementation and handover activities
• integrity and confidentiality during systems installation, implementation and
handover activities
c) comply with all relevant and applicable legislation, regulations and external standards
relating to systems installation, implementation and handover activities

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Professional Role:
Competence (5.5.P.1): Perform systems installation, implementation and handover
activities
This competence will be demonstrated by the following Performance Criteria (5.5.P.1.C):
a) Use and apply the systems development lifecycle as related to installation,
implementation and handover activities, in line with organisational policies and
standards
b) Correctly select and apply the procedures, tools and techniques applicable to systems
installation, implementation and handover activities
c) Correctly gather and use information from internal and external sources involved in and
associated with systems installation, implementation and handover activities
d) Contribute to the identification of the user and support staff training required as a result of
the installation, implementation and handover of a new IT/technology system

Competent performance requires Understanding (5.5.P.1.U) of:

a) the systems development lifecycle and the role and importance of installation,
implementation and handover activities within it
b) the procedures, tools and techniques that can be used to conduct systems installation,
implementation and handover activities
c) the potential implications of systems installation, implementation and handover
deliverables being incorrect, incomplete, inadequate and/or inappropriate
d) systems installation, implementation and handover activities frequently involving a high
degree of business engagement
e) the importance of:
• systems installation, implementation and handover deliverables supporting the
business needs
• ensuring that agreed systems integrity, security and disaster recovery
requirements are in place during systems installation, implementation and
handover activities

Competent performance requires Knowledge (5.5.P.1.K) of how to:

a) use and apply the systems development lifecycle as appropriate to systems installation,
implementation and handover activities
b) select and apply procedures, tools and techniques that may be used to conduct systems
installation, implementation and handover activities
c) identify:
• what activities need to take place as part of systems installation, implementation
and handover
• who should be involved in systems installation, implementation and handover
activities
• external factors and their implications on systems installation, implementation
and handover activities
• the potential implications for the organisation of failures during systems
installation, implementation and handover activities
d) source and gather information:

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• from business analysis and other design, development and testing activities that
may inform systems installation, implementation and handover
• from individuals involved in the planning, scheduling, execution and sign off of
systems installation, implementation and handover activities so that their needs
and expectations can be established
• that can be used to define progress checkpoints and decision points to be used
during systems installation, implementation and handover activities
• to produce back out plans and criteria

Competence (5.5.P.2): Document and present systems installation, implementation and

handover activities
This competence will be demonstrated by the following Performance Criteria (5.5.P.2.C):
a) Select, use and apply effective communication styles to use with sponsors, stakeholders
and other individuals during systems installation, implementation and handover
activities
b) Document, clearly and correctly, information relating to systems installation,
implementation and handover activities in a clear and accurate manner as directed by
superiors
c) Document, clearly and correctly, the user and support staff training required as a result of
the installation, implementation and handover of a new IT/technology system
d) Contribute to presenting and reporting findings and results from systems installation,
implementation and handover activities.

Competent performance requires Understanding (5.5.P.2.U) of:

a) the procedures, tools and techniques that can be used to conduct and document systems
installation, implementation and handover activities
b) the importance of ensuring that:
• documentation and support materials for users of and support staff associated
with any IT/ technology system are produced and/or supplied prior to systems
installation, implementation and handover activities
• training of users of and support staff associated with the information technology
system takes place as part of systems installation, implementation and handover
activities

Competent performance requires Knowledge (5.5.P.2.K) of how to:

a) select and apply procedures, tools and techniques that may be used to document
systems installation, implementation and handover activities
b) document:
• decisions made during systems installation, implementation and handover
activities
• the deliverables from systems installation, implementation and handover activities
in a clear and understandable manner
• user and support staff training needs

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c) Provide updated information, as appropriate, for IT architecture, systems design and

integration and service management deliverables as a result of systems installation,
implementation and handover activities.

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Senior Professional Role:

Competence (5.5.S.1): Plan and prepare for systems installation, implementation and
handover
This competence will be demonstrated by the following Performance Criteria (5.5.S.1.C):
a) Implement and maintain policies and standards relating to systems installation,
implementation and handover activities
b) Correctly implement and maintain systems installation, implementation and handover
procedures, tools and techniques in line with organisational standards
c) Apply best practice to systems installation, implementation and handover activities within
own area of accountability
d) Identify all internal and external sponsors of and stakeholders for systems installation,
implementation and handover activities
e) Negotiate and agree handover arrangements and timescales with relevant system user
and support managers
f) Evaluate all information gathered during systems installation, implementation and
handover activities in order to identify lessons for future activities

Competent performance requires Understanding (5.5.S.1.U) of:

a) the systems lifecycle as it relates to systems installation, implementation and handover
activities
b) the importance of systems installation, implementation and handover activities on the full
life cycle of information within an organisation
c) the procedures, tools and techniques that can be used to monitor systems installation,
implementation and handover activities:
• for effectiveness and quality
• for compliance with legislation, regulations and standards
d) the need for rigorous and detailed planning and monitoring of systems installation,
implementation and handover activities
e) external factors and their implications on systems installation, implementation and
handover work
f) the systems, services and assets and associated business processes that need to be
implemented as part of systems installation, implementation and handover activities
g) the need for planning of systems installation, implementation and handover activities to
commence at an early stage in the systems lifecycle and/or a project or programme,
and may be initiated as part of change management
h) the fact that environments need to be created and managed for use during systems
installation, implementation and handover activities
i) the availability and capability of external providers of systems installation, implementation
and handover services and that there are disadvantages and benefits of using them
j) the critical impact of systems installation, implementation and handover activities on the
success of business change, projects and programmes
k) the high degree of disruption and risk which can be associated with systems installation,
implementation and handover activities
l) who needs to:
• be involved in the planning, scheduling and execution of any systems installation,
implementation and handover activities

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• sign off any systems installation, implementation and handover activities

m) the importance of negotiating and agreeing handover arrangements and timescales for
the information technology system with those responsible for managing the operational
running and service levels of it, during systems installation, implementation and
handover activities to minimise disruption
n) the importance of agreeing and scheduling post implementation reviews following
systems installation, implementation and handover activities
o) documenting lessons learned from conducting post implementation reviews

Competent performance requires Knowledge (5.5.S.1.K) of how to:

a) select who should be involved in the planning and scheduling of systems installation,
implementation and handover activities
b) identify issues associated with systems installation, implementation and handover
activities
c) use and apply:
• the most appropriate approaches to systems installation, implementation and
handover
• best practice in systems installation, implementation and handover activities
• lesson learned from prior systems installation, implementation and handover
assignments
d) implement and maintain the procedures, tools and techniques for conducting and
monitoring systems installation, implementation and handover activities
e) negotiate with those responsible for managing the operational running and service levels
of any IT/technology system and agree handover arrangements and timescales
f) schedule, conduct and document post implementation reviews

Competence (5.5.S.2): Manage systems installation, implementation and handover

This competence will be demonstrated by the following Performance Criteria (5.5.S.2.C):
a) Ensure that all resources required for installation, implementation and handover are
available on schedule
b) Verify the accuracy, currency, completeness and relevance of information collected,
used, produced and documented as part of systems installation, implementation and
handover activities
c) Co-ordinate systems installation, implementation and handover activities with other
solution development and implementation activities
d) Manage effectively changes to business requirements through change control
mechanisms during systems installation, implementation and handover activities
e) Monitor systems installation, implementation and handover activities to ensure
effectiveness, quality, progress and compliance with all legislation, regulations and
standards
f) Select and take appropriate and timely action in the event of the deliverables of systems
installation, implementation and handover being incorrect, incomplete or inadequate
g) Take appropriate and timely action in the event of systems installation, implementation
and handover deliverables not supporting the business needs

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h) Ensure that service management, systems integrity, security and disaster recovery
requirements are met during systems installation, implementation and handover
activities within own area of accountability

Competent performance requires Understanding (5.5.S.2.U) of:

a) the relationship between business change management, testing, systems integration and
systems installation, implementation and handover activities
b) potential implications to an organisation of systems installation, implementation and
handover deliverables not meeting the business needs
c) potential implications of failings of integrity, confidentiality and information security during
systems installation, implementation and handover activities
d) the need for, and importance of, monitoring systems installation, implementation and
handover activities:
• for progress of against plans and schedules
• for effectiveness and quality
• for alignment with all relevant legislation, regulations and standards
e) the importance of :
• ensuring co-ordination between systems installation, implementation and
handover activities and securing sign off of the system from sponsors,
stakeholders and users prior to handover
• managing changes to business requirements through change control
mechanisms during systems installation, implementation and handover activities
• establishing progress checkpoints and decision points to inform decisions during
systems installation, implementation and handover activities
• ensuring that service management requirements for the operational system will
be met during systems installation, implementation and handover activities
• documenting the deliverables from systems installation, implementation and
handover work in a clear and understandable manner
• verifying the accuracy, currency, completeness and relevance of data and
information used by/for systems installation, implementation and handover
activities
• defining and using back out criteria, plans and procedures as part of systems
installation, implementation and handover activities
• referencing systems design and service management deliverables that specify
precisely how any IT/technology system should operate and be used during
systems installation, implementation and handover activities

Competent performance requires Knowledge (5.5.S.2.K) of how to:

a) develop and use plans (including back out criteria and procedures where appropriate) to
manage systems installation, implementation and handover activities based on relevant
information
b) verify and analyse information gathered for and during systems installation,
implementation and handover activities in order to inform decision making and action
c) use and apply the procedures, tools and techniques to conduct and monitor systems
installation, implementation and handover activities

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d) ensure the implementation and handover of all required business processes, systems,
services and assets
e) manage, during systems installation, implementation and handover activities:
• availability of resources
• changes to business requirements through change control mechanisms
• alignment with all relevant legislation, regulations and standards
• alignment with any related organisational design/redesign and/or business
change
• external factors
• the provision of training, documentation and support materials to users and
support staff involved with an IT/technology system and its associated business
processes
f) analyse and interpret the results gained from monitoring systems installation,
implementation and handover activities
g) select and take actions:
• to reference systems design and service management deliverables that specify
precisely how the information technology system should operate and be used
during systems installation, implementation and handover activities
• to ensure systems installation, implementation and handover activities are
integrated into projects and programmes
• to take account of external factors in systems installation, implementation and
handover activities
• as a result of decisions made by sponsors, stakeholders and external bodies
during systems installation, implementation and handover activities
• to secure sign off of systems installation, implementation and handover activities
by sponsors and stakeholders
• in the event of breaches in the security and integrity during business process
design/redesign and improvement assignments
• in the event of systems installation, implementation and handover activities
failing and/or not supporting the business needs
h) identify and use business criteria to set progress checkpoints and decision points
i) to ensure that disruption to business operations is minimised during systems
implementation and handover activities

Competence (5.5.S.3): Manage external relationships during systems installation,

implementation and handover
This competence will be demonstrated by the following Performance Criteria (5.5.S.3.C):
a) Communicate effectively and in a timely manner with sponsors, stakeholders and external
bodies on all relevant aspects of systems installation, implementation and handover
activities
b) Manage relationships effectively with sponsors, stakeholders and external bodies on
matters relating to systems installation, implementation and handover activities
c) Manage relationships effectively with external providers of systems installation,
implementation and handover services

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d) Present and report findings, recommendations and issues arising from systems
installation, implementation and handover activities accurately, clearly and in a timely
manner.

Competent performance requires Understanding (5.5.S.3.U) of:

a) the importance of:
• communicating effectively and in a timely manner with sponsors, stakeholders and
external bodies during systems installation, implementation and handover activities,
particularly in relation to progress, decisions required and timescales
• managing relationships with sponsors, stakeholders and external bodies on matters
relating to installation, implementation and handover activities
• presenting information produced by systems installation, implementation and
handover activities, particularly information relating to how the proposed information
technology solution will function, in an understandable form to a wide range of
sponsors, stakeholders and other individuals, in order to confirm understanding and
ensure needs are being met
b) the need to monitor the effectiveness and quality of external providers of systems
installation, implementation and handover services

Competent performance requires Knowledge (5.5.S.3.K) of how to:

a) report on:
• issues arising from monitoring systems installation, implementation and handover
activities against plans and schedules
• the progress of systems installation, implementation and handover activities to
sponsors, stakeholders and other individuals
b) establish and manage effective relationships with
• sponsors, stakeholders and external bodies
• external providers
c) communicate:
• effectively and in a timely manner with sponsors, stakeholders and external
bodies on all aspects of systems installation, implementation and handover
activities
• the progress of systems installation, implementation and handover activities
against plans to sponsors, stakeholders and other individuals involved in and
impacted by them

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Lead Professional Role

Competence (5.5.L.1): Manage the infrastructure for systems installation, implementation

and handover
This competence will be demonstrated by the following Performance Criteria (5.5.L.1.C):
a) Design and develop policies and standards for systems installation, implementation and
handover activities
b) Advise and guide others on all aspects of systems installation, implementation and
handover activities, including best practice
c) Identify when and how to use external providers of systems installation, implementation
and handover services and which providers to use
d) Assist in the authorisation of contracts, decisions, actions and approaches in systems
installation, implementation and handover assignments
e) Conduct effective post implementation reviews
f) Recommend actions to improve the effectiveness and quality of systems installation,
implementation and handover activities within an organisation

Competent performance requires Understanding (5.5.L.1.U) of:

a) the issues associated with undertaking systems installation, implementation and
handover work
b) the range of approaches that can be taken to systems installation, implementation and
handover work and their appropriateness in a range of business and organisational
contexts

Competent performance requires Knowledge (5.5.L.1.K) of how to:

a) design, implement and maintain:
• accurate plans and schedules for systems installation, implementation and
handover activities
• policies and standards relating to systems installation, implementation and
handover activities
• policies to ensure the alignment of systems installation, implementation and
handover activities with all relevant legislation, regulations and standards
• the procedures, tools and techniques to monitor the alignment of systems
installation, implementation and handover activities with all relevant legislation,
regulations and standards
b) identify and select the approaches that can be taken to undertake systems installation,
implementation and handover activities based on their appropriateness in a range of
business, IT and other technology contexts
c) advise and guide others on:
• all aspects of systems installation, implementation and handover activities
• best practice in systems installation, implementation and handover activities
d) identify when and how to use external providers of systems installation, implementation
and handover services
e) select which providers of systems installation, implementation and handover services to
use

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f) identify and recommend opportunities to improve the quality and effectiveness of systems
installation, implementation and handover activities
g) manage the implementation of system environments for use during systems installation,
implementation and handover activities
h) negotiate and agree:
• with sponsors, stakeholders and external bodies on how systems installation,
implementation and handover activities should be scheduled and conducted
• with external providers of systems installation, implementation and handover
services
i) agree actions, approaches, policies, standards, procedures, methods, tools and
techniques
j) agree contractual arrangements with external providers of systems installation,
implementation and handover services

Competence (5.5.L.2): Manage systems installation, implementation and handover

This competence will be demonstrated by the following Performance Criteria (5.5.L.2.C):
a) Agree appropriate and effective actions and approaches to be used in systems
installation, implementation and handover assignments
b) Select appropriate progress checkpoints and decision points, backout criteria and plans
to be used during systems installation, implementation and handover activities
c) Negotiate effectively and tactfully with users, sponsors, stakeholders and external bodies
on actions required as a result of systems installation, implementation and handover
activities
d) Make appropriate and timely decisions on the actions required in the event of systems
installation, implementation and handover activities not meeting the business needs
e) Identify and recommend opportunities to improve the quality and effectiveness of systems
installation, implementation and handover activities
f) Review and improve the alignment of systems installation, implementation and handover
activities with all relevant legislation, regulations and standards
g) Review and improve the quality and effectiveness of systems installation, implementation
and handover assignments and any external providers involved in them.

Competent performance requires Understanding (5.5.L.2.U) of:

a) service management, systems integrity, security and disaster recovery requirements that
must be met during systems installation, implementation and handover activities
b) professional and ethical standards relating to systems installation, implementation and
handover activities within an organisation

Competent performance requires Knowledge (5.5.L.2.K) of how to:

a) indentify who should be involved in the sign off of systems installation, implementation
and handover activities
b) select and implement progress checkpoints and decision points to be used during
systems installation, implementation and handover activities
c) select and implement back out criteria, plans and procedures required during systems
installation, implementation and handover activities

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d) identify what actions may be taken in the event of the deliverables of systems installation,
implementation and handover activities failing or not supporting the business needs
e) monitor, review and report:
• the effectiveness and quality of systems installation, implementation and handover
activities
• the effectiveness and quality of external providers of systems installation,
implementation and handover services
f) manage and make decisions on:
• the execution and progress of systems installation, implementation and handover
activities
• external providers of systems installation, implementation and handover services
• the back out of systems installation, implementation and handover activities, where
appropriate
• actions to be taken in the event of systems installation, implementation and
handover activities failing and/or not supporting the business needs
• issues arising as a result of systems installation, implementation and handover
activities
g) ensure correct decisions are taken as a result of the review of progress checkpoints and
decision points by sponsors, stakeholders and external bodies during systems
installation, implementation and handover activities
h) advise and guide others on:
• the actions that may be taken in the event of systems installation, implementation
and handover failing and/or not meeting the business needs
• when and how back out plans should be implemented
i) negotiate and agree changes to plans and schedules for systems installation,
implementation and handover activities with users, sponsors, stakeholders and other
individuals and organisations impacted by and/or involved in them

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Discipline 6. Information Management and Security

This discipline covers the knowledge and understanding required to undertake information
management and security activities within an organisation. In all there are 3 sub-disciplines:

6.1 Information Management

This sub-discipline is about the competencies required for the management of data and
information within an organisation and as it crosses into and out of an organisation. This
includes the acquisition, creation, categorisation, storage, transfer and disposal of data and
information. It also covers the competencies required to manage the integrity of and access to
data and information.

6.2 IT/Technology Security Management

This sub-discipline is about the competencies required to ensure the security of all aspects of
Information Technology services, systems and assets within an organisation. This includes the
data, information, processes, people and other resources needed to ensure that Information
Technology can operate.

6.3 IT Disaster Recovery

This sub-discipline is about the competencies required in order to manage all aspect of Disaster
Recovery (DR), as it applies to IT within an organisation.

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6.1 Information Management

This sub-discipline is about the competencies required for the management of data and
information within an organisation and as it crosses into and out of an organisation. This
includes the acquisition, creation, categorisation, storage, transfer and disposal of data and
information. It also covers the competencies required to manage the integrity of and access to
data and information.

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Pre-Entry / Junior Technician Role:

Competence (6.1.J.1) – Carry out specified information management activities
This competence will be demonstrated by the following Performance Criteria (6.1.J.1.C.):
a) Effectively carry out own responsibilities with regards to the management of data and
information
b) Ensure the integrity of data and information collected and used for own work
c) Correctly classify and categorise data and information within own area of work
d) Accurately provide specified data and information to others as authorised
e) Comply with all relevant and applicable regulations, legislation and organisational
standards relating to data and information management
f) Correctly use specified processes, tools and techniques for assessing the compliance
of data and information against regulation and standards
g) Accurately maintain records relating to the management of data and information within
own area of work

Competent performance requires Knowledge (6.1.J.1.K.) of how to:

a) identify, collect and classify the data and information relevant to an organisation and
individuals within it
b) operate with reference to professional and ethical considerations relating to data and
information management within an organisation
c) use processes and procedures to ensure compliance with regulation and legislation
relating to data and information management
d) ensure compliance with regulations and legislation relating to data and information
management

Competent performance requires Understanding (6.1.J.1.U.) of:

a) The value, role and importance of data and information within an organisation
b) The difference between data and information
c) Implications of privacy, security and ethics on the use of data and information
d) The full life cycle of information from its creation or acquisition through to its disposal
e) Processes, procedures, methods, tools and techniques that can be used to acquire,
generate, store, transfer and dispose of data and information within an organisation
f) The need to classify and categorise data and information to enable effective usage
within an organisation
g) The relevance and implications of regulation and legislation relating to data and
information management
h) The regulations and legislation relating to data and information management within an
organisation

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Associate Professional Role:

Competence (6.1.A.1) – Contribute to information management

This competence will be demonstrated by the following Performance Criteria (6.1.A.1.C.):

a) Correctly follow the processes, tools and techniques, for information management
activities

b) Collate and record the location and properties of information within an organisation, to
enable it to be managed, classified and categorised effectively

c) Correctly classify and categorise data and information within own area of work

d) Provide timely access to information assets that are held within IT/technology systems,
services and assets to authorised individuals in line with policies and procedures

e) Comply with all relevant and applicable legislation, regulations and external standards
relating to the management of information assets

Competent performance requires Knowledge (6.1.A.1.K.) of how to:

a) Collate and record the location and properties of information within an organisation, to
enable it to be managed, classified and categorised correctly

b) identify, collect and classify the data and information relevant to an organisation and
individuals within it

c) Apply the processes, tools and techniques, to conduct information management

activities

d) follow organisational strategy, policies, procedures and standards relating to information

management

e) follow legal, professional and ethical standards relating to information management

within an organisation

f) operate with integrity and confidentiality during information management activities

g) provide access to information assets that are held within IT and other technology
systems, services and assets, as directed by business owners

Competent performance requires Understanding (6.1.A.1.U) of:

a) What is meant by information management

b) the properties of information and where they may be located

c) Why access to information needs to be managed

d) What are the potential implications of the deliverables from information management
activities being incorrect, incomplete, inadequate and or inappropriate

e) What are the potential implications of failing to maintain integrity, confidentiality and
information security during information management activities

f) The importance of all individuals within an organisation understanding the need to

manage and control access to information and the value of data and information to an
organisation

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g) The processes, tools and techniques that can be used to control access to information

Competence (6.1.A.2) – Document information assets

This competence will be demonstrated by the following Performance Criteria (6.1.A.2.C.):
a) Correctly document and store all relevant information on those responsible for
information assets, in line with organisational policies and procedures

b) Accurately document all required information relating to who can create, access, use,
distribute and dispose of information assets

c) Correctly document all specified information assets created, collected, accessed, used,
distributed and disposed of

Competent performance requires Knowledge (6.1.A.2.K.) of how to:

a) document and store information on those responsible for information data and
knowledge within an organisation

b) document and store information relating to who can create, access, use, distribute and
dispose of information

c) document and store the information assets created, collected, accessed, used,
distributed and disposed of within an organisation

d) document and store the outcomes from information management activities in an clear
and understandable manner

Competent performance requires Understanding (6.1.A.2.U) of:

a) The importance of documenting the deliverables from information management
activities in a clear and understandable manner

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Professional Role:
Competence (6.1.P.1) – Manage the classification and categorisation of information

This competence will be demonstrated by the following Performance Criteria (6.1.P.1.C.):

a) Ensure that the location and properties of information are collated and recorded, to
enable effective management, classification and categorisation

b) Classify and categorise information, in line with organisational policies and procedures

c) Collate, accurately and concisely, information and data that define the procedures for
the management of information assets supporting an organisation

Competent performance requires Knowledge (6.1.P.1.K.) of how to:

a) source information and data that describes what needs to be known about information
within an organisation, to enable it to be classified, categorised and managed effectively

Competent performance requires Understanding (6.1.P.1.U) of:

a) The role and relevance of information lifecycle management (ILM) practices being
applied to information from its creation or acquisition to its disposal

b) What information management entails

c) the activities and tasks involved in information management and how these relate to
information lifecycle management (ILM)

d) The fact that effective information management is critical to the well being and success
of an organisation

e) The fact that the responsibility for ensuring the accuracy, currency and completeness of
information within an organisation lies with identified business owners

f) The fact that there are external providers of information management services available
and that there are disadvantages and benefits in using them

Competence (6.1.P.2) – Carry out information management activities

This competence will be demonstrated by the following Performance Criteria (6.1.P.2.C.):
a) Correctly identify and apply the processes, tools and techniques relating to information
management activities

b) Gather all appropriate and required information relevant to an organisation and the
individuals within it and using its services

c) Verify the accuracy, currency and completeness of information created, collected,

accessed, used and documented by information, knowledge and data management
activities

d) Verify the appropriateness, currency and completeness of any data, information and
knowledge assets that are being disposed of

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Competent performance requires Knowledge (6.1.P.2.K.) of how to:

a) apply the processes, tools and techniques, to conduct information management
activities

b) apply the most appropriate approaches to undertake information management

c) Gather information relevant to an organisation and the individuals within it

d) source information and data relating to the business owners responsible for accuracy,
currency and completeness of information assets within and organisation

e) verify the accuracy, currency and completeness of information created, collected,

accessed, used, documented and disposed of by information management activities

Competent performance requires Understanding (6.1.P.2.U) of:

a) Why there is a need to classify and categorise information to enable effective usage
within an organisation

b) Why legislation and regulations relating to information management with in an

organisation must be reflected in information management activities and their
deliverables

c) Who may create, have access to, distribute and dispose of information within an
organisation

d) The importance of verifying the accuracy, currency, completeness and relevance of

information collected, produced and used by information management activities

e) The importance of maintaining the integrity and confidentiality of information during

information management activities

f) The importance of ensuring that sensitive information is not disclosed inappropriately

during information management activities

Competence (6.1.P.3) – Assist the management of information assets

This competence will be demonstrated by the following Performance Criteria (6.1.P.3.C.):
a) Source relevant and accurate information relating to who can create, access, use,
distribute and dispose of information assets

b) Correctly document and store all relevant information on those responsible for information
assets, in line with organisational policies and procedures

c) Assist in the implementation and maintenance of the procedures within IT/technology

systems, services and assets to classify, categorise and manage information assets
and how they are accessed

d) Assist in monitoring the creation of, access to and use, distribution and disposal of
information assets

Competent performance requires Knowledge (6.1.P.3.K.) of how to:

a) identify information relating to who can create, access, use, distribute and dispose of
information within an organisation

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b) Select the processes, tools and techniques relating to information management

activities

c) identify information and data that define the procedures for the management of
information assets

Competent performance requires Understanding (6.1.P.3.U) of:

a) The importance of communicating in a clear, unambiguous and consistent manner with
sponsors, stakeholders and external bodies in all aspects of information management
activities

b) The importance of managing and controlling access to information, date and knowledge

c) The processes, tools and techniques used to monitor the creation, access to, usage,
distribution and disposal of information both within an organisation and as they are
exchanged with external bodies and individuals

d) The processes, tools and techniques used to monitor compliance with legislation,
regulations and standards relating to information management activities

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Senior Professional Role:

Competence (6.1.S.1) – Control the management of information
This competence will be demonstrated by the following Performance Criteria (6.1.S.1.C.):
a) Ensure that those responsible for information assets are correctly identified

b) Ensure that all relevant information assets are accurately identify

c) Critically analyse the properties of information within the organisation to enable it to be

classified, categorised and managed effectively

d) Implement and accurately maintain the procedures within IT/technology systems,

services and assets to classify, categorise and manage information, data, knowledge
assets and how they are accessed

Competent performance requires Knowledge (6.1.S.1.K.) of how to:

a) Identify:

• the business owners responsible for accuracy, currency and completeness of

information

• the sponsors of and stakeholders for any information management activities

• a range of appropriate approaches to undertake information management

activities

• information assets relevant to an organisation and the individuals within it

• procedures relating to the management of information

• what needs to be known about information within an organisation, to enable it to

be classified, categorised and managed effectively

b) Verify the accuracy, currency, completeness and relevance of information assets

managed within IT and other technology systems, services and assets

c) Apply information relating to those responsible for the accuracy, currency and
completeness of information assets

d) Use information and data to define the procedures for the management of information

e) Analyse

• the results gained from monitoring the alignment of information with all
legislation, regulations and external standards

• the results gained from monitoring the creation of, access to and use,
distribution and disposal of information data and knowledge within the
organisation

• the information relevant to an organisation and individuals within it

f) Interpret:

• what needs to be known about information within the organisation, to enable it to

be classified, categorised and managed effectively

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• the effectiveness of processes, procedures, methods, tools and techniques

relating to the integrity and management of information

• the results provided by monitoring information management activities and their

deliverables

g) Work with others to categorise information assets contained within IT and other
technology systems, services and assets in a way that supports their use and access

h) Incorporate real life factors and constraints within information management activities

i) Manage external factors that may impact on information management activities

j) Manage the relationships with:

• sponsors, stakeholders and external bodies on matters relating to information

data and knowledge management

• business owners responsible for the accuracy, currency and completeness of

information assets within the organisation

• external providers offering information management services

Competent performance requires Understanding (6.1.S.1.U) of:

a) Who are the sponsors of and stakeholders for any information management activities

b) Who are the business owners responsible for the accuracy, currency and completeness
of information assets within an organisation

c) What are the issues associated with information management activities

d) What are the external factors and their implications on information management
activities

e) What are legislation, regulations and external standards relating to information

management both within and as it moves into and out of an organisation

f) What are the range of approaches that can be taken to information management work
and their appropriateness in a range of business contexts

g) The fact that legislation, regulations and standards relating to information differ in
different countries

h) The importance of action being taken in the event of information management activities
not supporting the business needs and/or meeting compliance needs

Competence (6.1.S.2) – Monitor and maintain the management of information

This competence will be demonstrated by the following Performance Criteria (6.1.S.2.C.):

a) Proactively work with others to classify and categorise information assets contained
within IT/technology systems, services and assets in a way that supports their use and
access

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b) Routinely verify the accuracy, currency, completeness and relevance of information

assets managed within IT/technology systems, services and assets

c) Regularly monitor the creation of, access to and use, distribution and disposal of
information within an organisation, analysing findings and reporting issues to superiors,
stakeholders and other relevant internal and external individuals and groups

d) Routinely monitor compliance with all relevant legislation, regulations, standards, and
professional and ethical standards relating to information management, taking action
and reporting issues where appropriate

Competent performance requires Knowledge (6.1.S.2.K.) of how to:

a) Apply the processes, tools and techniques to monitor the creation, access, usage,
distribution and disposal of information contained with IT and other technology systems,
services and assets

b) Apply the processes, tools and techniques to monitor the alignment of information
management activities and their deliverables with all relevant legislation, regulation and
external standards

c) Use lessons learned from prior experience in information management

d) Implement the processes, tools and techniques, to conduct information management

activities

e) Implement the processes, tools and techniques to monitor the alignment of information
management and its deliverables with all relevant legislation, regulations and external
standards

f) Maintain the procedures with IT and other technology systems, services and assets to
classify, categorise and manage information data and knowledge assets and how they
are accessed

g) Monitor:

• the creation of, access to and use, distribution and disposal of information within
an organisation

• compliance with all relevant legislation, regulations and standards relating to

information management

• compliance with all professional and ethical standards relating to information

management

• the effectiveness, appropriateness and quality of information management

activities

h) Liaise effectively with:

• business owners responsible for the accuracy, currency and completeness of

information assets within the organisation

• sponsors, stakeholders and external bodies and individuals on matters relating

to information management activities and their deliverables

i) Report:

• issues relating to the effectiveness of processes, tools and techniques relevant

to the integrity and management of information to superiors

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• issues arising from monitoring the creation of, access to and use, distribution
and disposal of information assets, as appropriate

• findings from monitoring the effectiveness, appropriateness and quality of

information management activities and their deliverables

Competent performance requires Understanding (6.1.S.2.U) of:

a) The need for monitoring:

• the alignment of information management work and its deliverables with all
relevant legislation, regulations and external standards

• the alignment of information management work and its deliverables with all relevant
internal rules and regulations

• information creations, access, usage, distribution and disposal within an

organisation

• the effectiveness, appropriateness and quality of information management activities

• the effectiveness and quality of external providers of information management

services

Competence (6.1.S.3) – Communicate with others on information management activities

This competence will be demonstrated by the following Performance Criteria (6.1.S.3.C.):
a) Provide accurate, appropriate and timely information to internal and external individuals
about what information assets held within IT/technology systems, services and assets,
in line with policies and procedures

b) Ensure all individuals within an organisation understand the importance and value of
information assets created, collected, used, accessed, distributed, disposed of, both
with the organisation and as these assets are exchanged with external bodies and
individuals

Competent performance requires Knowledge (6.1.S.3.K.) of how to:

a) Establish effective relationships with external providers of information management
services

b) Ensure all individuals within an organisation understand the importance and value of
information assets created, collected, used, accessed, distributed, documented and
disposed of both within the organisation and as these assets are exchanged with
external bodies and individuals

c) Ensure sensitive business knowledge, information is not disclosed inappropriately

during information management activities

d) Ensure the security and integrity of information created, collected, used, accessed,
distributed, documented and disposed of by information data and knowledge
management activities and their deliverables

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e) Provide information to internal and external individuals about what information assets
are held within IT and other technology systems, services and assets

f) Provide information contained in IT and other technology systems, services and assets
to internal external bodies and individuals as authorised by business owners and
superiors

Competent performance requires Understanding (6.1.S.3.U) of:

a) The importance of ensuring that there are identified business owners for information
assets

b) The importance of managing relationships with sponsors, stakeholders and external

bodies in all aspects of information management activities

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Lead Professional Role:

Competence (6.1.L.1) – Implement the strategy for the management of Information
This competence will be demonstrated by the following Performance Criteria (6.1.L.1.C.):
a) Liaise effectively with internal stakeholders on the requirements for the management of
information within the organisation

b) Design, implement and maintain appropriate and effective strategy, policies, plans,
processes, procedures and standards relating to information usage and management

c) Design effective processes, tools and techniques to monitor the creation, use, access
to, distribution and disposal of information management assets

d) Identify and manage suitable and timely actions to be taken in the event of information
management activities and their deliverables not supporting the business needs and/or
meeting compliance requirements

Competent performance requires Knowledge (6.1.L.1.K.) of how to:

a) Identify when and how to use external providers of information management services

b) Identify which external providers of information management services to use

c) Develop strategy, policies, plans, processes, procedures and standards relating to

information usage and management

d) Develop strategy and policies to ensure the alignment of information usage and
management with all relevant legislation, regulations and external standards

e) Design the processes, tools and techniques to monitor the alignment of information
management and its deliverables with all relevant legislation, regulations and external
standards

f) Design the processes, tools and techniques to monitor the creation, use, access to,
distribution and disposal of information management assets

g) Select the actions that may be taken in the event of information management activities
and their deliverables not supporting the business needs and/or meeting compliance
requirements

h) Identify opportunities to improve information management activities and their

deliverables

i) Implement standards relating to information usage and management

j) Maintain strategy and policies to ensure the alignment of information usage and
management with all relevant legislation, regulations and external standards

k) Take action in the event of external providers not providing the appropriate quality of
information management services

l) Ensure that individual business owners act to maintain the accuracy, currency and
completeness of information assets within the organisation

m) Liaise with internal stakeholders on the requirements for and effective management of
information within the organisation

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n) Make decisions to improve the effectiveness, appropriateness and quality of information

management activities and their deliverables within an organisations

o) Negotiate with sponsors, stakeholders and external bodies and individuals in respect of
their requirements for information

p) Negotiate and agree contractual arrangements with external providers of information

management services

q) Agree actions, approaches and decisions

Competence (6.1.L.2) – Direct the management of Information

This competence will be demonstrated by the following Performance Criteria (6.1.L.2.C.):

a) Ensure that individuals, business owners act to maintain the accuracy, currency and
completeness of information assets within the organisation

b) Provide appropriate, understandable and timely advice and guidance to others on how
to categorise, manage and use information assets contained with IT/technology
systems, services and assets, applying own judgement and experience

c) Manage the comprehensive classification, organisation and administration of

information data and knowledge assets, contained within IT/technology systems,
services and assets that is undertaken by others

d) Manage the ongoing alignment of all information usage and management within the
organisation with any relevant legislation, regulations and external standards

Competent performance requires Knowledge (6.1.L.2.K.) of how to:

a) Monitor the effectiveness and quality of external providers of information management
services

b) Manage:

• the classification, organisation and administration of information assets

contained within IT and other technology systems, services and assets

• the alignment of information usage and management with all relevant

legislation, regulations and external standards

• actions to be taken in the event of information management activities not

supporting the business needs and/or meeting compliance requirements

• issues arising as a result of information management activities

c) Review the:

• effectiveness, appropriateness and quality of information management activities

and their deliverables

• results gained from monitoring the usage of information within an organisation

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• effectiveness of strategy, policies, procedures and standards relating to information

management activities and their deliverables, taking action where appropriate

d) Advise others on:

• how to categorise, manage and use information assets contained within IT and
other technology systems, services and assets

• all aspects of information management activities and their deliverables

e) Guide others on actions to be taken in the event of information management activities

and their deliverables not supporting the business needs and/or meeting compliance
requirements

f) Make decisions on:

• when and how to use external providers of information management services

• the external providers of information management services to use

• the results provided by monitoring information management activities and their

deliverables as appropriate to the organisation

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6.2 IT/Technology Security Management

Discipline Description
This sub-discipline is about the competencies required to ensure the security of all aspects of
Information Technology services, systems and assets within an organisation. This includes the
data, information, processes, people and other resources needed to ensure that Information
Technology can operate.

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Pre-Entry / Junior Technician Role:

Competence 6.2.J.1 – Carry out specified IT/technology Security Management activities

This competence will be demonstrated by the following Performance Criteria (6.2.J.1.C.):

a) Correctly follow the processes, tools and techniques relating to IT/technology security
management activities

b) Correctly operate with reference to integrity, confidentiality and professional and ethical
standards in IT/technology security management activities,

c) Comply with all relevant and applicable legislation, regulations, strategy, policies,
procedures and standards relating to the management of IT/technology security

Competent performance requires Knowledge (6.2.J.1.K.) of how to:

a) Apply the processes, tools and techniques relating to IT and other technology security
management activities

b) Comply with all relevant and applicable legislation and regulations relating to the
management of IT/technology security

c) Comply with all strategy, policies, procedures and standards relating to IT security
management within an organisation

d) Operate with reference to organisational strategy, policies and standards in IT and other
technology security management activities

e) Operate with reference to professional and ethical standards relating to IT/technology

security management activities and their deliverables

f) Operate with integrity and confidentiality in IT and other technology security

management activities

Competent performance requires Understanding (6.2.J.1.U.) of:

a) what is meant by IT/technology security management

b) the potential implications of IT/technology security failures on an organisation

c) the potential implication of IT/technology security failures on external bodies and

individuals

d) the potential implications of IT/technology security management activities being

incorrect, incomplete, inadequate and /or inappropriate

e) the rules and regulations relating to IT/technology security within an organisation

f) the fact that many aspects of an organisation’s security strategy and functions rely upon
IT/technology systems, services and assets and/or information contained within them

Competence 6.2.J.2 – Document specified IT/technology Security Management activities

This competence will be demonstrated by the following Performance Criteria (6.2.J.2.C.):
a) Accurately gather, collate and document specified information and data resulting from
IT/technology security testing activities

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b) Assist others in documenting the processes and procedures to ensure the security of
data, knowledge, information and IT/technology systems, services and assets as used
both within an organisation and also as it is exchanged between it and external bodies
and individuals

c) Assist others in documenting how the levels and structure of security measures are
reflected in IT/technology security controls and mechanisms and how these controls
and mechanisms mitigate against business threats, risks and vulnerabilities

Competent performance requires Knowledge (6.2.J.2.K.) of how to:

a) Collate information and data resulting from IT/technology security testing activities

b) Document, complete and store the results of IT/technology security testing

Competent performance requires Understanding (6.2.J.2.U.) of:

a) the processes, tools and techniques that can be used to conduct and document IT and
other technology security management activities

b) the importance of documenting the deliverables from IT and other technology security
management activities in a clear and understandable manner

c) the importance of providing education, communications and training relating to the

effective security of data, knowledge, information and the IT/technology systems,
security and assets to sponsors, stakeholders and external bodies and individuals as
appropriate

d) the importance of ensuring clear, effective and empathetic communication with external
bodies and individuals impacted by IT/technology security breaches

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Associate Professional Role:

Competence 6.2.A.1 – Contribute to IT/technology security management activities

This competence will be demonstrated by the following Performance Criteria (6.2.A.1.C.):
a) Correctly apply the process, tools and techniques relating to IT/technology security
management activities

b) Comply with IT/technology security procedures, controls and mechanisms

Competent performance requires Knowledge (6.2.A.1.K.) of how to:

a) complete the processes and procedures to ensure the security of data, knowledge,
information and IT/technology systems, services and assets as used both within an
organisation and also as it is exchanged between it and external bodies and individuals

Competent performance requires Understanding (6.2.A.1.U.) of:

a) What constitutes a breach of IT/technology security

b) What are the other organisational security functions that rely upon IT/technology
systems, services and assets or secured information contained within them

c) What are the types of threats and risks that an organisation needs to be protected from
by IT/technology security systems, services and assets of information contained within
them

d) What are the implications of other organisational security functions relying upon IT
technology systems, services and assets or information contained within them

e) What are the risks and threats to IT/technology security

f) The importance of ensuring that external bodies and individuals who exchange
information with an organisation are familiar with and comply with IT/technology security
procedures, controls and mechanisms

g) The fact that risks and threats to information, data, knowledge IT/technology systems,
services and assets can also arise through the actions of individuals who lack security
awareness

h) The fact that certain types of risks and threats to the security of information, data,
knowledge and IT/technology systems, services and assets are commonly designed,
developed and implemented with malicious intent

i) The fact that risks and potential threats to IT/technology systems, services and assets
and/or information contained within them are constantly being developed and
introduced

j) The fact that IT/technology security needs to be refreshed to keep it current with the
range of risks and threats that exist

k) The need for monitoring of compliance with internal rules and regulations relating to
organisational security strategy

Competence 6.2.A.2 – Document IT/technology security management processes

This competence will be demonstrated by the following Performance Criteria (6.2.A.2.C.):

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a) Accurately and comprehensively document the processes and procedures to ensure the
security of data, knowledge, information and IT/technology systems services and assets
as used both within an organisation and also as it is exchanged between it and external
bodies and individuals

b) Correctly document how the levels and structure of security measures are reflected in
IT/technology security controls and mechanisms and how these controls and
mechanisms mitigate against business threats, risks and vulnerabilities

Competent performance requires Knowledge (6.2.A.2.K.) of how to:

a) document the internal and external criteria that IT/technology security management
activities need to meet

b) document how the levels and structure of security measures are reflected in
IT/technology security controls and mechanisms

c) document how IT/technology security controls and mechanisms mitigate against business
threats, risks and vulnerabilities

Competent performance requires Understanding (6.2.A.2.U.) of:

a) The importance of verifying the accuracy, currency, completeness and relevance of
information collected, produced, used and stored by IT and other technology security
management activities

Competence 6.2.A.3 – Assist the management with IT/technology security systems

This competence will be demonstrated by the following Performance Criteria (6.2.A.3.C.):

a) Provide timely and complete information relating to IT/technology security controls and
mechanisms and how they mitigate against risks, threats and vulnerabilities for
inclusion in business risk registers, risk assessments, vulnerability and threat
assessments, to a range of internal and external individuals

b) Assist others in identifying any possible breaches of IT/technology security

c) Assist others in identifying and applying a range of appropriate security controls and
mechanisms for IT/technology systems, services and assets

Competent performance requires Knowledge (6.2.A.3.K.) of how to:

a) Provide information relating to IT/technology security controls and mechanisms and
how they mitigate against risks, threats and vulnerabilities for inclusion in business risk
registers, risk assessments, vulnerability and threat assessments

Competent performance requires Understanding (6.2.A.3.U.) of:

a) The importance of the levels of protection that are appropriate to the needs and
activities of the business, the individuals operating within it and the external bodies and
individuals exchanging information with an organisation are provided by IT and other
technology security controls and mechanisms

b) The importance of taking appropriate action in the event of IT/technology security

breaches to contain and mitigate their impact

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Professional Role:
Competence 6.2.P.1 – Manage the IT/technology security requirements
This competence will be demonstrated by the following Performance Criteria (6.2.P.1.C.):
a) Accurately identify who are the business authorities for IT/technology security
management activities and measures

b) Correctly identify and verify the business external criteria and requirements that
IT/technology security management activities and measures need to meet

c) Promptly identify any possible breaches of IT/technology security, taking action and
escalating where appropriate to superiors

d) Accurately identify the levels and structure of security measures that need to be
reflected in IT/technology security controls in order to reflect how the business operates,
in line with policies and procedures

Competent performance requires Knowledge (6.2.P.1.K.) of how to:

a) Identify:

• and select the business and external criteria and requirements that IT/technology
security management activities and the measures need to meet

• and select the levels and structure of security measures that need to be reflected in
IT/technology security controls in order to reflect how the business operates

• who are the business authorities for IT/technology security management activities
and measures

• a range of appropriate security controls and mechanisms for IT/technology

systems, services and assets

• possible breaches of IT/technology security

b) Collate information about external bodies and individuals and/or their access to
information that may need to be kept secure

c) Collate information about external bodies and individuals and/or their access to
information that may need to be kept secure

d) Source information about the levels of security that need to be implemented in order to
reflect the structure of the organisation and /or access to information, data or knowledge
within it

e) Gather internal and external intelligence relating to IT/technology security risks and
threats that may impact on an organisation

Competent performance requires Understanding (6.2.P.1.U.) of:

a) What are:

• the IT/technology systems, services and assets and the information within them that
need to be kept secure

• the range of IT and technology considerations such as information, data,

knowledge, processes, people and other systems, services and assets that need to
be made secure within an organisation

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• the legislation, regulations and external standards relating to IY and other

technology security management within an organisation

• the potential implications and sensitivities associated with communication with

external bodies and individuals in the event of IY and other technology security
breaches

b) The fact that:

• effective IT/technology security management is critical to the well being and

success of the organisation

• IT and other technology security needs to be refreshed as IT/technology systems,

services and assets within an organisation are added, enhanced or
decommissioned, as the business use of the changes and/or the individuals using
them change

• IT/technology security measures can become quickly outdated

• there are external providers of IT and other technology security management

services and the disadvantages and benefits of using them

• IT/technology security management activities must comply with legislation,

regulations and external standards

c) Why:

• IT and other technology security within an organisation needs to be monitored

• IT/technology security within an organisation needs to be tested regularly

• the organisation’s IT/technology security may need to support privacy requirements

d) Who are the sponsors of and stakeholders for any IT and other technology security
management activities

e) The need for monitoring of compliance with legislation, regulations and standards
relating to IT/technology security

f) The need for monitoring the effectiveness and quality of IT/technology security
management activities

g) The processes, tools and techniques that can be used to monitor IT security within an
organisation

Competence 6.2.P.2 – Carry out IT/technology security management activities

This competence will be demonstrated by the following Performance Criteria (6.2.P.2.C.):
a) Correctly apply all processes, tools and techniques relating to IT/technology security
management activities

b) Correctly identify and apply a range of appropriate security controls and mechanisms
for IT/technology systems, services and assets

c) Source and document, clearly and precisely, all relevant and required information about
the internal and external individuals and external bodies and/or their access to
information that may need to be kept secure

d) Routinely gather internal and external intelligence relating to IT/technology security risks
and threats that may impact on an organisation

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Competent performance requires Knowledge (6.2.P.2.K.) of how to:

a) Select the processes, tools and techniques relevant to the management and monitoring
of the security of IT/technology

b) Apply the processes, tools and techniques relating to IT and other technology security
management activities

c) Verify the internal and external criteria and requirements that IT/technology security
management activities need to meet

d) Use a range of appropriate security controls and mechanisms for IT/technology

systems, services and assets

e) Complete, document and store information and data relating to the individuals within the
organisation, their information and/or their access to information that may need to be
kept secure

f) Complete, document and store information and data relating to the external bodies and
individuals their information and/or their access to information that may need to be kept
secure

g) Document the deliverables from IT and other technology security management activities
in a clear and understandable manner

Competent performance requires Understanding (6.2.P.2.U.) of:

a) The importance of :

• testing IT/technology security controls and mechanisms regularly to ensure they

remain current, accurate, complete and relevant and provide an appropriate level of
protection to an organisation

• maintaining integrity and confidentiality during IT and other technology security

management activities

• having business processes and procedures to prevent and respond to security

breaches that are effective and well understood by individuals within an
organisation, external bodies and individuals

• IT/technology security management aligning with and supporting organisational

security strategy, policies, processes, procedures, standards and requirements

• communicating an organisation’s IT/technology security approach and standards to

external bodies and individuals

• IT/technology security on the full life cycle of information within an organisation

• having an IT/technology security plan

• taking appropriate action to identify, anticipate and mitigate potential security

threats

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Senior Professional Role:

Competence 6.2.S.1 – Control the management of IT/Technology Security activities

This competence will be demonstrated by the following Performance Criteria (6.2.S.1.C.):

a) Correctly identify the levels of security that need to be implemented in order to reflect
the structure of the organisation and/or access to information, data or knowledge within
it

b) Implement and effectively maintain all relevant processes, tools and techniques, relating
to IT/technology security management activities

c) Use relevant information contained within risk registers, risk assessments and
vulnerability assessments, and internal and external intelligence relating to
IT/technology security risks and threats that may impact on an organisation during
IT/technology security management activities

d) Accurately document all relevant IT/technology security management plans,

responsibilities, controls and mechanisms

e) Develop and deploy effective IT/technology security controls and mechanisms to

identify possible and actual security breaches, escalating where appropriate to
superiors

Competent performance requires Knowledge (6.2.S.1.K.) of how to:

a) Identify and select information about:

• the individuals within the organisation and/or their access to information that may
need to be kept secure

• external bodies and individuals and/or their access to information that may need to
be kept secure

b) Identify:

• the levels of security that need to be implemented in order to reflect the structure of
the organisation and/or access to information, data or knowledge within it

• the sponsors of and stakeholders for any IT and other technology security
management activities

• a range of appropriate approaches to undertake IT and other technology security

management activities, in a variety of individual business, IT and technology
contexts

c) Verify:

• that the levels and structure of security measure in IT/technology security support
how the business operates and secures the information contained within its
IT/technology systems, services and assets

• the individuals within the organisation, their information and/or their access to
information that may need to be kept secure

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• the external bodies and individuals, their information and/or their access to
information that may need to be kept secure

• the accuracy, currency, completeness and relevance of knowledge, information and

data collected, used and produced by IT and other technology security
management activities

d) Apply the internal and external criteria that IT/technology security management
activities need to meet in order to design security measures

e) use information about the individuals with the organisation and/or their access to
information that may need to be kept secure

f) use information about external bodies and individuals and/or their access to information
that may need to be kept secure

g) use information about the levels of security that need to be implemented in order to
reflect the structure of the organisation and/or access to information, data or knowledge
within it

h) apply the most appropriate approaches to undertake IT and other technology security
management activities

i) use information contained within risk registers, risk assessments and vulnerability
assessments during IT/technology security management activities

j) apply internal and external intelligence relating to IT/technology security risks and
threats that may impact on an organisation

k) apply best practice in IT and other technology security management

l) apply learning from other potential and actual IT and other technology security breaches
to improve IT/technology security management controls and mechanisms

m) Complete, document and store IT/technology security management plans,

responsibilities, controls and mechanisms

n) Take action:

• to assess the effectiveness of IT/technology security measures as mitigation

against identified risks, threats and vulnerabilities

• in the event of non-compliance with all strategy, policies, plans processes,

procedures and standards relating to IT/technology security

• in the event of external providers not providing the appropriate quality of

IT/technology securing services

o) Design/develop IT and other technology security controls and mechanisms, where

appropriate

Competent performance requires Understanding (6.2.S.1.U.) of:

a) What are the:

• business criteria that need to be met through IT/technology security management

activities

• external criteria and requirements, such as those associated with privacy, that need
to be supported by IT/technology security management activities

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• levels and structure of security controls, policies, processes, procedures and

mechanisms that need to be reflected in IT/technology security in order to support
and enable business operations

• possible range of IT security controls, policies, processes, procedures and

mechanisms, that can be used and their appropriateness in individual business, IT
and technology contexts

• possible ranges of issues associated with IT/technology security both within an

organisation and also as it exchanges information with external bodies and
individuals

• external factors and their implications that may impact on IT and other technology
security management activities

b) Who:

• are the business authorities who define the levels of IT/technology security controls
that need to be applied

• may access information within the organisation

• may access information from outside the organisation

Competence 6.2.S.2 – Monitor and maintain the effectiveness of IT/Technology Security

This competence will be demonstrated by the following Performance Criteria (6.2.S.2.C.):

a) Identify and anticipate possible IT/technology security risks, threats and vulnerabilities
at the earliest possible time

b) Test IT/technology security controls and mechanisms regularly to ensure they remain
effective

c) Routinely monitor the operation of IT/technology security controls and mechanisms to

identify possible and actual security breaches

d) Take timely and appropriate action in the event of IT/technology security breaches, to
contain and mitigate their impact, reporting their consequences and any actions taken

e) Critically assess the effectiveness of IT/technology security measures as mitigation

against identified risks, threats and vulnerabilities, balancing the requirements for
security and control mechanisms with the need for the business to operate efficiently
and effectively requirements for security and control mechanisms with the need for the
business to operate efficiently and effectively

Competent performance requires Knowledge (6.2.S.2.K.) of how to:

a) apply the processes, tools and techniques to monitor the alignment of IT and other
technology security management activities and their deliverables with all relevant
regulation and external standards

b) use information and data resulting from IT/technology security testing activities

c) Implement and maintain:

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• the processes, tools and techniques, relating to IT and other technology security
management activities

• IT and other technology security controls and mechanisms for use within an
organisation

• regular testing of IT/technology security controls and mechanisms

• updated and refreshed IT and other technology security controls and mechanisms
to keep them accurate, current, complete and relevant and ensure they provide the
most appropriate levels of protection to an organisation

• the processes, tools and techniques to monitor the alignment of IT and other
technology security management activities and their deliverables with all relevant
legislation regulations and external standards

d) Monitor:

• the emergence and progress of IT/technology threats and risks as they affect other
organisations

• the operation of IT and other technology security controls and mechanisms to

identify possible and actual security breaches

• compliance with all relevant legislation, regulations and external standards relating
to IT/technology security

• compliance with all IT/technology security strategy, policies, plans, processes,

procedures and standards within the organisation

• the effectiveness, appropriateness and quality of IT/technology security

management activities

e) Report:

• possible IT/technology risks, threats and vulnerabilities to superiors and external

bodies, as appropriate

• how IT/technology security controls and mechanisms mitigate against threats, risks
and vulnerabilities

• the results of IT/technology security testing to superiors and external bodies, as

appropriate

• actual security breaches, their consequences and actions taken, to superiors and
external bodies

• the results produced by monitoring IT and other technology security controls,

policies, processes, procedures and mechanisms, to superiors and external bodies
as appropriate

f) Analyse/interpret:

• the internal and external criteria and requirements that IT/technology security
management activities need to meet

• how the levels and structure of IT/technology security controls and mechanisms
need to work in order to support the business needs

• information about the individuals within the organisation and/or their access to
information that may need to be kept secure

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• information data and knowledge about external bodies and individuals and/or their
access to information that may need to be kept secure

• internal and external intelligence relating to IT/technology risks and threat that may
impact on an organisation

• information relating to the emergence and progress of IT/technology threats and

risks as they affect other organisations

• information and data relevant to IT and other technology security management

activities

• information produced by IT/technology testing to identify actions required to ensure

levels of security meet the business needs

• information produced by IT and other technology security controls and mechanisms

to identify possible and actual security breaches

• the results gained from monitoring the alignment of IT and other technology security
management activities and their deliverables with all legislation, regulation and
external standards

• the results gained from testing IT/technology security within an organisation

g) Recommend how to improve the effectiveness of IT/technology security within an

organisation

h) Take action:

• to balance IT/technology security and control mechanisms with the need for the
business to operate efficiently and effectively

• to identify possible IT/technology security risks, threats and vulnerabilities at the

earliest possible time

• to anticipate the possible impact of IT/technology security risks, threats and

vulnerabilities

• to assess and match IT/technology security controls and mechanisms to identified

risks, threats and vulnerabilities

• to deploy IT/technology security controls and mechanisms to mitigate against

identified risks, threats and vulnerabilities

• to test IT and technology security controls and mechanisms regularly to ensure they
remain effective

• in the event of IT/technology security breaches, to contain and mitigate their impact

• in the event of IT and other technology security management activities not

supporting the business needs

Competent performance requires Understanding (6.2.S.2.U.) of:

a) What actions may be taken in the event of IT and other technology security
management activities not supporting the business needs and/or compliance
requirements

b) The importance of effective IT/technology security management to an organisation’s

brand, reputation and its organisational effectiveness

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c) The need for monitoring the effectiveness and quality of external providers of
IT/technology security services

Competence 6.2.S.3 – Communicate with others on IT/Technology system security

This competence will be demonstrated by the following Performance Criteria (6.2.S.3.C.):
a) Provide appropriate education, communications and training relating to the effective
security of IT/technology systems, services and assets and/or information within them to
sponsors, stakeholders and external bodies and individuals as appropriate

b) Clearly communicate business professes and procedures to ensure the security of

IT/technology systems, services and assets and the information data and knowledge
contained within them, to a wide range of internal and external individuals and bodies,
as appropriate

c) Promptly and clearly communicate with business authorities on matters relating to

actions taken during or required by IT/technology security management activities

Competent performance requires Knowledge (6.2.S.3.K.) of how to:

a) Provide education, communications and training relating to the effective security of
IT/technology systems, services and assets and/or information within them to
sponsors, stakeholders and external bodies and individuals as appropriate

b) Provide information and data relating to the security of IT/technology systems,

services and assets and/or information within them to internal sponsors and
stakeholders and external bodies and individuals

c) Communicate effectively with stakeholders and external bodies on IT and other

technology security management within an organisation

d) Liaise with business authorities on matters relating to actions taken during or

required by IT/technology security management activities

e) Communicate business processes and procedures to ensure the security of

IT/technology systems, services and assets and the information data and
knowledge contained within them

f) Liaise with external bodies offering a range of IT/technology security services

appropriate to the organisation

g) Manage:

• external factors that may impact on IT and other technology security

management activities

• relationships with sponsors, stakeholders and external bodies on matters

relating to IT and other technology security management activities

• relationships with external providers offering IT and other technology security

management services

• relationships with external bodies and individuals with whom an organisation

exchanges information data and knowledge relating to IT/technology security

Competent performance requires Understanding (6.2.S.3.U.) of:

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a) The importance of managing relationships with sponsors, stakeholders and external

bodies in all aspects of IT and other technology security management activities

b) The importance of clear, unambiguous and consistent communications with sponsors,

stakeholders and external bodies in all aspects of knowledge, information and data
management activities

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Lead Professional Role:

Competence 6.2.L.1 – Implement the strategy for IT/technology Security

This competence will be demonstrated by the following Performance Criteria (6.2.L.1.C.):

a) Design, implement and maintain effective and appropriate standards relating to

IT/technology security management activities

b) Develop, implement and maintain effective business processes to ensure the security of
data, knowledge, information and IT/technology systems, services and assets both with
an organisation and also as it is exchanged between it and external bodies and
individuals

c) Manage the effective implementation and operation of IT/technology security controls

and mechanisms for the organisation

Competent performance requires Knowledge (6.2.L.1.K.) of how to:

a) Identify/select:

• the actions that may be taken to mitigate against potential security threats

• the actions that may be taken in the event of IT/technology breaches

• the actions that may be taken in the event of IT/technology security activities not
meeting the business needs

• when and how to use external providers of IT/technology security services

• which external providers of IT/technology security services to use

• opportunities to improve the effectiveness of IT/technology security within an

organisation

b) Verify IT and other technology security controls and mechanisms for accuracy,
currency, completeness, effectiveness and relevance

c) Implement and maintain:

• standards relating to IT and other technology security management activities

• strategy and policies to ensure the alignment of IT and other technology security
management activities and their deliverables with all relevant regulation and
external standards

• business processes and procedures to ensure the security of information data,

knowledge and IT/technology systems, services and assets both within an
organisation and also as it is exchanged between it and external bodies and
individuals

d) Manage the effective implementation:

• and operation of IT and other technology security controls and mechanisms

• of processes and procedures to ensure the security of data, knowledge, information

and IT/technology systems, services and assets as used both within an
organisation and also as it is exchanged between it and external bodies and
individuals

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e) Design and develop:

• standards relating to IT and other technology security management activities

• strategy and policies to ensure the alignment of IT/technology security management

activities and their deliverables with all relevant legislation, regulations and external
standards

• the processes, tools and techniques to monitor the alignment of IT/technology

security management activities and their deliverables with all relevant legislation,
regulations and external standards

• the implementation and use of IT and other technology security controls,

mechanisms and procedures to meet business needs

• business processes and procedures to ensure the security of data, knowledge,

information and IT/technology systems, services and assets both within an
organisation and also as it is exchanged between it and external bodies and
individuals

f) Negotiate with external providers of IT/technology security services

g) Authorise and/or agree:

• actions

• approaches

• proposals

• strategy, policies, plans, procedures, standards, methods, tools and techniques

h) Authorise contractual arrangements with external providers of IT/technology security

services

Competent performance requires Understanding (6.2.L.1.U.) of:

a) What are the ranges of approaches that can be taken to IT and other technology
security management and their appropriateness in a range of business, IT and
technology contexts

Competence 6.2.L.2 – Direct the management of IT/technology security

This competence will be demonstrated by the following Performance Criteria (6.2.L.2.C.):
a) Identify and manage all necessary actions required to mitigate against potential security
threats and in the event of IT/technology breaches

b) Verify IT/technology security controls and mechanisms for accuracy, currency,

completeness, effectiveness and relevance

c) Make timely decisions in the event of IT/technology security breaches, on actions to be

taken to mitigate and contain their impact

d) Make decisions as to the most effective IT/technology security controls and

mechanisms to use in order to contain and mitigate against risks, threats and
vulnerabilities, applying own judgement and experience

e) Manage the planning and scheduling of regular testing of IT/technology security

controls and mechanisms within the organisation

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f) Routinely identify opportunities to improve the effectiveness of IT/technology security

within an organisation

Competent performance requires Knowledge (6.2.L.2.K.) of how to:

a) Manage:

• the planning and scheduling of regular testing of IT/technology security controls and
mechanisms

• issues arising as a result of IT and other technology security management activities

• issues arising in the event of a breach of IT/technology security controls and

mechanisms

b) Review:

• the effectiveness and quality of IT and other technology security management

activities and their deliverables in supporting the business needs

• the effectiveness of business processes, tools and techniques relevant to the

management of the security of IT/technology

• compliance with all IT/technology security strategy, policies, plans, procedures and
standards within the organisation

c) Recommend proposals for IT/technology security that balance the need for security with
the need for the business to operate efficiently and effectively

d) Review how to improve the effectiveness of IT/technology security within an

organisation

e) Monitor the effectiveness and quality of external providers of IT/technology security

services

f) Make decisions:

• in the event of IT/technology security breaches, on actions to be taken to mitigate

and contain their impact

• on when and how to use external providers of IT and other technology security
management services

• on the external providers of IT/technology security management services to use

• on how to apply internal and external criteria, business requirements and other
information in order to design, develop and implement IT/technology security

• as to the most effective IT/technology security controls and mechanisms to use in

order to contain and mitigate against risks, threats and vulnerabilities

Competence (6.2.L.3): Provide direction to improve IT/technology security

a) Develop suitable and comprehensive communications, education and training for the
organisation relating to the effective security of IT/technology systems, services and
assets and/or information within them

b) Advise and guide others internally and externally as appropriate, on the security of
IT/technology services, systems and assets and the information with them

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Competent performance requires Knowledge (6.2.L.3.K.) of how to:

a) Design/develop communications, education and training to the organisation relating to
the effective security of IT/technology systems, services and assets and /or information
within them

b) Communicate/liaise with sponsors, stakeholders and external bodies and individuals in

the event of a suspected or actual breach of IT/technology security both within an
organisation and also as it is communicated to and from an organisation

c) Advise and guide others:

• on all aspects of IT and other technology security management activities and their
deliverables

• on internally and externally as appropriate, on the security of IT/technology

services, systems and assets and the information within them

• on best practice in IT/technology security

• on the appropriateness of the use of external providers of IT/technology security

services

d) Advise on actions to be taken in the event of IT/technology security breaches

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6.3 IT Disaster Recovery

Discipline Description
This sub-discipline is about the competencies required in order to manage all aspect of Disaster
Recovery (DR), as it applies to IT within an organisation.

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Pre-Entry / Junior Technician Role:

Competence 6.3.J.1 – Carry out specified IT disaster recovery activities
This competence will be demonstrated by the following Performance Criteria (6.3.J.1.C.):
a) Correctly carry out specified own role and responsibilities during disaster recovery
planning and real life disaster recovery scenarios

b) Correctly follow the processes, tools and techniques relating to disaster recovery
activities

c) Comply with all legislation, regulations and external standards, policies, procedures and
guidelines that impact on disaster recovery activities and their deliverables

d) Comply fully with all organisational requirements for business continuity and all strategy,
policies and standards relating to disaster recovery activities

Competent performance requires Knowledge (6.3.J.1.K.) of how to:

a) Identify:

• own role and responsibilities in disaster recovery planning activities

• own role and responsibilities in the event of a disaster scenario

• what reporting and communications need to be made to superiors in the event of a

disaster scenario

b) Use the processes, tools and techniques relating to disaster recovery activities

c) Use information required in order to reinstate or restore IT/technology systems, services

and assets

d) Operate with:

• Reference to organisational strategy, policies and standards in disaster recovery

activities

• Integrity and confidentiality during disaster recovery activities

e) Comply with:

• Business continuity management requirements for disaster recovery

• Legislation, regulations and external standards, policies, procedures and guidelines

that impact on disaster recovery activities and their deliverables

f) Report:

• Actions taken in accordance with personal role and responsibilities during disaster
recovery planning activities

• Actions taken in accordance with personal role and responsibilities during disaster
scenarios

g) Communicate:

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• Actions taken in accordance with personal role and responsibilities during disaster
recovery planning activities

• Actions taken in accordance with personal role and responsibilities during disaster
scenarios

h) Be accountable for:

• Discharging own role and responsibilities during disaster recovery planning

• Discharging own role and responsibilities during disaster scenarios

Competent performance requires Understanding (6.3.J.1.U.) of:

a) What are the possible implications of failure to recover from a disaster associated with
the IT/technology systems, services and assets on an organisations

b) The fact that:

• disaster recovery plans need to be appropriate to the business needs and the
potential risks faced by an organisation

• There are external providers of disaster recovery services available that can be
used in disaster recovery situations

• Disaster recovery situations often require active support and assistance from
external providers, IT/technology product service and equipment suppliers and
other partners

• Disaster recovery situations are likely to impact customers of an organisation

c) Why disaster recovery management activities are important to an organisation

d) Who leads disaster recovery activities within own area

e) The importance of:

• having an effective disaster recovery plan (s)

• verifying the accuracy, currency, completeness and relevance of information

collected, produced, used and stored during disaster recovery activities

Competence 6.3.J.2 – Document specified information relating to IT disaster recovery

This competence will be demonstrated by the following Performance Criteria (6.3.J.2.C.):
a) Accurately capture and document all relevant information, required in order to reinstate
or restore IT/technology systems, services and assets

b) Accurately document relevant information relating to external providers involved in

disaster recovery, so that it may be referenced in plans and activities

Competent performance requires Knowledge (6.3.J.2.K.) of how to:

a) Source/gather/collate

• information required in order to reinstate or restore IT/technology systems, services

and assets

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b) Document/complete/store:

• Information required in order to reinstate or restore particular IT/technology

systems, services and assets

• Information relating to external providers involved in disaster recovery plans and

activities

Competent performance requires Understanding (6.3.J.2.U.) of:

a) The importance of documenting the deliverables from disaster recovery activities in a
clear and understandable manner

b) The processes, tools and techniques that can be used to conduct and document
disaster recovery planning and management activities

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Associate Professional Role:

Competence 6.3.A.1 – Contribute to IT disaster recovery management

This competence will be demonstrated by the following Performance Criteria (6.3.A.1.C.):

a) Correctly identify the processes, tools and techniques relating to disaster recovery
activities

b) Correctly carry out own role and responsibilities during disaster recovery planning and
real life disaster recovery scenarios

c) Collate and record, the business requirements and criteria for restoration of specific
IT/technology systems, services and assets to support ongoing operation of an
organisation

d) Accurately gather information relating to external providers involved in disaster recovery

plans and activities, so that it may be used in plans and procedures

e) Gather all relevant information and data contained with business continuity
management plans that have a consequence on disaster recovery activities and
planning

f) Gather all relevant information and data contained within business risk registers and
vulnerability assessments that have an impact on disaster recovery planning

Competent performance requires Knowledge (6.3.A.1.K.) of how to:

a) Identify the processes, tools and techniques relating to disaster recovery activities

b) Source/gather/collate:

• information relating to external providers involved in disaster recovery plans and

activities

• Information and data contained within business risk registers and vulnerability
assessments that have an impact on disaster recovery planning

• Information and data contained with business continuity management plans that
have a consequence on disaster recovery

c) Document/complete/store:

• information relating to the consequences of an IT/technology disaster on the brand,

reputation and the operational effectiveness of an organisation

• The business requirements and criteria for restoration of specific IT/technology

systems, services and assets to support ongoing operation of an organisation

• Other information from internal and external sources relevant to disaster recovery
activities

• The results and outcomes from disaster recovery tests and ‘dry runs’

Competent performance requires Understanding (6.3.A.1.U.) of:

a) The role and importance of disaster recovery activities within business continuity
management for an organisation

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b) What:

• constitutes a disaster scenario for an organisation

• Is the value, role and the importance of having a current and effective disaster
recovery plan for IT/technology systems, services and assets supporting an
organisation

c) What are the:

• types of IT/technology disaster scenario that may impact on an organisation

• Potential implications of disaster recovery activities being incorrect, incomplete,

inadequate and/or inappropriate

d) The fact that:

• disaster recovery activities may require the involvement and support of external
bodies and individuals as well as those within the organisation

• Disaster recovery plans must be tested to ensure that they will work effectively

e) Why business continuity activities are important to an organisation

f) Why disaster recovery plans must be tested

Competence 6.3.A.2 – Assist with IT disaster recovery activities

This competence will be demonstrated by the following Performance Criteria (6.3.A.2.C.):

a) Correctly use information and data contained within configuration and other operational
documents in order to establish the interdependencies between IT/technology systems,
services and assets, in order that it may inform disaster recovery activities

b) Document and provide, accurate and timely information on disaster recovery plans,
tests and ‘dry runs’ to other individuals involved in business continuity management
activities within the organisation

c) Advise and guide others on suitable disaster recovery options to meet the business
needs to restore individual IT/technology systems, services and assets

Competent performance requires Knowledge (6.3.A.2.K.) of how to:

a) Information and data contained within configuration and other operational documents in
order to establish the interdependencies between IT/technology systems, services and
assets

b) Use/apply:

• information relating to external providers involved in disaster recovery plans and

activities

• Information and data contained within configuration and other operational

documents in order to establish the interdependencies between IT/technology
systems, services and assets

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• Information relating to changes to IT/technology systems, services and assets, the

business use of them and/or changes to the individuals involved in disaster
recovery activities in order to keep disaster recovery plans current, complete and
accurate

c) Provide information on disaster recovery plans, tests and ‘dry runs’ to other individuals
involved in business continuity management activities

d) Advise and guide others on disaster recovery options to meet the business needs to
restore individual IT/technology systems, services and assets

Competent performance requires Understanding (6.3.A.2.U.) of:

a) The importance of:

• complying with the requirements for disaster recovery contained within the business
continuity management plans

• All individuals within an organisation complying with disaster recovery strategy,

policies, plans, processes and standards

• Ensuring that there is relevant education and training provided to all individuals
within the organisation on disaster recovery plans and activities

b) The need for monitoring of disaster recovery activities during tests and dry runs

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Professional Role:
Competence 6.3.P.1 – Manage the development of IT disaster recovery plans
This competence will be demonstrated by the following Performance Criteria (6.3.P.1.C.):
a) Accurately identify the information and data contained within business continuity
management plans that have a consequence on disaster recovery activities, so that it
may be used to inform the development of disaster recovery plans

b) Correctly document the potential implications of disaster recovery plans on business

continuity management activities and communicate regularly with those individuals
involved in business continuity management within the wider organisation

c) Correctly apply information contained within risk registers, risk assessments,

vulnerability and threat assessments to inform disaster recovery plans for an
organisation

Competent performance requires Knowledge (6.3.P.1.K.) of how to:

a) Identify and select

• Possible disaster scenarios that may impact on an organisation

• The information and data contained within business continuity management plans
that have a consequence on disaster recovery activities

• The range of issues associated with disaster recovery scenarios

b) Source and collate

• Information relating to the consequences of an IT/technology disaster on the brand,

reputation and the operational effectiveness of an organisation

• Information relating to the individuals responsible for leading disaster recovery

activities

• Information relating to the named individuals and their roles within disaster recovery
plans and activities

• Information relating to sponsors, stakeholders, external bodies and individuals who

need to be informed in the event of a disaster

• Information relating to business requirements and criteria for restoration of specific

IT/technology systems, services and assets to support ongoing operation of an
organisation

• Changes to IT/technology systems, services and assets, the business use of them
and/or changes to the individuals involved in disaster recovery activities that will
trigger an update to disaster recovery plans

• Information relating to the external environment, including legislation, regulations,

external standards, market forces and technology in order to keep disaster recovery
plans current, complete and accurate

• Other information from internal and external sources relevant to disaster recovery
activities

c) Document:

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• Disaster recovery strategy, policies, tools and techniques

• The potential implications of disaster recovery plans on business continuity

management activities

• The external factors and their implications that may impact on disaster recovery
activities

• Information relating to the individuals responsible for invoking and leading disaster
recovery activities, if invoked

• Information relating to the named individuals and their roles within disaster recovery
plans and activities

• information relating to sponsors, stakeholders, external bodies and individuals who

need to be informed in the event of a disaster

• the priorities for recovering IT/technology systems, services and assets in a disaster
scenario and their relevance to business continuity management

• triggers that may result in the invocation of the disaster recovery plan

• authorised changes to disaster recovery plans

• the results and outcomes from real life disaster recovery activities

Competent performance requires Understanding (6.3.P.1.U.) of:

a) What

• Is the difference between disaster recovery (DR) and business continuity

management (BCM) activities

• Is the role and relevance of disaster recovery within business continuity

management within an organisation

b) What are the

• Range of issues associated with disaster recovery scenarios

• External factors and their implications that may impact on disaster recovery
activities

• Potential implications of failings of integrity, confidentiality and information security

during disaster recovery activities

• Legislation, regulations and external standards that may impact on disaster

recovery activities

• The benefits and disadvantages of using external providers of disaster recovery

services

c) Why

• the alignment of disaster recovery work and its deliverables with all relevant
legislation, regulations and external standards needs to be monitor

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• the alignment of disaster recovery plans with business continuity plans needs to be
monitored on an ongoing basis

Competence 6.3.P.2 – Carry out IT disaster recovery activities

This competence will be demonstrated by the following Performance Criteria (6.3.P.2.C.):
a) Critically interpret the information and data contained within configuration and other
operational documents in order to establish the interdependencies of IT/technology
systems, services and assets

b) Verify the accuracy, currency, completeness and relevance of all relevant information
collected, used produced and stored during disaster recovery activities

c) Correctly follow disaster recovery plans in order to conduct tests, dry runs and execute
action in real life disaster scenarios, documenting the results and outcomes

d) Apply relevant and applicable learning from disaster recovery testing and dry runs in
order to improve the effectiveness of disaster recovery plans

Competent performance requires Knowledge (6.3.P.2.K.) of how to:

a) Verify the accuracy, currency, completeness and relevance of information collected,
used produced and stored during disaster recovery activities

b) Apply

• Information relating to the business requirements and criteria for restoration of

specific IT/technology systems, services and assets to support ongoing operation of
an organisation

• Disaster recovery plans in order to conduct tests, dry runs and execute action in
real life disaster scenarios

• Information contained within risk registers, risk assessments, vulnerability and

threat assessments to inform disaster recovery plans for an organisation

• Information and data contained with business continuity management plans that
have a consequence on disaster recovery

• Information relating to sponsors, stakeholders, external bodies and individuals who

need to be informed in the event of a disaster

• Information relating to the external environment, including legislation, external

standards, market forces and technology in order to keep disaster recovery plans
current, complete and accurate

• Learning from disaster recovery testing and dry runs in order to improve the
effectiveness of disaster recovery plans

Competent performance requires Understanding (6.3.P.2.U.) of:

a) who

• is responsible for leading disaster recovery activities, if invoked

• might need to be contacted externally in the event of a disaster scenario

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• are the key individuals and external providers involved in disaster recovery plans
and activities

b) the importance of

• effective disaster recovery planning and management to an organisations brand,

reputation and success

• effective disaster recovery planning and management to an organisation’s business

continuity management activities

• using information and data contained within business risk registers and vulnerability
assessments that have an impact on disaster recovery planning

• having a specified management control structure with named individuals and clear
communication channels specified within plans for use during disaster recovery
activities

• maintaining integrity and confidentiality during disaster recovery activities

• ensuring that sensitive information is not disclosed inappropriately during disaster

recovery activities

Competence 6.3.P.3 – Assist the management of IT disaster recovery activities

This competence will be demonstrated by the following Performance Criteria (6.3.P.3.C.):

a) Regularly source and gather all relevant information relating to the external
environment, including legislation, regulations, external standards, market forces and
technology in order to keep disaster recovery plans current, complete and accurate

b) Routinely monitor internal and external changes that may trigger an update to disaster
recovery plans

c) Clearly communicate updates required to the disaster recovery plan, and document
changes made to it, to a wide range of sponsors, stakeholders and other internal and
external individuals and bodies

d) Provide clear and accurate information to sponsors, stakeholders and external bodies
and individuals, on the implications and consequences of an IT/technology disaster,
communicating the importance of relevance of disaster recovery activities

Competent performance requires Knowledge (6.3.P.3.K.) of how to:

a) monitor internal and external changes that may trigger an update to disaster recovery
plans

b) analyse/interpret the information and data contained within configuration and other
operational documents in order to establish the interdependencies of IT/technology
systems services and assets

c) provide information to sponsors, stakeholders and external bodies and individuals, as

appropriate, on the implications and consequences of an IT/technology disaster

d) communicate

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• with individuals involved in business continuity management with the wider

organisation

• updates required to the disaster recovery plan

• the importance of disaster recovery and its relevance both within the organisation
and to other external bodies and individuals

Competent performance requires Understanding (6.3.P.3.U.) of:

a) The fact that

• The impact of any relevant legislation, regulations and external standards needs to
be reflected in disaster recovery activities and their deliverables

• Disaster recovery plans for as the IT/technology systems, services and assets need
to be reviewed and updated regularly

b) The need for monitoring of

• The alignment of disaster recovery work and its deliverables with all relevant
legislation, regulations and external standards

• The alignment of disaster recovery plans with business continuity management

plans

• Compliance within the organisation to disaster recovery strategy and policies

c) The importance of:

• refreshing disaster recovery plans as IT/technology systems, services and assets

within an organisation are added, enhanced or decommissioned, as the business
use of them changes and/or the personnel involved in disaster recovery activities
change

• using ‘dry-runs’ as a means of testing disaster recovery plans

• Reviewing the outcomes of disaster recovery ‘dry-runs’ and tests

• Updating and adapting disaster recovery plans as a result of the outcomes of ‘dry-
runs’, tests and business change

• Clear, unambiguous and consistent communications with sponsors, stakeholders

and external bodies and individuals in all aspects of disaster recovery activities

• Learning from other potentially disastrous/disastrous scenarios and real life disaster
scenarios and applying the learning back to improve own disaster recovery plans

d) The processes, tools and techniques that can be used to monitor the alignment of
disaster recovery activities and their deliverables with all relevant legislation, regulations
and external standards

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Senior Professional Role:

Competence 6.3.S.1 – Control the management of IT disaster recovery plans

This competence will be demonstrated by the following Performance Criteria (6.3.S.1.C.):

a) Develop effective disaster recovery plans that meet the needs of the business and are
logistically , technically, and financially feasible, and support the organisation's brand,
reputation and organisational effectiveness, presenting findings relating to their
accuracy, currency and completeness to a wide range of sponsors, stakeholders and
other individuals as directed by superiors

b) Critically analyse all relevant information and knowledge relating to risks, vulnerabilities
and threats that may need to be considered within disaster recovery plans

c) Verify the assumptions contained within business continuity management plans that
have a consequence on disaster recovery and the business requirements and criteria
for restoration of specific IT/technology systems, services and assets

d) Effectively manage the execution of disaster recovery plans, using triggers for
invocation correctly and identifying and making decisions on the relative priorities of
IT/technology systems, services and assets to be restored, where appropriate

Competent performance requires Knowledge (6.3.S.1.K.) of how to:

a) Identify and select
• the consequences of an IT/technology disaster scenario on the brand,
reputation and operational effectiveness of an organisation
• triggers that may result in the invocation of the disaster recovery plan
• the range of appropriate approaches that can be taken to undertake disaster
recovery activities and their appropriateness in a range of business,
IT/technology contexts
• the implications of disaster recovery plans on business continuity management
activities
• the external factors and their implications that may impact on disaster recovery
activities
• any other information relevant to disaster recovery activities

b) Source/gather/collate the cost and value of disaster recovery provision for IT/technology
systems, services and assets

c) Use and apply:

• the most appropriate approaches to undertake disaster recovery planning and
activities information relating to the consequences of an IT/technology disaster
on the brand, reputation and the operational effectiveness of an organisation
• information relating to the individual(s) responsible for leading
• disaster recovery activities
• information relating to the named individuals and their roles within disaster
recovery plans and activities
• information generated by disaster recovery activities in order to determine when
and how to return to normal operations
• best practice in disaster recovery activities
• learning from other potentially disastrous/disastrous and real life disaster
scenarios to improve own disaster recovery plans
• triggers in order to establish when to invoke a disaster recovery plan
• the processes, procedures, methods, tools and techniques to monitor the
alignment of disaster recovery activities and their deliverables with all relevant
legislation, regulations and external standards

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d) Document the cost and value of disaster recovery provision for IT/technology systems,
services and assets

e) Report:
• the possible implications of business continuity management plans and
assumptions on disaster recovery activities
• the possible implications of disaster recovery plans and assumptions on
business continuity management activities
f) Manage:
• the alignment of disaster recovery activities with all relevant legislation,
regulations and external standards
• the alignment of disaster recovery activities with business continuity
management needs
• relationships with sponsors, stakeholders and external bodies and individuals
on matters relating to disaster recovery activities
• relationships with those individuals involved in business continuity management
• relationships with external providers involved in business continuity
management
• external factors impacting on disaster recovery activities

e) Design and Develop:

• processes, tools and techniques to monitor the alignment of disaster recovery
activities and their deliverables with all relevant regulation and external
standards
• disaster recovery plans that meet the needs of the business and are logistically
, technically, and financially feasible
• education and training provided to all individuals within the organisation on
disaster recovery plans and activities
• disaster recovery tests and ‘dry runs’ that are sufficiently well constructed to
provide an accurate, current and complete reflection of a real life scenario

Competent performance requires Understanding (6.3.S.1.U.) of:

a) the need for legislation, regulations and external standards relating to disaster recovery

b) What are the:

• range of approaches that can be taken to disaster recovery activities and their
appropriateness in a range of business and IT/technology contexts
• priorities for recovering IT/technology systems, services and assets impacted
by a potential disaster and their relevance to business continuity management
• actions that may be taken in the event of disaster recovery activities not
supporting the business needs, brand and reputation

c) Who are the sponsors of and stakeholders for any disaster recovery activities

Competence 6.3.S.2 – Monitor and maintain the IT disaster recovery plans

This competence will be demonstrated by the following Performance Criteria (6.3.S.2.C.):
a) Design, develop, manage and monitor the operation of appropriate and comprehensive
disaster recovery tests and ‘dry runs’ that are sufficiently well constructed to provide an
accurate, current and complete reflection of a real life scenario, presenting the findings
to sponsors, stakeholders and other individuals

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b) Regularly and rigorously monitor the alignment of disaster recovery plans with business
continuity management plans and all relevant legislation, regulations and external
standards, reporting issues to superiors where appropriate

c) Verify that disaster recovery tests and ‘dry runs’ are sufficiently well constructed to
provide an accurate, current and complete reflection of real life scenarios, in line with
business needs and under the direction of superiors

d) Critically analyse and clearly communicate/report the implications of business continuity

management plans and assumptions on disaster recovery activities

e) Critically analyse and clearly communicate/report the implications of the extent of

disaster recovery provision for an organisation and their impact on business continuity
plans to a wide range of sponsors, stakeholders, external bodies and other individuals

f) Apply best practice and relevant learning from other potentially disastrous/disastrous
and real life disaster scenarios to improve own disaster recovery plans

Competent performance requires Knowledge (6.3.S.2.K.) of how to:

a) Identify and select:
• changes to IT/technology systems, services and assets, the business use of
them and/or changes to the individuals involved in disaster recovery activities
that will trigger an update to disaster recovery plans
• information relating to the external environment, including legislation, external
standards, market forces and technology, in order to keep disaster recovery
plans current, complete and accurate
• priorities for recovering IT/technology systems, services and assets impacted
by a potential disaster and their relevance to business continuity management
b) Verify:
• the business requirements and criteria for restoration of specific IT/technology
systems, services and assets to support ongoing operation of an organisation
• the assumptions contained with business continuity management plans that
have a consequence on disaster recovery
• that the requirements of business continuity management plans are supported
by disaster recovery plans
• that disaster recovery tests and ‘dry runs’ are sufficiently well constructed to
provide an accurate, current and complete reflection of real life scenarios

c) Implement and maintain:

• the processes, tools and techniques relating to disaster recovery activities
• the processes, tools and techniques to monitor the alignment of disaster
recovery activities and their deliverables with all relevant regulation and
external standards
• education and training on disaster recovery plans and activities for all
individuals within the organisation
• disaster recovery tests and ‘dry runs’ scenarios that are sufficiently well
constructed to provide an accurate, current and complete reflection of real life
scenarios

d) Monitor:
• the alignment of disaster recovery work and its deliverables with all relevant
legislation, regulations and external standards
• the alignment of disaster recovery plans with business continuity management
plans
• disaster recovery activities during tests and dry runs
• the effectiveness and quality of disaster recovery processes, procedures,
methods, tools and techniques

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• compliance within the organisation to disaster recovery strategy, policies and

procedures

e) Analyse/Interpret:
• the implications of business continuity management plans and assumptions on
disaster recovery activities
• the implications of disaster recovery plans and assumptions on business
continuity management activities
• disaster recovery tests and ‘dry runs’ to ensure they are sufficiently well
constructed to provide an accurate, current and complete reflection of a real life
scenario
• the results gained from disaster recovery testing and dry runs
• the results gained from monitoring the alignment of disaster recovery activities
and their deliverables with all legislation, regulations and external standards
• information and knowledge relating to risks, vulnerabilities and threats that may
need to be considered within disaster recovery plans
• the implications of internal and external change on disaster recovery plans
• any other information relevant to disaster recovery activities

f) Present:
•the effectiveness of processes, tools and techniques relevant to disaster recovery
planning
•the accuracy, currency and completeness of disaster recovery plans
•updates to disaster recovery plans as a result of changes that might have occurred
•disaster recovery plans for completeness against information contained within risk
registers and assessments and threat and vulnerability assessments
•improvements to disaster recovery strategy and policies as a result of best practice
and lessons learned from other potentially disastrous/disastrous scenarios and real
life disaster scenarios

g) Make decisions:
• on the relative priorities of IT/technology systems, services and assets to be
restored
• on when and how to use external providers of disaster recovery services
• on the external providers of disaster recovery services to use

h) Take action:
• to prioritise how and when IT/technology systems, services and assets may be
restored during disaster recovery activities
• to refresh disaster recovery plans in line with the impact of change from both
internal and external sources
• to ensure that individuals and other external resources involved in disaster
recovery activities have adequate training and knowledge
• to test disaster recovery strategy and plans and conduct ‘dry runs’ to ensure
they remain accurate, current and complete
• to execute disaster recovery plans in the event of real life scenarios, as
appropriate
• to contain the impact and potential consequences of a IT/technology disaster
scenario
• to deal with issues arising as a result of disaster recovery activities
• to deal with external factors on disaster recovery activities

Competent performance requires Understanding (6.3.S.2.U.) of:

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a) The importance of:

• effectively containing the impact and potential consequences of a IT/technology
disaster scenario
• correctly identifying triggers to ensure the timely invocation of the disaster
recovery plan

b) The need for monitoring:

• the effectiveness and quality of all disaster recovery and planning activities
• the effectiveness and quality of external providers of disaster recovery and
planning services
• the cost and value of disaster recovery provision for IT/technology systems,
services and assets
• the effectiveness and quality of disaster recovery processes, procedures,
methods, tools and techniques

Competence 6.3.S.3 – Communicate with others on matters relating to IT disaster

recovery plans
This competence will be demonstrated by the following Performance Criteria (6.3.S.3.C.):
a) Effectively manage relationships with external bodies who provide a range of disaster
recovery services and communicate disaster recovery roles, responsibilities, processes
and procedures to individuals who may be required to carry them out

b) Implement and maintain effective, current, comprehensive and complete education and
training on disaster recovery plans and activities for all individuals within the
organisation

c) Accurately identify the sponsors, stakeholders, individuals, external providers and

partners who need to be involved in disaster recovery plans and activities and/or who
need to be informed in the event of a disaster

Competent performance requires Knowledge (6.3.S.2.K.) of how to:

a) Identify and select:
• the sponsors of and stakeholders for any disaster recovery activities
• the sponsors, stakeholders, external bodies and individuals who need to be
informed in the event of a disaster
• external providers and partners who need to be involved in disaster recovery
plans and activities

b) Communicate:
• disaster recovery roles, responsibilities, processes and procedures to
individuals and external providers who may be required to carry them out
• the implications of the extent of disaster recovery provision within an
organisation to a wide range of sponsors, stakeholders, external bodies and
other individuals
• the implications of disaster recovery plans on business continuity management
plans
• with external bodies offering a range of disaster recovery services

c) Advise and guide others on:

• all aspects of disaster recovery activities and their deliverables
• the appropriateness of using external bodies offering a range of disaster
recovery services

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d) Negotiate:
• with sponsors, stakeholders, external bodies and other individuals on how
disaster recovery plans must restore IT/technology systems, services and
assets
• with external providers of disaster recovery services in line with organisational
policies and procedures

Competent performance requires Understanding (6.3.S.3.U.) of:

a) The importance of :
• informing sponsors, stakeholders, external bodies and individuals, as
appropriate, in the event of a disaster
• managing relationships with sponsors, stakeholders and external bodies and
individuals in all aspects of disaster recovery activities

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Lead Professional Role:

Competence 6.3.L.1 – Identify and implement a strategy for IT disaster recovery plans
This competence will be demonstrated by the following Performance Criteria (6.3.L.1.C.):
a) Design, develop implement and maintain effective strategy, policies, plans, standards
and a specified management control structure with named individuals and clear
communication channels for disaster recovery activities

b) Identify, agree and make reasoned decisions on the cost and value of disaster recovery
provision for IT/technology systems, services and assets, negotiating with sponsors,
stakeholders and superiors where appropriate

c) Identify, precisely, the appropriate individual(s) and their roles in leading and/or
executing disaster recovery plans and activities

d) Accurately identify the logistical, technical and financial implications of the required level
of disaster recovery provision on an organisation, communicating findings clearly to
sponsors, stakeholders and other individuals and bodies

e) Critically analyse the appropriateness of disaster recovery plans against business

continuity needs, reporting and presenting the cost and value of disaster recovery
provision of IT/technology systems services and assets to sponsors, stakeholders and
other individuals for endorsement

f) Critically review disaster recovery plans for completeness and potential improvement
against information contained within risk registers and assessments and threat and
vulnerability assessments, feasibility, currency, best practice and lessons learned from
other potentially disastrous/disastrous scenarios and real life disaster scenarios

g) Identify when and how to use external providers of disaster recovery services, selecting
suitable providers and agreeing contractual arrangements that will support the business
needs

Competent performance requires Knowledge (6.3.L.1.K.) of how to:

a) Identify:
• improvements to existing disaster recovery plans, strategy and policies
• the actions that may be taken in the event of disaster recovery activities not
supporting the business needs
• when and how to use external providers of disaster recovery services
• which external providers of disaster recovery services to use
• when and how to return to normal operations after invocation of disaster recovery
plans
• the logistical, technical and financial implications of the required level of disaster
recovery provision on an organisation
• the named individuals and their roles within disaster recovery plans and activities
• the business requirements and criteria for restoration of specific IT/technology
systems, services and assets to support ongoing operation of an organisation
• the cost and value of disaster recovery provision for IT/technology systems,
services and assets
• the individual(s) responsible for leading disaster recovery activities

b) Agree:

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• contractual arrangements with external providers of disaster recovery services

• approaches
• plans, strategy, policies, plans, procedures, standards, methods, tools and
techniques that apply to disaster recovery activities
• decisions
• the cost and value of disaster recovery provision of IT/technology systems, services
and assets

c) Implement and maintain:

• standards relating to disaster recovery activities
• strategy and policies to ensure the alignment of disaster recovery activities and
their deliverables with all relevant legislation, regulations and external
standards, in line with organisational strategy, policies and standards
• a specified management control structure with named individuals and clear
communication channels for use during disaster recovery activities
• disaster recovery plans that meet the needs of the business and are logistically
, technically, and financially feasible

d) Monitor:
• the cost and value of disaster recovery provision for IT/technology systems,
services and assets
• the effectiveness and quality of all disaster recovery and planning activities
• the effectiveness and quality of external providers of disaster recovery and
planning services

e) Report:
• the consequences of an IT/technology disaster on the brand, reputation and the
operational effectiveness of an organisation
• the results and outcomes of disaster recovery tests and dry runs to a wide
range of sponsors, stakeholders and external bodies and individuals in order to
inform business risk management and business continuity management plans
and activities
• the results and outcomes from real life disaster recovery activities, to a wide
range of sponsors, stakeholders and external bodies
• the cost and value of disaster recovery provision of IT/technology systems
services and assets

f) Manage:
• the relationships with external providers offering disaster recovery services
• the operation of disaster recovery tests and ‘dry runs’
• the invocation, operation and close down of all disaster recovery activities

g) Analyse:
• the appropriateness of disaster recovery plans against business continuity
needs
• the cost and value of disaster recovery planning, testing and provision for
IT/technology systems, services and assets

h) Review:
• the effectiveness of processes, procedures, methods, tools and techniques
relevant to disaster recovery planning
• the accuracy, currency and completeness of disaster recovery plans
• updates to disaster recovery plans as a result of changes that might have
occurred
• disaster recovery plans for completeness against information contained within
risk registers and assessments and threat and vulnerability assessments

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• improvements to disaster recovery strategy and policies as a result of best

practice and lessons learned from other potentially disastrous/disastrous
scenarios and real life disaster scenarios

i) Present:
• the effectiveness and quality of disaster recovery activities and their
deliverables in supporting the business needs, brand, reputation and
operational effectiveness of an organisation
• disaster recovery strategy and plans so that they may be endorsed
• the cost and value of disaster recovery provision of IT/technology systems
services and assets
• action to be taken in the event of triggers of disaster recovery activities
occurring

j) Take action:
• to deal with issues arising as a result of disaster recovery activities not being
compliant with legislation, regulations or external standards
• to ensure that sensitive business information is not disclosed inappropriately
during disaster recovery activities
• to invoke disaster recovery plans in the event of appropriate triggers
• in the event of external providers not providing the appropriate quality of
disaster recovery and planning services

k) Communicate/liaise:
• with sponsors, stakeholders and internal and external bodies and individuals on
all aspects of disaster recovery planning and management
• with sponsors, stakeholders and other external bodies and individuals in the
event of disaster recovery plans being invoked

l) Advise and guide others on:

• best practice in disaster recovery activities and their deliverables
• the actions that may be taken in the event of disaster recovery planning
activities not meeting the business needs

m) Design/develop
• standards relating to disaster recovery activities
• strategy and policies to ensure the alignment of disaster recovery activities and
their deliverables with all relevant regulation and external standards
• a specified management control structure with named individuals and clear
communication channels for use during disaster recovery activities

Competence 6.3.L.2 – Direct the management of the IT disaster recovery activities

This competence will be demonstrated by the following Performance Criteria (6.3.L.2.C.):
a) Identify when and how to use external providers of disaster recovery services, selecting
suitable providers and agreeing contractual arrangements that will support the business
needs

b) Be accountable for the effective, end to end implementation and operation of all disaster
recovery and the cost and value of DR provision supporting an organisation

c) Effectively manage disaster recovery tests and dry runs, reviewing and presenting the
results and outcomes to a wide range of sponsors, stakeholders and external
bodies/individuals in order to inform business risk management and business continuity
management plans and activities

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d) Make reasoned and timely decisions on when to invoke the disaster recovery plan and
when and how to invoke a return to normal operations

e) Manage real life disaster recovery activities for an organisation in the event of
appropriate triggers, closing down and reporting the results and outcomes to a wide
range of sponsors, stakeholders and external bodies

Competent performance requires Knowledge (6.3.L.2.K.) of how to:

a) Manage:
• the relationships with external providers offering disaster recovery services
• the operation of disaster recovery tests and ‘dry runs’
• the invocation, operation and close down of all disaster recovery activities

b) Make decisions:
• on when to invoke the disaster recovery plan
• on when and how to invoke a return to normal operations after invocation of
disaster recovery activities
• on what actions to take in the event of disaster recovery activities not
supporting the business needs, brand, reputation and operational effectiveness
of an organisation
• on the cost and value of disaster
• recovery provision of IT/technology systems, services and assets

c) Negotiate:
• the cost and value of disaster recovery provision of IT/technology systems,
services and assets with sponsors, stakeholders and superiors
• the cost and value of disaster recovery provision of IT/technology systems,
services and assets

d) Be accountable for:
• the end to end operation of a disaster recovery plan
• the effective implementation and operation of all disaster recovery plans within
an organisation
• the cost and value of disaster recovery provision of IT/technology systems,
services and assets

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Discipline 7. IT Service Management and Delivery Discipline

This discipline covers all of the knowledge and understanding required to undertake the
management of service delivery and the delivery itself of IT services, systems and assets to an
organisation to support business functions.
7.1 IT/Technology Service Operations and Event Management
This sub-discipline is about the competencies required to manage and maintain the day to day
operation of the software, hardware and network infrastructure used by the IT/technology
systems, services and assets supporting an organisation. IT/technology software, hardware and
network infrastructure may exist both within a single organisation and also be shared/span
across multiple organisations.

Software may include items such as:

• systems management software such as operating system software
• database management software
• software tools
• storage management software
• middleware for connecting applications and other components
• web services
• applications

Hardware infrastructure may include items such as:

• processors
• storage devices
• mobile devices
• input and output devices
• any other items of hardware required for the provision of IT/technology systems,
services and assets for an organisation

Network infrastructure includes all of the components necessary for any type of network,
whether hard wired or wireless, which support the provision of IT/technology systems, services
and assets for an organisation.

This sub-discipline requires not only an appreciation of the role and purpose of individual
software, hardware and network products and services, but also of how they must be operated
according to the architectural principles, standards and protocols that govern how they work
together. It also requires an understanding of the service levels required by the organisation in
order to operate effectively.
Service operations involve not only monitoring and control, carried out from consoles or an
operations bridge, but also operational aspects of processes from other sub disciplines such as
change management and availability management.

Event management involves responding to events/triggers in the most appropriate manner, be

this an event that indicates normal occurrences that require routine action or ones that indicate
an abnormal occurrence that may result in an incident.

7.2 IT/Technology Service Help Desk And Incident Management

This sub-discipline is about the competencies required to manage the contacts made by
customers of IT/technology systems, services and assets, typically through a service desk/help
desk function as ‘ the first point of contact’ supporting an organisation.
A service desk/help desk may be the initial point of contact for incidents and service requests.
Those that cannot be resolved are assigned to other internal /external individuals and/or groups

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who can own and resolve them, but the progress tracking of these incidents and service
requests is conducted from inception to fulfilment and/or closure by the service desk/help desk
function.
7.3 Problem Management

This sub-discipline is about the competencies required to resolve the root cause of incidents
and problems, and to minimise the adverse long term impact of these root causes on an
organisation.

It is also about preventing the occurrence of, and/or recurrence of, incidents and problems
through the proactive use of trend analysis, root cause analysis and prioritised resolution
activity.

7.4 IT Application Management / Support

This sub-discipline is about the competencies required to ensure that application

systems/services that support specific business functions and processes for an organisation
remain available, appropriate to business needs and perform according to defined service
levels.

Applications can be defined as technology solutions that support specific business functions
and processes, such as sales ordering, inventory management, customer complaints handling
and payroll processing. Applications may be referred to as services, but typically any given
service will involve a wider range of technology elements than just the application itself.

Application management may be broken down into three broad categories of activity as follows:
• reactive/responsive activity to resolve incidents and problems that occur with application
services and impact an organisations’ ability to use them correctly
• the development of enhanced capabilities that may be bundled into scheduled
releases/new versions of the application, often in response to business change, process
redesign and or organisational redesign activities resulting in change requests for the
application. These releases may also include fixes to low(er) priority problems
• routine maintenance of application to ensure they continue to perform according to
service levels and expectations

Applications may exist as internally developed technology, third party packages or externally
provided and hosted software services.

7.5 IT/Technology Management And Support

This sub-discipline is about the competencies required to ensure that the infrastructure required
to support the delivery of IT/technology systems, services and assets for an organisation remain
available, appropriate to business needs and performs according to defined service levels.
IT/technology software, hardware and network infrastructure may exist both within a single
organisation and also be shared/span across multiple organisations.

Software may include items such as:

• systems management software such as operating system software
• database management software
• software tools
• storage management software
• middleware for connecting applications and other components

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• web services

Hardware infrastructure may include items such as:

• processors
• storage devices
• mobile devices
• input and output devices
• any other items of hardware required for the provision of IT/technology systems,
services and assets for an organisation

Network infrastructure includes all of the components necessary for any type of network,
whether hard wired or wireless, which support the provision of IT/technology systems, services
and assets for an organisation.

The support of business applications are excluded from technical support and are covered in a
separate unit as are the architecture, design and development of technical infrastructure and
services.

7. 6 Availability Management

This sub-discipline is about the competencies required to manage the availability of inter-
operating IT/technology systems, services and assets supporting an organisation, both during
current operation, and in support of future needs and demands.

Availability management is concerned with ensuring the reliability, maintainability, serviceability,

resilience and security of individual IT/technology systems, services and assets and the
effectiveness of their combined operation. It consists of both proactive and reactive
management of availability. Availability targets are normally contained within Service Level
Agreements (SLAs) and actual achievement against these forms an integral part of service
reviews.

Proactive management of the availability of IT/technology systems, services and assets

supports service level requirements and ensure that potential issues can be dealt with before
they interrupt availability. Thus, availability management activities may initiate changes to the
IT/technology infrastructure to increase its stability and tolerance to faults. This is distinct from
the definition of service level agreements, which sets the standards to be achieved and the
retrospective review of IT/technology performance against these standards.

Reactive management availability involves responding to incidents, problems and other events
which may result in the unavailability of IT/technology systems, services and assets.

7.7 IT/Technology Capacity Management

This sub-discipline is about the competencies required to manage the capacity of IT/technology
services, systems and assets that support an organisation.
Capacity management covers a range of activities that ensure that current and future business
needs are met by resources in the most effective manner; that current performance of the
systems and services and assets are optimised and that changes to IT/technology capacity can
be justified, planned and implemented in advance of the expected changes to business
demand.
Typical capacity management activities may include:
• monitoring of IT/technology throughput and performance
• analysing measurement data and information

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• assessing and modelling the impact of new services on existing IT/technology capacity
• tuning and balancing the performance of existing capacity
• future workload planning
• assessment of demand for IT/technology resources
• planning how and when to introduce new IT/technology capacity

Capacity management activities take place as part of the day-to-day management of

IT/technology systems, services and assets. They are also required during the development
lifecycle of new and/or enhanced IT/technology systems, services and assets.

7.8 Change And Release Management

This sub-discipline is about the competencies required for the management of changes required
to the operational IT/technology configuration and environment in which it operates. The
competencies defined in this sub discipline apply to all software, hardware and
telecommunications systems, services and assets supporting an organisation.

Change Management ensures that standardized methods and procedures are used for efficient
and prompt handling of changes to IT infrastructure, in order to manage the impact of any
change. Changes may arise reactively in response to problems or externally imposed
requirements, or proactively, as part of an improvement or in response to business initiatives.
Change Management will ensure prompt handling of all requests for change, and maintain the
proper balance between the need for change and the potential impact.

Change Management may be implemented individually or combined into releases. Changes

and/or releases may be issued by external providers of IT/technology products, services and/or
equipment, or may be developed or commissioned internally. As such, this sub-discipline covers
also the competencies required to manage all aspects of releases

Change Management would typically include the request and recording of changes, resource
and impact assessments, the assessment of business justification and obtaining approval.
Frequently the approval process will include a review across key business functions to ensure
that all possible impacts are identified. In large organisations this may be a Change
Management Advisory Board while in smaller organisations it may consist of one or more
people authorised to approve changes. This is followed by the implementation of the change
and the monitoring and review of the effects.

This sub-discipline covers competencies within the IT/technology function relating to change
and does not relate to those competencies required to bring about the effective introduction and
management of business change

7.9 IT/Technology Service Catalogue and/or Service Level Management, Measurement

and Reporting

This sub-discipline is about the competencies required to manage both the service catalogue
and the service levels associated with each service within it.

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Service catalogue management activities ensure that the service catalogue details all of the
IT/technology services offered to an organisation and that it remains current, available and
accessible to all individuals and groups who may need to reference it.
Service Level Management involves activities negotiating and agreeing service levels for
service that apply to IT/technology services as well as monitoring, measuring and reporting on
performance against these targets. It aims to ensure that all services are documented in
appropriate Service Level Agreements (SLAs) and other associated documentation, that
accurate and timely reports of actual performance are produced and distributed to relevant
individuals and groups and that, where necessary, plans are put into place to improve the levels
of service provided.

7.10 IT/Technology Asset And Configuration Management

This sub-discipline is about the competencies required to maintain the integrity and consistency
of the IT/technology configuration and the accurate recording and management of IT/technology
assets supporting an organisation. It does not include data, information and knowledge assets
which are considered within discipline six.
The purpose of asset and configuration management is to identify and control and account for
service assets and configuration items, protecting and ensuring their integrity across the service
lifecycle.
Configuration management can be defined as a set of processes that provide oversight and
control of design information and records of changes associated with IT/technology systems
services and assets supporting an organisation. Configuration Management aims to mitigate the
ability of any such changes to impact the ability of these systems, services and assets to
perform their functions as expected.

7.11 Supplier Management

The purpose of the supplier management process is to obtain value for money from suppliers
and to ensure that suppliers perform to the targets contained within their contracts and
agreements, while confirming to all the terms and conditions.
This sub-discipline is concerned with the competencies required to procure and manage the
suppliers of third party IT/technology products, services and equipment. This sub-discipline also
covers the competencies required to enable the efficient and effective provision of IT/technology
systems, services and assets supporting an organisation by an external supplier/partner and in
line with organisations requirements and budget. These goods and services include:
• Software products, services and equipment
• Hardware products, services and equipment
• Networking products, services and equipment
• Consultancy services (including outsourcing services) and external expertise
• Consumables required by IT/technology systems, services and assets or the users of
them

This sub-discipline is also concerned with the effective development and management of both
relationships with suppliers and partners, and associated contractual and service arrangements.
This sub-discipline does not cover internal billing for products services and equipment or the
administrative activities involved in the placing and tracking of orders

7.12 Technical Evaluation

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This sub-discipline is about the competencies required to perform technical assessment and
evaluation of existing and/or new products, services and equipment in order to establish their
suitability for ongoing use within the organisation or introduction into the organisation.
Technical evaluation may be conducted in order to assure levels of service and quality, ensure
compliance to standards and regulations or as part of a wider activities associated with the
establishment and maintenance of ‘fit for purpose’ IT/technology supporting an organisation.

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7.1 IT/Technology Service Operations and Event Management

This sub-discipline is about the competencies required to manage and maintain the day to day
operation of the software, hardware and network infrastructure used by the IT/technology
systems, services and assets supporting an organisation. IT/technology software, hardware and
network infrastructure may exist both within a single organisation and also be shared/span
across multiple organisations.

Software may include items such as:

• systems management software such as operating system software
• database management software
• software tools
• storage management software
• middleware for connecting applications and other components
• web services
• applications

Hardware infrastructure may include items such as:

• processors
• storage devices
• mobile devices
• input and output devices
• any other items of hardware required for the provision of IT/technology systems,
services and assets for an organisation

Network infrastructure includes all of the components necessary for any type of network,
whether hard wired or wireless, which support the provision of IT/technology systems, services
and assets for an organisation.

This sub-discipline requires not only an appreciation of the role and purpose of individual
software, hardware and network products and services, but also of how they must be operated
according to the architectural principles, standards and protocols that govern how they work
together. It also requires an understanding of the service levels required by the organisation in
order to operate effectively.
Service operations involve not only monitoring and control, carried out from consoles or an
operations bridge, but also operational aspects of processes from other sub disciplines such as
change management and availability management.

Event management involves responding to events/triggers in the most appropriate manner, be

this an event that indicates normal occurrences that require routine action or ones that indicate
an abnormal occurrence that may result in an incident.

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Pre-Entry / Junior Technician Role:

Competence (7.1.J.1.): Carry out designated service operations activities under
supervision
This competence will be demonstrated by the following Performance Criteria (7.1.J.1.C.):
a) Follow the procedures, tools and techniques that apply to service operations and event
management activities, as directed
b) Comply with any relevant legislation, regulations and external standards relating to
service operations and event management activities in own area of accountability
c) Provide information, as appropriate, to relevant people on the progress of service
operational tasks against schedules
d) Restart tasks within operational schedules, where appropriate, under direction
e) Assist others in communicating with internal and external individuals and groups involved
when issues arise in service operations

Competent performance requires Knowledge (7.1.J.1.K.) of how to:

a) identify and select:
• a service event and when and how to notify others of an event
• whether an event indicates an incident or normal operations
• appropriate actions to take in the case of an event
• the schedule for service operations and the tasks involved
• when tasks within the operations schedule need to be restarted
b) use and apply:
• the procedures, tools and techniques that apply to service operations activities
and their deliverables
• the service schedule/s and information relating to events
• information relating to individuals and groups who are involved in service
operations
• information necessary to escalate events if necessary
• information relating to tasks in the operational schedule
• the service levels and operational hours that apply to service operations
c) record and store:
• changes to service operations schedules
• actions resulting from events
• progress of service operations tasks against service schedules
d) operate with reference to:
• organisational standards relating to service operations
• the service operations schedule
• procedures for conducting service tasks
e) operate with:
• reference to professional and ethical standards in service operations
• integrity and confidentiality during service operations
f) comply with all relevant and applicable legislation and regulations relating to service
operations
g) take action/measures to:
• respond to events appropriately and in a timely manner
• respond to information regarding the progress and completion of service
operations tasks
• restart tasks as required and escalate events as and when appropriate
• track the progress of any events
h) be accountable for the quality and effectiveness of your own responses to events

Competent performance requires Understanding (7.1.J.1.U.) of:

a) the “day to day” nature of service operations and event management activities
b) the role of software, hardware and network infrastructure in supporting business
operations and in service delivery/operation

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c) what is meant by:

• service operations
• an event
• a system administrator, operations schedules, event logs
• batch processing, online processing, real time processing, transaction
processing
• software, hardware and network infrastructure
d) what is the role of service operations and event management in ensuring the provision
of IT/technology systems, services and assets within an organisation
e) what is the relevance of effective IT/technology software, hardware and network service
operations and event management on the full life cycle of service delivery/operations
f) what are the:
• the tasks which must be undertaken and services that must be provided within
software, hardware and network service operations and event management
activities
• actions that can be taken in response to events
• schedules that need to be followed for service operations
• different methods of backup that can be used by an organisation
• service levels that apply to IT/technology services within the service catalogue
and/or portfolio
• goals and objectives of service operations and event management activities
• procedures, tools and techniques that can be used for service operations and
event management activities
• inputs to and required outputs from service operations and event management
activities
• potential implications of not taking appropriate action in response to any
IT/technology events
• service levels and priorities that may apply to the service operations and event
management activities
g) the fact that:
• service operations and event management activities may need to be carried out
both internally or externally to the organisation
• service operations can be carried out remotely/ from distant locations
• some events may require routine action and interventions whilst others may
indicate the need for corrective actions to take place
• service operations and event management activities may need to be carried out
outside normal working hours
• ‘service operation and event management’ tasks have to be prioritised and
organised to ensure minimum disruption to those using the IT/technology
systems, services and assets
• many customers of IT/technology systems, services and assets will call/contact
a service desk/help desk in frustration and anger if the deliverables of service
operations activities are not carried out as expected
• external providers of service operations and event management services exist
and that some organisations choose to use them for all or part of their services,
and others choose to manage them internally
h) why:
• events need to be responded to with minimal/no disruption to IT/technology
systems, services and assets
• service operations need to be scheduled so as to cause minimal/no disruption to
service levels and customers
• service operations and event management activities may take place outside
normal working hours
• service operation tasks need to be prioritised and scheduled to minimise/avoid
disruption to the level of service provided
i) who:
• are the customers for service operations and event management activities

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• are the internal and external providers of any service operations or event
management activities
• needs to authorise actions to be taken during service operations and event
management activities
j) the importance of:
• service operations and event management to an organisation
• conducting all service operational and event management tasks effectively and
efficiently and in line with procedures and schedules
• referencing the service catalogue and/or portfolio and service level information
during service operations and event management activities, where appropriate
• documenting/recording all service operations and event management activities
k) the procedures, tools and techniques that can be used to carry out the activities of service
operations
l) how to comply with standards and service levels that apply to service operations and
event management activities
m) how to respond to any event that occurs/appears on an event log

Competence (7.1.J.2.): Monitor and report on the progress and completion of designated
service operations activities
This competence will be demonstrated by the following Performance Criteria (7.1.J.2.C.):
a) Monitor the progress and completion of service operations tasks, as directed
b) Track the progress of events, taking appropriate and timely action in response to them, in
line with operational procedures
c) Gather and document all necessary information from monitoring operational tasks and
schedules
d) Report issues arising from monitoring the progress and completion of service operations
tasks

Competent performance requires Knowledge (7.1.J.2.K.) of how to:

a) source, gather and collate information:
• from operational schedules
• relating to the tasks detailed in operational schedules
• relating to an event in order to respond correctly to it
• from monitoring service operational tasks and schedules
• relating to the required and actual responses to events
b) use and apply the procedures, tools and techniques to monitor the successful completion
of tasks within the service schedule
c) report issues arising from events and from monitoring the progress and completion of
service operations tasks
d) provide updated information, as appropriate, to relevant people on the progress of
service operational tasks against schedules

Competent performance requires Understanding (7.1.J.2.U.) of:

a) why the activities of service operations and event management need to be monitored
b) who needs to be informed in the event of any issues arising from service operations or
event management activities
c) the importance of tracking the progress of service operations and events and taking
appropriate action in the event of failures of operational processing
d) the need for monitoring of:
• individual service operational tasks and schedules
• the level of customer satisfaction with service operations
• the success of event management in minimising disruption to IT/technology
systems, services and assets

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Competence (7.1.J.3.): Assist in the review of service operations activities

This competence will be demonstrated by the following Performance Criteria (7.1.J.3.C.):
a) Accurately interpret information gathered during the completion of service operations
tasks

Competent performance requires Knowledge (7.1.J.3.K.) of how to:

a) use and apply information from monitoring the quality and effectiveness of any service
operations task and or schedule
b) analyse and interpret:
• information gathered during the completion of service operations tasks
• service schedules

Competent performance requires Understanding (7.1.J.3.U.) of:

a) what are the potential implications to an organisation of service operations and event
management activities not being conducted in a timely and efficient manner
b) the importance of reviewing events that occur and ascertaining, with reference to any
available logs, the appropriate course of action required as a result
 

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Associate Professional Role

Competence (7.1.A.1.): Carry out service operations activities

This competence will be demonstrated by the following Performance Criteria (7.1.A.1.C.):
a) Identify and document the procedures, tools and techniques relating to and required for
service operations, as directed
b) Communicate with internal and external individuals and groups involved when issues
arise in service operations, as directed
c) Assist others in identifying when tasks within the operations schedule need to be
rescheduled
d) Assist others in the rescheduling of service operations activities as necessary to complete
schedules

Competent performance requires Knowledge (7.1.A.1.K.) of how to:

a) identify and select:
• the procedures, tools and techniques to use for service operations activities and
their deliverables
• who are the customers of service operations
• who needs to authorise actions to be taken during service operations and event
management activities
• who are the providers of any internal or external service operations or event
management services
b) use and apply:
• standards relating to service operations
• the systems and service lifecycle as appropriate to service operations
c) record and store:
• the procedures, tools and techniques relating to service operations
• the actions required for any service operations task
• information relating to the resolution of issues experienced during service
operations activities, so that it may be reused
d) communicate and liaise with internal and external individuals and groups involved when
issues arise in service operations

Competent performance requires Understanding (7.1.A.1.U.) of:

a) the relationship between software, hardware and network infrastructure activities and
their deliverables and other service operation/management activities
b) what is the range of hardware, software and networking elements that constitute any
IT/technology service that must be provided
c) what information needs to be referenced and used during any software, hardware and
network service operations and event management activities
d) what is the relationship between events, incidents, problems and changes
e) what are the:
• different ways of organising service operations and the skills, knowledge and
expertise required for them
• range of tasks that service operations may be required to address
f) the fact that structured processes and procedures are essential to service operations and
event management activities
g) the importance of:
• service operations and event management tasks being assigned to, then
owned and actioned by nominated individuals and/or groups
• the service lifecycle and the service catalogue and/or portfolio as they relate to
service operations and event management activities
• having secure and accessible backups
• having procedures for recovery/restart of operations

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• and relevance of service operations and event management activities on the full
service life cycle
• effective communication in service operations and event management activities
with colleagues and customers of the service
• ensuring that correct documentation is developed and maintained for all service
operations and event management activities
• the service and systems lifecycle and their impact on service operations and
event management activities
• ensuring confidentiality, integrity and security during service operations and
event management activities and ensuring that sensitive business information
is not disclosed inappropriately
h) how service operations and event management activities support service delivery and
operation objectives
i) how to reprocess and rerun operational schedules in the event of failure

Competence (7.1.A.2.): Monitor and report on the progress and completion of service
operations activities
This competence will be demonstrated by the following Performance Criteria (7.1.A.2.C.):
a) Monitor adherence to and progress against operations schedules
b) Gather information from tracking the progress of operational schedules
c) Document information relating to the resolution of issues experienced during service
operations activities, for reuse to inform future activities
d) Source information to support the reporting of performance of service operations against
schedules, targets and/or metrics
e) Provide metrics and management information produced by service operations to internal
and external sponsors, stakeholders individuals and other bodies, as appropriate
f) Assist others in monitoring the quality and effectiveness of service operations

Competent performance requires Knowledge (7.1.A.2.K.) of how to:

a) source, gather and collate information:
• from tracking the progress of operational schedules
• to support the reporting of performance of service operations against schedules,
targets and/or metrics
b) record and store the procedures, tools and techniques to monitor the quality and
effectiveness of service operations
c) monitor adherence to and progress against operations schedules
d) report:
• any restart activities required in order to complete service operations tasks and
schedules
• issues arising from monitoring the progress and completion of service
operations schedules
e) provide:
• information relating to events to relevant people
• metrics and management information produced by service operations to internal
and external sponsors, stakeholders individuals and other bodies, as
appropriate

Competent performance requires Understanding (7.1.A.2.U.) of:

a) what are the metrics used to assess service operations and the importance of these
metrics being used to measure the performance of service operations and event
management activities
b) the need for monitoring of the alignment of service operations and event management
activities and their deliverables with service targets and service levels
c) the procedures, tools and techniques that can be used to:
• manage and monitor the activities of service operations

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• monitor the alignment of service operations and event management activities

and their deliverables with service targets and service levels

Competence (7.1.A.3.): Review, and help identify improvements to, the performance of
service operations activities
This competence will be demonstrated by the following Performance Criteria (7.1.A.3.C.):
a) Apply appropriate expertise from internal and external sources to advise and guide on
issues arising from failure to follow the service operations schedules
b) Report any issues arising from monitoring the progress and completion of service
operations schedules, including necessary restarts, to relevant people

Competent performance requires Knowledge (7.1.A.3.K.) of how to:

a) use and apply:
• lessons learned from previous service operations activities
• appropriate expertise from internal and external sources to advise and guide on
issues arising from failure to follow the service operations schedules and
activities
• best practice in service operations
b) analyse and interpret information relating to the completion of service operations
schedules in order to inform future actions

Competent performance requires Understanding (7.1.A.3.U.) of:

a) what are the potential implications of service operations and event management
activities and their deliverables being incorrect, incomplete, inadequate and/or
inappropriate
b) the fact that the services offered by service operations and event management activities
have to change in line with any changing business needs for IT/technology
c) the fact that business and organisational changes, particularly those involving changes to
processes, or the introduction of new or enhanced technology will result in changes to
service operations activities

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Professional Role:
Competence (7.1.P.1.): Manage and carry out activities that apply to service operations
This competence will be demonstrated by the following Performance Criteria (7.1.P.1.C.):
a) Implement and maintain strategy, policies, plans, standards, procedures, tools,
techniques and plans that apply to service operations
b) Implement and maintain service operations schedules
c) Implement and maintain the service levels, operational hours and metrics that apply to
service operations, under direction
d) Identify when tasks within the operations schedule need to be rescheduled
e) Reschedule service operations activities as necessary to complete schedules, reporting
action taken to relevant people
f) Ensure that staffing levels and skills are in line with the needs of service operations so
that service operations can respond appropriately to any major incident(s) that may
arise
g) Assist others in identifying the interdependency of tasks within the service schedule and
the priorities for service operations tasks
h) Assist others in identifying the backup strategies and implementing backup and recovery
procedures as part of service operations schedules

Competent performance requires Knowledge (7.1.P.1.K.) of how to:

a) identify and select who are the sponsors of and stakeholders for service operations or
event management activities and who needs to be informed of any issues arising from
these
b) source, gather and collate information relating to the management information that
should be provided by service operations to customers and to others as appropriate
c) use and apply standards relating to service operations and event management
d) document/complete/store the priorities to allocate to service operations tasks and
operational schedules
e) implement and maintain:
• the procedures, tools, techniques and plans that apply to service operations
• the service levels and operational hours that apply to service operations
• standards relating to service operations
• service operations schedules, and identify when tasks within the operations
schedule need to be rescheduled
f) manage relationships with all internal and external individuals involved in the provision of
support to service operations activities
g) take action and measures:
• to reschedule service operations activities as necessary to complete schedules
• in the event of individuals not meeting the targets and standards relating to their
personal effectiveness in service operations
• to take account of internal and external factors that may impact on service
operations
h) to ensure that staffing levels and skills are in line with the needs of service operations so
that service operations can respond appropriately to any major
i) communicate and liaise with external providers of service operations and event
management services

Competent performance requires Understanding (7.1.P.1.U.) of:

a) the role of software, hardware and network infrastructure in supporting the service
strategy
b) that particular individuals and/or groups may need to be involved in the management of
software, hardware and network infrastructure and service operations

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c) what is the range of issues, including legislation, regulations and external standards,
associated with software, hardware and network service operations and event
management activities and their deliverables
d) what are the implications of internal and external factors on service operations activities
and their deliverables
e) what are the inter-relationships between all of the elements necessary to support the
delivery and operation of IT/technology services supporting an organisation
f) what are the implications of batch processing, real time processing, transaction
processing and online and offline processing for the scheduling of operations
g) the fact that the perception that many customers may have of the quality of an
organisation’s IT/technology systems, services and assets can be influenced heavily by
the quality of the service operations and event management activities
h) the fact that the impact of any relevant legislation, regulations and external standards
needs to be reflected in service operations and event management activities and their
deliverables
i) who:
• defines the priorities and scheduling of service operations
• are external providers of service operations and event management services
• are the sponsors of and stakeholders for service operations and event
management activities
• sets the objectives and goals for service operations
j) the importance of:
• ensuring that all tasks involved in service operations and event management
are assigned to those individuals and/or functions that can deal with them most
effectively
• all individuals who undertake service operations and event management
activities complying with the relevant strategy, policies, processes and
procedures
• keeping relevant people informed of any issues encountered during service
operations and event management activities that may cause disruption to
service levels or to the organisation
k) the importance of:
• and relevance of service operations and event management activities on the full
life cycle of information within an organisation
• service operations and event management activities being informed and
directed by the business requirements and customer needs
• verifying where appropriate the accuracy, currency, completeness and
relevance of information used during service operations and event management
activities
l) the importance of managing:
• the expectations of customers in respect of service operations
• relationships with sponsors, stakeholders and external bodies on matters
relating to service operations and event management activities and their
deliverables

Competence (7.1.P.2.): Monitor and report on the quality and effectiveness of service
operations to meet business and organisational objectives/targets
This competence will be demonstrated by the following Performance Criteria (7.1.P.2.C.):
a) Monitor the quality and effectiveness of service operations, presenting performance
against metrics to relevant people
b) Monitor and analyse the personal effectiveness of individuals working in service
operations, taking action where appropriate to address issues under direction and in
line with procedures
c) Apply the metrics to measure the performance of service operations, as directed

Competent performance requires Knowledge (7.1.P.2.K.) of how to:

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a) source, gather and collate information relating to the effectiveness of individuals working
in service operations
b) use and apply the procedures, tools, techniques and plans to monitor the alignment of
service operations activities and their deliverables with business needs, service
delivery/operations objectives and the service strategy and any relevant legislation,
regulations and external standards
c) use and apply:
• Information to support the reporting of the performance of service operations
against the service strategy
• the metrics to measure the performance of service operations
d) record and store:
• the procedures, tools, techniques and plans to monitor the alignment of service
operations and their deliverables with any relevant legislation, regulations and
external standards
• the procedures, tools and techniques to monitor the quality and effectiveness of
external providers of service operations services
• the metrics that are used to measure the performance of service operations
• the results from monitoring the quality and effectiveness of service operations
and event management activities and their deliverables
e) implement and maintain:
• the procedures, tools and techniques to monitor the quality and effectiveness of
service operations
• the metrics that are used to measure the performance of service operations
f) monitor:
• the effectiveness of responses to events
• the quality and effectiveness of service operations
• the effectiveness of individuals working in service operations in responding to
events and issues arising during service operations activities
g) report:
• any rescheduling of service operation tasks required to enable completion
• the performance of service operations against metrics, to a range of internal and
external individuals and groups

Competent performance requires Understanding (7.1.P.2.U.) of:

a) the fact that service operations and event management activities provide a valuable
source of management information relating to IT/technology systems, services and
assets and their operation
b) why there is a need to monitor:
• the quality and effectiveness of service operations and event management
activities and their deliverables
• the alignment of service operations and event management activities and their
deliverables with business needs, service delivery/operation objectives and
service strategy and with any relevant legislation, regulations and external
standards
• the effectiveness of individuals working in service operations against its targets
and metrics
c) why the activities and performance of service operations need to be formally reported on
a regular basis
d) the importance of:
• obtaining relevant information from customers in order to ensure service
operations and event management activities can be carried out to minimise any
disruption to customers of the IT services, systems and assets
• reporting service operations performance on a regular basis
e) the procedures, tools and techniques that can be used to monitor the alignment of
‘service operation and event management’ activities and their deliverables with
business needs, service delivery/operation objectives and service strategy
f) the procedures, tools and techniques that can be used to monitor customer satisfaction
with service operations and event management activities

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Competence (7.1.P.3.): Review and identify improvements to service operations activities

'This competence will be demonstrated by the following Performance Criteria (7.1.P.3.C.):
a) Manage relationships with all internal and external individuals involved in the provision of
support to service operations activities, under supervision
b) Ensure that service operations can respond appropriately to any new/enhanced
IT/technology systems, services or assets that are introduced

Competent performance requires Knowledge (7.1.P.3.K.) of how to:

a) identify and select lessons learned from previous service operations and event
management activities and experiences
b) source, gather and collate expertise from internal and external sources to advise and
guide on issues arising from service operations
c) use and apply information:
• relating to the effectiveness of individuals working in service operations in
meeting its schedules and targets/metrics
• from tracking the progress of operational schedules
d) record and store lessons learned from issues arising in previous service operations
activities
e) analyse and interpret the results gained from monitoring the effectiveness of individuals
working in service operations
f) present the results from monitoring the operation and performance of service operations
against metrics
g) to ensure that service operations can respond appropriately to any new/enhanced
IT/technology systems, services or assets that are introduced

Competent performance requires Understanding (7.1.P.3.U.) of:

a) why some organisations choose to outsource service operations and event management
operations and others choose to manage them internally
b) the importance of learning from real life service operations and event management
activities and experiences and applying the learning back to improve service operations
and the management of future events

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Senior Professional Role

Competence (7.1.S.1.): Manage and develop the provision of service operations
This competence will be demonstrated by the following Performance Criteria (7.1.S.1.C.):
a) Develop the policies, plans, standards, procedures, tools, techniques and plans, and
assist in the development of strategy, that apply to service operations
b) Design service operations schedules and the events/triggers that need to be in place to
control and monitor operational activities
c) Develop the service levels and operational hours that apply to service operations and the
metrics and targets that are used to measure them, under direction
d) Identify the interdependency of tasks within the service schedule and the priorities for
service operations tasks
e) Identify the backup strategies and implement backup and recovery procedures as part of
service operations schedules
f) Verify the appropriateness of any responses taken to events by other individuals working
within service operations
g) Advise and guide others on service operations scheduling and best practice in service
operations activities
h) Ensure changes to operations schedules on a day to day basis are minimised, in line with
service operations metrics and targets
i) Assist others in managing the impact of any major incident(s) on the activities of service
operations

Competent performance requires Knowledge (7.1.S.1.K.) of how to:

a) identify and select:
• the interdependency of tasks within the service schedule and their priorities
• the backup strategies to be used
• what is the level of expertise required to perform service operations and what is
the effectiveness of individuals working in relevant meeting targets and metrics
• any major incident(s) and the potential impact of it/them on the operations
schedule
• what information needs to be accessible to those individuals in service
operations from a wide range of internal and external sources
• internal and external factors that could impact on service operations
• any legislation, regulations and external standards that may apply to service
operations
b) source, gather and collate information relating to:
• service levels and operational hours that will be required by service operations,
based on business needs, service delivery/operation objectives and the service
strategy
• new or enhanced IT/technology services that are being introduced and that will
impact on operational services
• the business needs, service delivery/operation objectives and service strategy
so that it may direct and inform the activities of service operations
c) use and apply information relating to the service levels and targets that apply to service
operations and about who are the customers
d) use and apply strategy and policies to ensure the alignment of service management
activities and their deliverables with all relevant legislation, regulations and external
standards
e) record and store strategies, policies, plans and standards relating to the management of
service operations and their alignment with all relevant legislation, regulations and
external standards
f) implement and maintain:
• strategy and policies to ensure the alignment of service operations with all
relevant legislation, regulations and external standards
• backup and recovery procedures as part of service operations schedules
g) manage relationships with:

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• sponsors, stakeholders and external bodies on matters relating to service

operations
• external providers offering service operations and event management activities

h) manage the alignment of service operations with all relevant legislation, regulations and
external standards
i) manage relationships effectively with customers of service operations
j) review the effectiveness of individuals working in service operations
k) to ensure:
• that changes to operations schedules on a day to day basis are minimised
• that service operations meet strategic, financial and operational service targets
l) advise and guide others on service operations scheduling
m) design and develop:
• the procedures, tools, techniques and plans that apply to service operations and
service operations schedules
• the procedures, tools and techniques to monitor the quality and effectiveness of
service operations activities
• the service levels and operational hours that apply to service operations
• the metrics and targets that are used to measure the performance of service
operations and the events/triggers that need to be in place to control and
monitor effectively
• standards relating to service operations
• the procedures, tools, techniques and plans to monitor the alignment of service
operations with any relevant legislation, regulations and external standards
n) be accountable for following service operations schedules

Competent performance requires Understanding (7.1.S.1.U.) of:

a) what is the relationship between:
• event and service operations management and other service management
activities
• software, hardware and network service operations and event management
activities and the systems lifecycle
b) what are the:
• potential implications of failings in integrity, confidentiality and information
security during service operations and event management activities
• implications of any new or existing legislation, regulations and external
regulations on service operations and event management activities and their
deliverables
• interdependencies between different tasks that are required within an operations
schedule
c) the fact that the service operations needs to provide a range of services to support the
service strategy
d) the importance of managing relationships with external providers of service operations
and event management activities
e) the importance of managing and prioritising operational workloads, especially in the event
of failures and the need to reprioritise

Competence (7.1.S.2.): Monitor and report on the quality, effectiveness and customer
satisfaction relating to the provision of service operations
This competence will be demonstrated by the following Performance Criteria (7.1.S.2.C.):
a) ensure that that service operations meet strategic, financial and operational service
targets, under direction
b) identify the level of expertise required to perform service operations and the effectiveness
of individuals working in service operations in meeting relevant targets/metrics

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c) monitor customer satisfaction and the alignment of service operations with business
needs, service delivery/operation objectives and the service strategy

Competent performance requires Knowledge (7.1.S.2.K.) of how to:

a) verify the appropriateness of any responses to events and the appropriateness of
alterations to operational service schedules caused as a result of issues which have
arisen during operational activities
b) verify that the quality and effectiveness of service operations meets the business needs
and relevant service levels/targets
c) record and store the procedures, tools and techniques to monitor the alignment of service
operations with business needs, service delivery/operation objectives and the service
strategy
d) implement and maintain:
• the procedures, tools and techniques to monitor the alignment of service
operations with business needs, service delivery/operation objectives and the
service strategy and with any relevant legislation, regulations and external
standards
• metrics and targets to be applied to service operations
e) monitor:
• the alignment of service operations with service targets, service levels, business
needs, service delivery/operation objectives and the service strategy
• service operations activities to ensure timely and appropriate response to issues
arising during them
• the alignment of service operations with any relevant legislation, regulations and
external standards
• the quality and effectiveness of external providers of any service operations
• customer satisfaction with service operations
f) report the effectiveness of individuals working in service operations in response to issues
encountered
g) report findings from monitoring the quality and effectiveness of service operations
h) present proposals relating to the use of external providers of service operations services
i) present the implications of business needs for IT/technology service on service
operations and event management

Competent performance requires Understanding (7.1.S.2.U.) of:

a) the need for monitoring, and the procedures, tools and techniques that can be used to
monitor, the alignment of service operations and event management activities with
strategic, financial and operational targets for service operations and event
management activities and with any relevant legislation, regulations and external
standards
b) the need for monitoring of the quality and effectiveness of external providers of service
operations and event management services
c) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of external providers of service operations and event management
services

Competence (7.1.S.3.): Review, and help Identify and implement improvements to, the
provision of service operations
This competence will be demonstrated by the following Performance Criteria (7.1.S.3.C.):
a) Review the results from monitoring the operation and performance of service operations
against metrics
b) Make decisions on the appropriateness of using external suppliers of service operations
and event management services, presenting proposals for their use to relevant people
c) Assist others in adapting/changing service operations in support of changing business
needs

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Competent performance requires Knowledge (7.1.S.3.K.) of how to:

a) identify and select:
• when and how to source, use and apply best practice in service operations and
event management activities
• who are the internal and external sponsors of and stakeholders for, service
operations
• the strategic, financial and operational targets relevant to service operations
b) source, gather and collate information relating to the capabilities of existing or potential
external providers of service operations activities
c) use and apply information:
• relating to previous service operations issues
• from monitoring the quality and effectiveness of service operational tasks and
service schedules
• relating to the business needs, service delivery/operation objectives and the
service strategy in order to direct and inform the activities and schedules for
service operations
d) record and store proposals relating to the use of external providers of service operations
and event management services
e) manage:
• the impact of internal and external factors on the provision of service operations
to an IT/technology systems, services and assets
• the alignment of service operations with business needs, service
delivery/operation objectives and the service strategy
f) analyse and interpret:
• the metrics and management information produced by service operations
• the results gained from monitoring the quality and effectiveness of service
operations and with their alignment with any relevant legislation, regulations and
external standards
• information relating to the capabilities of existing or potential external providers
of service operations services, including monitoring their quality and
effectiveness
• information relating to new or enhanced IT/technology services that are being
introduced and the implications on service operations
g) review:
• the quality and effectiveness of service operations and event management
services
• the results from monitoring the operation and performance of service operations
against metrics
h) advise and guide others on best practice in service operations activities
i) make decisions on the appropriateness of using external suppliers of service operations
and event management services

Competent performance requires Understanding (7.1.S.3.U.) of:

a) what is the range of:
• possible impacts on any or all elements involved in the provision of end-to-end
IT/technology service, as a result of business growth/change
• internal and external factors that could impact on the delivery of IT/technology
service to customers that must be managed through service operations and
event management activities
• approaches that may be used to conduct service operations and event
management and other service management activities and their
appropriateness in a range of business and organisational contexts
b) what is best practice in service operations and event management activities
c) what are the:
• benefits and disadvantages of using external providers of service operations
and event management

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• implications of the service strategy and operational and financial targets for
service on service operations and event management activities

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Lead Professional Role

Competence (7.1.L.1.): Design and manage the service operations strategy and related
business objectives/goals
This competence will be demonstrated by the following Performance Criteria (7.1.L.1.C.):
a) Identify the implications of business needs for IT/technology service and the introduction
of new/enhanced IT/technology systems, services and assets on service operations
b) Identify how to operate and populate service operations most effectively to manage
operations schedules, managing the provision of appropriate staffing and skill levels to
meet service operational requirements
c) Design strategy and policies to ensure the alignment of service operations with all
relevant legislation, regulations and external standards
d) Identify the metrics, service levels and operational hours required for service operations,
based on business needs, service delivery/operation objectives and the service strategy
e) Make decisions on the priorities to be applied to service operational tasks
f) Manage the impact of any major incident(s) on the activities of service operations, in line
with the business needs, service delivery/operation objectives and/or the service
strategy
g) Negotiate with customers in the event of service levels not being met as a result of
service operations and event management activities
h) Make decisions on the most appropriate organisation and internal/external sourcing for
service operations to meet the business needs, service delivery/operation objectives
and/or the service strategy
i) Be accountable for the quality and effectiveness of service operations and their
performance in line with metrics, strategic, financial and operational targets

Competent performance requires Knowledge (7.1.L.1.K.) of how to:

a) identify and select:
• what levels of service apply to any IT/technology service within the service
catalogue/portfolio
• the implications of business needs for IT/technology service on service
operations
• how to operate and resource service operations most effectively to manage
operations schedules
• when new or enhanced IT/technology systems, services or assets are being
introduced that may have an impact on and require support from service
operations
• the implications of business service delivery/operation objectives and the
service strategy on service operations and event management
• strategies, policies, plans, standards and targets relating to the operation and
management of service operations
• the range of approaches that may be taken to service operations and their
appropriateness in a range of business and organisational contexts
• what operational service organisation and schedules are required to support the
business needs and the service strategy and the tasks that need to be included
in the schedules
• what service levels and operational hours will be required for service operations,
based on business needs, service delivery/operation objectives and the service
strategy
• when and how to use external providers for all or part of service operations
• the information required to perform service operations tasks effectively and in
line with the service strategy
b) source, gather and collate information relating to the type of service operations
organisation and schedules that are required to support the business needs and the
service strategy
c) use and apply the most appropriate approaches that may be taken to service operations
in a range of business and organisational contexts

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d) use and apply information relating to the capabilities and performance of existing or
potential external providers of service operations services
e) manage:
• the assessment of external providers of service operations and event
management activities
• the impact of any new or enhanced IT/technology services being introduced on
the activities of and schedules for service operations
• the impact of any major incident(s) on the activities of service operations
• the provision of appropriate staffing and skill levels to meet service operational
requirements
• the alignment of service operations with strategic, financial and operational
targets
f) review:
• proposals relating to the use of external providers of service operations services
• the implications of business needs for IT/technology service on service
operations and event management
• the alignment of service operations with the business needs, service delivery
objectives and the service strategy
g) to ensure that service operations support the entirety of the service catalogue and/or
portfolio
h) to ensure that service operations has access to appropriate individuals/groups to support
any issues that arise
i) advise and guide others on all aspects of service operations
j) design and develop strategy and policies to ensure the alignment of service operations
with all relevant legislation, regulations and external standards
k) make decisions on the:
• most appropriate organisation for service operations to meet the business
needs, service delivery/operation objectives and/or the service strategy
• metrics and targets that should apply to service operation and event
management
• priorities to be applied to service operational tasks
l) negotiate with:
• stakeholders on the provision of service operations
• external providers of service operation and event management services
• with customers in the event of service levels not being met as a result of service
operations and event management activities
m) agree which external suppliers of ‘service operation and event management’ services to
use
n) contract with external providers of service operations services
o) be accountable for :
• meeting strategic, financial and operational targets for service operations
• the quality and effectiveness of service operations

Competent performance requires Understanding (7.1.L.1.U.) of:

N/A

Competence (7.1.L.2.): Monitor and report on the quality, effectiveness and customer
satisfaction relating to service operations strategy and related business objectives/goals
This competence will be demonstrated by the following Performance Criteria (7.1.L.2.C.):
a) Monitor the quality, effectiveness and customer satisfaction of service operations against
business needs, service delivery/operation objectives and the service strategy

Competent performance requires Knowledge (7.1.L.2.K.) of how to:

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a) identify and select what:

• management information should be provided by service operations to customers,
relevant people including stakeholders
• metrics are to be used to measure the performance of service operations
b) verify the services offered by service operations against business needs, service
delivery/operation objectives and the service strategy
c) monitor the alignment of service operations with strategic, financial and operational
targets
d) report the quality and effectiveness of service operations provided to sponsors,
stakeholders and other individuals
e) design and develop the procedures, tools and techniques to monitor the alignment of
service operations with business needs, service delivery objectives and the service
strategy

Competent performance requires Understanding (7.1.L.2.U.) of:

a) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of service operations and event management activities and their
deliverables

Competence (7.1.L.3.): Review, identify and develop improvements to the business

objectives/goals of service operations
This competence will be demonstrated by the following Performance Criteria (7.1.L.3.C.):
a) Identify and implement the actions to be taken in the event of service operations not
supporting the business needs, service delivery/operation objectives and/or the service
strategy
b) Proactively adapt/change service operations in support of changing business needs

Competent performance requires Knowledge (7.1.L.3.K.) of how to:

a) source, gather and collate best practice in service operations activities
b) review the quality and effectiveness of external providers of service operations and event
management services
c) take action and measures:
• in the event of service operations not supporting the business needs or service
strategy
• to adapt/change service operations in support of changing business needs
d) advise and guide others on:
• the most appropriate way to organise service operations to meet business
needs, service delivery/operation objectives and the service strategy
• when and how to consider external providers of service operations
e) make decisions on the results from monitoring service operations
f) make decisions on proposals relating to the use of external providers of service
operations and event management services

Competent performance requires Understanding (7.1.L.3.U.) of:

N/A

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7.2 IT/Technology Service Help Desk And Incident Management

This sub-discipline is about the competencies required to manage the contacts made by
customers of IT/technology systems, services and assets, typically through a service desk/help
desk function as ‘ the first point of contact’ supporting an organisation.
A service desk/help desk may be the initial point of contact for incidents and service requests.
Those that cannot be resolved are assigned to other internal /external individuals and/or groups
who can own and resolve them, but the progress tracking of these incidents and service
requests is conducted from inception to fulfilment and/or closure by the service desk/help desk
function.

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Pre-Entry / Junior Technician role:

Competence (7.2.J.1): Carry out designated ‘IT Service Help Desk and Incident
Management’ activities under supervision
This competence will be demonstrated by the following Performance Criteria (7.2.J.1.C.):
a) Apply designated procedures, tools and techniques to respond to incident management
and service request activities under the direction of others
b) Comply with any relevant legislation, regulations and external standards relating to
service desk/help desk activities and their deliverables in own area of accountability
c) Communicate with customers of the service desk/help desk effectively, empathetically,
courteously and in a timely manner in relation to incidents and service requests relevant
to them
d) Accurately validate, categorise, prioritise and assign incoming incidents and service
requests, in line with procedures
e) Fulfil service requests and close incidents where possible within the service desk/help
desk, in line with procedures
f) Refer or escalate unfulfilled service requests and unclosed incidents in line with
procedures

Competent performance requires Knowledge (7.2.J.1.K.) of how to:

a) identify and select what classification and priority to allocate to incidents and service
requests received by the service desk/help desk
b) identify and select how to validate and assign incidents and service requests received by
the service desk/help desk
c) use and apply procedures, tools and techniques that apply to incident management and
service request activities
d) use and apply information about:
• who are the customers of the service desk/help desk
• the classifications to be applied to incidents and service requests
• the priorities to be applied to incidents and service requests
• the type of incidents and service requests that can be resolved directly by the
service desk
• individuals and groups to whom incidents or service requests can be assigned or
escalated
• what services are in the service catalogue/portfolio
• the service levels and operational hours that apply to the service desk/help desk
e) use and apply information from customers contacting the service desk/help desk in
relation to incidents and service requests so that they may be diagnosed and processed
f) use information relating to the nature and context of incidents and service requests from a
variety of internal and external sources
g) operate with reference to:
• relevant and applicable legislation and regulations
• professional and ethical standards
• maintaining integrity and confidentiality
• interacting with customers with courtesy and empathy
h) report issues arising from individual customer contacts that require escalation
i) receive contacts from customers in a range of media types
j) record incidents and service requests accurately and completely
k) diagnose incidents and service requests and provide immediate resolution where
possible
l) keep customers updated on the progress of incidents and service requests
m) keep customers satisfied with the level of service/contact they receive
n) fulfil as many service requests and close as many incidents as possible within the service
desk/help desk
o) communicate with internal and external individuals and groups to whom incidents and/or
service requests have been assigned

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Competent performance requires Understanding (7.2.J.1.U.) of:

a) the role and importance of the service desk/help desk in supporting business operations
b) the role of incident management and the service desk/help desk in service
delivery/operation
c) a service desk/help desk and its role in handing contacts and managing incidents and
service requests
d) what is meant by a service catalogue/portfolio
e) what is the relationship of the service desk/help desk to the service lifecycle and the
service catalogue/portfolio
f) what is meant by incident closure and service request fulfilment
g) the range of services that the service desk/help desk provides and the service levels that
apply to the service catalogue/portfolio
h) the goals, objectives and targets of the service desk/help desk
i) the procedures, tools and techniques that can be used for incident and service request
management
j) what are the inputs from service desk/help desk activities
k) the priorities that can be assigned to incidents and service requests
l) the fact that customers of the service desk may be internal or external to the organisation
m) the fact that many customers who contact a service desk/help desk may demonstrate
frustration and anger with the situation they find themselves in
n) the possible reasons for initial customer contact:
• IT/Technology operational problems
• valid requests for assistance; or
• other factors, such as a lack of appropriate knowledge, skills and training on the
part of users of IT/technology and its associated processes
o) the fact that the service desk may need to engage with both internal and external
providers of support for IT/technology services in order to resolve incidents and service
requests
p) why incidents and service requests need to be classified and prioritised accurately and
tracked from inception to closure
q) who:
• are the customers of the service desk/help desk
• are the internal and external providers
• needs to be informed in the event of any issues arising from interactions with
customers
• needs to be informed in the event of issues arising from the tracking of incidents
and service requests
• needs to authorise actions taken during incident management and service
access request activities
r) the importance of:
• fielding all contacts made to the service desk/help desk quickly, courteously,
accurately, empathetically and in line with procedures
• soliciting relevant information from customers in order to make an appropriate
diagnosis of how their needs can be addressed/managed
• referencing the service catalogue and/or portfolio and service level information
during incident and service access request activities, where appropriate
• incidents and service requests being assigned to, then owned and actioned by
nominated individuals and/or groups through their lifespan
• ensuring that all contacts to the service desk/help desk are assigned to those
individuals and/or functions that can deal with them most effectively
• keeping customers updated on the progress of their incident and/or service
request
• escalating incidents and/or service requests to superiors and other individuals
accurately, where appropriate
s) how to comply with standards and service levels that apply to incident management and
service access request activities

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Competence (7.2.J.2): Gather data to monitor and report on the effectiveness and
customer satisfaction of ‘Service Help Desk and Incident Management’ activities that you
provide.
This competence will be demonstrated by the following Performance Criteria (7.2.J.2.C.):
a) Gather and document all necessary information required for the diagnosis of and
assignment of incoming incidents and service requests
b) Take responsibility for the level of customer service and satisfaction that you provide

Competent performance requires Knowledge (7.2.J.2.K.) of how to:

a) gather and apply information:
• about incidents and service requests
• relating to services in the service catalogue and/or portfolio and their targets
• relating to the nature and context of incidents and service requests from a
variety of internal and external sources
• from monitoring the quality and effectiveness of services in operation, including
appropriate work-arounds
• relating to the customers of any service, their needs and their levels of
satisfaction with the service provided
b) document and store:
• incidents and service requests from inception to resolution/closure
• any diagnosis made in the service desk/help desk relating to incidents and
service requests
• work-arounds applied to keep business activities on track whilst incidents and
service requests are handled
c) report work-arounds applied to keep business activities on track whilst incidents and
service requests are handled, to individuals and groups responsible for the
development of longer term solutions
d) advise others on how a customer’s incident and/or service request will be handled and
provide progress information to relevant individuals
e) take responsibility for the quality and effectiveness of their customer interaction and
service associated with a call/contact to the service desk/help desk

Competent performance requires Understanding (7.2.J.2.U.) of:

a) what is meant by the service lifecycle and the type of service offered by the service
desk/help desk to the organisation
b) the fact that customer incidents and service requests:
• have to be classified and prioritised by the service desk/help desk
• need to be either fulfilled by the service desk/help desk or assigned to others,
either internally or externally, who are able to respond to them
c) the importance of:
• why the activities of the service desk/help desk need to be monitored
• documenting/recording all incidents and service requests together with their
outcomes
• tracking the progress of incidents and service requests from inception through to
fulfilment and/or closure
d) the need for monitoring of:
• individual calls/contacts made between customers and the service desk/help
desk
• the operational activities of the service desk/help desk including call/contact
volumes and response times

Competence 7.2.J.3): Help Identify and implement improvements and work-arounds to

‘Service Help Desk and Incident Management’ activities.
This competence will be demonstrated by the following Performance Criteria (7.2.J.3.C.):

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a) Accurately interpret information gathered from individual customer calls/contacts to the

service desk/help desk in order to ascertain the correct course of action/response,
under supervision
b) Assist others with the development of work-arounds and resolutions for incidents and
service requests, where appropriate

Competent performance requires Knowledge (7.2.J.3.K.) of how to:

a) Use and apply work-arounds to keep business activities on track whilst incidents and
service requests are handled, as directed by others
b) use and apply information relating to the resolution of previous incidents and service
requests

Competent performance requires Understanding (7.2.J.3.U.) of:

a) what is meant by a work-around
b) what are the potential implications of incidents on an organisation and of service
desk/help desk requests not being serviced in a timely and efficient manner
c) the importance of resolving as many valid incidents and service requests as possible at
the service desk/help desk

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Associate Professional role:

Competence (7.2.A.1): Carry out, and assist with the management of, ‘Service Help Desk
and Incident Management’ activities
This competence will be demonstrated by the following Performance Criteria (7.2.A.1.C.):
a) Follow the standards relating to the operation of incident management and service
request activities
b) Proactively escalate incidents to appropriate people, based on knowledge and
understanding of customer needs
c) Track the progress of incidents and service requests, communicating as required with
internal and external individuals and groups involved in their resolution and closure
d) Assist with the operational management of the service desk/help desk, including staffing,
skilling, monitoring performance and compliance with procedures

Competent performance requires Knowledge (7.2.A.1.K.) of how to:

a) Identify and select:
• the procedures, tools and techniques to use for incident management and
service request activities and their deliverables
• who are the customers, what levels of service apply and whether or not any
incident or service request is within the remit or catalogue/portfolio of the service
desk/help desk
• when, how and where to escalate any incident or service request to superiors
• when to inform appropriate people about any incidents or service requests
recorded by the service desk/help desk
• what information needs to be gathered in support of any particular incident or
service request to support its resolution/fulfilment/closure
b) verify the accuracy, currency, completeness and relevance of information provided to and
by customers
c) use and apply:
• standards relating to the operation of incident management and service request
activities
• the service and systems lifecycle as appropriate to service desk/help desk
activities
• information relating to customers and their needs
• appropriate expertise from internal and external sources to advise and guide on
the resolution of incidents and service requests
d) record and store:
• the procedures, tools and techniques relating to incident management activities
and their deliverables
• who are the customers of the service desk/help desk
• the level of service that applies to any service
• the classification and priorities to be allocated to any incident or service request
recorded by the service desk/help desk
e) take action and measures :
• as a result of feedback from customers
• to escalate incidents and service requests as and when appropriate
• to ensure that other support groups update records with closure details where
they are passed from the service desk/help desk
f) communicate and liaise with internal and external individuals and groups involved in the
escalation of incidents and service requests and/or the provision of work-arounds
Competent performance requires Understanding (7.2.A.1.U.) of:
a) the relationship between incident/request management activities and their deliverables
and other service operation/management activities and how this can affect operation
objectives
b) what:
• is the relationship between the service desk/help desk and any systems,
services, and assets supporting an organisation

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• is the range of IT/technology elements, such as hardware, software, networking

that constitute any service supported by the service desk/help desk
c) what information needs to be referenced and used during incident management and
service request activities
d) what are the:
• different types of service desks/help desks that can be offered and the skills,
knowledge and expertise required to operate them
• implications of service levels in relation to service desk/help desk activities
• potential implications of incident management and service request activities and
their deliverables being incorrect, incomplete, inadequate and/or inappropriate
• range of problems and opportunities raised by customers which incident
management and service request activities may be required to address
e) the fact that structured processes and procedures are essential to incident management
and service request activities

f) the fact that customers may report the symptoms of an incident but this may not be an
accurate description of the incident itself
g) the importance of:
• applying a range of interpersonal skills to ensure effective communication in
incident and service request activities
• making a timely assessment of any incoming incident and/or request in order to
assess severity, priority and how it should be classified and assigned
• the service desk/help desk supporting and reflecting the ethics, culture, values
and brand of an organisation
• the service and systems lifecycle and its impact on incident and service access
request activities
• ensuring confidentiality, integrity and security during incident management and
service request activities and that sensitive business information is not disclosed
inappropriately

Competence (7.2.A.2): Monitor and report on the effectiveness and customer satisfaction
of ‘Service Help Desk and Incident Management’activities
This competence will be demonstrated by the following Performance Criteria (7.2.A.2.C.):
a) Monitor calls/contacts made to the service desk/help desk and the time taken to respond
to them by other individuals
b) Interpret and report information about the operational performance of the service
desk/help desk in response to customer needs and against metrics

Competent performance requires Knowledge (7.2.A.2.K.) of how to:

a) source, gather and collate information:
• relating to new or enhanced services that are being introduced
• from tracking the progress of incidents and service requests
• relating to the resolution of incidents and service request, so that it may be
reused for continuous improvement
• to support the reporting of performance of the service desk/help desk against
incident management and service request targets and/or metrics
b) use and apply the procedures, tools and techniques to monitor the quality and
effectiveness of service desk/help desk activities and their deliverables
c) record and store information relating to the resolution of incidents and service requests,
so that it may be reused for continuous improvement

d) monitor and report:

• individual calls/contacts made between customers and the service desk/help
desk
• the operational activities of the service desk/help desk including call/contact
volumes, duration, response times and closure rates

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• and provide the results from analysis of operational information gained from
incident management and service request activities, to appropriate people in
order to inform future plans for the service desk/help desk
e) analyse and interpret: the metrics and management information produced by incident
management and service request activities and their deliverables
f) take action and measures to track the progress of incidents and service requests raised
by customers
g) provide:
• information relating to incidents and service requests to appropriate people
involved in their escalation, resolution and management
• metrics and management information produced by incident management and
service request activities and their deliverables to internal and external
sponsors, stakeholders individuals and other bodies, as appropriate
• the results from analysis of operational information gained from incident
management and service request activities, to appropriate people in order to
inform future plans for the service desk/help desk

Competent performance requires Understanding (7.2.A.2.U.) of:

a) what are the metrics used to assess incident management and service request activities
b) the fact that business and organisational changes, particularly those involving changes to
processes, customer types and the introduction of new or enhanced technology often
result in a high degree of calls/contacts to the service desk/help desk
c) who sets the objectives and goals of the service desk/help desk
d) the importance of:
• the service lifecycle and the service catalogue and/or portfolio as they relate to
incident management and service access request activities and their relevance
• of using metrics to measure the performance and gaining feedback from
individuals and customers of the service desk/help desk
• ensuring that correct documentation is developed and maintained for all
contacts/calls to the service desk/help desk
e) the need for monitoring of:
• call/contact closure rates achieved by the service desk/help desk, where
appropriate
• the alignment of incident management and service request activities and their
deliverables with service targets and service levels
f) the procedures, tools and techniques that can be used to manage and monitor the
activities of the service desk/help desk and their alignment with service targets and
service levels
Competence (7.2.A.3): Identify improvements and work-arounds to ‘Service Help Desk
and Incident Management’ activities
This competence will be demonstrated by the following Performance Criteria (7.2.A.3.C.):
a) Develop suitable work-arounds and resolutions for incidents and service requests, where
appropriate
b) Negotiate with customers on the provision of work-arounds and resolutions for incidents
and service requests
c) Assist with the identification of work-arounds, where appropriate

Competent performance requires Knowledge (7.2.A.3.K.) of how to:

a) Use and apply lessons learned from previous incident management and service request
activities and implement/maintain work-arounds, where appropriate
b) analyse and interpret: information:
• relating to response times, call durations, call volumes and closure rates in order
to inform future plans for the service desk/help desk
• relating to new or enhanced services that are being introduced
• gathered from customers of the service desk/help desk in order to ascertain any
potential training and education needs

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c) develop work-arounds for incidents and service requests, where appropriate

d) negotiate with customers, where appropriate, on the provision of work-arounds and
resolutions for incidents and service requests

Competent performance requires Understanding (7.2.A.3.U.) of:

a) the fact that the services offered by incident management and service request activities
have to change in line with any changing business needs for IT/technology
b) the importance of work-arounds to keep business activities on track whilst incidents and
service requests are handled

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Professional role:

Competence (7.2.P.1): Manage and carry out ‘Service Help Desk and Incident
Management’ activities
This competence will be demonstrated by the following Performance Criteria (7.2.P.1.C.):
a) Document the metrics that will be used within the service desk/help desk
b) Manage service desk/help desk activities, including staffing, skilling, provision of
appropriate resources, monitoring performance and compliance with procedures
c) Take action to resolve issues relating to the skills and effectiveness of service desk/help
desk personnel in meeting targets
d) Assist others in the tasks required to ensure that service levels for incident management,
service request activities and the service desk/help desk are met
e) Assist others in the event of incident management and service request activities not
supporting the business needs, service delivery/operation objectives and/or the service
strategy

Competent performance requires Knowledge (7.2.P.1.K.) of how to:

a) identify and select:
• who and/or groups that need to be involved in the resolution and management of
any incident or request recorded by the service desk/help desk
• who are the sponsors of and stakeholders for the service desk/help desk
b) source, gather and collate:
• expertise from internal and external sources to advise and guide on the
resolution of incidents and fulfilment of service requests
• information relating to the effectiveness of individuals working in the service
desk/help desk
• information relating to the management information that should be provided by
the service desk/help desk to customers, superiors and other individuals
c) use and apply standards relating to the management of incidents and service requests
and to ensure the alignment of these activities with all relevant legislation, regulations
and external standards
d) the need to review:
• information relating to the effectiveness of individuals working in the service
desk/help desk in meeting its targets/metrics
• information relating to the education and training needs of customers of the
service desk/help desk
• information relating to the capabilities and performance of existing or potential
external providers of incident management and service request services
e) implement and maintain:
• the procedures, tools, techniques and plans that apply to incident management
and service request activities and their deliverables
• the service levels, operational hours and the metrics that are used to measure
the performance that apply to the service desk/help desk
• standards relating to the operation of incident management and service request
activities

f) monitor the effectiveness of individuals working in the service desk/help desk in meeting
targets and metrics
g) manage effective relationships with customers, sponsors, stakeholders, internal and
external individuals and others providing support
h) manage the impact of any new or enhanced IT/technology services that are being
introduced on the activities of the service desk/help desk
i) manage the impact of any major incident(s) on the activities of the service desk/help
desk

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j) present the results from monitoring the operation and performance of the incident
management and service request activities and the service desk/help desk against
metrics
k) take action and measures in the event of individuals not meeting the targets and
standards relating to their personal effectiveness in the service desk/help desk
l) to ensure that staffing levels and skills are in line with the needs of the service desk/help
desk and that staff have access to training, education and other knowledge resources
appropriate to their role
m) to ensure that the service desk/help desk can respond appropriately to any major
incident(s) that may arise or the introduction of any new/enhanced service
n) communicate and liaise with external providers of incident management and service
request services
o) advise and guide others on the most appropriate approaches and work practices to apply
in order to support the targets and metrics of service desk/help desk
p) negotiate with customers in the event of service levels for incident management and
service request activities not being met

Competent performance requires Understanding (7.2.P.1.U.) of:

a) the role and inter-relationships of incident management and the service desk/help desk in
supporting the service strategy and the organisation
b) that particular individuals and/or groups may need to be involved in the resolution and
management of any particular incident or service request recorded by the service
desk/help desk
c) what is the range of issues associated with incident management and service request
activities and their deliverables
d) what relevant legislation, regulations and external standards may apply and the impact
this may have to incident management and service request activities and their
deliverables
e) who defines the classifications and priorities used by the service desk/help desk
f) who are the sponsors of and stakeholders for any incident management and service
access request activities
g) the importance of:
• complying with service desk/help desk strategy, policies and procedures
• keeping appropriate people informed of incidents that may cause significant
disruption to the organisation
• managing relationships with sponsors, stakeholders and external bodies on
matters relating to incident management and service request activities and their
deliverables
h) the need for monitoring of the effectiveness of individuals working in the service desk/help
desk against its targets and metrics

Competence (7.2.P.2): Monitor and report on the effectiveness and customer satisfaction
of ‘Service Help Desk and Incident Management’ activities
This competence will be demonstrated by the following Performance Criteria (7.2.P.2.C.):
a) Analyse and report on the quality and effectiveness of service desk/help desk activities
and their deliverables to appropriate people including sponsors, stakeholders and other
individuals and bodies
b) Monitor customer satisfaction with the service provided by the service desk/help desk
c) Monitor open incidents and ensure that work-arounds for them are only kept in place for
the minimum period of time

Competent performance requires Knowledge (7.2.P.2.K.) of how to:

a) verify the accuracy, currency, completeness and relevance of information used during
incident management and/or service request activities
b) use and apply the procedures, tools, techniques and plans to monitor the alignment of
incident management and service request activities and their deliverables:

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• with any relevant legislation, regulations and external standards

• with business needs, service delivery/operation objectives and the service
strategy
• Information to support the reporting of the performance of the service desk/help
desk against incident management and service request metrics
• the metrics to measure the performance of the service desk/help desk
• information from monitoring the quality and effectiveness of any IT/technology
service
c) use and apply information:
• from tracking the progress of incidents and service requests
• from monitoring the quality and effectiveness of any IT/technology service

d) use and apply information to support the reporting of the performance of the service
desk/help desk against incident management and service request metrics

e) record and store the:

• procedures, tools, techniques and plans to monitor the alignment of incident
management and service request activities and their deliverables with any
relevant legislation, regulations and external standards
• procedures, tools and techniques to monitor the quality and effectiveness of
external providers of incident management and service request services
• metrics that are used to measure the performance and the results from
monitoring the quality and effectiveness of incident management, service
request activities and the service desk/help desk
f) implement and maintain the procedures, tools and techniques to monitor the quality and
effectiveness of the service desk/help desk activities and their deliverables
g) monitor the:
• operational activities of the service desk/help desk including open incidents and
incident closure rates regularly
• effectiveness of any work-arounds applied
• alignment of incident management and service request activities and their
deliverables with service levels and business objectives
• quality and effectiveness of incident management and service request activities
and their deliverables
• customer satisfaction with incident management and service request activities
h) report:
• performance of the service desk/help desk against metrics to a range of internal
and external individuals and groups
• the quality and effectiveness of incident management and service request
activities provided to sponsors, stakeholders and other individuals
• issues arising from monitoring incident management and service request
activities and their deliverables
• problems and issues experienced by customers of the service desk/help desk so
that any education and training needs may be identified
i) to ensure that:
• the service desk/help desk supports the entirety of the service catalogue and/or
portfolio and appropriate resources, equipment, media and services are
available to support the provision the provision during operational hours to its
customers
• incident management activities provide service levels that meet strategic,
financial and operational service targets
• work-arounds are kept in place for the minimum period of time and replaced with
appropriate longer term solutions
• all open incidents and closure rates are routinely monitored
j) provide customer training and education needs to superiors, based on information
gathered about their problems and issues

Competent performance requires Understanding (7.2.P.2.U.) of:

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a) the fact that customer perception of:

• the quality of an organisation’s IT/technology systems, services and assets can
be influenced heavily by the quality of the service desk/help desk service
• service levels that they should expect from any IT/technology system, service
and asset may not be in line with the actual levels provided/supported
b) the fact that the service desk/help desk is the source of valuable management information
relating to IT/technology services and their customers
c) why the:
• quality and effectiveness of service desk/help activities and their deliverables
needs to be monitored and formally reported on a regular basis
• alignment of incident and service request activities and their deliverables with
any relevant legislation, regulations and external standards needs to be
monitored
d) the importance of:
• verifying the accuracy, currency, completeness and relevance of information
used during incident and service request activities
• managing the expectations of customers in respect of incidents and service
requests and how these may be addressed
• reporting service desk/help desk performance on a regular basis
e) the need for monitoring of:
• the quality and effectiveness of the service provided by the service desk/help
desk
• the alignment of incident management and service request activities and their
deliverables with business needs, service delivery/operation objectives and
service strategy
• customer satisfaction with incident management and service request activities
f) the procedures, tools and techniques that can be used to monitor:
• the alignment of incident management and service request activities and their
deliverables with business needs, service delivery/operation objectives and
service strategy
• customer satisfaction with incident management and service request activities

Competence (7.2.P.3): Identify improvements and work-arounds to ‘Service Help Desk

and Incident Management’ activities
This competence will be demonstrated by the following Performance Criteria (7.2.P.3.C.):
a) Apply best practice in incident management activities
b) Identify work-arounds, where appropriate

Competent performance requires Knowledge (7.2.P.3.K.) of how to:

a) Identify and/or select:
• what inputs need to be incorporated into any incident management and/or
service request activity and what required outputs need to be produced from it
• appropriate work-arounds to keep business activities on track whilst incidents
and service requests are handled
• lessons learned from previous incident management and/or and service request
activities and experiences
• what are problems/issues faced by customers of the service desk/help desk,
based on information gathered
b) use and apply:
• best practice and the most appropriate approaches that may be taken in incident
management and service request activities to meet business and organisational
needs
• information relating to the business needs, service delivery/operation objectives
and the service strategy in order to direct and inform the activities of the service
desk/help desk
c) record and store lessons learned from previous incident management activities

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d) analyse and interpret results gained from monitoring:

• the quality and effectiveness of incident management and service request
activities and their deliverables
• the effectiveness of individuals working in the service desk/help desk
• the alignment of incident management and service request activities and their
deliverables with any relevant legislation, regulations and external standards
e) analyse and interpret: information gained from tracking the progress of incidents and
service requests

f) take action and measures to identify work-arounds for customers

Competent performance requires Understanding (7.2.P.3.U.) of:

a) what are the implications of internal and external factors on incident management and
service request activities and their deliverables
b) why some organisations choose to outsource incident and service request services and
others choose to manage them internally
c) who are external providers of incident management and service access request services
d) the importance of:
• learning from real life incident management and service request experiences
and applying the learning back to improve the service desk/help desk
• and relevance of incident and service access request activities on the full life
cycle of information within an organisation
• incident and service request activities being informed and directed by the
business requirements and customer needs

Senior Professional role

Competence (7.2.S.1): Manage and help develop 'Service Help Desk and Incident
Management' activities to meet business needs
This competence will be demonstrated by the following Performance Criteria (7.2.S.1.C.):
a) Identify the definitions of priorities and classifications and take appropriate action in the
event of incidents and service requests not being resolved, fulfilled and/or closed in line
with service levels
b) Design and develop the policies, standards, procedure, tools, techniques and plans that
apply to service desk desk/help desk activities and their deliverables
c) Implement and maintain standards, procedures, tools and techniques for the service
desk/help desk, taking account of changing business needs and other internal and
external factors
d) Provide advice and guide to others relevant to the service desk/help desk on:
• all aspects on incident management service request activities and their
deliverables
• the application of best practice
• identification of the implications of business objectives
• the service strategy and service delivery/operation objectives on incident
management and service request activities
• the development of appropriate strategy, polices and plans
• identifying and meeting the strategic, financial and operational targets
e) Manage the provision of appropriate resources, equipment, media and information
resources to ensure service desk/help desk services is effective during its operational
hours to its customers
f) Be accountable for meeting service levels for incident management, service request
activities and the service desk/help desk

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Competent performance requires Knowledge (7.2.S.1.K.) of how to:

a) identify/ and/or select:
• when and how to source, use and apply best practice in incident management
and service request activities and identify relevant
• through incident management and/or and service request information gathered,
what are the training and education needs for customers
• and report the effectiveness of individuals working in the service desk/help desk
in meeting relevant targets and metrics and what is the level of expertise
required to operate the service desk/help desk
• what are the definitions of priorities and classifications for incidents and service
requests
• when new or enhanced services are being introduced that may have an impact
on and require support from the service desk/help desk
• any legislation, regulations and external standards that may apply to incident
management and service request activities
• the strategic, financial and operational targets relevant to the service desk/help
desk
b) record and implement:
• strategies, policies, plans and standards relating to the operation and
management of incidents and service requests by the service desk/help desk
• strategy and policies to ensure the alignment of incident management and
service request activities and their deliverables with all relevant legislation,
regulations and external standards
• proposals relating to the use of external providers of incident management
and/or service request services
• classifications and priorities to be used in incident management and service
request activities
c) record and store proposals relating to the use of external providers of incident
management and/or service request services
d) manage:
• the provision of appropriate resources including; equipment, media, services and
appropriate staffing and skills levels to ensure service desk/help desk services
during its operational hours to its customers
• the alignment of incident management and service request activities and their
deliverables with all relevant legislation, regulations and external standards
• relationships with sponsors, stakeholders and external bodies on matters
relating to incident management and service request activities and with external
providers offering incident management and service request services
• the impact of internal and external factors on the provision of services to an
organisation
e) advise and guide others on all aspects of incident management service request activities
and their deliverables
f) design and develop the procedures tools, techniques and plans that apply to service desk
desk/help desk activities, the service levels and operational hours and the operation of
incident management activities
g) be accountable for meeting service levels for incident management, service request
activities and the service desk/help desk

Competent performance requires Understanding (7.2.S.1.U.) of:

a) what:
• is the range of possible impacts on any or all elements involved in the provision
of end-to-end IT/technology service, as a result of business growth/change
• is the relationship between incident management and service request activities
and the systems and service lifecycle
• is the range of approaches that may be used to conduct incident management
and service request activities and their appropriateness in a range of business
and organisational contexts

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• is best practice in incident management and service request activities

b) what are the potential implications of any new or existing legislation/regulations or failings
in integrity, confidentiality and information security during incident management and
service request activities
c) the fact that range of services that the service desk/help desk needs to offer to support
the service strategy
d) the importance of managing relationships with external providers of service desk/help
desk services

Competence (7.2.S.2): Review, monitor and report on the effectiveness and customer
satisfaction of 'Service Help Desk and Incident Management' activities
This competence will be demonstrated by the following Performance Criteria (7.2.S.2.C.):
a) Review and report the effectiveness of incident management and service request
activities and the operational performance of the service desk/help desk against metrics
b) Assist others in the identification of what management information should be provided by
the service desk/help desk to customers and appropriate people

Competent performance requires Knowledge (7.2.S.2.K.) of how to:

a) Identify and/or select:
• the implications of business needs for IT/technology service on the service
desk/help desk and the possible effects of internal and external factors
• how to operate and populate the service desk/help desk most effectively to
respond to changes in demand and support service delivery/operation objectives
and the service strategy
• who are the internal and external sponsors of and stakeholders for, incident
management and service request activities
b) source, gather and collate information relating to:
• service levels and operational hours that will be offered by the service desk/help
desk, based on business needs, service delivery/operation objectives and the
service strategy
• the business needs, service delivery/operation objectives and service strategy
so that it may direct and inform the activities of the service desk/help desk
• the capabilities of existing or potential external providers of incident
management and service request activities
• the training and education needs of customers of the service desk/help desk
• the type of service desk/help desk that is required to support the business needs
and the service strategy
c) record and store the procedures, tools and techniques to monitor the alignment of
incident management and service request activities and their deliverables:
• with business needs, service delivery/operation objectives and the service
strategy
• with any relevant legislation, regulations and external standards
• metrics and targets to be applied to incident management and service request
activities

d) monitor and review:

• incident management and service request activities to ensure timely and
appropriate response and completion
• the alignment of incident management and service request activities and their
deliverables with any relevant legislation, regulations and external standards
• the quality and effectiveness of external providers of incident management and
service request services
• the effectiveness of individuals working in the service desk/help desk in meeting
targets/metrics
e) report:

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• findings from monitoring the quality and effectiveness of incident management

and service/access request activities
• the quality and effectiveness of incident management and service request
activities against metrics and targets on a regular basis
f) manage the alignment of incident management and service request activities and their
deliverables with business needs, service delivery/operation objectives and the service
strategy
g) present:
• proposals relating to the use of external providers of incident management and
service request services
• the implications of business needs for IT/technology service on the service
desk/help desk
h) design and develop:
• the procedures, tools and techniques to monitor the quality and effectiveness of
incident management and/or service request activities and their deliverables
• the metrics and targets that are used to measure the performance of incident
management, service request activities and the service desk/help desk
• the procedures, tools, techniques and plans to monitor the alignment of incident
management and service request activities and their deliverables with any
relevant legislation, regulations and external standards

Competent performance requires Understanding (7.2.S.2.U.) of:

a) what is the range of internal and external factors that could impact on the delivery of
service to customers that the service desk/help desk needs to be aware of and respond
to
b) the need for monitoring of:
• the quality and effectiveness of incident management and service request
activities by both internal and external providers to ensure timely and
appropriate response, fulfilment and/or completion
• the alignment of incident management and service access request activities and
their deliverables with strategic, financial and operational targets and with any
relevant legislation, regulations and external standards
c) the procedures, tools and techniques that can be used to monitor the alignment of service
desk/help desk activities with strategic, financial and operational targets and against
any relevant legislation, regulations and external standards for incident management
and service request activities
d) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of external providers of incident management and service/access request
services

Competence (7.2.S.3): Identify and implement improvements and work-arounds to

'Service Help Desk and Incident Management' activities
This competence will be demonstrated by the following Performance Criteria (7.2.S.3.C.):
a) Proactively identify the implications of business needs for IT/technology service, including
the introduction of new services on the service desk/help desk, presenting findings to
appropriate people
b) Develop the metrics, service levels and operational hours for the service desk/help desk
to meet business needs, service delivery/operation objectives and the service strategy

Competent performance requires Knowledge (7.2.S.3.K.) of how to:

a) Identify and/or select:
• any major incident(s) and the potential impact of it/them on the activities of the
service desk/help desk
• what information needs to be accessible to those individuals operating the
service desk/help desk from a wide range of internal and external sources in

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order to assist them in the diagnosis, resolution, fulfilment and closure of

incidents and service requests
b) verify:
• the appropriateness of any work-arounds to keep business activities on track
whilst incidents and service requests are handled
• both the services, and the quality and effectiveness of these services, offered by
the service desk/help desk against business needs, service delivery/operation
objectives and the service strategy
c) analyse and interpret:
• the implications of business needs for IT/technology service on incident
management and service request activities
• customer training and education needs, based on information gathered about
their problems and issues
• the quality and effectiveness relating to the capabilities of existing or potential
external providers of incident management and/or service request services
d) take action and measures:
• to take account of internal and external factors that may impact on incident
management and service request activities
• in the event of incidents and service requests not being resolved, fulfilled and/or
closed in line with service levels
• in the event of incident management and service request activities not
supporting the business needs, service delivery/operation objectives and/or the
service strategy
e) take action and measures to assess potential external providers and make decisions on
appropriateness of using them for incident management and service request services
f) advise and guide others on best practice in incident management and/or service request
activities

Competent performance requires Understanding (7.2.S.3.U.) of:

a) what are the benefits and disadvantages of using external providers of service desk/help
desk services
b) what are the implications of the service strategy and operational and financial targets for
service on the service desk/help desk activities

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Lead Professional role

Competence (7.2.L.1): Manage and develop ‘Service Help Desk and Incident
Management’ strategy and business objectives/activities
This competence will be demonstrated by the following Performance Criteria (7.2.L.1.C.):
a) Identify the implications of business objectives, the service strategy and service
delivery/operation objectives on incident management and service request activities,
including the type of service desk/help desk that is required and what hours and service
levels it will support
b) Design standards relating to the management of incidents and service requests
c) Be accountable for identifying and meeting strategic, financial and operational targets for
incident management, service request activities and the service desk/help desk

Competent performance requires Knowledge (7.2.L.1.K.) of how to:

a) identify the implications of business objectives on the service strategy and service
delivery/operation objectives on incident management and service request activities
b) identify and select the strategies, policies, plans, standards and targets relating to the
operation and management of incident management and service request activities
c) Identify and select:
• the range of approaches that may be taken to incident management and service
request activities and their appropriateness in a range of business and
organisational contexts
• what type of service desk is required to support the business needs and the
service strategy
• what service levels and operational hours will be offered by the service
desk/help desk, based on business needs, service delivery/operation objectives
and the service strategy
• what actions may be taken in the event of incident management and service
request activities not supporting the business needs, service delivery/operation
objectives and/or the service strategy
d) manage the alignment of service desk/help desk activities with strategic, financial and
operational targets for incident management and service request activities
e) advise and guide others on the most appropriate type of service desk/help desk to meet
business needs, service delivery/operation objectives and the service strategy
f) design and develop standards relating to the management of incidents and service
requests and ensure that they meet all relevant legislation, regulations and external
standards
g) make decision on what type of service desk/help desk should be established and
maintained to meet the business needs, service delivery/operation objectives and/or the
service strategy including the priorities and categories to be applied to incidents and
service request
h) make decision on proposals relating to the use of external providers of incident
management and service request activities
i) negotiate with external providers of incident management and service request services
j) agree which external providers of incident management and services request services to
use
k) contract with external providers of incident management and service request services
l) be accountable for meeting strategic, financial and operational targets for incident
management, service request activities and the service desk/help desk

Competent performance requires Understanding (7.2.L.1.U.) of:

N/A

Competence (7.2.L.2): Review, monitor and report on the effectiveness and customer
satisfaction of ‘Service Help Desk and Incident Management’ business activities

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This competence will be demonstrated by the following Performance Criteria (7.2.L.2.C.):

a) Review the implications of business needs for IT/technology service on the service
desk/help desk and the quality and effectiveness of the service desk/help desk in
meeting them
b) Identify and make decisions on what metrics and targets should be used to measure the
performance of the service desk/help desk
c) Identify and make decisions on what management information should be provided by the
service desk/help desk to customers, and other appropriate people

Competent performance requires Knowledge (7.2.L.2.K.) of how to:

a) Identify and select what management information should be provided by the service
desk/help desk to customers, and other appropriate people, and what metrics are to be
used to measure performance
b) monitor the alignment of service desk/help desk activities with strategic, financial and
operational targets for incident management and service request activities
c) manage the assessment of external providers of incident management and service
request services
d) review:
• proposals relating to the use of external providers of incident management and
service request services
• the quality and effectiveness of external providers of incident management and
service request services
• the implications and the alignment of incident management and service request
activities with the business needs, service delivery/operation objectives and the
service strategy
e) design and develop the procedures, tools and techniques to monitor the alignment of
incident management and service request activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy
f) make decisions on the metrics and targets that should apply to incident management,
service request activities and the service desk/help desk

Competent performance requires Understanding (7.2.L.2.U.) of:

a) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of incident management and service request activities and their
deliverables

Competence (7.2.L.3): Identify and develop improvements and work-arounds to ‘Service

Help Desk and Incident Management’ business objectives/activities
This competence will be demonstrated by the following Performance Criteria (7.2.L.3.C.):
a) Review the implications of business needs for IT/technology service on the service
desk/help desk and the quality and effectiveness of the service desk/help desk in
meeting them
b) Identify when and how to use external providers for all or part of incident management
and/or service/access request services, negotiating and contacting as necessary with
them

Competent performance requires Knowledge (7.2.L.3.K.) of how to:

a) Identify and select when and how to use external providers for all or part of incident
management and/or service request services
b) take action and measures to adapt/change the service desk/help desk in support of
changing business needs
c) advise and guide others on when and how to consider external providers of incident
management services

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d) make decisions on the results from monitoring the operation of incident management and
service request activities and the service desk/help desk

Competent performance requires Understanding (7.2.L.3.U.) of:

N/A

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7.3 Problem Management

This sub-discipline is about the competencies required to resolve the root cause of incidents
and problems, and to minimise the adverse long term impact of these root causes on an
organisation.

It is also about preventing the occurrence of, and/or recurrence of, incidents and problems
through the proactive use of trend analysis, root cause analysis and prioritised resolution
activity.

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Pre-Entry / Junior Technician role:

Competence (7.3.J.1): Carry out, under supervision, assigned problem management
activities
This competence will be demonstrated by the following Performance Criteria (7.3.J.1.C.):
a) Correctly follow the procedures, tools and techniques that apply to problem management
activities and their deliverables as directed by others
b) Correctly document the classification and priority allocated to any problem, as directed by
other and in line with procedures
c) Apply any relevant information from internal and external sources about resolutions and
fixes that are included in future product and service releases, as directed by others
d) Operate at all times with reference to the priority and severity of problems, under
supervision
e) Take action to escalate problems correctly and in a timely manner to superiors and other
colleagues as appropriate, in line with procedures

Competent performance requires Knowledge (7.3.J.1.K.) of how to:

a) identify and select any significant problems that are likely to have an impact on the
organisation and when and how to escalate any problems to relevant people
b) use and apply:
• the procedures, tools and techniques that apply to problem management activities
and their deliverables
• information from internal and external sources about known errors, and resolutions
and fixes that are included in future product and service releases
• information necessary to escalate problems
c) record and store:
• the classification and priority allocated to any problem
• any information from internal and external sources about known errors that relates
to a particular problem
d) operate with:
• reference to organisational standards relating to problem management activities
and their deliverables
• reference to the service catalogue and/or portfolio and service levels and to the
priorities and severity of incoming problems
• reference to professional and ethical standards including integrity and
confidentiality in problem management activities
e) comply with all relevant and applicable legislation and regulations relating to problem
management activities
f) take action / measures to escalate problems as and when appropriate

Competent performance requires Understanding (7.3.J.1.U.) of:

a) the role of problem management:
• in supporting business operations and IT/technology service strategy
• processes in service delivery/operations
b) what is meant by a problem and its relationship to incidents, problem management and
what it involves and known errors and known error databases/logs
c) what is the:
• potential impact of problems on service levels and customer satisfaction and the
range of issues associated with IT problem management
• relevance of service levels in relation to problem management activities
• relationship between problem management activities, the service lifecycle and the
service catalogue and/or portfolio
d) what are the:
• objectives of problem management and the types of IT/technology problems that
can occur within an organisation
• procedures, tools and techniques to manage problems

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• inputs to and required outputs from problem management activities

• potential implications to an organisation of problems not being resolved in a timely
and efficient manner
e) the fact that:
• problem management activities rely heavily on information gathered during incident
management activities
• external providers of problem management services exist and that some
organisations choose to use external providers and others choose to manage
them internally
• problem management activities can have a direct, positive impact on the number of
incidents
f) who:
• are the customers of problem management activities and who needs to authorise
actions proposed and taken during problem management
• may be impacted by any particular problem that arises and may need to be
communicated with accordingly
g) the importance of:
• referencing the service catalogue and/or portfolio and service level information
during problem management activities
• documenting the resolution to problems
• keeping customers updated on the progress of problems that may impact them
• problems being owned and actioned by nominated internal and/or external
individuals and/or groups through their lifespan
• escalating problems where appropriate, either internally or externally
• using information about known errors and workarounds in order to manage
problems
• effective communication with a range of customers and other individuals during
problems management activities
• minimising the impact of any problem on the organisation
• keeping relevant people informed of problems that may result in disruption to the
organisation
h) the procedures, tools and techniques that can be used to conduct problem management
activities
i) how to comply with standards and service levels that apply to problem management
activities

Competence (7.3.J.2): Gather and collate appropriate information, under supervision,

concerning problems and problem resolutions to help identify trends/root cause(s)
This competence will be demonstrated by the following Performance Criteria (7.3.J.2.C.):
a) Source, use and accurately document, where appropriate, information from internal and
external sources about known errors that may relate to problems, under the direction of
others

Competent performance requires Knowledge (7.3.J.2.K.) of how to:

a) source, gather and collate information:
• relating to the diagnosis and resolution of problems so that it may be referenced by
others
• from internal and external sources about resolutions and fixes that are to be
included in future product and service releases and known errors

Competent performance requires Understanding (7.3.J.2.U.) of:

a) what is the role and value of incident information within problem management processes

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b) why problems and their impacts need to be monitored and managed

c) the importance of:
• gathering, collating and analysing information from incident management activities
and other relevant sources in order to identify trends and underlying problems
• documenting/recording all known problems together with any root cause
information
• making problem diagnosis and resolution information available so that it may be
reused by incident, problem and configuration management processes
d) the need for monitoring of problems and their potential or actual impact on the
organisation
e) the procedures, tools and techniques that can be used to manage and monitor problems
and their potential or actual impact

Competence (7.3.J.3): Help to identify root causes and trends from problem management
activities
This competence will be demonstrated by the following Performance Criteria (7.3.J.3.C.):
a) Correctly identify any significant problems that are likely to have an impact on the
organisation, in line with procedures and with the assistance of appropriate people

Competent performance requires Knowledge (7.3.J.3.K.) of how to:

N/A
Competent performance requires Understanding (7.3.J.3.U.) of:
a) who needs to be informed in the event of major problems arising
b) what is meant by the root cause of a problem
c) what are the potential long term adverse effects of IT/technology problems on an
organisation
d) the importance of:
• finding fixes that address the root causes of problems
• identifying work-arounds to problems that are passed from the service desk/help
desk and or incident management activities, where appropriate
• identifying the root causes of problems during problem management activities
• documenting/recording all workarounds and long term resolutions/fixes for
problems

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Associate Professional role

Competence (7.3.A.1): Carry out timely and effective problem management activities
This competence will be demonstrated by the following Performance Criteria (7.3.A.1.C.):
a) Accurately identify who is likely to be impacted by any problem, assisted by appropriate
people where necessary
b) Correctly apply the standards relating to problem management activities
c) Identify what classification and priority to allocate to any problem assigned to problem
management, if the current classification is incorrect, in line with policies and
procedures
d) Accurately document any work-arounds applied to keep business activities on track whilst
problems are diagnosed and/or resolved, as directed by others
e) Liaise effectively with internal and external individuals and groups who can provide
resolution to problems, as directed by others

Competent performance requires Knowledge (7.3.A.1.K.) of how to:

a) identify and select:
• the procedures, tools and techniques to use for problem management activities
and their deliverables
• who is likely to be impacted by any problem
• what classification or priority to allocate to any problem assigned to problem
management, if the current classification is incorrect
• which particular individuals and/or groups may need to be involved in the resolution
and management of any particular problem
b) use and apply:
• standards relating to problem management activities
• the service and systems lifecycle as appropriate to problem management activities
• Information relating to the classifications and priorities to be applied to problems
• Information relating to individuals and groups to whom problems should be
assigned
• the service catalogue and/or portfolio during problem management and activities
c) record and store:
• the procedures, tools and techniques relating to problem management activities
and their deliverables
• all relevant information about problems from identification and diagnosis to
resolution/closure
d) communicate and liaise with internal and external individuals and groups who can provide
resolution to problems

Competent performance requires Understanding (7.3.A.1.U.) of:

a) the relationship between problem management activities and their deliverables and all
other service delivery/operations activities
b) what is the range of IT/technology elements within an organisation, such as hardware,
software, networking that constitute any IT/technology service that may be impacted by
problems
c) what information might need to be referenced and used during problem management
activities
d) what are the:
• implications of standards and service levels in relation to problem management
activities
• potential implications of problem management activities and their deliverables
being incorrect, incomplete, inadequate and/or inappropriate
• range of problems which problem management activities may be required to
address
e) the fact that:

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• problem management is frequently a proactive rather than a reactive activity

• major problems may result in the invocation of Business Continuity Management
(BCM) and/or Disaster Recovery (DR) processes and procedures
• structured processes and procedures are essential to problem management
activities
• the services offered by problem management activities have to change in line with
any changing business needs for IT/technology
• problem/incident rates often have a direct correlation with the introduction of new or
enhanced technology
f) who are the internal and external application/technical support groups who can provide
resolutions/fixes for problems
g) the importance of:
• differentiating between incidents and problems rapidly and accurately
• soliciting internal and external sources of technical expertise to identify root causes
and possible long term resolutions/fixes
• making change requests to a variety of internal and external individuals and groups
in order to resolve/fix the root cause of problems
• the service lifecycle and the service catalogue and/or portfolio as they relate to
problem management activities
• and relevance, of problem management activities on the full service life cycle
• ensuring confidentiality, integrity and security during problem management
activities and that sensitive business information is not disclosed inappropriately
during problem management activities
• verifying that any priorities and categories that have been allocated to incoming
problems are accurate and re-classifying the category and priority of any
problem, where appropriate
• verifying the accuracy, currency, completeness and relevance of information used
during problem management activities
h) how:
• problem management activities support service delivery/operation objectives
• effective problem management activity can improve the levels of customer
satisfaction with IT/technology

Competence (7.3.A.2): Gather and collate information concerning problems and problem
resolutions to help identify trends/root cause(s)
This competence will be demonstrated by the following Performance Criteria (7.3.A.2.C.):
a) Source and accurately interpret all relevant information about individual problems in order
to diagnose the root causes of them

Competent performance requires Knowledge (7.3.A.2.K.) of how to:

a) identify and select what information needs to be gathered and/or referenced about any
particular problem to support its analysis/diagnosis/resolution
b) source, gather and collate information about problems from a range of internal and
external sources in order to identify and diagnose the root cause of problems

Competent performance requires Understanding (7.3.A.2.U.) of:

a) why the quality and effectiveness of problem management activities and their deliverables
need to be monitored
b) the importance of:
• soliciting additional information from a variety of internal and external sources in
order to make an appropriate diagnosis of the root cause of a problem
• metrics to measure the performance of problem management activities
• applying analytical techniques to identify trends and patterns associated with
incidents
c) the need for monitoring of:

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• problem closure rates against targets

• the impact of problem management outcomes on recorded incident rates
d) the procedures, tools and techniques that can be used to monitor:
• the alignment of problem management activities and their deliverables with service
targets and service levels and problem closure rates against targets
• the impact of problem management activities on incident rates

Competence (7.3.A.3): Identify the root cause of problems and help develop / implement
work-arounds to maintain and support business activities
This competence will be demonstrated by the following Performance Criteria (7.3.A.3.C.):
a) Correctly identify where work-arounds are required to keep business activities on track
whilst problems are resolved, referencing the service catalogue and/or portfolio and the
priority and classification allocated to problems, under the direction of others
b) Critically analyse all relevant information relating to future product and service releases,
to establish if this will resolve current problems, as directed by others

Competent performance requires Knowledge (7.3.A.3.K.) of how to:

a) identify and select where work-arounds are required to keep business activities on track
whilst problems are resolved
b) record and store work-arounds applied to keep business activities on track whilst
problems are diagnosed and/or resolved
c) analyse and interpret:
• relevant information about individual problems in order to diagnose the root causes
of them
• information gained from tracking the progress of individual problems through to
resolution
• information contained in internal/external known error databases/logs
• information relating to future product and service releases, to establish if this will
resolve current problems

Competent performance requires Understanding (7.3.A.3.U.) of:

a) what are the opportunities for service improvement as a direct result of effective problem
management
b) the fact that the resolution of root causes of problems can have a significant and positive
impact on the number of incidents reported to the service desk/help desk
c) the importance of:
• reducing the number and impact of recurring problems associated with
IT/technology, systems, services and assets through the use of long term
resolutions and fixes
• diagnosing the root cause of any problem, so that a long term resolution/fix for it
and any associated incidents may be identified

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Professional role

Competence (7.3.P.1): Manage and carry out timely and effective problem management
activities
This competence will be demonstrated by the following Performance Criteria (7.3.P.1.C.):
a) Take appropriate action to close as many problems as possible via the identification and
implementation of long term resolutions/fixes, in line with targets and the service
strategy
b) Reclassify/reprioritise incoming problems where appropriate after review, in order to focus
attention on those problems which, if resolved, would provide maximum benefit to the
organisation
c) Manage the timely and effective resolution of problems, as directed by appropriate people
and in line with procedures and the service strategy
d) Provide clear and concise change request information about what is required for the long
term resolution of problems, for use by a wide range of internal and external individuals
and groups

Competent performance requires Knowledge (7.3.P.1.K.) of how to:

a) verify the accuracy, currency, completeness and relevance of information used during
problem management activities
b) use and apply:
• information about problems from a range of internal and external sources in order
to identify and diagnose problems
• appropriate expertise from internal and external sources to advise and guide on the
resolution of problems
c) record and store change requests for long term resolutions to problems
d) manage the resolution of problems
e) take action/measures to:
• close as many problems as possible via the identification and implementation of
long term resolutions/fixes
• reclassify/reprioritise incoming problems where appropriate after review, in order to
focus attention on those problems which, if resolved, would provide maximum
benefit to the organisation
• track the progress of change requests for long term resolutions/fixes to problems
f) provide change request information about what is required for the long term resolution of
problems

Competent performance requires Understanding (7.3.P.1.U.) of:

a) what
• is the range of issues associated with problem management activities and their
deliverables and what legislation, regulations and external standards may apply
• is the relationship between problem management activities and the service lifecycle
b) what are the:
• benefits and disadvantages of using external providers, and the issues involved in
the outsourcing, of problem management services or activities
• implications of external factors on problem management activities and their
deliverables
c) the fact that the impact of any relevant legislation, regulations and external standards
needs to be reflected in problem management activities and their deliverables
d) why:
• some organisations choose to outsource problem management services and
others choose to manage them internally
• the alignment of problem management activities and their deliverables with any
relevant legislation, regulations and external standards needs to be monitored

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e) Who:
• are external providers of problem management services
• are the sponsors of and stakeholders for problem management activities
f) the importance of:
• ensuring that correct documentation is developed, maintained and made
accessible for all problems
• and relevance of problem management activities on the full life cycle of information
within an organisation
• problem management activities being informed and directed by the business
requirements and customer needs
• raising appropriate change requests to address problems

Competence (7.3.P.2): Gather and collate information concerning problems and problem
resolutions to identify trends/root cause(s)
This competence will be demonstrated by the following Performance Criteria (7.3.P.2.C.):
a) Gather all relevant information about what is needed for the long term resolution of
problems so that it may be referenced by others and used in change requests
b) Verify, where appropriate, the accuracy, currency, completeness and relevance of any
information already collected by other individuals about problems, in order to inform
future action
c) Track the progress of change requests for long term resolutions/fixes to problems,
escalating to relevant people where appropriate

Competent performance requires Knowledge (7.3.P.2.K.) of how to:

a) identify and select:
• what further information may need to be gathered to support the diagnosis and
resolution of problems
• what information needs to be accessible/available to problem management from a
wide range of internal and external sources in order to assist in the analysis and
diagnosis, of problems
b) source, gather and collate information:
• about what is needed for the long term resolution of problems so that it may be
referenced by others and used in change requests
• to support the reporting of the performance of problem management against its
targets and/or metrics
c) use and apply the procedures, tools and techniques to monitor the quality and
effectiveness of problem management activities and their deliverables
d) record and store:
• the procedures, tools and techniques to monitor the quality and effectiveness of
problem management activities and their deliverables
• information about problem trends, based on analysis conducted during problem
management
• the procedures, tools, techniques and plans to monitor the alignment of problem
management activities and their deliverables with any relevant legislation,
regulations and external standards
• the metrics that are used to measure the performance of problem management
and the results

Competent performance requires Understanding (7.3.P.2.U.) of:

a) the importance of proactively identifying potential sources of future incidents
b) the need for monitoring of the:
• quality and effectiveness of problem management activities
• alignment of problem management activities and their deliverables with business
needs, service operation objectives and service strategy

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c) the procedures, tools and techniques that can be used to monitor:

• the alignment of problem management activities and their deliverables with
business needs, service operation objectives and service strategy
• the quality and effectiveness of problem management activities and their
deliverables

Competence (7.3.P.3): Identify the root cause of problems and develop / implement work-
arounds to maintain and support business activities
This competence will be demonstrated by the following Performance Criteria (7.3.P.3.C.):
a) Correctly identify the root cause of IT/technology problems and any possible solutions to
resolve them, under the direction of others
b) Implement and maintain effective work-arounds that are proposed or applied to keep
business activities on track whilst problems are diagnosed and/or resolved, reporting
them to relevant people, sponsors and stakeholders as appropriate
c) Critically analyse all relevant information gathered about incident and problem trends and
patterns, in order to inform future action

Competent performance requires Knowledge (7.3.P.3.K.) of how to:

a) identify and select:
• the root cause of IT/technology problems
• possible solutions to resolve problems
b) verify where appropriate, the accuracy, currency, completeness and relevance of any
information already collected about problems
c) use and apply:
• information about what is needed for the long term resolution of problems to create
change requests
• lessons learned from previous problem management activities
• best practice in problem management activities
d) record and store lessons learned from previous problem management activities
e) implement and maintain work-arounds for problems, where appropriate
f) report work-arounds proposed or applied to keep business activities on track whilst
problems are diagnosed and/or resolved
g) analyse and interpret information gathered about incident and problem trends and
patterns
h) take action/measures to diagnose the root cause/s of incidents and problems
i) identify and select lessons learned from previous problem management activities and
experiences

Competent performance requires Understanding (7.3.P.3.U.) of:

a) the importance of analysing information about incidents and other relevant events which
may identify patterns and support problem diagnosis

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Senior Professional role

Competence (7.3.S.1): Manage all aspects of problem management activities

This competence will be demonstrated by the following Performance Criteria (7.3.S.1.C.):
a) Correctly identify any correlation between changes to the configuration of IT/technology
systems, services and assets and the occurrence of incidents and problems
b) Source appropriate expertise from internal and external sources to advise and guide on
the resolution of problems, using own judgement and experience
c) Effectively delegate problems to individuals within own area of accountability, on the
basis of the problem priority/category to ensure timely resolution of problems
d) Ensure that all open problems are routinely monitored, taking action where appropriate

Competent performance requires Knowledge (7.3.S.1.K.) of how to:

a) identify and select:
• potential/actual problems based on the analysis of incident trend and other related
sources of information
• who are the sponsors of and stakeholders for problem management activities
• internal and external factors that could impact on problem management activities
and their deliverables and any legislation, regulations and external standards
that may apply
• who are external providers of problem management activities
b) use and apply:
• strategy and policies to ensure the alignment of problem management activities
and their deliverables with all relevant legislation, regulations and external
standards
• the most appropriate approaches that may be taken to problem management in a
range of business and organisational contexts
c) record and store:
• standards for conducting problem management activities
• strategy and policies to ensure the alignment of problem management and their
deliverables with all relevant legislation, regulations and external standards
• proposals relating to the use of external providers of problem management
services
d) implement and maintain standards relating to problem management activities and their
deliverables
e) manage relationships with:
• sponsors, stakeholders and external bodies on matters relating to problem
management activities
• those internal and external individuals involved in the diagnosis and resolution of
problems
• external providers offering problem management and services
f) manage the alignment of problem management activities and their deliverables with all
relevant legislation, regulations and external standards
g) review:
• the classification and priority assigned to problems by other individuals
• the responses from individuals and groups involved in the provision of resolutions
to problems to assess their acceptability for/by customers
h) take action/measures to:
• delegate problems to individuals on the basis of the problem priority/category
• raise appropriate change requests for long term resolutions/fixes to problems
• take account of internal and external factors that may impact on problems and their
resolution
i) communicate and liaise with external providers of problem management services
j) advise and guide others on

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• the appropriateness of seeking internal and/or external assistance in order to seek

resolution to problems
• all aspects of problem management activities and their deliverables

Competent performance requires Understanding (7.3.S.1.U.) of:

a) what is the range of:
• internal and external factors that could result in problems arising with IT/technology
service
• approaches that may be used to conduct problem management activities and their
appropriateness in a range of business and organisational contexts
b) what are the:
• potential implications of failings in integrity, confidentiality and information security
during problem management activities
• implications of any legislation, regulations and external regulation relevant to
problem management activities and their deliverables
c) the fact that the success of problem management frequently relies on successful
negotiation with a range of internal and external individuals and groups to develop
and/or provide long term solutions to IT/technology problems
d) who needs to be negotiated with so that long term resolutions to IT/technology problems
are developed/provided
e) the importance of managing relationships with external providers of problem management
services

Competence (7.3.S.2): Review and report problem management activities to obtain

relevant information to support business metrics and targets
This competence will be demonstrated by the following Performance Criteria (7.3.S.2.C.):
a) Proactively identify potential/actual problems based on the analysis of incident trend and
other related sources of information
b) Regularly monitor the volume, severity and age of open/outstanding problems and the
volume/rate of problems that are resolved/closed, proactively reporting findings against
targets and metrics to sponsors, stakeholders and other relevant individuals as
appropriate
c) Report findings from the analysis of incident trend information to relevant people

Competent performance requires Knowledge (7.3.S.2.K.) of how to:

a) source/gather/collate:
• expertise from internal and external sources to advise and guide on the resolution
of problems
• best practice in problem management activities
b) use and apply the procedures, tools and techniques to monitor the alignment of problem
management activities and their deliverables with business needs, service
delivery/operation objectives, the service strategy and with any relevant legislation,
regulations and external standards
c) use and apply:
• information to support the reporting of the performance of problem management
activities against targets/metrics
• the metrics to measure the performance of problem management
d) record and store the procedures, tools and techniques to monitor the alignment of
problem management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy
e) implement and maintain the:
• procedures, tools and techniques to monitor the quality and effectiveness problem
management activities and their deliverables

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• metrics that are used to measure the performance of problem management

activities
• procedures, tools and techniques to monitor the alignment of problem management
activities and their deliverables with business needs, service delivery/operation
objectives and the service strategy and with any relevant legislation, regulations
and external standards
f) monitor operational data including; the volume, severity and age of open/outstanding
problems; the volume/rate of problems identified/diagnosed and are resolved/closed;
the volume of workarounds for problems in operation and the volume of change
requests raised in order to resolve problems
g) monitor:
• impact of problem management activities on incident rates/volumes with service
targets and service levels
• effectiveness of any work-arounds applied to problems
• quality and effectiveness of problem management activities and their deliverables
• alignment of problem management activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy and with
any relevant legislation, regulations and external standards
h) report:
• findings, including issues, from the monitoring and analysis of incident trend
information to relevant people
• performance of problem management, on a regular basis, against metrics to a
range of internal and external individuals and groups
• findings from monitoring the quality and effectiveness of problem management
activities
i) present the:
• quality and effectiveness of problem management activities and their deliverables
• management information and results from monitoring the performance of problem
management activities against metrics
• quality and effectiveness of external providers of problem management services
j) to ensure that all open problems are routinely monitored
k) provide:
• information relating to the problems, their impact and the opportunities offered via
resolution to relevant people involved in their resolution and management
• metrics and management information produced by problem management activities
and their deliverables to internal and external sponsors, stakeholders individuals
and other bodies, as appropriate

Competent performance requires Understanding (7.3.S.2.U.) of:

a) the importance of communicating the impact of problem diagnosis and long term
resolution on incident rates and customer satisfaction
b) the need for monitoring of the:
• alignment of problem management activities and their deliverables with any
relevant legislation, regulations and external standards
• quality and effectiveness of external providers of problem management activities
c) the procedures, tools and techniques that can be used to monitor the:
• alignment of problem management activities and their deliverables with any
relevant legislation, regulations and external standards
• quality and effectiveness of external providers of problem management services

Competence (7.3.S.3): Identify and develop improvements to problem management

activities to maintain and support business objectives and goals
This competence will be demonstrated by the following Performance Criteria (7.3.S.3.C.):

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a) Recommend the priority and attention that application/technical support groups should
apply to any particular problem, based on an accurate assessment of the impact of the
problem on individuals and/or the organisation
b) Persuade internal and external support groups to develop and provide long term
resolutions/fixes for problems, using information gained from identifying those problems,
which if resolved, would have the greatest impact on the organisation
c) Design appropriate work-arounds for problems ensuring that they are kept in place for the
minimum period of time and replaced with appropriate longer term solutions

Competent performance requires Knowledge (7.3.S.3.K.) of how to:

a) identify and select:
• any correlation between changes to the configuration of IT/technology systems,
services and assets and the occurrence of incidents and problems
• those problems which, if resolved, would provide maximum benefit to the
organisation and/or individuals
• when and how to source, use and apply best practice in problem management
b) verify the appropriateness of any work-arounds to keep business activities on track whilst
problems are diagnosed and/or resolved
c) implement and maintain the procedures, tools, techniques and plans that apply to
problem management activities and their deliverables
d) analyse and interpret:
• management information/metrics produced about problem management activities
and its deliverables
• the results gained from monitoring the quality and effectiveness of problem
management activities and their deliverables and against any relevant
legislation, regulations and external standards
• information relating to the capabilities and quality and effectiveness of existing or
potential external providers of problem management services
e) present:
• the analysis of the impact of problems on the organisation and individuals to
relevant people and support groups
• proposals relating to the use of external providers of problem management
services
• the alignment of problem management activities with the business needs, service
delivery/operation objectives and the service strategy
f) recommend the priority and attention that application/technical support groups should
apply to any particular problem, based on an assessment of the impact of the problem
on individuals and/or the organisation
g) take action/measures to:
• proactively identify and predict potential problems before they impact on the
organisation and/or individuals
• persuade internal and external support groups to develop and provide long term
resolutions/fixes for problems
h) design and develop appropriate work-arounds to ensure that these are kept in place for
the minimum period of time and if required replaced with appropriate longer term
solutions
i) negotiate with internal and external providers of longer term resolutions/fixes to problems

Competent performance requires Understanding (7.3.S.3.U.) of:

a) what is best practice in problem management activities

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Lead Professional role

Competence (7.3.L.1): Design/develop, and implement problem management business

strategy, objectives and metrics
This competence will be demonstrated by the following Performance Criteria (7.3.L.1.C.):
a) Design, implement and maintain effective standards for conducting problem
management activities
b) Design appropriate procedures, tools, techniques and plans relating to problem
management activities and their deliverables
c) Identify and implement appropriate metrics and targets to be applied to problem
management activities

Competent performance requires Knowledge (7.3.L.1.K.) of how to:

a) identify:
• the implications of business objectives, the service strategy and service
delivery/operation objectives on problem management activities
• the range of approaches that may be taken to problem management and their
appropriateness in a range of business and organisational contexts
b) identify and select:
• strategies, policies, plans, standards and targets relating to problem management
activities
• what metrics are to be used to measure the performance of problem management
and what information will be provided from problem management to customers
and other relevant people
c) implement and maintain:
• standards for conducting problem management
• strategy and policies to ensure the alignment of problem management activities
and their deliverables with all relevant legislation, regulations and external
standards
• metrics and targets to be applied to problem management activities
d) design and develop:
• the procedures, tools, techniques and plans relating to problem management
activities and their deliverables
• the procedures, tools and techniques to monitor the quality and effectiveness of
problem management activities and their deliverables and the metrics and
targets that are used
• standards for conducting problem management activities
• the procedures, tools and techniques to monitor the alignment of problem
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy and with any relevant
legislation, regulations and external standards

Competent performance requires Understanding (7.3.L.1.U.) of:

N/A

Competence (7.3.L.2): Manage and review problem management activities against

business objectives and metrics
This competence will be demonstrated by the following Performance Criteria (7.3.L.2.C.):
a) Identify what management information will be provided from problem management to
customers and other relevant people

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b) Identify correctly the implications of business objectives, the service strategy and service
delivery/operation objectives on problem management activities, taking action where
appropriate
c) Effectively manage the alignment of problem management activities and their
deliverables with business needs, service delivery/operation objectives and the service
strategy
d) Make correct decisions on the revised priorities and categories to be applied to problems
e) Proactively monitor and report the impact of long term resolutions/fixes on
incident/problem volumes/rates and customer satisfaction

Competent performance requires Knowledge (7.3.L.2.K.) of how to:

a) use and apply information relating to the capabilities and performance of existing or
potential external providers of problem management services
b) monitor the:
• impact of long term resolutions/fixes on incident/problem volumes/rates and
customer satisfaction
• quality and effectiveness of external providers of problem management services
c) manage the:
• alignment of problem management activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy
• assessment of external providers of problem management services
d) review the:
• quality and effectiveness of problem management activities and their deliverables
including any external providers
• results and management information from monitoring the performance of problem
management activities against metrics
• alignment of problem management activities with the business needs, service
delivery/operation objectives and the service strategy
e) advise and guide others on how particular problems should be handled
f) make decisions on the revised priorities and categories to be applied to problems
g) negotiate with external providers on the provision of problem management services

Competent performance requires Understanding (7.3.L.2.U.) of:

N/A

Competence (7.3.L.3): Provide direction to improve problem management activities

This competence will be demonstrated by the following Performance Criteria (7.3.L.3.C.):
a) Effectively advise and guide others on how to negotiate with other individuals, groups and
organisations to develop and provide resolutions to problems
b) Encourage the development of improvements to problem management activities

Competent performance requires Knowledge (7.3.L.3.K.) of how to:

a) identify and select what actions may be taken in the event of problem management not
supporting the business needs, service delivery/operation objectives and/or the service
strategy
b) identify improvements to problem management activities through the use of external
providers:
• select when and how to use them
• how to review proposals relating to the use of them

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• take action/measures to assess their potential

• advise and guide others when and how to consider them
• how to make decisions on the appropriateness of their use

c) authorise and/or agree which external suppliers of problem management to use and
contract with them
d) take action and appropriate measures:
• in the event of problem management activities not supporting the business needs,
service delivery/operation objectives and/or the service strategy
• in the event of internal/external support groups not providing long term
resolutions/fixes to problems in a timely manner
•
e) take action to sponsor change requests for long term resolutions/fixes to problems
f) advise and guide others on
• how to negotiate with other individuals, groups and organisations to develop and
provide resolutions to problems, including work-arounds
• best practice in problem management activities
g) make decisions on the:
• findings of, and recommendations from, the analysis of potential/actual problems,
their impact and the opportunities offered by their resolution
• results from monitoring problem management activities and the service

Competent performance requires Understanding (7.3.L.3.U.) of:

N/A

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7.4 IT Application Management / Support

This sub-discipline is about the competencies required to ensure that application

systems/services that support specific business functions and processes for an organisation
remain available, appropriate to business needs and perform according to defined service
levels.

Applications can be defined as technology solutions that support specific business functions
and processes, such as sales ordering, inventory management, customer complaints handling
and payroll processing. Applications may be referred to as services, but typically any given
service will involve a wider range of technology elements than just the application itself.

Application management may be broken down into three broad categories of activity as follows:
• reactive/responsive activity to resolve incidents and problems that occur with application
services and impact an organisations’ ability to use them correctly
• the development of enhanced capabilities that may be bundled into scheduled
releases/new versions of the application, often in response to business change, process
redesign and or organisational redesign activities resulting in change requests for the
application. These releases may also include fixes to low(er) priority problems
• routine maintenance of application to ensure they continue to perform according to
service levels and expectations

Applications may exist as internally developed technology, third party packages or externally
provided and hosted software services.

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Pre-Entry / Junior Technician Role:

Competence (7.4.J.1): Carry out, under supervision, maintenance activities that apply to
application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.J.1.C.):
a) Correctly follow the procedures, tools and techniques that apply to application
management and their deliverables, under supervision
b) Comply with any relevant legislation, regulations and external standards relating to
application management activities and their deliverables in own area of accountability
c) Undertake routine maintenance on applications, in line with procedures, documenting
action taken and reporting issues arising to appropriate people
d) Respond promptly to incoming incidents, problems and change requests affecting
applications, in line with their identified priority, as directed
e) Identify and use appropriate contacts/escalation paths with external providers of support
for applications, where appropriate
f) Communicate effectively, courteously and in a timely manner with all internal and
individuals and groups involved in the provision and progression of application support

Competent performance requires Knowledge (7.4.J.1.K.) of how to:

a) identify and select:
• which incoming incidents, problems and change requests need
immediate/emergency response
• what information needs to be gathered and/or referenced in order to assess
incoming application incidents, problems and/or change requests
• who are the external providers used for the support of particular applications
• fixes and patches to applications that will resolve incoming incidents, problems
and change requests
•
b) source, gather and collate:
• all relevant information about an application, including the architecture, design
and configuration
• information relating to incoming incidents, problems and change requests for an
application
• information from internal and external sources about known errors of any
application
c) source internal and external expertise in particular applications, as and when required
d) use and apply:
• the procedures, tools and techniques that apply to application management
activities and their deliverables
• the proposed release schedule and plan for any application
• all relevant information about an application
• information about the architecture, design and configuration of applications
during application management activities
• appropriate sources of expertise in particular applications from internal and
external sources and contacts/escalation paths with external providers of
support
e) record and store:
• all relevant information about incoming incidents, problems and change
requests
• any information from external sources about known errors with applications
• routine action taken to ensure the ongoing performance and effectiveness of an
application
• the results of testing that has taken place on changes to an application
f) operate with:
• reference to organisational standards

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• reference to professional and ethical standards, relating to application

management activities and their deliverables
• integrity and confidentiality during application management activities
g) comply with:
• all relevant and applicable legislation and regulations relating to application
management activities
• all relevant change control mechanisms during application activities
h) take action and measures:
• to respond to incoming application incidents, problems and change requests
promptly
• to undertake routine maintenance activities on an application to ensure its
ongoing performance and availability
i) communicate and liaise with external individuals and groups who provide application
support

Competent performance requires Understanding (7.4.J.1.U.) of:

a) the role of application management in supporting business operations, IT/technology
service strategy and service delivery/operations
b) what is meant by:
• an application
• application management
• an application package
• a patch/fix
• a release
• an external provider of support to applications
c) what is the relevance of service levels in relation to application management activities
d) what is the relationship between application management activities, the service lifecycle
and the service catalogue and/or portfolio
e) what information might need to be referenced and used during application management
activities
f) what are the:
• categories of activity that are undertaken by application support
• procedures, tools and techniques to conduct application management
• inputs to and required outputs from application management activities
• implications of standards and service levels in relation to application
management activities
• potential implications of application management activities and their deliverables
being incorrect, incomplete, inadequate and/or inappropriate
g) the fact that:
• application packages and external application service providers exist
• application management activities are similar to those of technical support but
focus predominantly on software that supports, and may mirror, business
processes
• customers of applications may be internal or external to the organisation
• some organisations choose to use external application packages/services and
others choose to manage them internally
• many organisations cannot operate their business processes effectively without
application services being available and accessible
• external providers may be required to assist with the resolution of incidents,
problems or changes associated with application packages and or externally
hosted application services
• low(er) priority problems and issues associated with applications may be
resolved through the implementation of software changes that are bundled
together into a scheduled release
• the loss of access to or availability of application services can have a major
impact on an organisation’s operational activities, brand and reputation
h) who:

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• are the external providers of applications that are used by an organisation and
who to contact in the event of problems
• are the customers of application management activities
• needs to authorise actions proposed and taken during application management
activities
• may be impacted by any particular incident or problem that arises with an
application
i) the importance of:
• communicating with external providers of support for applications in line with
procedures
• documenting changes made to applications in order to resolve incidents and
problems or respond to change requests
• effective communication with a range of customers and other individuals during
application management activities
• carrying out routine maintenance on applications
j) the procedures, tools and techniques that can be used to conduct application
management activities
k) how to make contact with external application support providers in the event of problems
l) how to comply with standards and service levels that apply to application management
activities

Competence (7.4.J.2): Assist in reporting and monitoring the quality and effectiveness of
application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.J.2.C.):
a) Accurately and comprehensively document the results of testing that has taken place on
changes to an application, in line with procedures and standards
b) Help to identify information required to support the reporting of the performance and
change and release management of application support activities

Competent performance requires Knowledge (7.4.J.2.K.) of how to:

a) monitor the performance of applications
b) report any issues arising from:
• routine maintenance activities
• the implementation of changes and releases
c) present any issues arising from routine maintenance activities

Competent performance requires Understanding (7.4.J.2.U.) of:

N/A
Competence (7.4.J.3): Assist in carrying out effective implementation of changes and
releases to application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.J.3.C.):
a) Comply with change control mechanisms that apply to application management and
support activities, under supervision
b) Estimate the effort, complexity, risk and elapsed time that may be required by self to
develop changes to applications required in response to incidents, problems and or
change requests, under supervision
c) Implement changes and releases into pre production environments ready for their
validation and release into the production environment in order to address incidents,
problems and change requests
d) Assist others with the preparation of change requests that need to be raised with external
providers of application support, where appropriate

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Competent performance requires Knowledge (7.4.J.3.K.) of how to:

a) identify and select:
• which incidents, problems and change requests can be tackled internally and
which require external provider support
• what effort, complexity, risk and elapsed time may be required by self to
develop changes to applications required in response to incidents, problems
and/or change requests
b) source, gather and collate information from external sources about resolutions and fixes
that are to be included in future application releases
c) use and apply information:
• about incoming incidents, problems and change requests from a range of
internal and external sources in order to develop fixes, patches and changes
• from external sources about application resolutions and fixes that are included
in future product and service releases
d) implement and maintain changes and releases into pre production environments ready
for their validation and release into the production environment
e) analyse and interpret all relevant information about an application including incidents,
problems and change requests
f) present any issues arising from the implementation of changes and releases
g) take action and measures to estimate accurately the effort, complexity, risk and elapsed
time that may be required by self to develop changes to applications required in
response to incidents, problems and or change requests
h) communicate and liaise with internal and external individuals and groups on the progress
of application changes

Competent performance requires Understanding (7.4.J.3.U.) of:

a) the fact that:
• application management activities rely heavily on information gathered in
incident/problem management activities and/or change requests
• application management activities may occur as a result of problems occurring
with existing services or may be the result of changes requested to applications
in order to better support an organisation
• severe incidents, problems and issues associated with applications may require
the development of a fix/patch that can be implemented immediately/as an
emergency
b) why some fixes/patches for low priority problems may be bundled into scheduled releases
and other changes to applications need to be managed as emergencies
c) the importance of making an accurate assessment of own effort required and elapsed
time to develop, test and implement an authorised change to an application

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Associate Professional Role

Competence (7.4.A.1): Contribute to the management and maintenance of application

management activities
This competence will be demonstrated by the following Performance Criteria (7.4.A.1.C.):
a) Correctly select the procedures, tools and techniques to use for application management
activities and their deliverables
b) Accurately document and store changes that need to be developed, presently or in the
future, to address incoming incidents, problems and or change requests
c) Manage relationships with those internal and external individuals involved in the
development, testing, scheduling and implementation of application changes
d) Follow the service/systems lifecycle during applications management support activities,
referencing the service catalogue and portfolio to guide and inform action

Competent performance requires Knowledge (7.4.A.1.K.) of how to:

a) identify and select the procedures, tools and techniques to use for application
management activities and their deliverables
b) use and apply:
• the service and systems lifecycle as appropriate to application management
activities
• the service catalogue and/or portfolio during application management and
activities
c) record and store:
• the procedures, tools and techniques relating to application management
activities and their deliverables
• change requests that need to be raised with external providers of application
support, where appropriate
d) operate with reference to the service catalogue and/or portfolio and service levels
e) manage relationships with those internal and external individuals involved in the
development, testing, scheduling and implementation of application changes

Competent performance requires Understanding (7.4.A.1.U.) of:

a) the relationship between application management activities and their deliverables and all
other service delivery/operations activities
b) what is meant by an application service provider (ASP) and shared service provider
c) what are the:
• different types of external providers and the range of services they provide in
relation to particular applications
• implications of applications being packaged or provided by external service
providers/hosts on application management activities
d) what are the objectives of application management
e) the fact that:
• applications are frequently used to perform complex operations on large
quantities of data and incidents and that problems can often result in the loss or
corruption of business data which may need to be recovered
• structured processes and procedures are essential to application management
activities
f) the importance of:
• referencing information about the architecture, design and configuration of
applications during application management activities
• referencing the service catalogue and/or portfolio and service level information
during application management activities
• the interrelationship between the service lifecycle and the service catalogue
and/or portfolio as they relate to application management activities

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• application management activities being informed and directed by the business

requirements and customer needs
• taking action to protect the data used by customers of an application during
application management activities
• understanding the interdependency of applications, in particular with reference
to the integrity of data manipulated by them
g) how application management activities support service delivery/operation objectives
h) how effective application management activity can improve the levels of customer
satisfaction with IT/technology

Competence (7.4.A.2): Monitor and assist in reporting on the quality and effectiveness of
application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.A.2.C.):
a) Assist others with the preparation of supporting information in support of scheduled
releases to an application
b) Help identify information required to support the reporting of the performance of
application management against its targets and/or metrics

Competent performance requires Knowledge (7.4.A.2.K.) of how to:

N/A
Competent performance requires Understanding (7.4.A.2.U.) of:
a) why the quality and effectiveness of application management activities and their
deliverables need to be monitored
b) the procedures, tools and techniques that can be used to monitor the alignment of
application management activities and their deliverables with service targets and
service levels

Competence (7.4.A.3): Assist in identifying and implementing changes to application

management activities
This competence will be demonstrated by the following Performance Criteria (7.4.A.3.C.):
a) Identify and apply lessons learned for previous experiences in application support
activities to improve the effectiveness of own work
b) Accurately make change requests that need to be raised with external providers of
application support, where appropriate and under supervision
c) Assist others in the provision of estimates for changes to applications required in
response to incidents, problems and or change requests, for review and approval
d) Assist others in the design of approved changes to applications

Competent performance requires Knowledge (7.4.A.3.K.) of how to:

a) identify and select lessons learned from previous application management activities and
experiences
b) use and apply lessons learned from previous application management activities
c) record and store changes to be developed to address incoming incidents, problems and
or change requests

Competent performance requires Understanding (7.4.A.3.U.) of:

a) how to comply with change control mechanisms that apply to application management
activities

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Professional Role
Competence (7.4.P.1): Manage and maintain activities that apply to application
management activities
This competence will be demonstrated by the following Performance Criteria (7.4.P.1.C.):
a) Follow the standards relating to application management activities
b) Identify the routine maintenance required to ensure the ongoing performance of
applications, ensuring it is undertaken regularly within own area of accountability
c) Manage effective relationships with individuals and groups requesting changes to
applications and external providers offering application management and services

Competent performance requires Knowledge (7.4.P.1.K.) of how to:

a) identify and select routine actions required to ensure the ongoing performance and
effectiveness of an application
b) verify where appropriate, the accuracy, currency, completeness and relevance of any
information already collected about incoming application incidents, problems and
change requests and relevance of information used during application management
activities
c) use and apply strategy, policies, plans, standards and best practice relating to application
management activities
d) manage relationships with external providers offering application management and
services
e) to ensure that routine maintenance of applications is undertaken regularly and that
incoming incidents, problems and change requests that require immediate/emergency
response are attended to in a timely manner
f) advise and guide others on the appropriateness of seeking internal and/or external
assistance in order to identify and develop the most appropriate response to an
application incident, problem and/or change request

Competent performance requires Understanding (7.4.P.1.U.) of:

a) what are the range of issues, the legislation, regulations and external standards may
apply to with application management activities and their deliverables
b) what are the:
• benefits and disadvantages of using external providers of application
management services and the issues involved in outsourcing
• implications of external factors on application management activities and their
deliverables
c) the fact that:
• individuals involved in applications management activities typically require
knowledge and understanding of the business processes supported by any
particular application
• the impact of any relevant legislation, regulations and external standards needs
to be reflected in application management activities and their deliverables
• shared services providers exist to provide similar specific applications services
to similar functions within an organisation or across organisations
d) why some organisations choose to use externally hosted application services and/or
outsource application management services whilst others choose to manage them
internally
e) who are the sponsors of and stakeholders for application management activities
f) the importance of:
• ensuring confidentiality, integrity and security, and that sensitive business
information is not disclosed inappropriately and during application management
activities
• and relevance of application management activities on the full life cycle of
information within an organisation
• verifying the accuracy, currency, completeness and relevance of information
used during application management activities

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Competence (7.4.P.2): Monitor and report on the quality and effectiveness of application
management activities
This competence will be demonstrated by the following Performance Criteria (7.4.P.2.C.):
a) Identify the information required to support the reporting of the performance of application
management against its targets and/or metrics
b) Identify and provide accurate estimates for changes to applications required in response
to incidents, problems and or change requests, for review and approval

Competent performance requires Knowledge (7.4.P.2.K.) of how to:

a) source, gather and collate information to support the reporting of the performance of
application management against its targets and/or metrics
b) use and apply the procedures, tools and techniques to monitor the quality and
effectiveness of application management activities and their deliverables
c) record and store:
• the procedures, tools and techniques to monitor the quality and effectiveness of
application management activities and their deliverable, and their compliance
with any relevant legislation, regulations and external standards
• the metrics and results that are used to measure the performance, quality and
effectiveness of application management and their deliverables

Competent performance requires Understanding (7.4.P.2.U.) of:

a) why the alignment of application management activities and their deliverables with any
relevant legislation, regulations and external standards needs to be monitored
b) the importance of metrics to measure the performance of application management
activities
c) the need for monitoring of the quality and effectiveness of application management
activities and the alignment with business needs, service operation objectives and
service strategy
d) the procedures, tools and techniques that can be used to monitor the:
• alignment of application management activities and their deliverables with
business needs, service operation objectives and service strategy
• quality and effectiveness of application management activities and their
deliverables

Competence (7.4.P.3): Review, and identify potential improvements, and manage

effective implementation of changes and releases
This competence will be demonstrated by the following Performance Criteria (7.4.P.3.C.):
a) Apply best practice in all aspects of application management activities and document
lessons learned so that they may inform and direct the future activities taken by self and
others
b) Ensure that change control mechanisms are followed, either in advance or
retrospectively, as appropriate within own area of accountability, during application
management activities
c) Produce suitable designs for approved changes to applications, under supervision
d) Accurately estimate the effort, complexity, risk and elapsed time that may be required to
develop releases to applications
e) Accurately document the content and delivery details associated with any application
release, under the direction of others, where appropriate
f) Assist others with the documentation, implementation and maintenance of any proposed
release schedule and plan for an application
g) Assist others in ensuring that proposed application releases support the identified
business needs and priorities

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Competent performance requires Knowledge (7.4.P.3.K.) of how to:

a) identify and select what:
• effort, complexity, risk and elapsed time may be required to develop releases to
applications required in response to incidents, problems and/or change requests
• testing is required on any application change prior to its promotion and
readiness for release
b) source, gather and collate information from a range of sources in order to develop fixes,
patches and changes to applications
c) record and store:
• the content and delivery details associated with any application release
• lessons learned from previous application management activities
d) manage relationships with individuals and groups requesting changes to applications
e) take action and measures to estimate accurately the effort, complexity, risk and elapsed
time that may be required to develop releases to applications
f) to ensure change control mechanisms are followed, either in advance or retrospectively,
as appropriate, during application management activities
g) provide:
• change requests to external providers of application support, where appropriate
• estimates for changes to applications required in response to incidents,
problems and or change requests for review and approval
• updated information on the progress of application changes proposed and
under development to a range of individuals and groups
h) design and develop approved changes to applications

Competent performance requires Understanding (7.4.P.3.U.) of:

a) the fact that emergency/immediate changes may require retrospective change control
mechanisms to be applied
b) who makes decisions about the content of and delivery schedule for application releases
c) the importance of:
• applying appropriate control of the versions of application software during
application management activities and ensuring that any changes made to an
application are supported by appropriate change control mechanisms
• ensuring that changes to applications undergo the appropriate degree of testing
and validation before they are implemented
• documenting known errors with an application so that this may be referenced by
others until it is resolved/fixed

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Senior Professional Role

Competence (7.4.S.1): Manage and maintain application management activities

This competence will be demonstrated by the following Performance Criteria (7.4.S.1.C.):
a) Reallocate and reprioritise application management activities undertaken by others,
according to the rate, incident and severity of incoming incidents, problems and change
requests
b) Present reasoned proposals relating to the use of external providers of application
management services, including identifying potential providers
c) Advise and guide others on all aspects of application management activities and their
deliverables

Competent performance requires Knowledge (7.4.S.1.K.) of how to:

a) identify and select:
• which applications are supported internally and which can only be supported by
external providers
• when and how to raise a change request with an external provider and who are
potential external providers
• what routine tasks and activities need to be rescheduled in order to resource
incoming application incidents, problems and changes that need
immediate/emergency response
• who are the sponsors of and stakeholders for application management activities
• internal and external factors that could impact on application management
activities and their deliverables, including any legislation, regulations and
external standards that may apply
b) use and apply:
• strategy and policies to ensure the alignment of application management
activities and their deliverables with all relevant legislation, regulations and
external standards
• the most appropriate approaches that may be taken to application management
in a range of business and organisational contexts
c) record and store:
• standards for conducting application management activities and their alignment
with all relevant legislation, regulations and external standards
• proposals relating to the use of external providers of application management
services
d) implement and maintain:
• the proposed release schedule and plan for any application
• the strategy, procedures, tools, techniques, plans and standards that apply to
application management activities and their deliverables
e) manage:
• the alignment of application management activities and their deliverables with
all relevant legislation, regulations and external standards
• relationships with sponsors, stakeholders and external bodies on matters
relating to application management activities
f) review any issues arising from routine maintenance activities
g) present:
• the quality and effectiveness of application management activities and their
deliverables
• proposals relating to the use of external providers of application management
services
h) take actions and measures:
• to reallocate and reprioritise application management activities according to the
rate, incident and severity of incoming incidents, problems and change requests
• to take account of internal and external factors that may impact on application
management activities

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i) communicate and liaise with external providers of application management services on all
aspects of their activities
j) advise and guide others on all aspects of application management activities and their
deliverables

Competent performance requires Understanding (7.4.S.1.U.) of:

a) what is the range of:
• internal and external factors that could result in issues arising with an
application or changes being requested to it
• approaches that may be used to conduct application management activities and
their appropriateness in a range of business and organisational contexts
b) what are the:
• business processes, functions and activities impacted by an incident/problem
with or change request to any particular application
• business implications of specific applications not being available/accessible to
support business functions
• potential implications of failings in integrity, confidentiality and information
security during application management activities
• implications of any legislation, regulations and external standards on
application management activities and their deliverables
c) who are potential external providers who may be used for application management
services
d) the importance of:
• managing relationships with external providers of application management
services
• assessing incoming change requests for applications promptly

Competence (7.4.S.2): Review, monitor and report on the quality and effectiveness of
application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.S.2.C.):
a) Review any issues arising from the implementation of changes and releases and routine
maintenance activities, taking action where appropriate
b) Manage and monitor the progress of development for any application releases against
plan and schedule
c) Provide metrics and management information produced by application management
activities and their deliverables to internal and external sponsors, stakeholders
individuals and other bodies, as appropriate
d) Monitor the quality and effectiveness of application management activities and their
deliverables

Competent performance requires Knowledge (7.4.S.2.K.) of how to:

a) use and apply the procedures, tools, techniques and plans to monitor the alignment of
application management activities and their deliverables with:
• any relevant legislation, regulations and external standards
• business needs, service delivery/operation objectives and the service strategy
b) use and apply information to support the performance reporting of application
management activities against targets and the metrics to measure the performance
c) record and store the procedures, tools and techniques to monitor the alignment of
application management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy
d) implement and maintain the procedures, tools and techniques to monitor the:
• quality and effectiveness of application management activities and their
deliverables

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• alignment of application management activities and their deliverables with

business needs, service delivery/operation objectives and the service strategy
and with any relevant legislation, regulations and external standards
e) monitor:
• the progress of development for any application releases against plan and
schedule
• the alignment of application management activities and their deliverables with
service targets and service levels
• the volume and progress of application change requests raised with external
providers
• the performance of external providers of application support services
• the quality and effectiveness of application management activities and their
deliverables
• the alignment of application management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
and with any relevant legislation, regulations and external standards
f) report the performance of:
• external providers of application support services
• application management activities, on a regular basis, against metrics to a
range of internal and external individuals and groups
g) report findings from monitoring the quality and effectiveness of application management
activities
h) present:
• the information and results from monitoring the performance of application
management activities against metrics
• the quality and effectiveness of external providers of application management
services
• the alignment of application management activities with the business needs,
service delivery/operation objectives and the service strategy
i) provide metrics and management information produced by application management
activities and their deliverables to internal and external sponsors, stakeholders
individuals and other bodies, as appropriate

Competent performance requires Understanding (7.4.S.2.U.) of:

a) the importance of verifying the accuracy, currency, completeness and relevance of
information managed by applications during application management activities
b) the need for monitoring, and the procedures, tools and techniques, that can be used to
monitor the:
• the alignment of application management activities and their deliverables with
any relevant legislation, regulations and external standards
• the quality and effectiveness of external providers of application management
activities

Competence (7.4.S.3): Design, develop and manage to maintain and identify

improvements to application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.S.3.C.):
a) Verify the appropriateness of any proposed change identified in response to incoming
application incidents, problems and change requests and the accuracy of any estimated
effort, complexity, risk and elapsed time developed by other individuals
b) Make timely and appropriate decisions on which application changes to approve
c) Manage the development of approved changes in response to any incoming application
incident, problem or change request
d) Design and present the proposed release schedule and plan and the content of each
release within it, for any application

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e) Ensure that proposed application releases support the identified business needs and
priorities
f) Communicate effectively and in a timely manner with sponsors and stakeholders,
reporting on the progress versus plan/schedule of application releases and providing
proposals for future application releases
g) Negotiate effectively and in line with organisational policies and procedures, with external
providers of application support in relation to individual changes required

Competent performance requires Knowledge (7.4.S.3.K.) of how to:

a) identify and select which application changes:
• can/should be resourced, committed to action and approved
• can be bundled into an application release
• are ready to be promoted and made available for release/implementation
b) identify and select when and how to source, use and apply best practice in application
management
c) source and gather best practice in application management activities
d) verify:
• the appropriateness of any proposed change identified in response to incoming
application incidents, problems and change requests
• the accuracy of any estimated effort, complexity, risk and elapsed time for any
proposed change
e) record and store the proposed release schedule and plan for any application
f) report:
• the proposed release schedule and plan for any application
• the progress of development for any application releases against plan and schedule
g) Manage the development of approved changes in response to any incoming application
incident, problem or change request and the progress of development for any
application releases against plan and schedule
h) analyse and interpret the results gained from monitoring the:
• quality and effectiveness of application management activities and their
deliverables and with any relevant legislation, regulations and external
standards
• quality and effectiveness of external providers of application management
services
i) analyse and interpret information relating to the capabilities of existing or potential
external providers of application management services
j) review any issues arising from the implementation of changes and releases
k) present:
• the content and delivery schedule of any proposed release/plan and the
contents of each release for any application
• all application changes that need to be authorised/signed off
l) to ensure that:
• the estimates for application changes produced by others are reviewed
• all application changes have appropriate change control mechanisms applied to
them and proposed application changes are approved in a timely manner
• proposed application releases support the identified business needs and
priorities
m) provide proposals for any application release schedule/plan and the contents of each
release to sponsors, stakeholder and other individuals for review
n) communicate and liaise with sponsors and stakeholders on the progress versus
plan/schedule of application releases and for proposals for future application releases
o) design and develop the:
• proposed release schedule and plan for any application
• content of any release to an application
p) make decisions on which application changes to approve
q) negotiate with external providers of application support in relation to individual changes
required

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Competent performance requires Understanding (7.4.S.3.U.) of:

a) what is best practice in application management activities
b) the importance of:
• making an accurate assessment of the effort and elapsed time that may be
required to develop, test and implement a new release for an application
• raising change requests for externally supported/hosted application packages
and or services, where appropriate

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Lead Professional Role

Competence (7.4.L.1): Design and implement strategy, policy, standards and objectives
relating to application management activities
This competence will be demonstrated by the following Performance Criteria (7.4.L.1.C.):
a) Design, implement and maintain standards for conducting application management
activities
b) Identify the implications of business objectives, the service strategy and service
delivery/operation objectives on application management activities, taking action where
appropriate
c) Ensure that change requests with external application support providers are escalated,
where appropriate, in line with business needs
d) Negotiate with sponsors, stakeholders and other individuals in relation to the release
schedule/plan and the contents of each release for any application
e) Review and make decisions on proposals made by other individuals regarding the use of
external suppliers of application management services, contracting with providers
where appropriate

Competent performance requires Knowledge (7.4.L.1.K.) of how to:

a) identify the implications of business objectives, the service strategy and service
delivery/operation objectives on application management activities
b) identify and select:
• strategies, policies, plans, standards and targets relating to application
management activities
• the range of approaches that may be taken to application management and
their appropriateness in a range of business and organisational contexts
• when and how to use external providers for application management activities
c) implement and maintain standards for conducting application management and their
alignment with all relevant legislation, regulations and external standards
d) implement and maintain metrics and targets to be applied to application management
activities
e) with respect to external providers:
• review proposals relating to their use
• take action and measures to assess their potential
• advise and guide others on when and how to consider them
f) develop and design the strategy, procedures, tools, techniques and plans relating to
application management activities and their deliverables including alignment with all
relevant legislation, regulations and external standards

g) develop and design:

• the procedures, tools and techniques to monitor the quality, effectiveness and
performance of application management activities and their deliverables against
metrics and targets
• the procedures, tools and techniques to monitor the alignment of application
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy and with any relevant
legislation, regulations and external standards
h) make decisions on the appropriateness of using external suppliers of application
management services
i) negotiate with sponsors, stakeholders and other individuals in relation to the release
schedule/plan and the contents of each release for any application

Competent performance requires Understanding (7.4.L.1.U.) of:

N/A

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Competence (7.4.L.2): Review and direct application management activities against

business objectives and metrics to maintain and improve performance
This competence will be demonstrated by the following Performance Criteria (7.4.L.2.C.):
a) Monitor and report the impact of implemented application changes and releases to
sponsors, stakeholders and other individuals and groups, as appropriate
b) Monitor the quality and effectiveness of external providers of application management
services, taking action where appropriate
c) Verify, and make appropriate decisions on, the content and delivery schedule of any
proposed application releases
d) Take action to ensure the delivery of the release schedule/plans and other application
management activities are in line with business needs and identify and implement
improvements

Competent performance requires Knowledge (7.4.L.2.K.) of how to:

a) identify and select:
• what metrics are to be used to measure the performance of application
management
• what actions may be taken in the event of application management not
supporting the business needs, service delivery/operation objectives and/or the
service strategy
• what resources to allocate to responsive/reactive application management and
what should be available for lower priority changes and routine application
management tasks
b) verify the content and delivery schedule of any proposed application release
c) use and apply information relating to the capabilities and performance of existing or
potential external providers of application management services
d) monitor the quality and effectiveness of external providers of application management
services
e) monitor the impact of implemented application changes and releases and report their
impact
f) manage:
• the alignment of application management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
• the assessment of external providers of application management services
g) analyse and interpret management information/metrics produced about application
management activities and its deliverables
h) review:
• the content and delivery schedule of any proposed release/plan and the
contents of each release for any application
• all application changes that need to be authorised/signed off
• the alignment of application management activities with the business needs,
service delivery/operation objectives and the service strategy
i) review:
• the quality and effectiveness of application management activities and their
deliverables
• the quality and effectiveness of external providers of application management
services
• the information and results from monitoring the performance of application
management activities against metrics
j) take action and measures in the event of application management activities not
supporting the business needs, service delivery/operation objectives and/or the service
strategy
k) make decisions and to ensure:
• approval/sign off and delivery of the release schedule/plan and the contents of
each release for any application
• the escalation of change requests with external application support providers
where appropriate

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l) advise and guide others on best practice in application management activities

m) make decisions on the results from monitoring application management activities and
the service
n) negotiate with external providers of application management services, in relation to the
provision of service
o) authorise and agree which external suppliers of application management to use and
contract with them

Competent performance requires Understanding (7.4.L.2.U.) of:

N/A

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7.5 IT/Technology Management And Support

This sub-discipline is about the competencies required to ensure that the infrastructure required
to support the delivery of IT/technology systems, services and assets for an organisation remain
available, appropriate to business needs and performs according to defined service levels.
IT/technology software, hardware and network infrastructure may exist both within a single
organisation and also be shared/span across multiple organisations.
Software may include items such as:
• systems management software such as operating system software
• database management software
• software tools
• storage management software
• middleware for connecting applications and other components
• web services

Hardware infrastructure may include items such as:

• processors
• storage devices
• mobile devices
• input and output devices
• any other items of hardware required for the provision of IT/technology systems,
services and assets for an organisation

Network infrastructure includes all of the components necessary for any type of network,
whether hard wired or wireless, which support the provision of IT/technology systems, services
and assets for an organisation.
The support of business applications are excluded from technical support and are covered in a
separate unit as are the architecture, design and development of technical infrastructure and
services.

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Pre-Entry / Junior Technician Role:

Competence (7.5.J.1): Carry out technical support activities under supervision

This competence will be demonstrated by the following Performance Criteria (7.5.J.1.C.):
a) Correctly select the procedures, tools and techniques to use for technical support
activities and their deliverables, under supervision
b) Comply with any relevant legislation, regulations and external standards relating to
technical activities and their deliverables in own area of accountability
c) Comply with change control mechanisms that apply to technical support activities, under
supervision
d) Undertake efficient and timely routine maintenance on technical infrastructure and
services to ensure their ongoing performance and availability, in line with procedures,
documenting action taken and reporting issues arising to relevant people
e) Respond promptly to incoming incidents, problems, change requests and other events
relating to technical infrastructure and services , in line with their identified priority, as
directed by others
f) Estimate accurately own effort, and the complexity, risk and elapsed time associated with
changes and repairs to and/or replacements of technical infrastructure and services in
response to incidents, problems, change requests and other events, under supervision
g) Implement changes and releases to technical infrastructure and services into pre
production environments ready for their validation and release into the production
environment, where appropriate, under supervision
h) Implement infrastructure repairs and refreshes, where appropriate and approved, under
supervision
i) Identify and use appropriate contacts/escalation paths with external providers of support
for technical infrastructure and services , where appropriate

Competent performance requires Knowledge (7.5.J.1.K.) of how to:

a) identify and select:
• the procedures, tools and techniques to use for technical support activities and
their deliverables
• which technical infrastructure and services are supported internally and which can
only be supported by external providers
• which incoming incidents, problems, change requests and other events need
immediate/emergency response
• which fixes and patches to technical infrastructure and services will resolve
incoming incidents, problems, change requests and other events
• what personal effort, complexity, risk and elapsed time may be involved in
providing technical support to technical infrastructure and services required in
response to incidents, problems, change requests and other events
• routine preventative maintenance is required to ensure the ongoing performance
and effectiveness of technical infrastructure and services
• when alternatives to the repair of infrastructure should/must be considered and
when technical infrastructure and services may be beyond economic repair
• what information needs to be gathered and/or referenced in order to assess
incoming incidents, problems, change requests and other events for technical
infrastructure and services
• who are the external providers of technical support activities used by the
organisation
• when to propose replacement and decommissioning of technical infrastructure and
services that is faulty
• lessons learned from previous technical support activities and experiences
b) use and apply:
• the procedures, tools and techniques that apply to technical support activities and
their deliverables

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• all relevant information including the architecture, design and configuration of

technical infrastructure and services during technical support activities
• information about incoming incidents, problems, change requests and other events
relating to technical infrastructure and services , from a range of internal and
external sources in order to ascertain what course of action is required
• information from external sources about resolutions and fixes that are included in
future releases of technical infrastructure and services
• lessons learned from previous technical support activities
• appropriate sources of expertise, in particular relating to technical infrastructure
and services, from internal and external sources
• appropriate contacts/escalation paths with external providers of support for
technical infrastructure and services , where appropriate
c) operate with reference to:
• organisational standards relating to technical support activities and their
deliverables
• the severity and priority of incoming incidents and problems requiring technical
support
• infrastructure architecture, designs, configurations and standards
• professional and ethical standards in technical support activities
d) operate with integrity and confidentiality during technical support activities
e) comply with all relevant:
• and applicable legislation and regulations relating to technical support activities
• change control mechanisms during technical support activities
• business case and benefits realisation policies, procedures, tools and techniques
during technical support activities
f) implement and maintain:
• changes and releases to technical infrastructure and services into pre production
environments ready for their validation and release into the production
environment, where appropriate
• infrastructure repairs and refreshes, where appropriate and approved
g) take action and measures to:
• undertake routine maintenance activities on technical infrastructure and services to
ensure their ongoing performance and availability
• decommission and replace technical infrastructure and services , where
appropriate
• respond to incoming incidents, problems, change requests and other events
relating to technical infrastructure and services promptly
• estimate accurately own effort, and the complexity, risk and elapsed time
associated with changes and repairs to and/or replacements of technical
infrastructure and services in response to incidents, problems, change requests
and other events

Competent performance requires Understanding (7.5.J.1.U.) of:

a) the role of technical support in supporting business operations and IT/technology service
strategy and in service delivery/operations
b) what is meant by:
• technical support
• a patch
• a release
• an infrastructure refresh programme
c) what:
• preventative maintenance needs to be carried out
• is the relevance of service levels in relation to technical support activities
• is the relationship between technical support activities, the service lifecycle and the
service catalogue and/or portfolio
• information might need to be referenced and used during technical support
activities

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d) what are the:

• types of activities undertaken by technical support and the related procedures,
tools and techniques
• inputs to, and required outputs, from technical support activities
• differing procedures that may apply to the technical support of technical
infrastructure and services maintained in secure operational premises as
opposed to that which exists in user/customer areas
• implications of technology products/services and/or equipment provided by
external service providers/hosts on technical support activities
• implications of service levels in relation to technical support activities
• potential implications of technical support activities and their deliverables being
incorrect, incomplete, inadequate and/or inappropriate
• standards that apply to infrastructure supporting an organisation
• business processes, functions and activities that may be impacted by an incident,
problem change request or other event associated with technical infrastructure
and services
• business implications of specific technical infrastructure and services not being
available/accessible to support business functions
• factors to consider when assessing the repair or replacement of infrastructure
e) the fact that external providers:
• of technical infrastructure and services exist
• may host infrastructure and services or provide outsourcing capabilities whilst
others purely supply and/or support products/services and/or equipment
• external providers may be required to assist with technical support
f) the fact that:
• technical support activities can be carried out remotely
• technical support activities rely heavily on information gathered in incident, problem
and event management activities and/or change requests
• preventative maintenance may need to be carried out on infrastructure
• differing procedures may apply to the technical support of technical infrastructure
and services maintained in secure operational premises as opposed to that
which exists in user/customer areas
• some organisations choose to use external technical infrastructure and services,
and/or equipment either wholly or partially whilst others choose to manage them
internally
• technical support activities may occur as a result of problems occurring with
existing technical infrastructure and services or may be the result of changes
made
• organisations rely on technical infrastructure and services being available and
accessible for their business operations
• incidents, problems and issues associated with infrastructure may result in repair or
replacement of products/services and/or equipment
• severe incidents, problems and issues associated with technical infrastructure and
services may require the development or use of emergency
solutions/alternatives while low(er) priority problems and issues are often
resolved through routine refresh and replacement activities
• as infrastructure ages, the cost and complexity of repairing faults with it may be
prohibitive and the purchase of replacement infrastructure may be a more
effective or the only viable approach to restoring service
g) why some changes to technical infrastructure and services need to be managed as
emergency changes while why low(er) priority problems and issues can be deferred
until routine refresh and replacement activities
h) who:
• are the customers of technical support activities
• needs to be contacted externally to provide technical support
• needs to authorise actions proposed and taken during technical support activities
• may be impacted by any particular incident, problem, change or other event that
arises with any technical infrastructure and services

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i) the importance of:

• referencing the service catalogue and/or portfolio and service level information
during technical support activities
• referencing technical standards for technical infrastructure and services during
technical support
• undertaking preventative maintenance on IT/technology infrastructure
• making a timely and accurate assessment of the cost and complexity of repairing
infrastructure compared with alternative approaches
j) the procedures, tools and techniques that can be used to conduct technical support
activities in a range of business and organisational contexts and to perform preventative
maintenance
k) how to comply with standards and service levels that apply to technical support activities
l) how effective technical support activity can improve the levels of customer satisfaction
with IT/technology

Competence (7.5.J.2): Monitor, document and provide effective communications when

carrying out technical support activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.5.J.2.C.):
a) Accurately and comprehensively document the results of testing that has taken place on
changes and repairs to or replacements of technical infrastructure and services , in line
with procedures and standards
b) Communicate effectively, courteously and timely with all external individuals and groups
who provide technical support in response to incidents, problems, change requests and
other events, under supervision
c) Communicate effectively, courteously and timely with internal and external individuals and
groups on the progress of changes and repairs to and replacements of technical
infrastructure and services , in response to incidents, problems, change requests and
other events, as directed by others
d) Provide timely and suitable advice and guidance to others on the appropriateness of
repairing existing infrastructure, in line with procedures and under supervision

Competent performance requires Knowledge (7.5.J.2.K.) of how to:

a) source, gather and collate:
• all relevant information associated with any technical infrastructure and services
that require support
• information about the architecture, design and configuration associated with any
technical infrastructure and services during technical support activities
• information relating to incoming incidents, problems, change requests and other
events associated with any technical infrastructure and services
• information from internal and external sources about known errors associated with
any technical infrastructure and services
• information from external sources about resolutions and fixes that are to be
included in future technical infrastructure and services releases and/or
equipment refresh programmes
• information from a range of sources in order to develop fixes, patches, changes
and repairs to technical infrastructure and services
• information in order to estimate the effort, cost, complexity, risk and elapsed time
for any infrastructure decommissioning/replacement option(s)
b) record and store:
• all relevant information about incoming incidents, problems, change requests and
other events relating to technical infrastructure and services
• any information from external sources about known errors with technical
infrastructure and services
• routine action taken to ensure the ongoing performance and effectiveness of
technical infrastructure and services

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• the results of testing that has taken place on changes and repairs to or
replacements of technical infrastructure and services
• all relevant information about changed or replacement technical infrastructure and
services for use in change, release, configuration management and/or asset
management activities
c) monitor:
• the progress of changes and repairs to and/or replacement of technical
infrastructure and services provided by external providers
• the responsiveness of external providers of technical support to incidents,
problems, changes and other events
d) report any issues associated with the provision of technical support from external
providers
e) analyse and interpret all relevant information about:
• technical infrastructure and services requiring support
• incoming incidents, problems, change requests and other events relating to
technical infrastructure and services
f) provide:
• updated information on the progress of changes and repairs to, and replacements
of, technical infrastructure and services, in response to incidents, problems,
change requests and other events to a range of individuals and groups
• all relevant information about changed or replacement technical infrastructure and
services for use in change, release, configuration management and/or asset
management activities
g) communicate and liaise with:
• external individuals and groups who provide technical support in response to
incidents, problems, change requests and other events
• internal and external individuals and groups on the progress of changes and
repairs to and replacements of technical infrastructure and services, in response
to incidents, problems, change requests and other events
h) advise and guide others on the appropriateness of repairing existing infrastructure

Competent performance requires Understanding (7.5.J.2.U.) of:

a) what are the contact methods used with external providers of technical support
b) the importance of:
• communicating effectively with external providers of technical support
• documenting changes, repairs and replacements made to technical infrastructure
and services, in order to resolve incidents and problems or respond to change
requests and other events
• effective communication with a range of customers and other individuals during
technical support activities
• documenting known errors with any technical infrastructure and services so that
this may be referenced by others until it is resolved/fixed
c) how to make contact with external providers of technical support

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Associate Professional Role

Competence (7.5.A.1): Carry out technical support activities

This competence will be demonstrated by the following Performance Criteria (7.5.A.1.C.):
a) Verify, where appropriate, the accuracy, currency, completeness and relevance of any
information already collected about incoming incidents, problems, change requests and
other events relating to technical infrastructure and services , as directed by others
b) Assist others in the preparation of estimates for changes and repairs to and replacement
of technical infrastructure and services required in response to incidents, problems,
change requests or other events, for review and approval
c) Negotiate effectively on the timing and schedules associated with any technical
infrastructure and services changes, repairs or replacements with individuals for whom
technical support is being provided in response to incidents and problems, where
appropriate
d) Identify when it is appropriate to decommission existing technical infrastructure and
services , presenting what options are available and suitable for the replacement and
decommissioning of infrastructure
e) Correctly identify when changes or repairs to technical infrastructure and services are
ready to be reintroduced and made available

Competent performance requires Knowledge (7.5.A.1.K.) of how to:

a) identify and select:
• which incidents, problems, change requests and other events can be tackled
internally and which required external provider support
• what options for replacement and decommissioning of infrastructure are available
and when it is appropriate to decommission
• when it is appropriate to decommission existing technical infrastructure and
services
b) verify the accuracy, currency, completeness and relevance of any information:
• where appropriate, for information already collected about incoming incidents,
problems, change requests and other events relating to technical infrastructure
and services
• the accuracy, currency, completeness and relevance of information used during
technical support activities
c) use and apply:
• the service and systems lifecycle as appropriate to technical support activities
• the service catalogue and/or portfolio during technical support and activities
d) operate with reference to the service catalogue and/or portfolio and service levels
e) present proposals to decommission infrastructure, where appropriate
f) negotiate the timing and schedules associated with any technical infrastructure and
services changes, repairs or replacements with individuals for whom technical support
is being provided in response to incidents, problems, change requests and other
events, where appropriate

Competent performance requires Understanding (7.5.A.1.U.) of:

a) the relationship between technical support activities and their deliverables and all other
service delivery/operations activities
b) what are the objectives of technical support
c) the fact that:
• technical support activities are similar to those of application management and
support
• customers of technical infrastructure and services may be internal or external to the
organisation

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• incidents and problems associated with technical infrastructure and services can
often result in the loss or corruption of business data which will need to be
recovered
• the loss of access to or availability of technical infrastructure and services can have
a major impact on an organisation’s operational activities, brand and reputation
d) the importance of:
• and relevance of technical support on the service lifecycle supporting an
organisation
• taking action to protect the data used by customers of technical infrastructure and
services during technical support activities
• assessing incoming change requests requiring technical support activities in a
timely manner
e) how to comply with change control, release, configuration and asset management
mechanisms that may apply during technical support activities

Competence (7.5.A.2): Monitor and document technical support activities

This competence will be demonstrated by the following Performance Criteria (7.5.A.2.C.):
a) Correctly identify which incidents, problems, change requests and other events can be
tackled internally and which required external provider support, in line with procedures
and as directed by others
b) Accurately document the procedures, tools and techniques relating to technical support
activities and their deliverables, under supervision
c) Correctly reference the service catalogue and/or portfolio and service levels during
technical support activities
d) Assist others with the preparation of documentation relating to changes, repairs and
replacements to be used to address incoming incidents, problems, change requests
and other events associated with technical infrastructure and services
e) Assist in monitoring and identifying improvements relating to technical support activities

Competent performance requires Knowledge (7.5.A.2.K.) of how to:

a) record and store:
• the procedures, tools and techniques relating to technical support activities and
their deliverables
• lessons learned from previous technical support activities

Competent performance requires Understanding (7.5.A.2.U.) of:

a) the fact that structured processes and procedures are essential for effective technical
support activities
b) why the quality and effectiveness of technical support activities and their deliverables
need to be monitored
c) who makes decision about infrastructure product/service releases and/or refresh
programmes
d) the importance of:
• technical support activities being informed and directed by the business
requirements and customer needs
• the interdependency and functionality of technical infrastructure and services
during technical support activities
e) the procedures, tools and techniques that can be used to monitor the alignment of
technical support activities and their deliverables with service targets and service levels
f) how technical support activities support service delivery/operation objectives

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Professional Role

Competence (7.5.P.1): Carry out and implement technical support activities

This competence will be demonstrated by the following Performance Criteria (7.5.P.1.C.):
a) Follow the standards relating to technical support activities, under direction
b) Correctly identify what routine tasks and activities need to be rescheduled in order to
resource incoming incidents, problems and changes associated with technical
infrastructure and services that need immediate/emergency response
c) Ensure that change control mechanisms are followed, either in advance or
retrospectively, as appropriate within own area of accountability, during technical
support activities
d) Accurately estimate changes and repairs to and replacement of technical infrastructure
and services required in response to incidents, problems, change requests or other
events, for review and approval
e) Accurately document changes, repairs and replacements to be used to address incoming
incidents, problems, change requests and other events associated with technical
infrastructure and services, under direction
f) Assist others with the documentation, implementation and maintenance of any proposed
release schedule and plan for an application

Competent performance requires Knowledge (7.5.P.1.K.) of how to:

a) identify and select:
• when and how to raise a change request with an external provider of technical
infrastructure and services
• what routine tasks and activities need to be rescheduled in order to resource
incoming incidents, problems and changes associated with infrastructure
products/services that need immediate/emergency response
b) use and apply:
• standards relating to technical support activities
• best practice in technical support activities
c) record and store:
• change requests that need to be raised for technical infrastructure and services
with external providers of technical support, where appropriate
• changes, repairs and replacements to be used to address incoming incidents,
problems, change requests and other events associated with technical
infrastructure and /or services
• the proposals, plans and schedules to decommission and replace infrastructure,
where appropriate
• the plans, schedules and scope of any infrastructure product/service release and/or
equipment refresh programme
d) implement and maintain plans and schedules for any approved decommissioning and
replacement of faulty technical infrastructure and services where appropriate
e) manage the development and implementation of any approved changes, and any
approved infrastructure product and service repairs/replacements in response to any
incoming incident, problem, change request or other events
f) take action and measures to ensure change control mechanisms are followed, either in
advance or retrospectively, as appropriate, during technical support activities
g) provide change requests to external providers of technical support, where appropriate
h) provide estimates for changes and repairs to, and replacement of, technical infrastructure
and services required in response to incidents, problems, change requests or other
events, for review and approval

Competent performance requires Understanding (7.5.P.1.U.) of:

a) what is the range of issues associated with technical support activities and their
deliverables and what legislation, regulations and external standards may apply
b) what are the:

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• benefits and disadvantages of using external providers of technical support

services
• implications of external factors on technical support activities and their deliverables
• issues involved in the outsourcing of technical support activities and external
hosting of infrastructure
c) the fact that:
• emergency/immediate changes, repairs and or replacements may require
retrospective change control, release, configuration and asset management
mechanisms to be applied
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in technical support activities and their deliverables
d) why some organisations choose to use externally hosted technical infrastructure and
services and/or outsource technical support services whilst others choose to manage
them internally
e) why the alignment of technical support activities and their deliverables with any relevant
legislation, regulations and external standards needs to be monitored
f) who are the sponsors of and stakeholders for technical support activities
g) the importance of:
• referencing architecture, design and configuration management deliverables for
technical infrastructure and /or services during technical support activities
• applying version control, where appropriate, to technical infrastructure and services
during technical support activities
• ensuring confidentiality, integrity and security during technical support activities and
that sensitive business information is not disclosed inappropriately
• and relevance of technical support activities on the full life cycle of information
within an organisation
• raising change requests for externally supported/hosted technical infrastructure
and services, where appropriate
• verifying the accuracy, currency, completeness and relevance of information used
during technical support activities

Competence (7.5.P.2): Monitor, review and report technical support activities against
targets and/or metrics
This competence will be demonstrated by the following Performance Criteria (7.5.P.2.C.):
a) Correctly identify the information required to support the reporting of the performance of
application management against its targets and/or metrics
b) Verify the appropriateness of any proposed changes or technical support activities
relating to technical infrastructure and services

Competent performance requires Knowledge (7.5.P.2.K.) of how to:

a) source, gather and collate information:
• to support the reporting of the performance of technical support against its targets
and/or metrics
• about future technical infrastructure and services releases and/or refreshes
b) verify:
• the appropriateness of any proposed changes identified in response to incoming
incidents, problems, change requests and other events relating to technical
infrastructure and services
• the accuracy of any estimated effort, complexity, risk and elapsed time for any
proposed change, repair or replacement activity in response to incidents,
problems, change requests and other events
c) use and apply the procedures, tools and techniques to monitor the quality and
effectiveness of technical support activities and their deliverables
d) record and store:

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• the procedures, tools and techniques to monitor the quality and effectiveness of
technical support activities and their deliverables and with any relevant
legislation, regulations and external standards
• the metrics that are used to measure the performance of technical support
• the results from monitoring the quality and effectiveness of technical support
activities and their deliverables

Competent performance requires Understanding (7.5.P.2.U.) of:

a) the importance of metrics to measure the performance of technical support activities
b) the need for monitoring of the quality, effectiveness and alignment of technical support
activities and their deliverables with business needs, service operation objectives and
service strategy
c) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of technical support activities and their deliverables and their alignment
with business needs, service operation objectives and service strategy

Competence (7.5.P.3): Develop and implement solutions to maintain and/or improve

technical management support activities
This competence will be demonstrated by the following Performance Criteria (7.5.P.3.C.):
a) Correctly identify when and how change, configuration, release and asset management
procedures may be required to introduce changes to technical infrastructure and
services and or new/repaired equipment, in line with procedures
b) Apply best practice in technical support activities so that they may inform and direct the
future activities taken by self and others
c) Produce suitable designs for approved changes, where appropriate, to technical
infrastructure and services in response to incidents, problems, change requests and
other events, under direction
d) Manage effective relationships with those internal and external individuals involved in the
development. testing and implementation of changes and repairs to or replacement of
technical infrastructure and services, under direction
e) Assist others in ensuring that proposed infrastructure product or service releases and/or
refreshes support the identified business needs and priorities

Competent performance requires Knowledge (7.5.P.3.K.) of how to:

a) identify and select:
• when and how change, configuration, release and asset management procedures
may be required to introduce changes to technical infrastructure and services
and or new/repaired equipment
• which changes/resolutions/repairs can/should be resourced, committed to action
and approved for technical infrastructure and services
b) identify and select when and how to source, use and apply best practice and the internal
and external factors that could impact on technical support activities and their
deliverables
c) advise and guide others on the appropriateness of seeking internal and/or external
assistance in order to identify and develop the most appropriate response to an
infrastructure product/service incident, problem and/or change request
d) design and develop approved changes, where appropriate, to technical infrastructure and
services in response to incidents, problems, change requests and other events

Competent performance requires Understanding (7.5.P.3.U.) of:

a) what is best practice in technical support activities
b) what are the architecture, design and configuration principles and standards that apply to
infrastructure supporting an organisation

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c) the importance of ensuring that any changes, repairs and replacements made to technical
infrastructure and services are supported by appropriate change control, release,
configuration and asset management mechanisms and undergo the appropriate degree
of testing and validation before they are implemented

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Senior Professional Role

Competence (7.5.S.1): Manage technical support activities

This competence will be demonstrated by the following Performance Criteria (7.5.S.1.C.):
a) Ensure that incoming incidents, problems, change requests and other events relating to
technical infrastructure and services that require immediate/emergency response are
attended to in a timely manner
b) Make timely and appropriate decisions on which infrastructure product/service changes,
repairs or replacements to approve in response to problems, incidents, change requests
and/or other events
c) Manage plans and schedules for the development of any infrastructure product/service
releases and/or the decommissioning and replacement of faulty infrastructure, where
appropriate
d) Ensure that proposed changes and repairs to and/or replacements of technical
infrastructure and services are approved in a timely manner
e) Ensure that all changes and repairs to technical infrastructure and services refreshes
have appropriate change control mechanisms applied to them
f) Ensure that maintenance of technical infrastructure and services is undertaken regularly
g) Negotiate effectively and in line with organisational policies and procedures, with external
providers of technical support activities, in relation to individual changes required

Competent performance requires Knowledge (7.5.S.1.K.) of how to:

a) identify and select:
• which changes should be addressed through a new release or routine
refresh/replacement of any technical infrastructure and services
• what testing is required on any change to technical infrastructure and services prior
to their readiness for use
• who are the sponsors of and stakeholders for technical support activities
• any legislation, regulations and external standards that may apply to technical
support activities
• who are potential external providers of technical support activities used by the
organisation
b) use and apply:
• strategy and policies to ensure the alignment of technical support activities and
their deliverables with all relevant legislation, regulations and external standards
• the most appropriate approaches that may be taken to technical support in a range
of business and organisational contexts
c) record and store:
• standards for conducting technical support activities
• strategy and policies to ensure the alignment of technical support and their
deliverables with all relevant legislation, regulations and external standards
• the procedures, tools and techniques to monitor the alignment of technical support
activities and their deliverables with business needs, service delivery/operation
objectives and the service strategy
d) implement and maintain:
• the procedures, tools, techniques and plans that apply to technical support
activities and their deliverables
• plans and schedules for any approved technical infrastructure and services release
and/or refresh programme
• standards relating to technical support activities and their deliverables
e) manage plans and schedules for the decommissioning and replacement of faulty
infrastructure, where appropriate
f) manage the alignment of technical support activities and their deliverables with all
relevant legislation, regulations and external standards
g) manage relationships with:
• external providers offering technical support and services

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• individuals and groups requesting changes

• sponsors, stakeholders and external bodies on matters relating to technical support
activities
h) take action and measures to:
• implement any infrastructure refresh programmes
• reallocate and reprioritise technical support activities according to the rate, incident
and severity of incoming incidents, problems and change requests
• take account of internal and external factors that may impact on technical support
activities
i) to ensure that:
• incoming incidents, problems, change requests and other events relating to
technical infrastructure and services that require immediate/emergency
response are attended to in a timely manner
• maintenance of technical infrastructure and services is undertaken regularly
• proposed changes and repairs to and/or replacements of technical infrastructure
and services are approved in a timely manner
• all changes and repairs to technical infrastructure and services refreshes have
appropriate change control mechanisms applied to them
• proposed technical infrastructure and services releases and/or equipment
refreshes support the identified business needs and priorities
• timely action to decommission and replace infrastructure, where appropriate

Competent performance requires Understanding (7.5.S.1.U.) of:

a) what is the range of:
• internal and external factors that could result in issues arising with infrastructure
• approaches that may be used to conduct technical support activities and their
appropriateness in a range of business and organisational contexts
b) what are the:
• potential implications of failings in integrity, confidentiality and information security
during technical support activities
• implications of any legislation, regulations and external standards on technical
support activities and their deliverables
c) who are the external providers contracted to provide technical support to technical
infrastructure and services

Competence (7.5.S.2): Monitor, review and communicate information relating to technical

support activities
This competence will be demonstrated by the following Performance Criteria (7.5.S.2.C.):
a) Review proposals made by others to decommission infrastructure, making decisions and
taking action where appropriate
b) Monitor, in a timely and accurate manner, the quality and effectiveness of technical
support activities and their deliverables, providing metrics and management information
for review by internal and external sponsors, stakeholders individuals and other bodies,
as appropriate
c) Present reasoned proposals relating to the use of external providers of technical support
services, including identifying potential providers
d) Communicate effectively and in a timely manner with sponsors and stakeholders,
reporting the progress versus schedule/plan and scope for any infrastructure
products/services release and or equipment refresh programme and providing
proposals for future releases of infrastructure products/services and/or equipment
refreshes
e) Provide timely and appropriate advice and guidance to others on all aspects of technical
support activities and their deliverables

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Competent performance requires Knowledge (7.5.S.2.K.) of how to:

a) source, gather and collate:
• internal and external sources of expertise in particular infrastructure
products/services and/or equipment, as and when required
• best practice in technical support activities
b) use and apply:
• the procedures, tools, techniques and plans to monitor the alignment of technical
support activities and their deliverables with any relevant legislation, regulations
and external standards
• the procedures, tools and techniques to monitor the alignment of technical support
activities and their deliverables with business needs, service delivery/operation
objectives and the service strategy
• information to support reporting of the performance of technical support activities
against targets/metrics and the metrics to measure the performance
c) implement and maintain the procedures, tools and techniques to monitor the:
• quality and effectiveness of technical support activities and their deliverables
• alignment of technical support activities and their deliverables with business needs,
service delivery/operation objectives and the service strategy and with any
relevant legislation, regulations and external standards
d) monitor:
• the progress of any infrastructure product/service release or refresh/repair activities
against plan and schedule
• the alignment of technical support activities and their deliverables with service
targets and service levels
• the volume and progress of change requests for technical infrastructure and
services raised with external providers
• the performance of external providers of technical support services
• the quality and effectiveness of technical support activities and their deliverables
and the performance of external providers of technical support services
• the alignment of technical support activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy and with
any relevant legislation, regulations and external standards
e) report:
• any proposed technical infrastructure and services release or refresh programme
and its progress against plan and schedule
• the performance of external providers of technical support services
• the performance of technical support activities, on a regular basis, against metrics
to a range of internal and external individuals and groups
• findings from monitoring the quality and effectiveness of technical support activities
• the impact of implemented changes, releases, refreshes and repairs to
infrastructure products/services and/or equipment
f) analyse and interpret:
• the results gained from monitoring the quality and effectiveness of technical
support activities and their deliverables including technical support provided by
external providers
• the results gained from monitoring the alignment of technical support activities and
their deliverables with any relevant legislation, regulations and external
standards
• information relating to the capabilities of existing or potential external providers of
technical support services
g) review proposals to decommission infrastructure, where appropriate
h) present:
• the alignment of technical support activities with the business needs, service
delivery/operation objectives and the service strategy
• the quality and effectiveness of technical support activities and their deliverables
and of external providers of technical support services
• the metrics and management information and the results from monitoring the
performance of technical support activities

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• the plans and schedules for any proposed technical infrastructure and services
releases or refresh programmes
• all changes to technical infrastructure and services that need to be
i) to ensure that the estimates for technical support changes, repairs, replacements and/or
refreshes produced by others are reviewed
j) provide metrics and management information produced by technical support activities
and their deliverables to internal and external sponsors, stakeholders individuals and
other bodies, as appropriate
k) communicate and liaise with:
• sponsors and stakeholders on proposals for future releases of technical
infrastructure and services refreshes
• sponsors and stakeholders on the progress versus schedule/plan and scope for
any infrastructure products/services release and or equipment refresh
programme
• external providers of technical support services on all aspects of their provision of
technical support to an organisation
l) advise and guide others on:
• all aspects of technical support activities and their deliverables
• best practice in technical support activities
m) negotiate with external providers of technical support in relation to individual changes
required

Competent performance requires Understanding (7.5.S.2.U.) of:

a) the need for, and the procedures, tools and techniques that can be used to, monitor the:
• alignment of technical support activities and their deliverables with any relevant
legislation, regulations and external standards
• quality and effectiveness of external providers of technical support activities

Competence (7.5.S.3): Design and develop solutions to maintain and/or improve

technical support activities
This competence will be demonstrated by the following Performance Criteria (7.5.S.3.C.):
a) Design and present an effective proposed schedule/plan and scope for any technical
infrastructure and services release and/or refresh programme
b) Effectively manage and regularly monitor the progress of development of any technical
infrastructure and services releases and/or refresh programmes against plan and
schedule
c) Ensure that proposed technical infrastructure and services refreshes support the
identified business needs and priorities

Competent performance requires Knowledge (7.5.S.3.K.) of how to:

a) identify and select the size, scale, risk, complexity and costs associated with any
infrastructure refresh programmes
b) record and store proposals relating to the use of external providers of technical support
services
c) manage:
• the progress of development of any infrastructure product/service and/or
equipment releases and/or refresh programmes against plan and schedule
• plans and schedules for the development of any infrastructure product/service
releases
d) analyse and interpret proposals to decommission and replace infrastructure, where
appropriate
e) present proposals relating to the use of external providers of technical support services
f) take action and measures to plan and schedule any infrastructure refresh programmes

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g) provide proposals and plans for any future infrastructure product/service release and or
refresh programme to sponsors, stakeholder and other individuals for review
h) design/develop the proposed schedule/plan and scope for any technical infrastructure
and services release and/or refresh programme
i) make decisions on which technical infrastructure and services changes, repairs or
replacements to approve in response to problems, incidents, change requests and/or
other events

Competent performance requires Understanding (7.5.S.3.U.) of:

a) the importance of managing relationships with external providers of technical support
services
b) the importance of making an accurate assessment of the total effort, elapsed time, risk,
complexity and cost that may be required to develop, test and implement changes,
repairs and replacements to infrastructure products/services and/or equipment

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Lead Professional Role

Competence (7.5.L.1): Design, develop and implement technical support strategy,

objectives and metrics
This competence will be demonstrated by the following Performance Criteria (7.5.L.1.C.):
a) Design, implement and maintain suitable and effective standards for conducting technical
support activities
b) Correctly identify the implications of business objectives, the service strategy and service
delivery/operation objectives on technical support activities, taking action where
appropriate
c) Ensure the delivery of any planned infrastructure product/services release and/or refresh
to schedule/budget, in line with business needs

Competent performance requires Knowledge (7.5.L.1.K.) of how to:

a) identify and select:
• the implications of business objectives, the service strategy and service
delivery/operation objectives on technical support activities
• strategies, policies, plans, standards and targets relating to technical support
activities
• when infrastructure refresh programmes may be required to refresh existing
IT/technology technical infrastructure and services
• the range of approaches that may be taken to technical support and their
appropriateness in a range of business and organisational contexts
• what metrics are to be used to measure the performance of technical support
b) implement and maintain:
• standards for conducting technical support and to ensure the alignment of those
activities and their deliverables with all relevant legislation, regulations and
external standards
• metrics and targets to be applied to technical support activities
c) review the alignment of technical support activities with the business needs, service
delivery/operation objectives and the service strategy
d) design/develop:
• the procedures, tools, techniques and plans relating to technical support activities
and their deliverables
• the procedures, tools and techniques to monitor the quality and effectiveness of
technical support activities and their deliverables and the metrics and targets
that are used to measure the performance
• standards for conducting technical support activities
• the procedures, tools and techniques and plans to monitor the alignment of
technical support activities and their deliverables with any relevant legislation,
regulations and external standards
• the procedures, tools and techniques to monitor the alignment of technical support
activities and their deliverables with business needs, service delivery/operation
objectives and the service strategy

Competent performance requires Understanding (7.5.L.1.U.) of:

N/A

Competence (7.5.L.2): Manage and review technical support activities against business
objectives and metrics
This competence will be demonstrated by the following Performance Criteria (7.5.L.2.C.):

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a) Regularly monitor and accurately report the impact of implemented changes, releases,
refreshes, replacements and repairs to technical infrastructure and services to
sponsors, stakeholders and other individuals and groups, as appropriate
b) Regularly monitor the quality and effectiveness of external providers of technical support
services, taking action where appropriate
c) Escalate the requirement for response to change requests with external technical support
providers where appropriate, in line with business needs
d) Review and make reasoned decisions on proposals made by others to decommission
and replace infrastructure, in line with service strategy, architecture and design
principles, where appropriate
e) Make appropriate decisions on the use of external providers of technical support services,
negotiating and contracting with suitable providers where appropriate

Competent performance requires Knowledge (7.5.L.2.K.) of how to:

a) identify and select:
• what actions may be taken in the event of technical support not supporting the
business needs, service delivery/operation objectives and/or the service
strategy
• when and how to use external providers for technical support activities
• what resources to allocate to responsive/reactive technical support and what
should be available for lower priority changes and routine technical support
tasks
b) use and apply information relating to the capabilities and performance of existing or
potential external providers of technical support services
c) monitor:
• the quality and effectiveness of external providers of technical support services and
manage their assessment
• the impact of implemented changes, releases, refreshes, replacements and repairs
to technical infrastructure and services
d) manage the alignment of technical support activities and their deliverables with business
needs, service delivery/operation objectives and the service strategy
e) analyse and interpret management information/metrics produced about technical support
activities and its deliverables
f) review:
• the metrics and management information produced by technical support activities
• the results from monitoring the performance of technical support activities against
metrics
• the quality and effectiveness of technical support activities and their deliverables
including external providers
g) take action and measures to:
• escalate the requirement for response to change requests with external technical
support providers where appropriate
• assess potential external providers of technical support services
h) to ensure delivery of any planned infrastructure product/services release and/or refresh to
schedule/budget
i) negotiate with:
• external providers of technical support services, in relation to their provision of
service to an organisation
• sponsors, stakeholders and other individuals in relation to any proposed
infrastructure refresh/release schedule/plan and their contents for any technical
infrastructure and services
j) contract with external providers of technical support services

Competent performance requires Understanding (7.5.L.2.U.) of:

N/A

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Competence (7.5.L.3): Provide direction and approval where necessary to maintain or

improve technical support activities
This competence will be demonstrated by the following Performance Criteria (7.5.L.3.C.):
a) Verify, and make appropriate decisions on, the plans and schedules for any proposed
technical infrastructure and services releases or refresh programmes
b) Negotiate effectively with sponsors, stakeholders and other individuals in relation to any
proposed infrastructure refresh/release schedule/plan and their contents for any
technical infrastructure and services
c) Review and make reasoned decisions on the schedule/plan and scope of any technical
infrastructure and services release or refresh programmes, in line with service strategy,
architecture and design principles, where appropriate

Competent performance requires Knowledge (7.5.L.3.K.) of how to:

a) verify the plans and schedules for any proposed technical infrastructure and services
releases or refresh programmes
b) review:
• the plans and schedules for any proposed technical infrastructure and services
releases or refresh programmes
• all changes to technical infrastructure and services that need to be
authorised/signed off
• proposals relating to the use of external providers of technical support services
c) take action and measures in the event of technical support activities not supporting the
business needs, service delivery/operation objectives and/or the service strategy
d) to ensure:
• review, approval and sign off of any schedule/plan/proposals for any technical
infrastructure and services release and/or refresh programme
• approval and sign off of any proposals for the decommissioning of infrastructure,
where appropriate
e) advise and guide others on when and how to consider external providers of technical
support services
f) make decisions on:
• proposals made by others to decommission and replace infrastructure, in line with
service strategy, architecture and design principles, where appropriate
• the schedule/plan and scope of any technical infrastructure and services release or
refresh programmes
• the appropriateness of using external suppliers of technical support services
• the results from monitoring technical support activities
g) authorise and agree which external suppliers of technical support to use

Competent performance requires Understanding (7.5.L.3.U.) of: N/A

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7. 6 Availability Management
 
This sub-discipline is about the competencies required to manage the availability of inter-
operating IT/technology systems, services and assets supporting an organisation, both during
current operation, and in support of future needs and demands.

Availability management is concerned with ensuring the reliability, maintainability, serviceability,

resilience and security of individual IT/technology systems, services and assets and the
effectiveness of their combined operation. It consists of both proactive and reactive
management of availability. Availability targets are normally contained within Service Level
Agreements (SLAs) and actual achievement against these forms an integral part of service
reviews.

Proactive management of the availability of IT/technology systems, services and assets

supports service level requirements and ensure that potential issues can be dealt with before
they interrupt availability. Thus, availability management activities may initiate changes to the
IT/technology infrastructure to increase its stability and tolerance to faults. This is distinct from
the definition of service level agreements, which sets the standards to be achieved and the
retrospective review of IT/technology performance against these standards.

Reactive management availability involves responding to incidents, problems and other events
which may result in the unavailability of IT/technology systems, services and assets.

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Pre-Entry / Junior Technician Role

Competence (7.6.J.1): Carry out routine availability management activities, under

supervision
This competence will be demonstrated by the following Performance Criteria (7.6.J.1.C.):
a) Correctly follow the procedures, tools and techniques that apply to availability
management and their deliverables, under supervision
b) Comply with any relevant legislation, regulations and external standards relating to
availability management activities and their deliverables in own area of accountability
c) Comply with all change control mechanisms that apply to availability management and
support activities, under supervision
d) Operate with reference to all relevant infrastructure architecture, designs, configurations
and standards, under supervision and in line with procedures
e) Assist others in the routine monitoring of the availability of IT/technology systems,
services and assets, under supervision

Competent performance requires Knowledge (7.6.J.1.K.) of how to:

a) use and apply the procedures, tools and techniques that apply to availability management
activities and their deliverables
b) operate with reference to:
• organisational standards relating to availability management activities and their
deliverables
• infrastructure architecture, designs, configurations and standards
• professional and ethical standards integrity and confidentiality during availability
management activities
• service levels
c) comply with all relevant change control mechanisms during availability management
activities

Competent performance requires Understanding (7.6.J.1.U.) of:

a) the role of availability management in:
• supporting business operations and IT/technology service strategy
• in service delivery/operations
b) what is meant by availability management and availability levels/categories
c) what is the relationship between availability management activities, the service lifecycle
and the service catalogue and/or portfolio
d) what are the:
• objectives of availability management
• potential implications of IT/technology systems, services and assets being
unavailable to customers
e) the fact that:
• customer satisfaction levels with IT/technology is heavily influenced by the
availability of the services that they require
• particular individual IT/technology systems, services and assets may have differing
availability requirements and targets associated with them
• there are differing levels and categories of availability types
• the availability levels of IT/technology services depend on the reliability of
infrastructure products, services and equipment
• external providers of availability management services exist
• customers of IT/technology systems, services and assets, who rely on their
availability, may be internal or external to the organisation

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Competence (7.6.J.2): Gather and document information for the effective monitoring of
availability management activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.6.J.2.C.):
a) Collate all relevant information relating to the availability targets for IT/technology
systems, services and assets, under supervision, in order to inform action
b) Gather all relevant information relating to availability from service level management
activities, under supervision, in order to inform action
c) Gather all relevant information relating to incidents, problems, changes and other events
that may impact the availability of IT/technology systems, services and assets, under
supervision
d) Accurately and completely document availability targets or IT/technology systems,
services and assets, under supervision

Competent performance requires Knowledge (7.6.J.2.K.) of how to:

a) source, gather and collate all relevant information relating to the:
• availability targets for IT/technology systems, services and assets
• availability from service level management activities
b) source, gather and collate information relating to incidents, problems, changes and other
events that may impact the availability of IT/technology systems, services and assets
c) record and store the availability targets for IT/technology systems, services and assets

Competent performance requires Understanding (7.6.J.2.U.) of:

N/A

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Associate Professional Role 

Competence (7.6.A.1): Maintain, monitor and report availability management activities,

under supervision
This competence will be demonstrated by the following Performance Criteria (7.6.A.1.C.):
a) Routinely maintain and monitor the availability of IT/technology systems, services and
assets within the organisation, under supervision
b) Routinely monitor the availability of external provided/hosted IT/technology
products/services and equipment, under supervision
c) Communicate in a timely manner with those external providers of IT/technology products
and services that need to be available, under supervision
d) Assist others with the timely reporting of the availability of IT/technology systems,
services and assets against targets and other metrics

Competent performance requires Knowledge (7.6.A.1.K.) of how to:

a) identify and select the procedures, tools and techniques to use for availability
management activities and their deliverables
b) use and apply the service catalogue and/or portfolio during availability management and
activities
c) comply with all relevant:
• business case and benefits realisation policies, procedures, tools and techniques
during availability management activities
• and applicable legislation, regulations and commercial arrangements relevant to
availability management activities
d) monitor:
• the availability of IT/technology systems, services and assets
• the availability of external provided/hosted IT/technology products/services and
equipment
e) communicate and liaise with external providers of IT/technology products and services
that need to be available

Competent performance requires Understanding (7.6.A.1.U.) of:

a) the relationship between availability management activities and their deliverables and all
other service delivery/operations activities
b) what is the relationship between:
• incidents, problems, events and availability
• availability and security
c) what is meant by an availability target
d) what is the relevance of service levels in relation to availability management activities
e) what information might need to be referenced and used during availability management
activities
f) what are the:
• different levels/categories of availability that may apply to particular IT/technology
assets, products/services and/or equipment items
• procedures, tools and techniques to conduct availability management
• inputs to, and required outputs from, availability management activities
• potential implications for availability management activities of IT/technology
services being provided/hosted externally
• implications of standards and service levels in relation to availability management
activities
• potential implications of availability management activities and their deliverables
being incorrect, incomplete, inadequate and/or inappropriate
g) the fact that:
• there are different levels and types of availability that may apply to particular
IT/technology assets, products/services and/or equipment items

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• the availability of IT/technology systems, services and assets relies upon the
effective operation of a range of interdependent, end to end, IT/technology
systems, products, services, assets and components
• service level agreements (SLAs) describe what has been contracted between the
customer and provider in terms of availability
• availability management activities rely heavily on information gathered from a
variety of service design, delivery and operations sources
• structured processes and procedures are essential to availability management
activities
• effective availability management should be proactive as well as reactive
• individual support functions/teams may ensure the availability of individual
IT/technology systems, services, assets, products and components, but do not
necessarily ensure that the entirety of them required to deliver a service are
available
h) why the availability of individual systems, services and assets and the end to end service
they provide needs to be monitored, managed, maintained and improved
i) why the quality and effectiveness of availability management activities and their
deliverables need to be monitored
j) who are the customers of availability management activities
k) who are the external providers of services that need to be available
l) the importance of:
• referencing the service catalogue and/or portfolio and service level information
during availability management activities
• and relevance of, availability management on the systems and service lifecycle
supporting an organisation
• effective communication with a range of customers and other individuals during
availability management activities
m) the need for monitoring of the availability of individual IT/technology systems, services,
assets, products and components and the end to end IT/technology services that they
comprise
n) the procedures, tools and techniques that can be used to:
• conduct availability management activities
• monitor the availability of individual IT/technology systems, services, assets,
products and components and the end to end IT/technology services that they
comprise
o) how:
• to ensure that availability of services complies with targets and service levels
• availability management activities support service design, delivery and operations
objectives
• improved availability of IT/technology systems, services and assets can improve
the levels of customer satisfaction with IT/technology

Competence (7.6.A.2): Gather and document relevant information relating to availability

management activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.6.A.2.C.):
a) Correctly identify and accurately document all relevant procedures, tools and techniques
to use for availability management activities and their deliverables, under supervision
b) Source and gather, in a timely manner, all relevant information from monitoring the
current availability of IT/technology systems, services and assets
c) Gather all information to support the reporting of availability against targets and/or
metrics, under supervision
d) Accurately document the actual availability of IT/technology systems, services and assets
against targets and other metrics, so that it may be provided to a range of individuals
e) Assist others in documenting future requirements for IT/technology availability

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Competent performance requires Knowledge (7.6.A.2.K.) of how to:

a) source, gather and collate information:
• from monitoring the current availability of IT/technology systems, services and
assets
• to support the reporting of availability against targets and/or metrics
b) record and store :
• the procedures, tools and techniques relating to availability management activities
and their deliverables
• the actual availability of IT/technology systems, services and assets against targets
and other metrics

Competent performance requires Understanding (7.6.A.2.U.) of:

a) the fact that availability management should look at the future needs and demands for
IT/technology systems, services and assets as well as the current ones
b) why the future demand for the availability of individual systems, services, assets,
products and components and the end to end service they provide needs to be forecast,
planned and provisioned
c) the procedures, tools and techniques that can be used to:
• forecast and plan for the future availability needs of individual IT/technology
systems, services, assets, products and components
• managing relationships with external providers of availability management services
• monitor the alignment of availability management activities and their deliverables
with service targets and service levels

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Professional Role

Competence (7.6.P.1): Maintain, monitor and report availability management activities, as

directed
This competence will be demonstrated by the following Performance Criteria (7.6.P.1.C.):
a) Critically analyse and accurately document the actual availability of IT/technology
systems, services and assets against targets and other metrics, reporting findings to
sponsors, stakeholders and other individuals as directed
b) Correctly identify which IT/technology systems, services, assets, products and
components may be unavailable, and why this may be the case, as directed
c) Correctly identify which IT/technology systems, services, assets, products and
components need to be available to underpin the provision of an end to end service for
a customer
d) Report in a concise and timely manner, the availability plan(s) to relevant people
e) Report actual availability against agreed plan and, if required, implement action(s) to
maintain alignment
f) Assist others with the presentation of the availability plan, availability targets and other
metrics, to a range of individuals, under direction

Competent performance requires Knowledge (7.6.P.1.K.) of how to:

a) with respect to IT/technology systems, services, assets, products and components
identify and select:
• which need to be available to underpin the provision of an end to end service for a
customer
• which may be unavailable
• why may be unavailable
• what are the availability targets
b) use and apply:
• standards relating to availability management activities
• internal and external sources of expertise to support availability management
• the procedures, tools and techniques to monitor the quality and effectiveness of
availability management activities and their deliverables activities
c) use and apply all relevant information:
• relating to the availability targets for IT/technology systems, services and assets
• relating to availability that is contained in service level requirements
• relating to incidents, problems and other events that may impact the availability of
IT/technology systems, services and assets
• from monitoring the availability of IT/technology systems, services and assets
• to support the reporting of availability against targets and/or metrics
• to support the identification of availability improvements
d) implement and maintain availability targets and the availability plan(s)
e) report:
• the availability of IT/technology systems, services and assets against targets and
other metrics
• the alignment of IT/technology systems, services and assets with service targets
and service levels
• the availability plan(s) to relevant people
f) manage relationships with individuals and groups involved in a range of related service
delivery and operations activities
g) analyse and interpret the actual availability of IT/technology systems, services and assets
against targets and other metrics
h) provide metrics and management information from availability management activities to a
range of other related service delivery and operations activities

Competent performance requires Understanding (7.6.P.1.U.) of:

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a) what is meant by an availability plan

b) what is the range of issues associated with availability management activities and their
deliverables and what legislation, regulations and external standards may apply
c) what are the implications of current internal and external factors on availability
management activities and their deliverables
d) why the alignment of availability management activities and their deliverables with any
relevant legislation, regulations and external standards needs to be monitored
e) who is responsible for the availability of all the individual systems, services, assets,
products and components that constitute a service
f) who may be impacted by any particular incident, problem or event that results in the
unavailability of individual systems, services, assets, products and components or the
end to end service they constitute
g) the importance of:
• ensuring confidentiality, integrity and security during availability management
activities and ensuring that sensitive business information is not disclosed
inappropriately
• and relevance of, availability management activities on the full life cycle of
information within an organisation
• metrics to measure the performance of availability management activities
• availability management activities being informed and directed by the business
requirements and customer needs
h) the need for monitoring of the:
• quality and effectiveness of availability management activities
• alignment of availability management activities and their deliverables with business
needs, service operation objectives and service strategy
i) the procedures, tools and techniques that can be used to monitor the:
• alignment of availability management activities and their deliverables with business
needs, service operation objectives and service strategy
• quality and effectiveness of availability management activities and their
deliverables
j) the fact that:
• availability management activities are part of wider, integrated, service design,
delivery and operation activities
• availability management can support the resolution of IT/technology problems that
occur
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in availability management activities and their deliverables
• the impact of some or all of an organisation’s IT/technology systems, services and
assets being provided and/or hosted by/through external providers needs to be
considered during availability management activities
• service level management activities need to be informed by information provided
by availability management activities

Competence (7.6.P.2): Gather and document relevant information for the effective
monitoring of systems and services availability
This competence will be demonstrated by the following Performance Criteria (7.6.P.2.C.):
a) Correctly identify and report what are the availability targets that apply to IT/technology
systems, services assets, products and components, as directed
b) Verify where appropriate, the accuracy, currency, completeness and relevance of all
information relating to the impact on availability arising from incidents, problems and
other events, as directed
c) Source all relevant information in order to accurately document and effectively implement
and maintain the availability plan(s) and targets,

Competent performance requires Knowledge (7.6.P.2.K.) of how to:

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a) identify and select what information needs to be gathered in order to measure the current
availability and plan the future availability of any IT/technology systems, services,
assets, products and components
b) source, gather and collate information:
• to support the identification of availability improvements and/or preventative actions
• required for the availability plan(s)
c) verify where appropriate, the accuracy, currency, completeness and relevance of any
information relating to the impact on availability arising from incidents, problems and
other events
d) record and store:
• the procedures, tools and techniques to monitor the quality and effectiveness of
availability management activities and their deliverables
• the procedures, tools, techniques and plans to monitor the alignment of availability
management activities and their deliverables with any relevant legislation,
regulations and external standards
• the metrics to be used to measure the performance of availability management
• the results from monitoring the availability of IT/technology services
• the results from monitoring the quality and effectiveness of availability management
activities and their deliverables
• lessons learned from previous availability management activities
• the availability plan(s)

Competent performance requires Understanding (7.6.P.2.U.) of:

a) the importance of verifying the accuracy, currency, completeness and relevance of
information used during availability management activities

Competence (7.6.P.3): Assist in identifying future requirements and potential

improvements to the availability of systems and services
This competence will be demonstrated by the following Performance Criteria (7.6.P.3.C.):
a) Correctly identify, critically analyse and apply all relevant information relating to the
availability needs of new/enhanced IT/technology systems services and assets, so that
the implications may be identified, as directed
b) Accurately document all future requirements for IT/technology availability, under direction
c) Liaise effectively with all relevant individuals and groups who can take action to improve
the availability of IT/technology systems, services and assets
d) Correctly identify and effectively manage the planning and implementation of potential
improvements to IT/technology systems, services and assets as directed

Competent performance requires Knowledge (7.6.P.3.K.) of how to:

a) identify what is the impact of future business demand on the availability for any existing
IT/technology systems, services, assets, products and components
b) source, gather and collate information relating to future availability needs
c) use and apply:
• information relating to future availability needs
• best practice in availability management activities
d) record and store:
• future requirements for IT/technology availability
• recommendations to improve the availability of IT/technology systems, services
and assets
e) manage the planning and implementation of potential availability improvements
f) analyse and interpret all availability needs of new/enhanced IT/technology systems
services and assets, so that the implications may be identified
g) take action and measures to identify:

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• possible improvements to the availability of IT/technology systems, services and

assets
• future availability requirements for IT/technology systems, services and assets
h) communicate and liaise with those individuals and groups who can take action to
maintain or improve the availability of IT/technology systems, services and assets

Competent performance requires Understanding (7.6.P.3.U.) of:

a) what are the:
• implications of future internal and external changes or events on availability
management activities and their deliverables
• issues involved in the outsourcing of availability management activities
• benefits and disadvantages of using external providers of availability management
services
b) the fact that:
• availability needs to be considered during the design and planning of IT/technology
systems, services and assets
• increased/improved availability of any IT/technology system, service and/or assets
frequently incurs increased cost of supply and ownership
• the loss of availability of IT/technology systems, services and assets can have a
major impact on an organisation’s operational activities, brand and reputation

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Senior Professional Role

Competence (7.6.S.1): Implement and manage availability management strategy, plans

and activities
This competence will be demonstrated by the following Performance Criteria (7.6.S.1.C.):
a) Effectively implement and maintain standards relating to availability management
activities and their deliverables
b) Identify and take timely and appropriate preventative action to anticipate and avoid
possible issues with the availability of IT/technology systems, services and assets
c) Take account of all relevant current and future internal and external factors that may
impact on the availability of IT/technology systems, services and assets
d) Correctly identify and plan for, in a timely manner, potential changes to the infrastructure
required in order to maintain availability of IT/technology services
e) Effectively manage and monitor the availability of any IT/technology services with any
relevant legislation, regulations and external standards

Competent performance requires Knowledge (7.6.S.1.K.) of how to:

a) identify and select :
• what preventative actions need to be planned and taken to ensure that service
availability is maintained at the right level at all times
• who are the sponsors of and stakeholders for availability management activities
and who are external providers of availability management activities
• any legislation, regulations and external standards that may apply to availability
management activities
• the implications of any legislation, regulations, external standards and
commercial/contractual arrangements on the availability of IT/technology
systems, services and assets
b) identify and select what inputs are required from availability management activities into:
• IT/technology architecture, design and configuration
• service level management activities
• incident, problem, change and event management activities
c) use and apply:
• strategy and policies to ensure the alignment of availability management activities
and their deliverables with all relevant legislation, regulations and external
standards
• the most appropriate approaches that may be taken to availability management in
a range of business and organisational contexts
d) implement and maintain:
• the procedures, tools, techniques and plans for conducting availability
management activities and their deliverables and to monitor the quality and
effectiveness
• standards relating to availability management activities and their deliverables
• the metrics that are used to measure the availability of IT/technology systems,
services and assets
• the procedures, tools and techniques to monitor the alignment of availability
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy and with any relevant
legislation, regulations and external standards
e) manage the availability of any IT/technology services with any relevant legislation,
regulations and external standards
f) manage relationships with:
• external providers offering availability management and services
• relationships with sponsors, stakeholders and external bodies on matters relating
to availability management activities
g) take actions and measures to:

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• anticipate and avoid possible issues with the availability of IT/technology systems,
services and assets, through preventative actions
• ensure that the cost of provision of IT/technology availability remains in balance
with the demands for it
h) communicate and liaise with external providers of availability management services
i) advise and guide others on all aspects of availability management activities and their
deliverables

Competent performance requires Understanding (7.6.S.1.U.) of:

a) what is the range of:
• internal and external factors that could result in current availability of IT/technology
systems, services and assets being impacted
• approaches that may be used to conduct availability management activities and
their appropriateness in a range of business and organisational contexts
b) what are the:
• individual systems, services, assets, products and components that comprise a
service to a customer or customers
• business processes, functions and activities that may be impacted by IT/technology
systems, services and/or assets being unavailable
• potential implications of failings in integrity, confidentiality and information security
during availability management activities
• implications of any legislation, regulations, external standards and
commercial/contractual arrangements on the availability of IT/technology
systems, services and assets
• implications of any legislation, regulations, external standards on availability
management activities and their deliverables
c) who are external providers of availability management services
d) the importance of:
• ensuring that opportunities to improve the stability, resilience and fault tolerance of
IT/technology services are implemented so as to support the achievement of
availability targets
• ensuring that any incidents, problems or other events that impact the availability of
IT/technology systems, services and assets are responded to in a timely manner
• managing relationships with external providers of availability management services

Competence (7.6.S.2): Document, monitor and report availability management activities

This competence will be demonstrated by the following Performance Criteria (7.6.S.2.C.):
a) Clearly and concisely report the availability of IT/technology services, on a regular basis,
against metrics to a range of internal and external individuals and groups
b) Assist others with the identification of all relevant metrics that are to be used to measure
the performance of IT/technology availability

Competent performance requires Knowledge (7.6.S.2.K.) of how to:

a) source, gather and collate internal and external sources of expertise to support availability
management activities
b) use and apply :
• the procedures, tools and techniques to monitor the alignment of availability
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy with any relevant
legislation, regulations and external standards

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• information to support the reporting of the performance of availability management

activities against targets/metrics
• the metrics to measure the performance of availability management
c) record and store:
• standards for conducting availability management activities
• strategy and policies to ensure the alignment of availability management and their
deliverables with all relevant legislation, regulations and external standards
• the procedures, tools and techniques to monitor the alignment of availability
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy
• proposals relating to the use of external providers of availability management
services
d) monitor:
• the alignment of IT/technology systems, services and assets with service targets
and service levels
• the impact of availability management activities on incidents, problems and other
events
• the quality and effectiveness of availability management activities and their
deliverables
• the alignment of availability management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
• the availability of any IT/technology services with any relevant legislation,
regulations and external standards
e) report:
• the performance of external providers of availability management services
• the availability of IT/technology services, on a regular basis, against metrics to a
range of internal and external individuals and groups
• findings from monitoring the quality and effectiveness of availability management
activities
f) analyse and interpret:
• the results gained from monitoring the quality, effectiveness and alignment of
availability management activities and their deliverables and with any relevant
legislation, regulations and external standards
• information relating to the capabilities of existing or potential external providers of
availability management services
• the results gained from monitoring the quality and effectiveness of external
providers of availability management services
g) present:
• availability targets and other metrics
• the results from monitoring the availability of IT systems, services and assets
against metrics
• the quality and effectiveness of availability management activities and their
deliverables, including external providers of availability management services
h) provide metrics and management information produced by availability management
activities and their deliverables to internal and external sponsors, stakeholders
individuals and other bodies, as appropriate

Competent performance requires Understanding (7.6.S.2.U.) of:

a) the need for monitoring of the:
• alignment of availability management activities and their deliverables with any
relevant legislation, regulations and external standards
• quality and effectiveness of external providers of availability management activities
b) the procedures, tools and techniques that can be used to monitor the:
• alignment of availability management activities and their deliverables with any
relevant legislation, regulations and external standards
• quality and effectiveness of external providers of availability management services

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Competence (7.6.S.3): Design availability plans and identify potential improvements to

availability management activities
This competence will be demonstrated by the following Performance Criteria (7.6.S.3.C.):
a) Design effective availability plans and all relevant availability targets that should be
used/applied
b) Correctly identify what actions need to be taken to improve the availability of
IT/technology systems, services assets, products and components
c) Advise and guide others, in a timely manner, of suitable actions that may be taken in
order to improve the availability of IT/technology systems, services and assets
d) Identify and provide timely and specific advice and guidance on availability requirements
that need to be considered in future IT/technology architecture, design and
configurations
e) Clearly and persuasively recommend proposals for improvements to the availability of
IT/technology systems, services and assets to sponsors, stakeholders and other
individuals

Competent performance requires Knowledge (7.6.S.3.K.) of how to:

a) identify and select :
• what is the appropriate availability level or category to consider for any particular
IT/technology asset, component, product/service or equipment item
• what is the predicted level of availability for new and/or changed IT/technology
services, so that this may inform the establishment of service level agreements
SLAs
• what actions need to be taken to improve the availability of IT/technology systems,
services assets, products and components
• when and how to source, use and apply best practice in availability management
and any lessons learned from previous availability management activities and
experiences
• current and future internal and external factors that could impact on the availability
of IT/technology systems, services assets, products and components
b) source, gather and collate best practice in availability management activities
c) report proposed and actual improvements made to the availability of IT/technology
systems, services and assets
d) present:
• the availability plan(s)
• proposals relating to the use of external providers of availability management
services
• the alignment of availability management activities with the business needs,
service delivery/operation objectives and the service strategy
e) recommend proposals for improvements to the availability of IT/technology systems,
services and assets
f) take actions and measures to:
• take account of current and future internal and external factors that may impact on
the availability of IT/technology systems, services and assets
• plan for potential changes to the infrastructure required in order to maintain
availability of IT/technology services
g) advise and guide others on:
• actions that may be taken in order to improve the availability of IT/technology
systems, services and assets
• availability requirements that need to be considered in future IT/technology
architecture, design and configurations
h) design and develop the availability plan(s) and availability targets that should be
used/applied

Competent performance requires Understanding (7.6.S.3.U.) of:

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a) what is best practice in availability management activities

b) what are the business implications of IT/systems, services and assets not being
available/accessible to support business functions
c) the importance of:
• balancing IT/technology availability provision with the costs associated with
providing it
• understanding the full range of IT/technology systems, services and assets that
may be relevant to/have a role in supporting the availability of a service to
customers
• proactively forecasting and planning for the future availability needs of individual
IT/technology systems, services, assets, products and components
• providing information about availability to the architecture and design activities
associated with new/refresh and or changed IT/technology systems, services
and assets
• providing input to the architecture and design of IT/technology systems, services,
assets, products and components, as a result of forecasting future availability
needs

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Lead Professional Role

Competence (7.6.L.1): Design and implement availability management services strategy,

procedures, and metrics
This competence will be demonstrated by the following Performance Criteria (7.6.L.1.C.):
a) Correctly identify the implications of business objectives, the service strategy and service
delivery/operation objectives on availability management activities
b) Design effective strategy, policies, standards, procedures, tools, techniques and plans for
conducting availability management activities
c) Select, design effectively, and make timely decisions on the most appropriate availability
targets and metrics to use in support of IT/technology systems, services and assets

Competent performance requires Knowledge (7.6.L.1.K.) of how to:

a) identify and select :
• the implications of business objectives, the service strategy and service
delivery/operation objectives on availability management activities
• the range of approaches that may be taken to availability management and their
appropriateness in a range of business and organisational contexts
• what metrics are to be used to measure the performance of IT/technology
availability
• when and how to use external providers for availability management activities
b) use and apply information relating to the capabilities and performance of existing or
potential external providers of availability management services
c) implement and maintain:
• strategy, policies and standards for conducting availability management and the
metrics and targets to be applied
• strategy and policies to ensure the alignment of availability management activities
and their deliverables with all relevant legislation, regulations and external
standards
d) manage and review the alignment of availability management activities and their
deliverables with business needs, service delivery/operation objectives and the service
strategy
e) take actions and measures in the event of availability management activities not
supporting the business needs, service delivery/operation objectives and/or the service
strategy
f) design and develop:
• the procedures, tools, techniques and plans relating to delivery availability
management activities and to monitor the quality and effectiveness
• strategy, policies and standards for conducting availability management activities
• the metrics and targets that are used to measure the performance of availability
management activities
• the strategy, procedures, tools, techniques and plans to ensure and monitor the
alignment of availability management activities and their deliverables with any
relevant legislation, regulations and external standards
• the procedures, tools and techniques to monitor the alignment of availability
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy
g) make decisions on the:
• appropriateness of using external suppliers of availability management services
• most appropriate availability targets and metrics to use to measure the
performance of availability management activities
h) negotiate with external providers of availability management services and authorise and
agree which to use and contract with them

Competent performance requires Understanding (7.6.L.1.U.) of:

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N/A

Competence (7.6.L.2): Review and analyse availability management activities

This competence will be demonstrated by the following Performance Criteria (7.6.L.2.C.):
a) Regularly review the availability plan(s), availability targets and other metrics
b) Regularly review the results from monitoring the availability of IT/technology systems,
services and assets against metrics, making decisions as required

Competent performance requires Knowledge (7.6.L.2.K.) of how to:

a) monitor the quality and effectiveness of external providers of availability management
services
b) manage the assessment of external providers of availability management services
c) analyse and interpret management information/metrics produced about availability
management activities and its deliverables
d) review:
• availability targets and other metrics
• the results from monitoring the availability of IT/technology systems, services and
assets against metrics
• the quality and effectiveness of availability management activities and their
deliverables, including external providers of availability management services
e) take actions and measures to assess potential external providers of availability
management services

Competent performance requires Understanding (7.6.L.2.U.) of:

N/A

Competence (7.6.L.3): Provide direction for current and future availability management
activities
This competence will be demonstrated by the following Performance Criteria (7.6.L.3.C.):
a) Regularly review proposals for improvements to the availability of IT/technology systems,
services and assets, making decisions on those which should be progressed
b) Accurately identify what actions may be taken in the event of the availability of
IT/technology not supporting the business needs, service delivery/operation objectives
and/or the service strategy
c) Enable others to maintain and identify improvements to availability management services

Competent performance requires Knowledge (7.6.L.3.K.) of how to:

a) identify and select what actions may be taken in the event of the availability of
IT/technology not supporting the business needs, service delivery/operation objectives
and/or the service strategy
b) review:
• the availability plan(s)
• proposals for improvements to the availability of IT/technology systems, services
and assets
• proposals relating to the use of external providers of availability management
services
c) advise and guide others on:
• best practice in availability management activities
• when and how to consider external providers of availability management services
d) make decisions on:
• the availability plan(s)

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• the results from monitoring the availability of IT/technology systems, services and
assets
• the results from monitoring availability management activities and the service
• proposals to improve the availability of IT/technology systems, services and assets

Competent performance requires Understanding (7.6.L.3.U.) of:

N/A

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7.7 IT/Technology Capacity Management

This sub-discipline is about the competencies required to manage the capacity of IT/technology
services, systems and assets that support an organisation.
Capacity management covers a range of activities that ensure that current and future business
needs are met by resources in the most effective manner; that current performance of the
systems and services and assets are optimised and that changes to IT/technology capacity can
be justified, planned and implemented in advance of the expected changes to business
demand.
Typical capacity management activities may include:
• monitoring of IT/technology throughput and performance
• analysing measurement data and information
• assessing and modelling the impact of new services on existing IT/technology capacity
• tuning and balancing the performance of existing capacity
• future workload planning
• assessment of demand for IT/technology resources
• planning how and when to introduce new IT/technology capacity

Capacity management activities take place as part of the day-to-day management of

IT/technology systems, services and assets. They are also required during the development
lifecycle of new and/or enhanced IT/technology systems, services and assets.

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Pre-Entry /Junior Technician Role

Competence (7.7.J.1): Carry out routine capacity management activities, under

supervision
This competence will be demonstrated by the following Performance Criteria (7.7.J.1.C.):
a) Correctly select and use the procedures, tools and techniques that apply to capacity
management activities and their deliverables, under supervision
b) Fully comply with all relevant change control mechanisms during capacity management
activities, under supervision

Competent performance requires Knowledge (7.7.J.1.K.) of how to:

a) identify and select :
• the procedures, tools and techniques to use for capacity management activities
and their deliverables
• who are the external providers of capacity/resources used by the organisation
b) use and apply the procedures, tools and techniques that apply to capacity management
activities and their deliverables
c) operate with reference to organisational standards relating to capacity management
activities and their deliverables and with reference to professional and ethical standards
d) operate with integrity and confidentiality during capacity management activities
e) comply with all relevant:
• change control mechanisms during capacity management activities
• business case and benefits realisation policies, during capacity management
activities and with applicable legislation and regulations
f) provide information and data relating to proposed changes to IT/technology to a range of
internal and external individuals

Competent performance requires Understanding (7.7.J.1.U.) of:

a) what is meant by capacity management and its role in supporting service strategy and
business / service delivery operations
b) what is the relevance of service levels in relation to capacity management activities
c) what are the:
• types of IT/technology capacity that need to be managed and the types of activities
undertaken during capacity management
• inputs to and required outputs from capacity management activities
• implications of service levels in relation to capacity management activities
• implications of capacity on the availability and accessibility of IT/technology
systems, services and assets for customers
d) the fact that:
• adequate capacity is crucial to the achievement of service levels for IT/technology
systems, services and/or assets
• external providers may be required to assist with capacity management activities
and/or the provision of IT/technology capacity/resources
e) who:
• uses the different types of IT/technology capacity/resources
• may be impacted by any lack of capacity of any infrastructure or application
products/services and/or equipment
• needs to authorise actions proposed and taken during capacity management
activities
f) the importance of :
• adequate capacity being available to support the accessibility and availability of
IT/technology systems, services and assets for customers
• capacity management activities being informed and directed by the business
requirements and current/future customer needs/demand
• ensuring that sufficient capacity is available to support service levels

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• referencing the service catalogue and/or portfolio during capacity management

activities
g) the procedures, tools and techniques that can be used to conduct capacity management
activities in a range of business and organisational contexts
h) how to comply with standards and service levels that apply to capacity management
activities
i) how effective capacity management activity can improve the levels of customer
satisfaction with IT/technology

Competence (7.7.J.2): Document current and future capacity management activities,

under supervision
This competence will be demonstrated by the following Performance Criteria (7.7.J.2.C.):
a) Accurately document information about the impact of new services on existing
IT/technology capacity, under supervision
b) Accurately document information about future capacity demand on IT/technology
resources, under supervision
c) Accurately document the results from monitoring IT/technology capacity utilisation, under
supervision
d) Provide timely and precise information and data relating to IT/capacity utilisation to a
range of internal and external individuals, as directed by relevant people, in order to
inform future action
e) Provide timely and precise information and data relating to proposed changes to
IT/technology to a range of internal and external individuals, as directed by relevant
people, in order to inform future action

Competent performance requires Knowledge (7.7.J.2.K.) of how to:

a) source, gather and collate:
• any relevant information required for the completion of IT/technology capacity
plan(s)
• any relevant information about the current architecture, design and configuration of
IT/technology capacity required to inform the assessment of throughput and
performance
• all relevant information about the throughput and performance of current
IT/technology capacity
• the results from monitoring IT/technology capacity utilisation
b) record and store:
• information about the impact of new services on existing IT/technology capacity
• information about future capacity demand on IT/technology resources
• the results from monitoring IT/technology capacity utilisation
c) provide information and data relating to IT/capacity utilisation to a range of internal and
external individuals, in order to inform future action

Competent performance requires Understanding (7.7.J.2.U.) of:

a) what information might need to be referenced and used during capacity management
activities
b) the fact that proactive monitoring of capacity and resource utilisation is critical to the
effective and timely deployment of resources
c) why
• capacity/resource utilisation needs to be monitored and managed
• the forward demands on IT/technology capacity need to be forecast and modelled
d) the importance of proactively monitoring the utilisation of current capacity
e) the need for monitoring of IT/technology capacity/resource utilisation

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f) the procedures, tools and techniques that can be used to perform routine monitoring of
capacity/ resource utilisation

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Associate Professional Role

Competence (7.7.A.1): Carry out capacity management activities, under supervision

This competence will be demonstrated by the following Performance Criteria (7.7.A.1.C.):
a) Correctly follow and accurately document the IT/technology capacity plan(s), under
supervision
b) Correctly implement and maintain authorised IT/technology capacity changes, under
supervision and in line with procedures

Competent performance requires Knowledge (7.7.A.1.K.) of how to:

a) use and apply:
• the IT/technology capacity plan(s)
• any relevant information about the current architecture, design and configuration of
IT/technology capacity required to inform the assessment of its throughput and
performance
• lessons learned from previous capacity management activities
• the service catalogue and/or portfolio and service levels during capacity
management and activities
b) operate with reference to the service catalogue and/or portfolio and service levels
c) implement and maintain authorised IT/technology capacity changes
d) present capacity changes required during routine operations for authorisation
e) take actions and measures to assess the impact of new services on existing
IT/technology capacity

f) provide the IT/technology plan(s) to a range of internal and external individuals, in order
to inform action

Competent performance requires Understanding (7.7.A.1.U.) of:

a) the relationship between capacity management activities and their deliverables and all
other service delivery/operations activities
b) what is meant by:
• service capacity management
• business capacity management
• component capacity management
• the capacity plan and what it involves
c) what is the relationship between capacity management activities, the service lifecycle and
the service catalogue and/or portfolio
d) what are the:
• objectives of capacity management
• implications on the business of specific IT technology systems, services and
assets having insufficient capacity to support business functions
• implications of using technology products/services and/or equipment provided by
external service providers/hosts on capacity management activities
• potential implications of capacity management activities and their deliverables
being incorrect, incomplete, inadequate and/or inappropriate
e) the fact that:
• structured processes and procedures are essential for effective capacity
management activities
• adequate IT/technology capacity is a significant contributor to achievement of
service levels
• inadequate IT/technology capacity can have a major impact on an organisation’s
operational activities, brand and reputation
f) why an IT/technology capacity plan needs to be in place
g) why businesses experience routine and intermittent peaks, spikes and troughs in
capacity/resource utilisation

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h) who are the internal and external providers of IT/technology capacity and resources
i) the importance of:
• managing the impact of routine and intermittent peaks, spikes and troughs in
capacity/resource utilisation during capacity management
• and relevance of capacity management on the service and systems lifecycle
supporting an organisation
• assessing incoming change requests requiring capacity management activities in a
timely manner
• identifying where IT/technology capacity bottlenecks may exist
j) how:
• to comply with change control, release, configuration and asset management
mechanisms that may apply during capacity management activities
• capacity management activities support service delivery/operation objectives
• poor management of IT/technology capacity can have a significant impact on an
organisation’s operational effectiveness, brand, reputation and costs

Competence (7.7.A.2): Document, monitor and assess capacity management activities

This competence will be demonstrated by the following Performance Criteria (7.7.A.2.C.):
a) Correctly conduct routine monitoring of IT/technology throughput and performance,
reporting findings and presenting changes identified, to relevant people, in a timely
manner
b) Accurately document the procedures, tools and techniques relating to capacity
management activities and their deliverables, under supervision
c) Accurately document the routine and intermittent spikes, peaks and troughs in capacity
utilisation, so that it may be used to inform action and decision making
d) Critically analyse measurement data and information relating to IT/technology capacity,
under supervision
e) Correctly apply any relevant information about the current architecture, design and
configuration of IT/technology capacity required to inform the assessment of its
throughput and performance by others

Competent performance requires Knowledge (7.7.A.2.K.) of how to:

a) identify and select:
• any relevant information about the current architecture, design and configuration of
IT/technology capacity/resources required to inform the assessment of
throughput and performance
• what information may be required about the throughput and performance of current
IT/technology capacity/resources
• what information may be required about the impact of new services on existing
IT/technology capacity management
• what information about future capacity demand on IT/technology resources may be
required
b) source, gather and collate:
• all relevant information about the impact of new services on existing IT/technology
capacity
• all relevant information about future capacity demand on IT/technology resources
• information to support the reporting of capacity against its targets and/or metrics
c) record and store:
• the IT/technology capacity plan(s)
• the routine and intermittent spikes, peaks and troughs in capacity utilisation
• the procedures, tools and techniques relating to capacity management activities
and their deliverables
• lessons learned from previous capacity management activities
d) monitor the performance and throughput of IT/technology capacity

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e) report the findings from routine monitoring IT/technology capacity utilisation

f) take actions and measures:
• to monitor IT/technology throughput and performance routinely
• to analyse measurement data and information relating to IT/technology capacity

Competent performance requires Understanding (7.7.A.2.U.) of:

a) what are the implications of future demand on capacity management
b) why the quality and effectiveness of capacity management activities and their
deliverables need to be monitored
c) who uses information provided by capacity management activities
d) the importance of:
• conducting regular monitoring of the throughout, performance and cost of
IT/technology capacity
• making a timely and accurate assessment of the cost and complexity of upgrading
capacity
e) the need for monitoring of:
• routine and intermittent peaks, spikes and troughs in IT/technology capacity
utilisation
• the effectiveness of current capacity/resource deployment
f) the procedures, tools and techniques that can be used to:
• forecast and model capacity and resource needs based on future demands
• monitor the alignment of capacity management activities and their deliverables with
service targets and service levels

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Professional Role

Competence (7.7.P.1): Manage and implement capacity management activities

This competence will be demonstrated by the following Performance Criteria (7.7.P.1.C.):
a) Correctly implement and maintain the IT/technology capacity plan(s) and any relevant
metrics to measure the performance of IT/technology capacity, as directed
b) Effectively manage the routine/ongoing provision of IT/technology capacity to meet
demand, ensuring change control mechanisms are followed correctly, where required
c) Routinely tune and balance the performance of existing IT/technology capacity, analysing
and reporting the impact of action taken, as directed and in line with procedures

Competent performance requires Knowledge (7.7.P.1.K.) of how to:

a) identify and select:
• what information, knowledge and data exists in current capacity plans, where
appropriate
• IT/technology capacity bottlenecks that may exist
• the routine and intermittent peaks, spikes and troughs in capacity utilisation
• when and how it may be appropriate to use external providers of capacity
• internal and external factors that could impact on capacity management activities
and their deliverables
b) use and apply standards relating to capacity management activities
c) implement and maintain the IT/technology capacity plan(s)
d) manage:
• the routine/ongoing provision of IT/technology capacity to meet demand
• relationships with internal providers of capacity and/or capacity management
services
• the development and implementation of any approved change requests associated
with the implementation of capacity changes
• the progress of any authorised capacity changes
• the impact of routine and intermittent peaks, spikes and troughs on
capacity/resource utilisation
e) review capacity changes required during routine operations for authorisation
f) take actions and measures to tune and balance the performance of existing IT/technology
capacity
g) to ensure change control mechanisms are followed, either in advance or retrospectively,
as appropriate, during capacity management activities
h) provide change requests relating to capacity upgrades to relevant individuals
i) communicate and liaise with internal and external individuals and groups on the utilisation
of IT/technology capacity
j) negotiate the timing and schedules associated with any capacity upgrades with a range
of internal and external sponsors, stakeholders and other individuals and bodies

Competent performance requires Understanding (7.7.P.1.U.) of:

a) what:
• is meant by tuning and balancing capacity and what it involves
• is the range of issues associated with capacity management activities and their
deliverables
• legislation, regulations and external standards may apply to capacity management
activities and their deliverables
b) what are the:
• benefits and disadvantages of using external providers of capacity management
services
• implications of external factors on capacity management activities and their
deliverables

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• issues involved in the outsourcing of the external hosting of IT technology systems,

services and assets on capacity management activities
c) the fact that:
• low/poor utilisation of deployed capacity and resources can be expensive for an
organisation
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in capacity management activities and their deliverables
d) why under/poorly utilised IT/technology capacity is not desirable
e) why the alignment of capacity management activities and their deliverables with any
relevant legislation, regulations and external standards needs to be monitored
f) who are the sponsors of and stakeholders for capacity management activities
g) the importance of:
• identifying where IT/technology capacity and resources are under/poorly utilised
and taking action to redeploy them where appropriate
• making timely decisions to rebalance/tune/redeploy resources and capacity and or
acquire additional capacity
• assessing the impact on end to end service provision as a result of the changing
the level of a particular component’s capacity
• referencing architecture, design and configuration management deliverables for
infrastructure products/services and/or equipment during capacity management
activities
• ensuring that any changes to resources and capacity are supported by appropriate
change control, release, configuration and asset management mechanisms
• ensuring that changes to capacity and resources are tested and validated, where
appropriate before they are implemented
• ensuring confidentiality, integrity and security during capacity management
activities
• ensuring that sensitive business information is not disclosed inappropriately during
capacity management activities

Competence (7.7.P.2): Document, review and report capacity management activities

This competence will be demonstrated by the following Performance Criteria (7.7.P.2.C.):
a) Critically analyse and report the findings from monitoring IT/technology capacity
utilisation, identifying the results, including current and potential bottlenecks, routine and
intermittent peaks, spikes and troughs
b) Accurately document the metrics to be used to measure the performance of IT/technology
capacity, as directed

Competent performance requires Knowledge (7.7.P.2.K.) of how to:

a) identify and select the results from monitoring IT/technology capacity utilisation
b) verify the accuracy, currency, completeness and relevance of information used during
capacity management activities
c) use and apply:
• the metrics to measure the performance of IT/technology capacity
• the procedures, tools and techniques to monitor the quality and effectiveness of
capacity management activities and their deliverables
d) record and store:
• the procedures, tools and techniques to monitor the quality and effectiveness of
capacity management activities and their deliverables
• change requests that may need to be raised for capacity upgrades
• the procedures, tools, techniques and plans to monitor the alignment of capacity
management activities and their deliverables with any relevant legislation,
regulations and external standards
• the metrics that are used to measure the performance of IT/technology capacity

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• the results from monitoring the quality and effectiveness of capacity management
activities and their deliverables
e) implement and maintain metrics to measure the performance of IT/technology capacity
f) report:
• the results from tuning and balancing activities on IT/technology capacity/resources
• routine and intermittent spikes, peaks and troughs in the utilisation of IT/technology
capacity
• the progress of any authorised capacity changes
g) analyse and interpret all relevant information about the throughput and performance of
current IT/technology capacity
h) analyse the findings from:
• monitoring IT/technology capacity utilisation
• the findings from tuning and balancing activities on IT/technology capacity

Competent performance requires Understanding (7.7.P.2.U.) of:

a) what is involved in the monitoring of IT/technology throughput and performance
b) why capacity plans need to be regularly reviewed and revised
c) the importance of:
• metrics to measure the performance of capacity management activities
• verifying the accuracy, currency, completeness and relevance of information used
during capacity management activities
d) the need for monitoring of:
• the quality and effectiveness of capacity management activities
• the alignment of capacity management activities and their deliverables with
business needs, service operation objectives and service strategy
e) the procedures, tools and techniques that can be used to monitor:
• the alignment of capacity management activities and their deliverables with
business needs, service operation objectives and service strategy
• the quality and effectiveness of capacity management activities and their
deliverables

Competence (7.7.P.3): Assess and propose future capacity management provision

requirements
This competence will be demonstrated by the following Performance Criteria (7.7.P.3.C.):
a) Correctly model and forecast the impact of new services on existing IT/technology
capacity
b) Accurately conduct future workload planning on IT/technology capacity, as directed
c) Correctly consider when IT/technology capacity may need to be upgraded and what type
of upgrades to consider, making accurate assessments of the associated costs as
directed
d) Produce clear and concise justification for the acquisition of incremental capacity where
required, using metrics about performance, throughput and future demand to support
any proposals and plans
e) Clearly present specific and timely proposals and plans for IT/technology capacity
upgrades to relevant people for assessment and review

Competent performance requires Knowledge (7.7.P.3.K.) of how to:

a) identify and select:
• lessons learned from previous capacity management activities and experiences
• when to consider IT/technology capacity upgrades
• what type of IT/technology capacity/resource upgrades to consider
• when and how change, configuration and release management procedures may be
required to introduce new IT/technology capacity
• when and how to source, use and apply best practice in capacity management

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b) source, gather and collate:

• information in order to cost and plan capacity upgrades
• best practice in capacity management activities
c) use and apply best practice in capacity management activities
d) record and store proposals and plans for IT/technology capacity upgrades
e) implement and maintain proposals and plans for IT/technology capacity upgrades
f) analyse and interpret all relevant information about:
• the impact of new services on existing IT/technology capacity
• future capacity demand on IT/technology resources
g) present proposals and plans relating to IT/technology capacity upgrades
h) take actions and measures to:
• model and forecast the impact of new services on existing IT/technology capacity
• conduct future workload planning on IT/technology capacity
• assess future demand for IT/technology resources
• make accurate assessments of the cost of acquiring increased/new capacity
• justify the acquisition of incremental capacity where required

Competent performance requires Understanding (7.7.P.3.U.) of:

a) what is:
• involved in the analysis of capacity measurement data and information
• meant by future workload balancing and what it involves
• involved in the assessing and modelling the impact of new services on existing
IT/technology capacity
• involved in planning the introduction of new IT/technology capacity
• best practice in capacity management activities
b) the fact that at times, the cost, risk and complexity of upgrading existing capacity and
resources may be greater than that of replacing existing resources
c) the importance of:
• identifying and proposing changes to improve the effectiveness of
resource/capacity utilisation
• modelling and forecasting the likely impacts of demand on capacity and resources
• making justification for the acquisition of incremental capacity where required

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Senior Professional Role

Competence (7.7.S.1): Manage and implement capacity management strategy and

activities
This competence will be demonstrated by the following Performance Criteria (7.7.S.1.C.):
a) Correctly implement and maintain strategy, policies, plans, standards, procedures, tools
and techniques relating to capacity management activities and their deliverables
b) Effectively manage the response to routine and intermittent peaks, spikes and troughs in
IT/technology capacity utilisation
c) Effectively plan the timely introduction of new/incremental IT/technology capacity and
resources
d) Correctly identify potential external providers of capacity, negotiating and managing
relationships with them where appropriate
e) Manage and monitor the progress of any proposals and plans to upgrade IT/technology
capacity, reporting issues and status to sponsors, stakeholders and other relevant
individuals, where appropriate
f) Correctly identify the most effective ways of deploying and redeploying IT/technology
capacity/resources, providing timely and understandable advice and guidance to other
individuals on the course of action to take

Competent performance requires Knowledge (7.7.S.1.K.) of how to:

a) identify:
• the impact of tuning and balancing activities on IT/technology capacity performance
and throughput
• who are the sponsors of and stakeholders for capacity management activities
• any legislation, regulations and external standards that may apply to capacity
management activities
b) identify and select
• when it is appropriate to consider replacement of rather than enhancement of
existing capacity
• the most effective ways of deploying and redeploying IT/technology
capacity/resources
c) use and apply:
• strategy and policies to ensure the alignment of capacity management activities
and their deliverables with all relevant legislation, regulations and external
standards
• the most appropriate approaches that may be taken to capacity management in a
range of business and organisational contexts
d) record and store standards for conducting capacity management activities and to ensure
the alignment of capacity management and their deliverables with all relevant
legislation, regulations and external standards
e) implement and maintain the procedures, tools, techniques, standards that apply to
capacity management activities and their deliverables
f) manage:
• actions taken to respond to routine and intermittent peaks, spikes and troughs in
IT/technology capacity utilisation
• the progress of any proposals and plans to upgrade IT/technology capacity
• the alignment of capacity management activities and their deliverables with all
relevant legislation, regulations and external standards
g) manage relationships with:
• external providers of capacity and/or capacity management services
• relationships with sponsors, stakeholders and external bodies on matters relating
to capacity management activities
h) present the:
• results of any tuning and balancing activity on IT/technology capacity/resources
and of any upgrades

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• alignment of capacity management activities with the business needs, service

delivery/operation objectives and the service strategy and the quality and
effectiveness of any external providers of capacity
i) take actions and measures:
• to take account of internal and external factors that may impact on capacity
management activities
• to predict the impact of tuning and balancing activities on IT/technology capacity
performance and throughput to plan the timely introduction of new/incremental
capacity and resources
j) communicate and liaise:
• with sponsors and stakeholders on the performance and throughput of current
IT/technology capacity and on the progress versus schedule/plan for any
capacity upgrades
• with any external providers of capacity and/or capacity management services
k) advise and guide others on
• all aspects of capacity management activities and their deliverables
• the most effective ways of deploying and redeploying IT/technology
capacity/resources
• when and how to consider external providers of capacity
l) negotiate with external providers of capacity

Competent performance requires Understanding (7.7.S.1.U.) of:

a) what is the range of:
• internal and external factors that could result in issues arising with the capacity of
IT/technology systems services and assets
• approaches that may be used to conduct capacity management activities and their
appropriateness in a range of business and organisational contexts
b) what are the:
• potential implications of failings in integrity, confidentiality and information security
during capacity management activities
• implications of any legislation, regulations and external standards on capacity
management activities and their deliverables
c) the importance of managing relationships with any external providers of capacity and
resources
d) the importance of identifying the most effective ways of acquiring and providing
IT/technology capacity/resources

Competence (7.7.S.2): Review, assess and report on capacity management activities

This competence will be demonstrated by the following Performance Criteria (7.7.S.2.C.):
a) Correctly identify and report the impact of future demand on existing IT/technology
capacity/resources and their likely performance, applying information about what
actions may be required through assessment and modelling techniques
b) Correctly identify what actions are required as a result of monitoring and analysing the
utilisation of IT/technology capacity
c) Monitor the results of any tuning and balancing activity on IT/technology capacity and the
results of any upgrades to IT/technology capacity, as undertaken by others
d) Communicate clearly, effectively and in a timely manner with sponsors and stakeholders
on performance and throughput of current IT/technology capacity, future demand and
the progress of any capacity upgrades

Competent performance requires Knowledge (7.7.S.2.K.) of how to:

a) identify and select :
• what metrics are required to measure the performance of IT/technology capacity

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• what actions are required as a result of monitoring and analysing the current
utilisation of IT/technology capacity
b) verify the accuracy of estimates for any IT/technology capacity upgrade contained in
proposals and plans
c) use and apply:
• the procedures, tools, techniques and plans to monitor the alignment of capacity
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy and with any relevant
legislation, regulations and external standards
• information to support reporting of the performance of capacity management
activities against targets/metrics
d) record and store the procedures, tools and techniques to monitor the alignment of
capacity management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy
e) implement and maintain
• the procedures, tools and techniques to monitor the quality and effectiveness of
capacity management activities and their deliverables
• the procedures, tools and techniques to monitor the alignment of capacity
management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy and with any relevant
legislation, regulations and external standards
f) monitor:
• the results of any tuning and balancing activity on IT/technology capacity
• the progress of any plans and proposals to upgrade IT/technology capacity and the
results of any upgrades
• the performance of external providers of capacity and/or capacity management
services
• the quality and effectiveness of capacity management activities and their
deliverables including any external providers
g) monitor the alignment of:
• capacity management activities and their deliverables with service targets and
service levels
• the alignment of capacity management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
and with any relevant legislation, regulations and external standards
h) report the results from:
• analysing the impact of future demand on existing IT/technology capacity and its
performance
• analysing the impact of tuning and balancing activities on IT/technology capacity
performance and throughput
• monitoring the quality and effectiveness of capacity management activities
i) report:
• the progress of any proposals and plans to upgrade IT/technology capacity
• the performance of any external providers of capacity
• the performance of capacity management activities, on a regular basis, against
metrics to a range of internal and external individuals and groups
j) analyse and interpret the results gained from monitoring the alignment of capacity
management activities and their deliverables with any relevant legislation, regulations
and external standards
k) analyse and interpret:
• information relating to the capabilities of existing or potential external providers of
capacity and/or management services
• the results gained from monitoring the quality and effectiveness of all aspects of
capacity and/or capacity management services provided by any external
providers
l) Present the results from monitoring the performance and throughout of IT/technology
capacity against metrics
m) make decisions on the results from monitoring IT/technology capacity utilisation

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Competent performance requires Understanding (7.7.S.2.U.) of:

a) the need for monitoring of the quality and effectiveness of external providers of capacity
management activities and with any relevant legislation, regulations and external
standards
b) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of external providers of capacity management services and with any
relevant legislation, regulations and external standards

Competence (7.7.S.3): Design and develop capacity plans and proposals for capacity
management activities
This competence will be demonstrated by the following Performance Criteria (7.7.S.3.C.):
a) Design effective and appropriate IT/technology capacity plans, presenting them to
sponsors, stakeholders and other relevant individuals for review and authorisation
b) Verify the accuracy, completeness and currency of estimates for any IT/technology
capacity upgrade contained in proposals and plans produced by other individuals
c) Develop and provide clear and timely proposals and plans for any capacity upgrades to
sponsors, stakeholders and other relevant individuals for review and authorisation
d) Identify and propose improvements to capacity management activities

Competent performance requires Knowledge (7.7.S.3.K.) of how to:

a) identify:
• the impact of future demand on existing IT/technology capacity/resources and their
likely performance
• who are potential external providers of capacity and/or capacity management
activities for use by the organisation
b) identify and select:
• what actions are required as a result of assessing and modelling future
IT/technology capacity needs
• what testing may be required on any change to capacity prior to readiness for use
c) record and store proposals relating to the use of external providers of capacity and/or
capacity management services
d) analyse and interpret proposals to decommission and replace infrastructure, where
appropriate
e) review proposals and plans relating to IT/technology capacity upgrades
f) present:
• the IT/technology capacity plan(s)
• proposals relating to the use of external providers of capacity and/or capacity
management services
g) take actions and measures:
• to routinely review and update the IT/technology capacity plan(s)
• to predict the impact of future demand on existing IT/technology capacity and its
likely performance
h) to ensure that:
• proposed changes to capacity are approved in a timely manner
• all capacity changes have appropriate change control mechanisms applied to them
i) provide proposals and plans for any capacity upgrades to sponsors, stakeholder and
other relevant individuals for review and authorisation
j) communicate and liaise with sponsors and stakeholders on:
• future demands for IT/technology capacity
• proposals and plans for future upgrades of capacity
k) design and develop:
• the IT/technology capacity plan(s)
• the metrics and targets that are used to measure the performance of IT/technology
capacity
• the proposed schedule/plan and scope for any IT/technology capacity upgrade

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l) make decisions on which capacity changes to approve

Competent performance requires Understanding (7.7.S.3.U.) of:

a) the importance of :
• making an accurate assessment of the cost of acquiring increased/new capacity
• planning the timely introduction of new/incremental capacity and resources

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Lead Professional Role

Competence (7.7.L.1): Design and implement capacity management strategy, procedures

and metrics
This competence will be demonstrated by the following Performance Criteria (7.7.L.1.C.):
a) Design, implement and maintain effective strategies, policies, plans, standards, targets,
procedures, tools, techniques and plans relating to capacity management activities
b) Critically review and make timely and appropriate decisions on the capacity plan and
metrics to be used to measure the performance of IT/technology capacity
c) Correctly identify the implications of business objectives, the service strategy and service
delivery/operation objectives on capacity management activities
d) Correctly identify, assess and make decisions on, when and how to use external
providers of capacity and/or capacity management activities, negotiating and
contracting with them in line with business objectives and organisational procedures
e) Effectively manage the alignment of capacity management activities and their
deliverables with business needs, service delivery/operation objectives and the service
strategy
f) Provide timely, understandable and specific advice and guidance to others on best
practice in capacity management activities

Competent performance requires Knowledge (7.7.L.1.K.) of how to:

a) identify:
• the implications of business objectives, the service strategy and service
delivery/operation objectives on capacity management activities
• when and how to use external providers of capacity and/or capacity management
activities
b) identify and select:
• the range of approaches that may be taken to capacity management and their
appropriateness in a range of business and organisational contexts
• strategies, policies, plans, standards and targets relating to capacity management
activities
• what metrics are to be used to measure the performance of capacity management
activities
c) use and apply information relating to the capabilities and performance of existing or
potential external providers of capacity management services
d) implement and maintain
• strategy and policies to ensure the alignment of capacity management activities
and their deliverables with all relevant legislation, regulations and external
standards
• metrics and targets to be applied to capacity management activities
e) Manage the alignment of capacity management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
f) take actions and measures to assess potential external providers of capacity and/or
capacity management services
g) advise and guide others on:
• best practice in capacity management activities
• when and how to consider external providers of capacity management services
h) design and develop:
• standards for conducting capacity management activities and their alignment with
all relevant legislation, regulations and external standards
• the procedures, tools, techniques and plans relating to capacity management
activities and their deliverables
• the procedures, tools and techniques to monitor the quality and effectiveness of
capacity management activities and their deliverables
• the metrics and targets that are used to measure the performance of capacity
management activities

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• the procedures, tools and techniques to monitor the alignment of capacity

management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy and with any relevant
legislation, regulations and external standards
i) make decisions on:
• the metrics used to measure the performance of IT/technology capacity
• the appropriateness of using external suppliers of capacity
j) negotiate with external providers of capacity management services

Competent performance requires Understanding (7.7.L.1.U.) of:

N/A

Competence (7.7.L.2): Review and approve capacity management plans and proposals
This competence will be demonstrated by the following Performance Criteria (7.7.L.2.C.):
a) Ensure timely and critical review of any plans and proposals made by other individuals for
any IT/technology capacity upgrades
b) Make well informed decisions on proposals and plans to upgrade IT/technology capacity,
including where replacement of rather than enhancement of existing IT/technology
capacity is the most suitable approach

Competent performance requires Knowledge (7.7.L.2.K.) of how to:

a) identify and select what actions may be taken in the event of capacity management
activities not supporting the business needs, service delivery/operation objectives
and/or the service strategy
b) monitor the quality and effectiveness of external providers of capacity management
services
c) report the performance of external providers of capacity management services
d) analyse and interpret:
• interpret the results gained from monitoring the quality and effectiveness of
capacity management activities and their deliverables
• management information/metrics produced about capacity management activities
and its deliverables
e) review:
• the IT/technology capacity plan(s)
• the results from monitoring the performance and throughout of IT/technology
capacity
• the results of any tuning, balancing and upgrade activity on IT/technology
capacity/resources
• the quality and effectiveness of capacity management activities against metrics
• the alignment of capacity management activities with the business needs, service
delivery/operation objectives and the service strategy
f) review and present the quality and effectiveness of external providers of capacity
management services and proposals relating to their use
g) take action and measures to ensure:
• review/approval/sign off of any plans and proposals for any IT/technology capacity
upgrades
• appropriate action is taken in the event of capacity management activities not
supporting the business needs, service delivery/operation objectives and/or the
service strategy
h) make decisions on:
• the IT/technology capacity plan(s)
• replacement of rather than enhancement of existing IT/technology capacity
• proposals and plans to upgrade IT/technology capacity
• the results from monitoring capacity management activities
i) authorise and agree:

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• the IT/technology capacity plan(s)

• which external suppliers of capacity and/or capacity management services to use
and to contract with them

Competent performance requires Understanding (7.7.L.2.U.) of:

N/A

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7.8 Change And Release Management

This sub-discipline is about the competencies required for the management of changes required
to the operational IT/technology configuration and environment in which it operates. The
competencies defined in this sub discipline apply to all software, hardware and
telecommunications systems, services and assets supporting an organisation.
Change Management ensures that standardized methods and procedures are used for efficient
and prompt handling of changes to IT infrastructure, in order to manage the impact of any
change. Changes may arise reactively in response to problems or externally imposed
requirements, or proactively, as part of an improvement or in response to business initiatives.
Change Management will ensure prompt handling of all requests for change, and maintain the
proper balance between the need for change and the potential impact.
Change Management may be implemented individually or combined into releases. Changes
and/or releases may be issued by external providers of IT/technology products, services and/or
equipment, or may be developed or commissioned internally. As such, this sub-discipline covers
also the competencies required to manage all aspects of releases
Change Management would typically include the request and recording of changes, resource
and impact assessments, the assessment of business justification and obtaining approval.
Frequently the approval process will include a review across key business functions to ensure
that all possible impacts are identified. In large organisations this may be a Change
Management Advisory Board while in smaller organisations it may consist of one or more
people authorised to approve changes. This is followed by the implementation of the change
and the monitoring and review of the effects.
This sub-discipline covers competencies within the IT/technology function relating to change
and does not relate to those competencies required to bring about the effective introduction and
management of business change

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Pre-Entry / Junior Technician Role

Competence (7.8.J.1): Carry out change and release activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.8.J.1.C.):
a) Correctly follow the procedures, tools and techniques to use for change and/or release
management activities , under supervision
b) Comply with all organisational strategy, policies, plans/schedules and standards relating
to change and release management activities , under supervision
c) Provide accurate and timely information about windows for change and/or freeze periods
to any individuals who may be involved in the submission or sponsorship of change
requests, under supervision

Competent performance requires Knowledge (7.8.J.1.K.) of how to:

a) use and apply the procedures, tools and techniques that apply to change and release
management activities
b) operate with:
• reference to organisational strategy, policies, plans/schedules and standards
relating to change and release management activities and maintain integrity and
confidentiality
• reference to professional and ethical standards in change and release
management activities
c) provide information about windows for change and/or freeze periods to any individuals
who may be involved in the submission or sponsorship of change requests

Competent performance requires Understanding (7.8.J.1.U.) of:

a) the role of change and release management in supporting business operations and
IT/technology service strategy
b) the role of change and release management in service delivery/operations
c) what is meant by:
• a release
• a scheduled/planned change
• an unplanned/emergency change
• a patch
• a service pack
• change management
• a change request and what it comprises
• release management
• a change management/advisory board (or equivalent body/individual)
• a window for change
d) what information might need to be referenced and used during change and release
management activities
e) what is the purpose and role of a change management/advisory board (or equivalent
body/individual)
f) what are the:
• drivers for scheduled and/or emergency change to the IT/technology configuration
• types of change that can be applied to the IT/technology configuration and the
types of activities undertaken during change and release management
• inputs to and required outputs from change and release management activities
• implications of service levels on change and release management activities
• potential implications of introducing change on the availability and accessibility of
IT/technology systems, services and assets that are used by customers
• typical naming structures/approaches used for release of IT/technology products,
services and equipment
g) the fact that:
• change to the IT/technology configuration is inevitable

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• some changes to the IT/technology configuration are the result of IT/technology

drivers
• changes can be scheduled or may have to be introduced as emergency changes
• releases are commonly used to apply updates and changes to existing
IT/technology systems, services and assets, in order to maintain the currency,
usefulness and operability of them
• releases may be developed and provided by external suppliers in response to the
needs of one or more customers who use their products, services and
equipment
• releases typically occur at regular, fixed intervals and their forward
schedule/content is publicised by the provider
• external providers may be required to assist with change and release management
activities and/or the provision of IT/technology change and release/resources
• a change to any IT/technology system, product, service, item of equipment and/or
assets may be referred to as a patch
• a release to any IT/technology system, product, service, item of equipment and/or
assets may be referred to as a service pack
h) the fact that IT/technology drivers resulting in changes to the existing IT/technology
configuration include:
• necessary upgrades to, or decommissioning of, existing products, services and
equipment
• changes to capacity
• implementation of patches and fixes for incidents, problems and events
i) why organisations:
• may wish to apply changes to their existing IT/technology configuration
• develop and/or commission IT/technology product/service/equipment releases
j) why emergency changes are sometimes required
k) who is responsible for:
• submitting change requests
• coordinating proposed IT/technology changes and operating the change control
mechanisms
l) who needs to authorise actions proposed and taken during change and release
management activities
m) the importance of change and release management activities being informed and
directed by the best interests of an organisation
n) the procedures, tools and techniques that can be used to conduct change and release
management activities in a range of business and organisational contexts
o) how effective change and release management activity can improve the levels of
customer satisfaction with IT/technology

Competence (7.8.J.2): Gather and document information relating to change and release
activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.8.J.2.C.):
a) Correctly source and accurately collate all relevant information about the releases and
changes that are to be provided by internal and/or external providers, under supervision
b) Correctly gather and accurately collate all relevant information about scheduled change
freeze periods the schedule of windows for change, under supervision
c) Accurately and completely document all change requests received, in a timely manner, in
line with procedures and under supervision
d) Correctly collate and accurately document the necessary information about all proposed
changes for any particular window for change, so that it may be used to inform change
management decision making
e) Assist others in sourcing information about any scheduled/planned change so that it may
be assessed through change management
f) Assist others in sourcing information relating to the content and schedule of any release
provided by any internal and/or external provider

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Competent performance requires Knowledge (7.8.J.2.K.) of how to:

a) source, gather and collate information about:
• scheduled change freeze periods and the schedule of windows for change
• the releases and changes that are to be provided by internal and/or external
providers
• all proposed changes for any particular window for change
b) record and store:
• all change requests received
• what releases and changes are to be provided by internal and/or external providers
• the schedule of windows for change and change freezes for an organisation
• change requests proposed for inclusion in any particular window for change for
review by the change management advisory board (or equivalent
body/individual)
c) take actions and measures to ensure that all change requests received are recorded

Competent performance requires Understanding (7.8.J.2.U.) of:

a) who may need to reference and use information produced through, and used by change
and release management activities
b) the importance of keeping clear documentation in support of change and release
management activities

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Associate Professional Role

Competence (7.8.A.1): Carry out change and release activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.8.A.1.C.):
a) Correctly select the procedures, tools and techniques to use for change and/or release
management activities , under supervision
b) Comply fully with all relevant and applicable legislation, regulations and external
standards relating to change and release management activities and any relevant
commercial and contractual arrangements with external suppliers providing releases
and changes
c) Correctly identify when releases and changes are scheduled to be issued by internal
and/or external providers, under supervision
d) Proactively liaise with all individuals involved in the raising or sponsorship of change
requests, advising them of decisions made by the change management/advisory board
(or equivalent body/individual), under supervision

Competent performance requires Knowledge (7.8.A.1.K.) of how to:

a) identify and select the procedures, tools and techniques to use for change and release
management activities
b) identify:
• when releases and changes are scheduled to be provided by internal and/or
external providers
• all proposed changes that are requested for any particular scheduled window for
change
• the schedule of windows for change for an organisation
c) use and apply:
• strategy, policies, plans/schedules and standards relating to change and release
management activities
• information about the schedule of windows for change and any scheduled change
freeze periods
d) operate with reference to:
• the service catalogue and/or portfolio and service levels
• commercial and contractual arrangements with external suppliers providing
releases and changes
e) comply with all relevant and applicable legislation regulations and external standards
relating to change and release management activities
f) provide information about change requests and the decisions made on them by the
change management/advisory board (or equivalent body/individual) to those individuals
involved in raising and/or sponsoring them
g) communicate and liaise with individuals involved in the raising or sponsorship of change
requests

Competent performance requires Understanding (7.8.A.1.U.) of:

a) the relationship between change and release management activities and all other service
delivery/operations activities
b) what is:
• meant by a change freeze
• the range of technical environments that change management applies to a
particular organisation
• the relevance of service levels in relation to change and release management
activities
• involved in the scheduling and implementation of emergency changes
• the composition of the business functions represented in the change approval
process
c) what is the difference between IT/technology change management:

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• and business change management

• and the management of changes during IT/technology projects and programmes
d) what is the relationship between:
• IT/technology change management and business change management
• change and release management activities, the systems and service lifecycle and
the service catalogue and/or portfolio
• change management and the IT/technology configuration
e) what are the objectives of change and release management and the potential
implications of these activities being incorrect, incomplete, inadequate and/or
inappropriate
f) within business and organisational environments the fact that:
• structured processes and procedures are essential for effective change and
release management activities
• business drivers for changes to the existing IT/technology configuration include
process changes, organisational change, laws and regulations and mergers and
acquisition
• alterations to business needs may result in changes to or releases for the existing
IT/technology configuration
• individual organisations make decisions about the range and number of technical
environments that change management activities control
g) within change and release management the fact that:
• many organisations have a schedule of windows for change for implementation of
changes to IT/technology systems, services and assets and also have agreed
change freeze periods during which no changes can be scheduled
• change management may involve the negotiation of proposed changes with a wide
range of sponsors and stakeholders
• changes may be approved for deployment or may be rejected
• effective change and release management is crucial to the achievement of service
levels for IT/technology systems, services and/or assets
• change management involves the assessment of the impact of any proposed
change/release against the current IT/technology configuration
• effective IT/technology change and release management activities are essential to
the protection of the IT/technology configuration and the achievement of service
levels
• releases may be designed and commissioned by individual organisations to meet
their particular/bespoke needs
h) the fact that :
• releases are often used to address long standing, low priority/impact problems
• the size, scale and complexity of any release will need to be considered in the
change management activities that take place
• any IT/technology release and/or change contains an inherent degree of risk to the
existing configuration
• poor control of changes and releases can threaten an organisation’s operational
effectiveness, brand and reputation
• suppliers frequently insist on their clients accepting and deploying releases to their
branded IT/technology products, services and/or equipment by organisations in
order to ensure the validity of maintenance and support arrangements
•
i) why:
• changes may be forced on an organisation by suppliers
• an IT/technology change and release plan needs to be in place
• changes and releases need to be tested/verified before they are implemented in
the operational/production IT/technology environment
• many organisations have a schedule of windows for change for the implementation
of changes to IT/technology systems, services and assets and have agreed
change freeze periods during which no changes can be scheduled
j) who:
• is authorised to approve any particular change or release

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• may be impacted by any particular change and/or release

• chairs the IT/technology change management/advisory board (or equivalent
body/individual)
• is the release manager for any particular release
k) the importance of:
• referencing the service catalogue and/or portfolio during change and release
management activities
• and relevance of, change and release management on the service lifecycle
supporting an organisation
• assessing incoming change requests in a timely manner
l) how poor management of IT/technology change and release can have a significant
impact on an organisation’s operational effectiveness, brand, reputation and costs

Competence (7.8.A.2): Gather and document information relating to change and release
activities
This competence will be demonstrated by the following Performance Criteria (7.8.A.2.C.):
a) Correctly identify what information needs to be gathered and/or referenced about any
particular change and/or release to inform change request assessment
b) Accurately source and gather all relevant information about any unplanned/emergency
change, under supervision
c) Ensure that all change requests received contain correct and complete information for
them to be assessed by the change management/advisory board (or equivalent
body/individual)
d) Accurately and fully document the procedures, tools and techniques relating to change
and/or release management activities , under supervision
e) Accurately document the release plan and associated schedule relating to any
IT/technology system, service and/or asset, under supervision
f) Accurately document all decisions made by the change management advisory board (or
equivalent body/individual) on all change requests reviewed, including which changes
have been approved for inclusion and scheduled for implementation in any particular
window for change, under supervision
g) Provide accurate and timely information about any change and/or release that is required
by individuals involved in its assessment, under supervision

Competent performance requires Knowledge (7.8.A.2.K.) of how to:

a) identify and select what information needs to be gathered and/or referenced about any
particular change and/or release to inform change request assessment
b) source, gather and collate information:
• about any scheduled/planned change so that it may be assessed through change
management
• relating to the content and schedule of any release provided by any internal and/or
external provider
• about any unplanned/emergency change
• to support the reporting of the performance of change and release management
against its targets and/or metrics
• in order to identify change freeze periods
c) record and store:
• the release plan and associated schedule relating to any IT/technology system,
service and/or asset
• decisions made by change management advisory board (or equivalent
body/individual) on all change requests reviewed
• changes that have been approved for inclusion and scheduled for implementation
in any particular window for change
• the procedures, tools and techniques relating to change and release management
activities

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• the procedures, tools and techniques to monitor the alignment of change and
release management activities with business needs, service delivery/operation
objectives and the service strategy
d) take actions and measures to ensure that:
• any proposed change and/or release has an associated change request
• all change requests received contain correct and complete information for them to
be assessed
• all appropriate documentation is in place to support the review and decision making
undertaken by the change management/advisory board (or equivalent
body/individual)
e) provide information about any change and/or release that is required by individuals
involved in its assessment

Competent performance requires Understanding (7.8.A.2.U.) of:

a) what is meant by a release plan and what it involves
b) what is involved in the:
• assessment of the potential impact of changes on existing services, service levels
and the IT/technology configuration
• approval and scheduling of proposed changes
• planning and scheduling the introduction of new IT/technology changes and
releases
c) the fact that releases need to be subjected to appropriate levels of change management
d) why the quality and effectiveness of change and release management activities need to
be monitored
e) who may need to reference and use information produced through and used by change
and release management activities
f) the importance of keeping clear documentation in support of change and release
management activities
g) the need for monitoring of the change and/or release plan and the effectiveness of
current change and release/resource deployment activities
h) the procedures, tools and techniques that can be used to monitor the alignment of
change and release management activities with service levels

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Professional Role

Competence (7.8.P.1): Monitor and assess change and release management requests,
proposals and plans
This competence will be demonstrated by the following Performance Criteria (7.8.P.1.C.):
a) Correctly apply strategies, policies, plans/schedules, standards and targets relating to
change and release management activities
b) Report, clearly and in a timely manner, all change requests approved for a particular
window for change to sponsors, stakeholders and other individuals involved in change
and release management activities
c) Accurately report any emergency changes that need to be scheduled and implemented,
to sponsors, stakeholders and other individuals involved in change and release
management activities
d) Liaise proactively with all internal and external individuals and groups who have
developed/provided IT/technology elements that are included in a release and/or
change request and any individuals affected by the implementation of changes and/or
releases

Competent performance requires Knowledge (7.8.P.1.K.) of how to:

a) identify:
• the content of any release and/or change provided by any internal and/or external
provider
• what are the releases and changes provided by internal and/or external providers
• the implications of not implementing or delaying a release provided by an internal
and/or external provider
• any change conflicts that may exist between changes proposed for any particular
window for change
• who are the sponsors of and stakeholders for change and release management
activities and for any particular change or release
• lessons learned from previous change and release management activities and
experiences and any internal and external factors that may have an impact
• strategies, policies, plans/schedules, standards and targets relating to change and
release management activities
b) use and apply:
• information about the releases and changes that are to be provided by internal
and/or external providers relating to the content and schedule of any release
provided by an internal and/or external provider
• information about any scheduled/planned or unplanned/emergency change so that
it may be assessed
• information about all proposed changes for any particular window for change or to
identify change freeze periods
• information about the current IT/technology configuration in order to assess the
potential impact of proposed changes on it and lessons learned from previous
change and release management activities
• the procedures, tools and techniques to monitor the quality and effectiveness of
change and release management activities and the metrics to measure the
performance
• the procedures, tools and techniques to monitor the alignment of change and
release management activities with business needs, service delivery/operation
objectives and the service strategy and with any relevant legislation, regulations
and external standards
c) record and store
• the procedures, tools and techniques to monitor the quality and effectiveness of
change and release management activities and the metrics that are used to
measure the performance

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• the procedures, tools, techniques and plans/schedules to monitor the alignment of

change and release management activities with any relevant legislation,
regulations and external standards
• the results from monitoring the quality and effectiveness of change and release
management activities
• lessons learned from previous change and release management activities
• strategy, policies, plans/schedules and standards for conducting change and
release management activities and to ensure the alignment of change and
release management with all relevant legislation, regulations and external
standards
d) monitor all change requests received and the schedule of windows for change and freeze
periods
e) report:
• what releases and changes are to be provided by internal and/or external providers
to sponsors, stakeholders and other individuals involved in change and release
management activities
• the release plan and associated schedule relating to any IT/technology system,
service and/or asset to its sponsors and stakeholders
• the content of any release and/or change provided by any internal and/or external
provider to sponsors, stakeholders and other individuals involved in change and
release management activities
• any emergency changes that need to be scheduled and implemented, to sponsors,
stakeholders and other individuals involved in change and release management
activities
f) analyse and interpret:
• the contents of any release and/or change provided by an external provider
• any change conflicts that may exist between changes proposed for any particular
window for change
• the potential impact of any release or change on the current IT/technology
configuration
g) review the content of any particular release and/or change provided by any internal
and/or external provider to relevant sponsors, stakeholders and other individuals
h) provide metrics and management information produced by change and release
management activities to internal and external sponsors, stakeholders individuals and
other bodies, as appropriate
i) communicate and liaise
• with internal and external individuals and groups who have developed/provided
IT/technology elements that are included in a release and/or change request
• with individuals affected by the implementation of changes and/or releases

Competent performance requires Understanding (7.8.P.1.U.) of:

a) what is the range of issues associated with change and release management activities
b) what legislation, regulations and external standards may apply to change and release
management activities
c) what is best practice in change and release management activities
d) what are the:
• benefits and disadvantages of using external providers of change and release
services
• implications of external factors on change and release management activities
management services
• issues involved in the outsourcing of the external hosting of IT technology systems,
services and assets on change and release management activities
e) the fact that the impact of any relevant legislation, regulations and external standards
needs to be reflected in change and release management activities
f) why:
• change and release plans/schedules need to be regularly reviewed and revised
• change conflicts need to be resolved

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• any changes to the operational environment need to be reviewed and approved by

appropriate individuals
• the implementation of changes and releases into the operational/production
environment need to be monitored
• the alignment of change and release management activities with any relevant
legislation, regulations and external standards needs to be monitored
g) who:
• needs to be involved in the review of any particular change and/or release
• are the sponsors of and stakeholders for change and release management
activities and for any particular change and/or release
h) the importance of:
• the scheduling of changes and releases in order to minimise business disruption
• referencing architecture, design and configuration/asset management deliverables
during change and release management activities
• verifying the accuracy, currency, completeness and relevance of information used
during change and release management activities
• ensuring confidentiality, integrity and security during change and release
management activities and that sensitive business information is not disclosed
inappropriately
i) the need for monitoring of:
• the number, volume and frequency of emergency changes
• incidents and problems arising after the implementation of changes and/or releases
• the quality and effectiveness of change and release management activities
• the alignment of change and release management activities with business needs,
service operation objectives and service strategy
• change and release schedules

Competence (7.8.P.2): Review change and release management requests, proposals and
plans
This competence will be demonstrated by the following Performance Criteria (7.8.P.2.C.):
a) Manage and monitor all change requests received by change management, critically
analysing them in order to inform the decision making change management/advisory
board (or equivalent body/individual)
b) Correctly identify the implications of not implementing, or delaying a release provided by
an internal and/or external provider
c) Ensure that the build of any particular release is reflected in the plan, schedule and
contents documentation, as directed
d) Correctly identify and concisely present any particular release plan and associated
change schedules for approval and review by relevant people, sponsors, stakeholders
and other individuals
e) Correctly identify the risks and benefits associated with any proposed change and/or
release, as directed
f) Correctly identify all individuals and groups who needs to be involved in the assessment
of any particular change request, as directed
g) Ensure that timely and thorough analysis and review of all proposed changes and
releases takes place against the current IT/technology configuration, as directed
h) Ensure that all change conflicts are identified, analysed and resolved prior to any
approval of changes and/or releases

Competent performance requires Knowledge (7.8.P.2.K.) of how to:

a) identify the risks and benefits associated with any proposed change and/or release
b) identify and select who needs to be involved in the assessment of any particular change
request
c) source, gather and collate appropriate expertise from internal and external sources to
advise and guide on the assessment of proposed changes and releases

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d) verify the accuracy, currency, completeness and relevance of any information relating to
a change or release
e) use and apply appropriate expertise from internal and external sources to advise and
guide on the assessment of proposed changes and releases
f) report all change requests approved for a particular window for change to sponsors,
stakeholders and other individuals involved in change and release management
activities
g) manage all change requests received and the schedule of windows for change and
freeze periods
h) analyse and interpret all change requests received by change management
i) present the release plan and associated schedules
j) review the schedule of windows for change and freeze periods
k) take actions and measures to ensure that:
• all proposed changes and/or releases have appropriate business justification
• timely and thorough review of all proposed changes and releases takes place and
are assessed against the current operational/production IT/technology
configuration
• the build of any particular release is reflected in the plan, schedule and contents
documentation and adequate back out plans for changes and releases are
developed
• all change conflicts are resolved prior to the approval of any changes and/or
releases
• all decisions made by change management approval bodies/individuals are
documented

Competent performance requires Understanding (7.8.P.2.U.) of:

a) what is involved in the planning and development of a scheduled release
b) the fact that:
• individual changes that are proposed for implementation may be in conflict with
other proposed changes and these conflicts need to be resolved
• a wide range of individuals may need to be involved in the review, approval and
scheduling of proposed changes and releases
c) the importance of:
• scheduled releases being manageable and scheduled appropriately, in terms of
size, scale and complexity and that potential change conflicts are resolved
• conflicts between individual proposed changes being identified and resolved in a
timely manner
• timely decision making on the relative priorities between competing proposed
change requests and on decisions to reject/approve changes
• having appropriate backout plans for any change or release
• appropriate testing and verification of any change or release taking place prior to its
promotion/deployment to the operational/production environment
• effective processes and procedures existing to process emergency changes
• ensuring that any changes and releases are assessed against the current
operational IT/technology configuration and are tested and validated, where
appropriate before they are implemented
d) the procedures, tools and techniques that can be used to monitor the alignment of
change and release management activities with business needs, service operation
objectives and service strategy

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Senior Professional Role

Competence (7.8.S.1): Implement and maintain change and release management

strategy, plans and activities
This competence will be demonstrated by the following Performance Criteria (7.8.S.1.C.):
a) Correctly implement and maintain the strategy, policies, plan, standards, procedures,
tools, techniques and plans/schedules that apply to change and/or release
management activities
b) Correctly identify the implications of business objectives, the service strategy and service
delivery/operation objectives on change and release management activities
c) Correctly identify when, why and how unplanned/emergency changes need to be
progressed and implemented
d) Effectively implement and maintain the schedule of windows for change and freeze
periods
e) Implement and maintain an effective and accurate release plan and associated schedule
for any particular IT/technology system, service and/or asset
f) Correctly identify what actions are needed in the event of a failure during change and/or
release management activities, to facilitate informed decision making by others
g) Provide specific, understandable and timely advice and guidance to others on all aspects
of change and/or release management activities , including the application of best
practice and when it is appropriate to seek internal and/or external assistance for the
assessment of proposed changes and/or releases
h) Negotiate effectively with all internal and external providers and groups who have
developed/provided IT/technology elements that are included in a release and/or
change request and/or all individuals who may be impacted by the implementation of a
change/release

Competent performance requires Knowledge (7.8.S.1.K.) of how to:

a) identify:
• the potential impact of any release or change on the current IT/technology
configuration
• who are external providers of change and release management activities
b) identify and select:
• the relative priority of competing change requests
• when, why and how unplanned/emergency changes need to be progressed and
implemented
• when, how and why change freezes are required/need to be scheduled
• what actions are needed in the event of a failure during change and release
management activities
• when changes and/or releases need to be backed out and the implications of these
actions
• when and how to source, use and apply best practice in change and release
management
• any legislation, regulations and external standards that may apply to change and
release management activities
c) use and apply:
• best practice in change and release management activities
• strategy and policies to ensure the alignment of change and release management
activities with all relevant legislation, regulations and external standards
• information relating to the capabilities and performance of existing or potential
external providers of change and release management services
d) implement and maintain:
• strategy and policies to ensure the alignment of change and release management
activities with all relevant legislation, regulations and external standards
• the procedures, tools, techniques and plans/schedules that apply to change and
release management activities

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• a release plan and associated schedule for any particular IT/technology system,
service and/or asset
• the schedule of windows for change and freeze periods
e) implement and maintain strategy, policies, plans/schedules and standards:
• relating to change and release management activities
• for conducting change and release management
f) manage:
• the planning, scheduling and implementation of required changes and releases
• the progression and promotion of emergency changes
• relationships with sponsors, stakeholders and external bodies on matters relating
to change and release management activities and with external providers
offering change and release management and services
• the alignment of change and release management activities with business needs,
service delivery/operation objectives and the service strategy and with all
relevant legislation, regulations and external standards
g) analyse and interpret:
• the implications of not implementing or delaying a release provided by an internal
and/or external provider
• information relating to the capabilities of existing or potential external providers of
change and release management services
h) review the schedule of windows for change and freeze periods
i) take actions and measures to:
• build a release for any particular IT/technology system, service and/or asset
• ensure that emergency/unplanned changes have retrospective documentation and
authorisations put into place
• ensure timely review and implementation of unplanned/emergency changes
• ensure that the implementation of all changes and/or releases is reviewed and
outcomes used to inform future action
j) communicate and liaise with external providers of change and release management
services
k) advise and guide others on all aspects of change and release management activities
including best practice
l) negotiate with all individuals who may be impacted by the implementation of a
change/release and with external providers of change and release management
services

Competent performance requires Understanding (7.8.S.1.U.) of:

a) what is the range of:
• internal and external factors that could result in issues arising with changes to and
releases of IT/technology systems, services and assets
• approaches that may be used to conduct change and release management
activities and their appropriateness in a range of business and organisational
contexts
b) what are the
• potential implications of failings in integrity, confidentiality and information security
during change and release management activities
• implications of any legislation, regulations and external standards on change and
release management activities
c) the importance of managing relationships with external providers of change and release
management services

Competence (7.8.S.2): Design appropriate changes / plans, and monitor and report on
change and release management activities
This competence will be demonstrated by the following Performance Criteria (7.8.S.2.C.):

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a) Correctly identify and report any potential change conflicts and the action taken to resolve
them through the identification of their relative priority, to sponsors, stakeholders and
other individuals involved in change and release management activities
b) Correctly use all relevant findings from the assessment of the impact of proposed
changes on the current IT/technology configuration, so that they may inform the
decision making of the change management/advisory board (or equivalent
body/individual)
c) Clearly report all relevant decisions made by change management/advisory board (or
equivalent body/individual) to the sponsors, stakeholders of each change request
d) Design appropriate releases and associated, effective release plans and schedules for a
particular IT/technology system, service and/or asset
e) Critically analyse the implications of not implementing or delaying a release provided by
an internal and/or external provider to inform decision making
f) Closely monitor and effectively manage the planning, scheduling and implementation of
required changes and release, including the timely progression of emergency changes
g) Routinely monitor and accurately report the quality and effectiveness of change and
release management activities

Competent performance requires Knowledge (7.8.S.2.K.) of how to:

a) identify and select:
• how and when to combine changes into appropriately sized, cohesive and timely
releases
• the most appropriate approach to be taken to change and release management in
a range of business and organisational contexts
• what management information will be provided from change and release
management to sponsors, stakeholders and other individuals
• what metrics are to be used to measure the performance of change and release
management
b) identify the implications of business objectives, the service strategy and service
delivery/operation objectives on change and release management activities
c) source, gather and collate information on best practice in change and release
management activities
d) verify the accuracy, currency, completeness and relevance of information used during
change and release management activities
e) use and apply:
• findings from the assessment of the impact of proposed changes on the current
IT/technology configuration to inform decision making
• information to support the reporting of the performance of change and release
management activities against targets/metrics
• the most appropriate approach for change and release management in a range of
business and organisational contexts
f) record and store proposals relating to the use of external providers of change and release
management services
g) implement and maintain:
• the procedures, tools and techniques to monitor the quality and effectiveness of
change and release management activities and the metrics and targets that are
used to measure performance
• the procedures, tools and techniques to monitor the alignment of change and
release management activities with business needs, service delivery/operation
objectives and the service strategy and with any relevant legislation, regulations
and external standards
h) monitor:
• the planning, scheduling and implementation of required changes and releases
• the progression and promotion of emergency changes
• the quality and effectiveness of change and release management activities
including external providers of change and release management services

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• the alignment of change and release management activities with business needs,
service delivery/operation objectives and the service strategy and with any
relevant legislation, regulations and external standards
i) report:
• decisions made by the change management/advisory board (or equivalent
body/individual) to the sponsors, stakeholders of each change request
• the performance of change and release management, on a regular basis, against
metrics to a range of internal and external individuals and groups
j) report to sponsors, stakeholders and other individuals involved in change and release
management activities:
• findings from the assessment of the potential impact of any proposed changes
and/or releases on the current operation/production IT/technology configuration
• any potential change conflicts and the action taken to resolve them through the
identification of their relative priority
• findings from monitoring the quality and effectiveness of change and release
management activities
k) analyse and interpret:
• the effectiveness and appropriateness of any proposed combination of changes as
a release
• management information/metrics produced about change and release
management activities
l) analyse and interpret the results gained from monitoring the:
• quality and effectiveness of change and release management activities
• alignment of change and release management activities with any relevant
legislation, regulations and external standards
• quality and effectiveness of external providers of change and release management
services
m) review:
• the release plan and associated schedules
• the content of any particular release and/or change provided by any internal and/or
external provider to relevant sponsors, stakeholders and other individuals
n) present and recommend decisions that the change management/advisory board (or
equivalent body/individual) need to make
o) present:
• the quality and effectiveness of change and release management activities
• all change requests received for assessment, together with all associated findings
and recommendations from analysis of them by change management
• the results from monitoring the performance of change and release management
activities against metrics
• the metrics and management information produced by change and release
management activities
• proposals relating to the use, and quality and effectiveness, of external providers of
change and release management services
• the alignment of change and release management activities with the business
needs, service delivery/operation objectives and the service strategy
p) take actions and measures:
• to develop a release plan and schedule for any particular IT/technology system,
service and/or asset
• to assess potential external providers of change and release management services
• to ensure that the relative priorities of proposed change requests are decided by
the change management/advisory board (or equivalent body/individual), where
required
• to ensure that clear decisions are taken to approve/reject changes and releases
and timely communication about the decisions are taken
q) communicate and liaise:
• with all relevant individuals involved in the assessment, approval, rejection of any
change or release

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• with internal and external individuals and groups who are sponsors of and
stakeholders for a release for any IT/technology system, service and asset, in
relation to its content, schedule and progress
r) advise and guide others on the appropriateness of seeking internal and/or external
assistance in order to assess proposed changes and/or releases
s) design and develop a release, release plan and associated schedule for a particular
IT/technology system, service and/or asset
t) negotiate:
• with all individuals requesting/sponsoring change requests
• with internal and external individuals and groups who are sponsors of and
stakeholders for a release for any IT/technology system, service and asset, in
relation to its content, schedule and progress
• with all internal and external providers and groups who have developed/provided
IT/technology elements that are included in a release and/or change request

Competent performance requires Understanding (7.8.S.2.U.) of:

a) the importance of monitoring and recording the progress and completion of any changes
and releases
b) the need for monitoring of:
• the progress and completion of any approved changes and/or release
• the alignment of change and release management activities with any relevant
legislation, regulations and external standards
• the quality and effectiveness of external providers of change and release
management activities
c) the procedures, tools and techniques that can be used to
• monitor the alignment of change and release management activities with any
relevant legislation, regulations and external standards
• monitor the quality and effectiveness of external providers of change and release
management services

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Lead Professional Role

Competence (7.8.L.1): Design and implement change and release management strategy,
objectives and procedures
This competence will be demonstrated by the following Performance Criteria (7.8.L.1.C.):
a) Design effective and suitable strategy, policies, plans, standards, procedures, tools,
techniques, plans/schedules, metrics and standards relating to change and/or release
management activities
b) Correctly identify what actions to take in the event of change and release management
not supporting the business needs, service delivery/operation objectives and/or the
service strategy for the/an organisation
c) Ensure that accountability for any particular release of an IT/technology system, service
and/or asset is delegated appropriately
d) Effectively manage the assessment of external providers of change and release
management services, reviewing and making appropriate decisions on proposals for
their use and contracting with providers where appropriate
e) Make well reasoned decisions on the release plan and associated schedule relating to
any IT/technology system, service and/or asset
f) Negotiate and make considered decisions on the size and frequency of windows for
change and freeze periods as required to meet the needs of sponsors, stakeholders
and other individuals within the organisation

Competent performance requires Knowledge (7.8.L.1.K.) of how to:

a) identify and select:
• what actions to take in the event of change and release management not
supporting the business needs, service delivery/operation objectives and/or the
service strategy
• when and how to use external providers for change and release management
activities
b) take actions and measures:
• in the event of change and release management activities not supporting the
business needs, service delivery/operation objectives and/or the service
strategy
• to ensure that accountability is delegated appropriately for any particular release
c) design and develop:
• the procedures, tools, techniques and plans/schedules relating to change and
release management activities
• the procedures, tools and techniques to monitor the quality and effectiveness of
change and release management activities
• the metrics and targets that are used to measure the performance of change and
release management activities
• standards for conducting change and release management activities
• the procedures, tools and techniques to monitor the alignment of change and
release management activities with business needs, service delivery/operation
objectives and the service strategy and with any relevant legislation, regulations
and external standards
d) make decisions on:
• all change requests received by change management including change request
conflicts
• the relative priority of competing change requests
• the metrics and targets that should apply to change and release management
activities
• what actions are needed in the event of failure during change and release
management activities
• when changes and/or releases need to be backed out and the implications of these
actions

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• the release plan and associated schedule relating to any IT/technology system,
service and/or asset
• the size and frequency of windows for change and freeze periods
• the appropriateness of using external suppliers of change and release
management services
• proposals relating to the use of external providers of change and release
management activities
e) negotiate the size and frequency of windows for change and freeze periods with
sponsors, stakeholders and other individuals, as required
f) authorise and agree
• decisions made during change and release management activities
• which external suppliers of change and release management to use
g) contract with external providers of change and release management services

Competent performance requires Understanding (7.8.L.1.U.) of:

N/A

Competence (7.8.L.2): Review, and provide direction on, change and release
management activities
This competence will be demonstrated by the following Performance Criteria (7.8.L.2.C.):
a) Critically review and make appropriate and well reasoned decisions on all change
requests received by change management, their relative priority and any change
request conflicts, prior to their authorisation to the board (or equivalent body/individual)
b) Make timely and appropriate decisions on what actions are needed in the event of failure
during change and/or release management activities
c) Critically review the quality and effectiveness of external providers of change and/or
release management services, taking action in the event of them not supporting the
business needs, service delivery/operation objectives and/or the service strategy
d) Provide understandable and specific advice and guidance to other individuals on the
most appropriate approaches to use to build/combine any release for an IT/technology
system, service and/or asset
e) Provide clear and considered advice and guidance to others on the potential implications
to the organisation of not implementing any release provided by internal and/or external
providers

Competent performance requires Knowledge (7.8.L.2.K.) of how to:

a) manage the assessment of external providers of change and release management
services
b) review:
• the quality and effectiveness of change and release management activities
• all change requests received for assessment, together with all associated findings
and recommendations from analysis of them by change management
• the metrics and management information produced by change and release
management activities and the results from this monitoring
• proposals relating to the use of external providers of change and release
management services
• the quality and effectiveness of external providers of change and release
management services
• the alignment of change and release management activities with the business
needs, service delivery/operation objectives and the service strategy
c) advise and guide others on:
• the potential implications of not implementing any release provided by internal
and/or external providers
• the most appropriate approaches to use to build/combine any release for an
IT/technology system, service and/or asset

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• when and how to consider external providers of change and release management
services
d) make decisions on:
• the results of analysing the risks and benefits associated with any proposed
changes and releases
• the results from monitoring change and release management activities

Competent performance requires Understanding (7.8.L.2.U.) of:

N/A

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7.9 IT/Technology Service Catalogue and/or Service Level Management,

Measurement and Reporting

This sub-discipline is about the competencies required to manage both the service catalogue
and the service levels associated with each service within it.
Service catalogue management activities ensure that the service catalogue details all of the
IT/technology services offered to an organisation and that it remains current, available and
accessible to all individuals and groups who may need to reference it.
Service Level Management involves activities negotiating and agreeing service levels for
service that apply to IT/technology services as well as monitoring, measuring and reporting on
performance against these targets. It aims to ensure that all services are documented in
appropriate Service Level Agreements (SLAs) and other associated documentation, that
accurate and timely reports of actual performance are produced and distributed to relevant
individuals and groups and that, where necessary, plans are put into place to improve the levels
of service provided.

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Pre-Entry / Junior Technician Role

Competence (7.9.J.1): Correctly follow procedures and standards relating to service

catalogue and/or service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.J.1.C.):
a) Correctly follow organisational strategy, policies, plans/schedules and standards relating
to service catalogue and/or service level management activities and their deliverables
b) Act with integrity and confidentiality in respect of all service catalogue and/or service level
management activities, under supervision
c) Follow all relevant professional and ethical standards in service catalogue and/or service
level management activities, under supervision

Competent performance requires Knowledge (7.9.J.1.K.) of how to:

a) operate with:
• reference to organisational strategy, policies, plans/schedules and standards
relating to service catalogue and/or service level management activities and
their deliverables
• reference to professional and ethical standards in service catalogue and/or
service level management activities
• integrity and confidentiality during service catalogue and/or service level
management activities

Competent performance requires Understanding (7.9.J.1.U.) of:

a) the role of service catalogue and service level management activities in service
delivery/operation
b) what is meant by:
• the service catalogue and what is its purpose
• a service level for any particular service
• a Service Level Agreement (SLA) and what is its purpose
c) what are the:
• procedures, tools and techniques to conduct service catalogue and/or service
level management activities
• inputs to and required outputs from service level management activities
d) the fact that:
• customers of IT/technology services may be internal or external
• the service catalogue should contain information relating to all IT/technology
services provided to a business, how they can be provisioned/fulfilled and what
service levels and costs may apply to them
• the achievement of IT/technology service levels may be critical to the successful
operation of an organisation’s business activities
• improved/higher levels of service for any particular IT/Technology system,
service or asset may have associated incremental costs
e) why the service catalogue needs to be up to date, accurate and complete
f) who:
• are the customers of any particular Service Level Agreement (SLA)
• is the custodian/owner of the service catalogue
g) the importance of:
• the service catalogue being up to date, accurate and complete and having clear
information about how a particular service may be accessed by/fulfilled and/or
provisioned for a customer
• having clear and agreed service levels for particular IT/Technology systems,
services and assets
h) the procedures, tools and techniques that can be used to conduct service level catalogue
and/or service level management activities

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Competence (7.9.J.2): Assist in gathering and documenting information relating to

service catalogue and service level requirements
This competence will be demonstrated by the following Performance Criteria (7.9.J.2.C.):
a) Assist others in gathering all necessary information for inclusion in the service catalogue
b) Assist others in documenting service level requirements from both within and outside the
organisation

Competent performance requires Knowledge (7.9.J.2.K.) of how to:

N/A
Competent performance requires Understanding (7.9.J.2.U.) of:
a) what are the:
• service levels against which performance of any particular IT/Technology
systems, service and/or asset needs to be measured and reported
• reports that may need to be produced concerning the performance of any
particular IT/technology system, service and/or asset
b) the fact that agreed and documented service levels should exist for all IT/technology
systems, services and assets
c) the importance of documenting Service Level Agreements (SLAs) clearly and accurately
d) the need for monitoring of the service levels associated with any particular IT/Technology
system, service or asset

Competence (7.9.J.3): Assist in the communication of the service catalogue and/or

service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.J.3.C.):
a) Assist others in the publication and distribution of service level reports
b) Assist others in ensuring the accessibility and availability of the service catalogue to
customers
c) Assist others in communicating the purpose and role of the service catalogue to internal
and external customers and advising them on all aspects of its use

Competent performance requires Knowledge (7.9.J.3.K.) of how to:

N/A

Competent performance requires Understanding (7.9.J.3.U.) of:

a) the fact that:
• the service catalogue may need to be updated as and when IT/technology
systems, services and assets are introduced, changed or decommissioned
• the service catalogue may be used by customers to understand what is the
range of IT/Technology services available and how to access them
• customers may desire higher levels of IT/Technology service than can be
provided or afforded
b) why the relevant parts of the service catalogue needs to be available and accessible to
customers of IT/Technology services
c) why the achievement of appropriate service levels is important to and valued by
customers
d) who needs to have access to the service catalogue

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Associate Professional Role

Competence (7.9.A.1): Carry out service catalogue and/or service level management
activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.9.A.1.C.):
a) Correctly follow all of the procedures, tools and techniques to use for service catalogue
management activities and their deliverables, under supervision
b) Correctly follow all of the procedures, tools and techniques to use for service level
management activities and their deliverables, under supervision
c) Correctly identify those individuals and groups from both within and outside the
organisation who have service level requirements for any particular system, service or
asset and accurately gather their requirements, under supervision
d) Ensure the accessibility and availability of the service catalogue to all customers as
appropriate and in line with the service levels that apply to it
e) Correctly use any relevant Service Level Agreements (SLAs) and, where appropriate,
associated Operational Level Agreements (OLAs) in order to perform own duties
effectively, under supervision

Competent performance requires Knowledge (7.9.A.1.K.) of how to:

a) identify and select the individuals and groups from both within and outside the
organisation who have service level requirements
b) use and apply:
• the procedures, tools and techniques to use for service catalogue and/or service
level management activities and their deliverables
• service level requirements from customers both within and outside the
organisation
• the requirements for the service catalogue
• Service Level Agreements (SLAs) and, where appropriate, associated
Operational Level Agreements (OLAs)
c) operate with reference to customer needs for the service catalogue and/or service levels
d) comply with all relevant and applicable legislation regulations and external standards
relating to service catalogue and/or service level management activities
e) take actions and measures to ensure the accessibility and availability of the service
catalogue to customers
f) advise and guide others on all aspects of the service catalogue and its use

Competent performance requires Understanding (7.9.A.1.U.) of:

a) the role of service level management activities in supporting quality standards and levels
of customer satisfaction
b) that there may be a difference between the levels of service required/requested and what
can be agreed and provided
c) what is the relationship between:
• the service catalogue, service levels and the service lifecycle
• the service catalogue and all other service delivery/operation activities
d) what is meant by:
• a service target
• an Operational Level Agreement (OLA) and what is its purpose
• a Service Improvement Plan (SIP) and what is its purpose
e) what topics need to be covered in a Service Level Agreement (SLA)
f) what is the range of IT/technology services that could be included within a service
catalogue
g) what are the objectives of service catalogue and service level management
h) what are the potential implications of:
• the service catalogue not being available to and accessible by internal and
external customers of IT/Technology services

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• failures to meet the level of service either within an organisation or between

organisations
• service level catalogue and/or service level management activities and their
deliverables being incorrect, incomplete, inadequate and/or inappropriate
i) the fact that service levels:
• for IT/technology systems, services and assets are valued by and important to
customers
• may differ to particular IT/technology systems, services and assets, reflecting
their importance to a business at any particular period in time
• service levels may exist both within an organisation and/or with other
organisations/individuals external to it
j) the fact that:
• structured processes and procedures are essential to service catalogue and
service level management activities
• the agreed service levels associated with any particular IT/Technology system,
service or asset may vary according to specific internal and external factors
such as seasonality, that are important to an organisation’s business operations
• differing IT/technology systems, services and assets may require differing
performance metrics to be used on them
• the service catalogue may only present those elements of the Service
Catalogue that are relevant to a particular customer
• the achievement of IT/technology service levels may be critical to the brand and
reputation of an organisation
• there are external providers of service catalogue and service level management
services
k) the fact that Service Level Agreements (SLAs):
• need to be appropriate, meaningful and relevant to customers
• may be contingent upon effective and relevant Operational level Agreements
(OLAs) and commercial/contractual arrangements
l) the importance of and relevance of service catalogue and service level management
within the full life cycle of service management and delivery supporting an organisation
m) how:
• the service catalogue may support customer satisfaction levels
• appropriate, relevant and meaningful Service Level Agreements (SLAs) may
assist in the achievement of appropriate levels of customer satisfaction

Competence (7.9.A.2): Gather and document service catalogue and/or service level
management activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.9.A.2.C.):
a) Correctly source and accurately collate all the information that must be included in the
service catalogue
b) Accurately collate and document information that can be used to support the
measurement of service levels against metrics by relevant people

Competent performance requires Knowledge (7.9.A.2.K.) of how to:

a) source, gather and collate information:
• that must be included in the service catalogue
• from internal and external customers relating to their service level requirements
• that can be used to support the measurement of service levels against metrics
• to support the reporting of the performance of service catalogue and/or service
level management activities against their targets and/or metrics
b) record and store:
• the procedures, tools and techniques to use for service catalogue and/or service
level management activities and their deliverables

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• service level requirements from both within and outside the organisation
• the requirements for the service catalogue
• information that can be used to support the measurement of service levels
against metrics
• the results from monitoring the quality and effectiveness of the service
catalogue and/or Service Level Agreements (SLAs) in meeting customer needs

Competent performance requires Understanding (7.9.A.2.U.) of:

a) what information:
• should be included in the service catalogue in relation to any particular
IT/technology service
• might need to be referenced and used during service catalogue and/or service
level management activities
b) why:
• the quality and effectiveness of service catalogue and service level
management activities and their deliverables need to be monitored
• the alignment of service levels with contractual and commercial arrangements
needs to be monitored
c) the importance of reviewing service levels as and when business requirements or the
IT/Technology requirements supporting them change
d) the procedures, tools and techniques that can be used to:
• monitor the quality and effectiveness of service catalogue and service level
management activities and their deliverables
• measure service level performance/compliance

Competence (7.9.A.3): Assist in the communication of information produced by service

catalogue and/or service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.A.3.C.):
a) Correctly identify when to publish service level reports and to whom they must be
distributed, under supervision
b) Ensure that all service levels reports are published in a timely manner and are distributed
correctly to all recipients, under supervision
c) Ensure that the communication and reporting of all required performance metrics against
service levels is carried out accurately, openly and in a timely manner, under
supervision
d) Communicate the purpose and role of the service catalogue to internal and external
customers clearly and effectively, and provide them with accurate, courteous and timely
advice and guidance on all aspects of its use
e) Provide information about the performance of any particular service to sponsors,
stakeholder and external bodies as well as individuals and groups who provide support,
under supervision

Competent performance requires Knowledge (7.9.A.3.K.) of how to:

a) identify when to publish and who should receive service level reports
b) take actions and measures:
• to publish and distribute service level reports
• to ensure the communication and reporting of performance against service
levels is carried out accurately, openly and in a timely manner
c) provide information about the performance of any particular service to:
• sponsors, stakeholder and external bodies as required
• individuals and groups who provide support
d) communicate and liaise the purpose and role of:
• the service catalogue to internal and external customers
• service levels to customers of any particular service

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Competent performance requires Understanding (7.9.A.3.U.) of:

a) the fact that service levels may need to be negotiated and agreed with a wide range of
customers, external bodies/agencies and service providers/support groups
b) who:
• should be involved in requesting/defining service level requirements and needs
for any particular IT/Technology service
• are the parties involved in any particular Service Level Agreement (SLA)
• needs to agree what aspects of IT/Technology service should be measured
c) the importance of reporting service level performance clearly, openly and in a timely
manner

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Professional Role

Competence (7.9.P.1): Implement and maintain service catalogue and/or service level
management activities
This competence will be demonstrated by the following Performance Criteria (7.9.P.1.C.):
a) Correctly select the procedures, tools and techniques to use for service catalogue
management activities and their deliverables, under direction
b) Correctly select the procedures, tools and techniques to use for service level
management activities and their deliverables, under direction
c) Correctly identify who is/are the customer/s for any particular Service Level Agreement
(SLA), under direction and guidance
d) Use specific and appropriately timed Service Improvement Plans (SIPs) to address
issues of service failures, as directed
e) Confirm that all relevant elements of service levels can be achieved with the individuals
and groups responsible for supporting them, prior to their agreement, under direction
f) Implement the service catalogue, verifying the accuracy, currency, completeness and
relevance of any information contained within it, as directed
g) Take decisive and timely action to identify and respond to significant breaches/failures of
service levels so that the expectations of customers may be managed, appropriate
action taken to mitigate the potential impact of such breaches and supplier
management/procurement activities advised accordingly

Competent performance requires Knowledge (7.9.P.1.K.) of how to:

a) identify and select:
• service level requirements from both within and outside the organisation
• the procedures, tools and techniques to use for service catalogue and/or service
level management activities and their deliverables and their deliverables
• lessons learned from previous service catalogue and/or service level
management activities and experiences
b) identify:
• customers of any particular Service Level Agreement (SLA)
• internal and external factors that could impact on service catalogue and/or
service level management activities and their deliverables
• significant breaches of/failures to service levels
c) source, gather and collate best practice in service catalogue and/or service level
management activities
d) use and apply:
• strategy, policies, plans, standards and targets relating to service catalogue
and/or service level management activities
• the systems and service lifecycle as appropriate to service catalogue and/or
service level management activities
• Service Improvement Plans (SIPs)
• best practice in service catalogue and/or service level management activities
e) implement and maintain:
• the service catalogue
• Service Level Agreements (SLAs) and, where appropriate, associated
Operational Level Agreements (OLAs)

f) take actions and measures:

• in the event of significant breaches/failures of service levels
• to refresh Service Level Agreements (SLAs) and any associated targets and/or
Operational Level Agreements (OLAs)
• to ensure that the service catalogue is kept up to date, accurate and complete
• to ensure that service levels can be achieved is confirmed with relevant
individuals and groups responsible for supporting them, prior to their agreement

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• to ensure confidentiality, integrity and security during service catalogue and/or

service level management activities and that sensitive business information is
not disclosed inappropriately
g) provide information in the event of any breach/failures to any particular service related to
procurement and supplier management activities

Competent performance requires Understanding (7.9.P.1.U.) of:

a) what is the range of issues associated with the service catalogue and with service level
management activities and their deliverables
b) what legislation, regulations and external standards may apply to service catalogue
and/or service level management activities and their deliverables
c) what contractual and commercial arrangements may apply to service catalogue and/or
service level management activities and their deliverables
d) what is:
• the relationship between service catalogue and/or service level management
activities and the service lifecycle
• is involved in negotiating and agreeing a Service Level Agreement (SLA)
• is the relationship between Service Level Agreements (SLAs), Operational
Level Agreements (OLAs) and underpinning contracts
e) what are the:
• internal and external factors that may affect service level requirements for any
particular IT/Technology system, service or asset
• different types of external service providers that may be used for service
catalogue and/or service level management activities
• benefits and disadvantages of using external providers of service level
catalogue and/or service level management services
f) the fact that:
• service levels are a fundamental element to most contractual arrangements with
external providers of IT/Technology systems, services and assets (including
outsourcers)
• the agreed service levels associated with any particular IT/Technology system,
service or asset may be used as part of an IT/Technology organisation’s
chargeback and/or revenue generating mechanisms
• failure to achieve service levels may result in charges/revenue for
IT/Technology services being reduced proportionally
• business and service delivery/operation requirements need to be reflected in
Service Level Agreements (SLAs)
• the impact of any relevant legislation, regulations and external standards needs
to be reflected in the service level catalogue and/or service level management
activities and their deliverables
• the retention of service contracts and/or operating licences to operate for some
organisations may be contingent upon the provision of appropriate
IT/Technology service levels
g) the fact that poor service levels may:
• negatively impact the relationships between IT/Technology functions and the
other parts of the organisation and/or other customers
• negatively impact the reputation of the IT/technology function
• result in the termination or amendment of contracts and commercial
arrangements with external providers of IT/Technology services
h) why some organisations choose to use external providers of service catalogue and/or
service level management services
i) who:
• should be involved in designing and developing IT/Technology Service Level
Agreements (SLAs), Operational Level Agreements (OLAs) and Service
Improvement Plans (SIPs)
• needs to be involved in negotiating and agreeing IT/Technology Service Level
Agreements (SLAs), Operational Level Agreements (OLAs) and Service
Improvement Plans (SIPs)

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• authorises the cataloguing of new IT/Technology services, changes to and/or

the removal of existing ones in the service catalogue
j) the importance of:
• and relevance of service catalogue and/or service level management activities
on the full life cycle of information within an organisation
• and relevance of service catalogue and/or service level management activities
on the full service life cycle
• confirming that service levels can be achieved with relevant individuals and
groups responsible for supporting them, prior to their agreement
• ensuring confidentiality, integrity and security during service catalogue and/or
service level management activities and that sensitive business information is
not disclosed inappropriately
k) how the service catalogue supports service operation/delivery objectives and the service
strategy

Competence (7.9.P.2): Document and monitor service catalogue and/or service level
management activities
This competence will be demonstrated by the following Performance Criteria (7.9.P.2.C.):
a) Accurately document strategy, policies, plans, standards and targets relating to service
catalogue management and/or service level management activities, as directed
b) Correctly identify and analyse all necessary service level requirements for any particular
IT/technology system, service or asset, from both within and outside the organisation,
under direction
c) Accurately source and collate all necessary information that can be used to measure
service levels against metrics, as directed
d) Tactfully negotiate, apply and clearly document appropriate and meaningful measurement
metrics against which to measure service levels, to support the effectiveness of Service
Level Agreements and meet customer needs, as directed
e) Ensure that all relevant Service Level Agreements (SLAs) are clear, accurate and
documented in a way that supports any contingent contractual arrangements, refreshing
them and any associated targets and/or Operational Level Agreements (OLAs), as
directed
f) Critically analyse the results gained from monitoring service levels either that support an
organisation or exist between organisations, so that issues may be identified,
anticipated and/or rectified by others

Competent performance requires Knowledge (7.9.P.2.K.) of how to:

a) identify and select the procedures, tools, techniques and plans to monitor the:
• quality and effectiveness of service catalogue and/or service level management
activities and their deliverables
• alignment of service level management activities and their deliverables with any
relevant legislation, regulations and external standards
b) source, gather and collate information that:
• is required to produce any Service Level Agreement (SLA) and associated
Operational Level Agreement (OLA)
• can be used to measure service levels against metrics
c) verify the accuracy, currency, completeness and relevance of any information:
• contained in the service catalogue
• gathered during service catalogue and/or service level management activities
d) use and apply:
• the procedures, tools and techniques to monitor the quality and effectiveness of
service catalogue and/or service level management activities and their

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deliverables and their alignment with any relevant legislation, regulations and
external standards
• the metrics to measure the performance of service catalogue management
activities
• appropriate and meaningful measurement metrics against which to measure
service levels
e) record and store the procedures, tools, techniques and plans to monitor the:
• quality and effectiveness of service catalogue and/or service level management
activities and their deliverables
• alignment of service catalogue and/or service level management activities and
their deliverables with business needs, service delivery/operation objectives and
the service strategy and with any relevant legislation, regulations and external
standards
f) record and store:
• the strategy, policies, plans, standards and targets relating to service catalogue
and/or service level management activities
• Service Level Agreements (SLAs) accurately, completely, precisely and in a
way that can be understood by others
• the implications of breaches of Service Level Agreements (SLAs) on
commercial, contractual, regulatory and legal considerations
• the metrics to measure the performance of service catalogue and/or service
level management activities
• appropriate and meaningful measurement metrics against which to measure
service levels
• the results from monitoring the quality and effectiveness of service catalogue
and/or service level management activities and their deliverables
• trends gathered from service level measurement and reporting activities
g) monitor:
• the performance, accuracy and completeness of the service catalogue
• and measure the performance of any particular service level requirements
against Service Level Agreements (SLAs)
• the quality and effectiveness of the Service Catalogue and/or Service Level
Agreements (SLAs) in meeting customer needs
• trends in service level performance identified from service level monitoring,
measurement and reporting
h) analyse and interpret:
• service level requirements from both within and outside the organisation
• the results gained from monitoring service levels either that support an
organisation or exist between organisations
i) take actions and measures to ensure:
• Service Level Agreements (SLAs) are clear, accurate and documented in a way
that supports any contingent contractual arrangements
• transparency in the measurement and reporting of performance against service
levels

Competent performance requires Understanding (7.9.P.2.U.) of:

a) what are appropriate and meaningful metrics that can be used for any particular
IT/technology service
b) the fact that service level performance may need to be reported externally and publicly by
some organisations
c) why the alignment of service catalogue and/or service level management activities and
their deliverables with any relevant legislation, regulations and external standards
needs to be monitored
d) the importance of:
• Service Level Agreements (SLAs) being clear and accurate and documented in
a way that supports any contingent contractual arrangements

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• using appropriate and meaningful metrics to measure service for any particular
IT/Technology system, service or asset
• verifying the accuracy, currency, completeness and relevance of information
used during service catalogue and/or service level management activities
• transparency in the measurement and reporting of performance against service
levels
e) the need for monitoring of:
• compliance with IT/Technology service levels, either that support an
organisation, or exist between organisations
• the alignment of service catalogue and/or service level management activities
and their deliverables with business needs, service delivery/operation objectives
and service strategy
f) the need for monitoring of the quality and effectiveness of:
• the service catalogue
• Service Level Agreements (SLAs) that are in place
• Operational Level Agreements (OLAs) that support SLAs
• Service Improvement Plans (SIPs) in addressing service issues
g) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of:
• Service Level Agreements (SLAs) that are in place
• Operational Level Agreements (OLAs) that support SLAs
• Service Improvement Plans (SIPs) in addressing service issues

Competence (7.9.P.3): Communicate information produced by service catalogue and/or

service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.P.3.C.):
a) Ensure transparency in the measurement and reporting of performance against service
levels; verifying the accuracy, currency, completeness and relevance of any information
gathered in support of them, as directed
b) Clearly and concisely present the metrics and management information produced by
service catalogue and/or service level management activities to relevant people,
sponsors and stakeholders, as directed
c) Communicate effectively and in a timely manner with internal and external customers,
sponsors, stakeholders and external bodies on all aspects of service level management
activities and their deliverables

Competent performance requires Knowledge (7.9.P.3.K.) of how to:

a) report:
• the performance of any particular service against its Service Level Agreement
(SLA) to customers
• issues associated with the performance, accuracy and completeness of the
service catalogue
• trends in service level performance identified from service level monitoring,
measurement and reporting
b) manage relationships with customers of:
• the service catalogue
• any particular Service Level Agreement (SLA)
c) present the metrics and management information produced by service catalogue and/or
service level management activities
d) communicate and liaise with:
• sponsors, stakeholders and external bodies on all aspects of service level
management activities and their deliverables
• internal and external customers in respect of the service levels they receive

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e) negotiate appropriate and meaningful measurement metrics against which to measure

service levels

Competent performance requires Understanding (7.9.P.3.U.) of:

a) the importance of:
• communicating and reporting performance against service levels accurately,
openly and in a timely manner
• dealing tactfully with internal customers, sponsors and stakeholders in the event
of significant breaches/failures of service levels

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Senior Professional Role

Competence (7.9.S.1): Design, implement and maintain procedures relating to service

catalogue and/or service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.S.1.C.):
a) Design, implement and maintain effective and efficient procedures, tools, techniques and
plans to conduct service catalogue and/or service level management activities
b) Correctly identify who are the customers of the service catalogue
c) Design effective and specific Service Level Agreements (SLAs), metrics with which to
measure service levels, and, where appropriate, associated Operational Level
Agreements (OLAs), to meet the needs of customers
d) Design and manage an effective and comprehensive service catalogue which is easy to
use and supports all customers needs for IT/Technology services they may wish to
use/acquire
e) Agree, fully and in a timely manner, the actions required in order to improve service levels
with all relevant customers, individuals and groups involved in the provision of service
f) Make well reasoned decisions on the need for Service Improvement Plans (SIPs),
designing and negotiating their content with internal stakeholders, external bodies and
those internal and external providers of support arrangements; implement SIPs in a
timely fashion

Competent performance requires Knowledge (7.9.S.1.K.) of how to:

a) identify:
• the sponsors of and stakeholders for any service catalogue and/or service level
management activities
• who are the customers of the service catalogue
• who are external providers of service catalogue and service level management
services
• the requirements for the service catalogue
• the implications of breaches of service level agreements on any commercial,
contractual, regulatory and legal considerations
• the need for Service Improvement Plans (SIPs), where appropriate
b) identify and select:
• how, when and why to refresh Service Level Agreements (SLAs) and any
associated targets and/or Operational Level Agreements (OLAs)
• when and how to source, use and apply best practice in service catalogue
and/or service level management activities
• any legislation, regulations and external standards that may apply to service
catalogue and/or service level management activities
• what management information will be provided from service catalogue and/or
service level management activities to sponsors, stakeholders and other
relevant individuals
• what actions may be taken in the event of a breach of service levels either that
support an organisation or exist between organisations
• what actions to take in the event of significant breaches/failures of service levels
c) verify:
• customer requirements for service levels
• the accuracy, currency, completeness and relevance of any information
contained in any particular Service Level Agreement (SLA)
d) use and apply:
• the most appropriate approaches for service catalogue and/or service level
management activities in a range of business and organisational contexts
• information relating to the capabilities and performance of existing or potential
external providers of service catalogue and/or service level management
services
e) implement and maintain:

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• Service Improvement Plans (SIPs), where appropriate

• standards for conducting service catalogue and/or service level management
activities
• strategy, policies and plans to ensure the alignment of service catalogue and/or
service level management activities and their deliverables with all relevant
legislation, regulations and external standards
• the procedures, tools, techniques and plans to conduct service catalogue and/or
service level management activities
• metrics and targets to be applied to service catalogue and/or service level
management activities
f) manage:
• the service catalogue
• the Service Level Agreement (SLA) relating to any particular service
• the implementation of Service Improvement Plans (SIPs)
• the quality and effectiveness of service catalogue and service level
management activities
• the alignment of service catalogue and/or service level management activities
and their deliverables with any relevant legislation, regulations and external
standards
g) analyse and interpret:
• information relating to the capabilities of existing or potential external providers
of service catalogue and/or service level management services
• Service Level Agreements (SLAs) to establish issues associated with their
effectiveness
h) take actions and measures:
• in the event of service catalogue and service level management activities not
supporting the business needs, service delivery/operation objectives and/or the
service strategy
• to agree, in a timely manner, the actions required in order to improve service
levels with customers, individuals and groups involved in the provision of
service
• to ensure that learning from real service experiences is applied back to improve
future service level management activities
i) design and develop:
• the service catalogue
• Service Level Agreements (SLAs) and, where appropriate, associated
Operational Level Agreements (OLAs)
• Service Improvement Plans (SIPs)
• appropriate and meaningful metrics with which to measure service levels for any
particular service
• the procedures, tools, techniques and plans to conduct service catalogue and/or
service level management activities and to monitor the quality and
effectiveness
j) make decisions on:
• the results from monitoring the service catalogue
• the results from monitoring and measuring service levels associated with any
particular service
• when and how to refresh Service Level Agreements and any associated
Operational Level Agreements (OLAs)
• the need for a Service Improvement Plan (SIP)

Competent performance requires Understanding (7.9.S.1.U.) of:

a) what is the range of:

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• approaches that may be used to conduct service catalogue activities and/or

service level management and their appropriateness in a range of business and
organisational contexts
• internal and external factors that could result in changes to the service
catalogue
• internal and external factors that could impact the achievement of service levels
• issues that can occur with external providers involved in the support of service
levels to an organisation
b) what is best practice in service catalogue and/or service level management activities
c) what are the potential implications of failings in integrity, confidentiality and information
security during service level catalogue and/or service level management activities
d) what are the implications of any:
• legislation, regulations and external regulation relevant to service catalogue
and/or service level management activities and their deliverables
• failings in levels of service provided on Service Level Agreements (SLAs)
• commercial arrangements or contractual agreements on Service Level
Agreements (SLAs)
e) the importance of:
• and relevance of commercial, contractual regulatory and legal matters
associated with Service Level Agreements (SLAs)
• learning from real service experiences and applying the learning back to
improve future service level management activities
• identifying the need for Service Improvement Plans (SIPs), where appropriate,
in a timely manner

Competence (7.9.S.2): Document and monitor service catalogue and/or service level
management activities
This competence will be demonstrated by the following Performance Criteria (7.9.S.2.C.):
a) Verify all customer requirements for service levels so that they can be effectively and
precisely translated into the design of the Service Level Agreement (SLA) and any
associated metrics
b) Monitor the service catalogue and associated supporting activities, reporting its
performance against metrics to a range of internal and external individuals and groups
and making decisions and taking actions in the event of it not meeting the business
needs, service delivery/operation objectives and/or the service strategy
c) Clearly and precisely document the results from monitoring the quality and effectiveness
of Service Improvement Plans (SIPs) in addressing service issues and failures, and
report them to all relevant customers, sponsors stakeholders and other individuals and
bodies
d) Routinely monitor the quality and effectiveness of service level management activities,
critically analysing existing Service Level Agreements (SLAs) to establish any issues
associated with them
e) Correctly identify and critically analyse trends in service level performance identified from
service level monitoring, measurement and reporting, in order to establish any root
causes or factors and inform future actions
f) Regularly monitor the alignment of service catalogue and/or service level management
activities and their deliverables with business needs, service delivery/operation
objectives, the service strategy and with any relevant legislation, regulations and
external standards

Competent performance requires Knowledge (7.9.S.2.K.) of how to:

a) identify and select :
• appropriate and meaningful metrics against which to measure service levels
• the procedures, tools and techniques to monitor the alignment of service
catalogue and/or service level management activities and their deliverables

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with business needs, service delivery/operation objectives and the service

strategy and with any relevant legislation, regulations and external standards
• what information needs to be gathered and/or referenced about any particular
service in order to conduct service catalogue and/or service level management
activities
b) identify trends in service level performance identified from service level monitoring,
measurement and reporting
c) use and apply:
• the procedures, tools and techniques to monitor the alignment of service
catalogue and/or service level management activities and their deliverables
with business needs, service delivery/operation objectives and the service
strategy
• information to support the reporting of the performance of service catalogue
and/or service level management activities against targets/metrics
d) record and store:
• the results from monitoring the quality and effectiveness of Service
Improvement Plans (SIPs) in addressing service issues and failures
• proposals relating to the use of external providers of service catalogue and
service level management services
e) implement and maintain appropriate and meaningful metrics with which to measure
service levels for any particular service supporting internal and/or external customers
f) implement and maintain the procedures, tools and techniques to monitor:
• the quality and effectiveness of service catalogue and/or service level
management activities and their deliverables
• the alignment of service catalogue and/or service level management activities
and their deliverables with business needs, service delivery/operation objectives
and the service strategy and with any relevant legislation, regulations and
external standards
g) monitor the quality and effectiveness of:
• service level management activities
• service catalogue management activities and their deliverables
• external providers of service catalogue and service level services
• Service Improvement Plans (SIPs) in addressing service issues and failures
h) monitor the alignment of service catalogue and/or service level management activities
and their deliverables with business needs, service delivery/operation objectives and
the service strategy and with any relevant legislation, regulations and external
standards
i) analyse and interpret:
• trends in service level performance identified from service level monitoring,
measurement and reporting to establish any root causes or factors
• management information/metrics produced about the service catalogue and/or
service level management activities and their deliverables
j) analyse and interpret the results gained from monitoring the:
• quality and effectiveness of service catalogue and/or service level management
activities and their deliverables
• quality and effectiveness of external providers of service catalogue and/or
service level management services
• alignment of service catalogue and/or service level management activities and
their deliverables with any relevant legislation, regulations and external
standards
k) review the metrics and management information produced by service catalogue and/or
service level management activities

Competent performance requires Understanding (7.9.S.2.U.) of:

a) the need for monitoring of the alignment of:
• service level management activities and their deliverables with any contingent
commercial or contractual arrangements

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• service catalogue and/or service level management activities and their

deliverables with business needs, service operation/delivery objectives and
service strategy and with any relevant legislation, regulations, and external
standards
b) the need for monitoring the quality and effectiveness of external providers of service
catalogue and/or service level management activities
c) the procedures, tools and techniques that can be used to monitor the:
• alignment of service catalogue and/or service level management activities and
their deliverables with any contingent commercial or contractual arrangements
• alignment of service catalogue and/or service level management activities and
their deliverables with business needs, service operation/delivery objectives,
service strategy and with any relevant legislation, regulations and external
standards
• quality and effectiveness of external providers of service catalogue and/or
service level management services

Competence (7.9.S.3): Communicate with others on service catalogue and/or service

level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.S.3.C.):
a) Effectively and tactfully negotiate Service Level Agreements (SLAs) with all relevant
internal stakeholders, external bodies and those internal/external providers of support
arrangements
b) Report significant breaches of service levels, correctly identifying and presenting timely
and specific actions to address them
c) Communicate any service level failures to stakeholders and external bodies diplomatically
and empathetically and in a way that supports the ethos, culture, values and brand of
an organisation

Competent performance requires Knowledge (7.9.S.3.K.) of how to:

a) report:
• the performance of services against Service Level Agreements (SLAs) to a
range of internal sponsors, stakeholders and external individuals and
bodies/groups
• the performance of service catalogue and/or service level management
activities, on a regular basis, against metrics to a range of internal and external
individuals and groups
• the results from the implementation of Service Improvement Plans (SIPs)
• significant breaches of service levels
b) manage relationships with sponsors, stakeholders and external bodies on matters relating
to service catalogue and service level management activities
c) present:
• the results from monitoring the performance of the service catalogue and/or
service level activities against metrics
• the quality and effectiveness of service catalogue and/or service level
management activities and their deliverables
• the quality and effectiveness of external providers of service catalogue and
service level management services
• the implications of breaches of service level agreements on commercial,
contractual, regulatory and legal considerations
d) present proposals:
• to address issues with service catalogue and/or service level management
activities not supporting the business needs, service delivery/operation
objectives and/or the service strategy
• address significant failures in/breaches of service levels

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• relating to the use of external providers of service catalogue and/or service level
management services
e) take actions and measures to ensure that the benefits of service levels are communicated
back to sponsors, stakeholders and other individuals
f) communicate and liaise:
• with external providers of service catalogue and/or service level management
services
• service level failures to stakeholders and external bodies in a way that supports
the ethos, culture, values and brand of an organisation
g) negotiate:
• Service Level Agreements (SLAs) with internal stakeholders, external bodies
and those internal and external providers of support arrangements
• Service Improvement Plans (SIPs) with internal stakeholders, external bodies
and those internal and external providers of support arrangements

Competent performance requires Understanding (7.9.S.3.U.) of:

a) the importance of:
• communicating the benefits of service levels to sponsors, stakeholders and
other individuals
• agreeing, in a timely manner, the actions required in order to improve service
with customers and individuals and groups involved in the provision of service
• dealing tactfully with external customers, individuals, groups and bodies in the
event of significant breaches/failures of service levels

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Lead Professional Role

Competence (7.9.L.1): Design strategy, policies and plans relating to service catalogue
and service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.L.1.C.):
a) Identify, design and develop effective strategy, policies, plans, standards and targets
relating to service catalogue management activities
b) Identify, design and develop effective strategy, policies, plans, standards and targets
relating to service level management activities
c) Correctly identify the implications of business objectives, the service strategy and service
delivery/operation objectives on service catalogue and/or service level management
activities
d) Select and/or design the metrics and targets that should apply to service catalogue
and/or service level management activities, making clear and timely decisions on them
e) Make clear and well reasoned decisions on the metrics and targets that should apply to
service catalogue and/or service level management activities

Competent performance requires Knowledge (7.9.L.1.K.) of how to:

a) identify and select:
• strategy, policies, plans, standards and targets relating to service catalogue and
service level management activities
• the most appropriate approach to be taken to service catalogue and/or service
level management activities in a range of business and organisational contexts
• what metrics are to be used to measure the performance of service catalogue
and/or service level management activities
b) identify:
• when to use external providers of service catalogue management services
• the implications of business objectives, the service strategy and service
delivery/operation objectives on service catalogue and/or service level
management activities
c) review proposals relating to the use of external providers of service catalogue and/or
service level management services
d) present the alignment of service catalogue and/or service level management activities
with the business needs, service delivery/operation objectives and the service strategy
e) advise and guide others on:
• the most appropriate approaches to use in service catalogue and/or service
level management activities in a range of business and IT/technology contexts
• when and how to consider external providers of service catalogue and/or
service level management services
f) design and develop standards:
• service level management activities
• for conducting service catalogue management activities
• to ensure the alignment of service catalogue and/or service level management
activities and their deliverables with all relevant legislation, regulations and
external standards
• the procedures, tools and techniques to monitor the alignment of service
catalogue and/or service level management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
and with any relevant legislation, regulations and external standards
• the metrics and targets that should apply to service catalogue and/or service
level management activities
g) make decisions on:
• the appropriateness of using external suppliers of service catalogue and service
level management services
• the metrics and targets that should apply to service catalogue and/or service
level management activities

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• proposals relating to the use of external providers of service catalogue and/or

service level management services

Competent performance requires Understanding (7.9.L.1.U.) of:

N/A

Competence (7.9.L.2): Review, and provide direction relating to, service catalogue and
service level management activities
This competence will be demonstrated by the following Performance Criteria (7.9.L.2.C.):
a) Closely manage the alignment of service catalogue and/or service level management
activities and their deliverables with business needs, service delivery/operation
objectives and the service strategy
b) Accurately, and in a timely manner, identify what actions to take in the event of service
catalogue and/or service level management activities not supporting the business
needs, service delivery/operation objectives and/or the service strategy
c) Effectively manage all of the implications of breaches of Service Level Agreements on
commercial, contractual, regulatory and legal considerations
d) Make astute and timely decisions on the appropriateness of using external suppliers of
service catalogue and/or service level management services, review proposals for their
use, decide which ones to use and negotiate/contract with those selected
e) Make clear and rational decisions on the results from monitoring the quality and
effectiveness of service catalogue/service level management activities and their
deliverables
f) Be fully accountable for the quality, effectiveness, accuracy, completeness and operation
of the service catalogue as it is used/operates within an organisation

Competent performance requires Knowledge (7.9.L.2.K.) of how to:

a) identify and select what actions to take in the event of service catalogue and/or service
level management activities not supporting the business needs, service
delivery/operation objectives and/or the service strategy
b) manage:
• the assessment of external providers of service catalogue and/or service level
management services
• the implications of breaches of Service Level Agreements on commercial,
contractual, regulatory and legal considerations
• the alignment of service catalogue and/or service level management activities
and their deliverables with business needs, service delivery/operation objectives
and the service strategy
c) review:
• the implications of breaches of service level agreements on commercial,
contractual, regulatory and legal considerations
• proposals to address issues with service catalogue and/or service level
management activities not supporting the business needs, service
delivery/operation objectives and/or the service strategy
• proposals to address significant failures in/breaches of service levels
• the results from monitoring the performance of the service catalogue and/or
service level activities against metrics
d) review the quality and effectiveness of:
• service catalogue and/or service level management activities and their
deliverables
• external providers of service catalogue and service level management services
e) advise and guide others on best practice in service catalogue and/or service level
management activities
f) make decisions on the results from monitoring the quality and effectiveness of service
catalogue and service level management activities and their deliverables

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g) make decisions in the event of significant breaches/failures of service levels

h) negotiate with external providers of service catalogue and/or service level management
services
i) agree decisions made during service catalogue and/or service level management
activities
j) authorise and agree which external suppliers of service catalogue and/or service level
management services to use
k) contract with external providers of service catalogue and/or service level services
l) be accountable for the quality, effectiveness, accuracy, completeness and operation of
the service catalogue

Competent performance requires Understanding (7.9.L.2.U.) of:

N/A

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7.10 IT/Technology Asset And Configuration Management

This sub-discipline is about the competencies required to maintain the integrity and consistency
of the IT/technology configuration and the accurate recording and management of IT/technology
assets supporting an organisation. It does not include data, information and knowledge assets
which are considered within discipline six.
The purpose of asset and configuration management is to identify and control and account for
service assets and configuration items, protecting and ensuring their integrity across the service
lifecycle.
Configuration management can be defined as a set of processes that provide oversight and
control of design information and records of changes associated with IT/technology systems
services and assets supporting an organisation. Configuration Management aims to mitigate the
ability of any such changes to impact the ability of these systems, services and assets to
perform their functions as expected.

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Pre-Entry / Junior Technician Role

Competence (7.10.J.1): Carry out asset and configuration management activities, under
supervision
This competence will be demonstrated by the following Performance Criteria (7.10.J.1.C.):
a) Correctly follow the procedures, tools and techniques to use for asset and/or
IT/technology management activities and their deliverables, under supervision
b) Correctly identify the types of IT/technology assets that need to be managed within the
organisation, under supervision
c) Correctly gather any relevant information required for IT/technology asset and/or
configuration management activities, under supervision
d) Correctly use information contained within the configuration management database
(CMDB), under supervision
e) Report, accurately and in a timely manner, any loss or damage to any IT/technology
assets or configuration items to relevant people

Competent performance requires Knowledge (7.10.J.1.K.) of how to:

a) identify and select the procedures, tools and techniques to use for asset and
IT/technology management activities and their deliverables
b) identify the types of IT/technology assets that need to be managed
c) use and apply:
• the procedures, tools and techniques that apply to IT/technology asset and
configuration management activities and their deliverables
• information contained within the configuration management database (CMDB)
• information about the location and ownership of IT/technology assets
d) operate with:
• reference to organisational standards relating to IT/technology asset and
configuration management activities and their deliverables
• reference to professional and ethical standards in IT/technology asset and
configuration management activities
• integrity and confidentiality during IT/technology asset and configuration
management activities
e) operate with reference to the configuration management database(CMDB)
f) comply with all relevant and applicable legislation, regulations and standards relating to
IT/technology asset and configuration management activities
g) report any loss or damage to any IT/technology assets or configuration items

Competent performance requires Understanding (7.10.J.1.U.) of:

a) the need for IT/technology asset and configuration management
b) what is meant by IT/technology:
• configuration management
• configuration item (CI)
• configuration management database (CMDB)
c) what is the range of IT/technology assets that an organisation may have
d) what are the:
• types of IT/technology assets that need to be managed
• types of activities undertaken during asset and IT/technology configuration
management
• standards and service levels relating to IT/technology configuration management
within an organisation
• criteria and conditions that must be met in order to maintain the integrity of the
IT/technology configuration
e) the fact that:
• organisations need to know the location of their IT/technology assets, where
appropriate

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• there is legislation governing the disposal of some IT/technology assets

• the loss of IT/technology assets owned by an organisation can have a significant
negative financial impact and an organisation’s brand, reputation and
operational effectiveness
• an increasing number of IT/technology assets are now mobile/portable and/or exist
outside secured environments
f) why organisations need to:
• control their IT/technology assets
• keep records of all IT/technology assets owned or used by them and know their
location, where appropriate
g) who:
• has been given “ownership”/responsibility for each IT/technology asset/component
• to report any issues concerning IT/technology assets/configuration items to
• has the authority to approve the disposal of IT/technology assets
• uses the different IT/technology assets
• uses the IT/technology configuration items/CIs logged within the database
• are the providers of IT/technology assets and resources
h) the importance of:
• operating with reference to standards and service levels in IT/technology
configuration and asset management and reporting any issues concerning
IT/technology assets and configuration items in a timely manner so that
appropriate actions can be taken
• having appropriate security for all IT/technology assets and configuration items
i) the procedures, tools and techniques that can be used to manage the IT/technology
assets of an organisation

Competence (7.10.J.2): Document and monitor asset and configuration management

activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.10.J.2.C.):
a) Correctly source and collate all necessary information that needs to be recorded about
IT/technology assets and configuration items, under supervision
b) Accurately and completely document the acquisition cost, lifespan and depreciate rate set
for any asset and its location, under supervision
c) Accurately and fully document all details concerning new items to be added to the
IT/technology configuration items in the configuration management database(CMDB),
under supervision
d) Regularly monitor changes to the location and ownership of any IT/technology assets,
under supervision

Competent performance requires Knowledge (7.10.J.2.K.) of how to:

a) source, gather and collate:
• any relevant information required for IT/technology asset and configuration
management activities
• information that needs to be recorded about IT/technology assets and configuration
items
b) record and store:
• the acquisition cost, lifespan and depreciate rate set for any asset
• the location of all IT/technology assets
• all details concerning new items to be added to the IT/technology configuration
items in the configuration management database(CMDB)
c) monitor changes to the location and ownership of any IT/technology assets

Competent performance requires Understanding (7.10.J.2.U.) of:

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a) what information needs to be recorded about IT/technology assets

b) the fact that the IT/technology configuration within an organisation needs to be monitored
c) the importance of routine monitoring of the IT/technology configuration within an
organisation
d) the need for monitoring of the location of all IT/technology assets held/owned
e) the procedures, tools and techniques that can be used to monitor the IT/technology
assets of an organisation

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Associate Professional role

Competence (7.10.A.1): Carry out asset and configuration management activities

This competence will be demonstrated by the following Performance Criteria (7.10.A.1.C.):
a) Accurately identify any internal and external factors that could impact the integrity and
consistency of the IT/technology configuration
b) Correctly apply and operate according to the criteria and conditions that must be met in
order to ensure the integrity of the IT/technology configuration
c) Take appropriate action to ensure the security of IT/technology assets, under supervision
d) Critically interpret information/data concerning any IT/technology asset or configuration
item that has been lost or damaged in order to determine the most appropriate actions
to take
e) Fully comply with all financial standards and policies that apply to IT/technology asset
management activities, under supervision
f) Liaise, as directed by others, with external service providers/hosts of technology
products/services and/or equipment that may need to be referenced in the configuration
management database

Competent performance requires Knowledge (7.10.A.1.K.) of how to:

a) identify and select:
• all IT/technology configuration items and IT/technology assets that need to be
managed
• who are the providers of IT/technology assets and configuration management
activities
• any legislation, regulations and external standards that may apply to IT/technology
asset and configuration management activities
b) identify:
• objectives of IT/technology configuration management activities
• internal and external factors that could impact the integrity and consistency of the
IT/technology configuration
• internal and external factors that could impact IT/technology assets
c) use and apply criteria and conditions that must be met in order to ensure the integrity of
the IT/technology configuration
d) operate with reference to:
• financial standards and policies for asset management
• the criteria and conditions that must be met in order to ensure the integrity of the
IT/technology configuration
• service standards and service levels
e) analyse and interpret information/data concerning any IT/technology asset or
configuration item that has been lost or damaged in order to determine the most
appropriate actions to take
f) take actions and measures to ensure the security of IT/technology assets
g) communicate and liaise with external service providers/hosts of technology
products/services and/or equipment that may need to be referenced in the configuration
management database

Competent performance requires Understanding (7.10.A.1.U.) of:

a) the value of IT/technology asset management to an organisation
b) the role of IT/technology asset and configuration management in service
delivery/operations
c) the relationship between IT/technology asset and configuration management activities
and all other service delivery/operation activities
d) what is the range of internal and external factors that could impact the IT/technology
configuration including the integrity and consistency of the configuration
e) what is the purpose of IT/technology configuration management

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f) what is the relationship between the IT/technology asset and configuration management
activities, the systems/service lifecycle and the service catalogue/portfolio
g) what are the:
• objectives of IT/technology asset management
• implications of any item being considered as a IT/technology asset
h) what are the potential implications of the IT/technology configuration supporting an
organisation becoming compromised
i) the fact that:
• organisations need to control and value their IT/technology assets
• a configuration management database is critically important to effective change
management activities
• knowledge of the location of IT/technology assets is critical to a range of
IT/technology processes and functions, including change management,
equipment and software refreshes and security
• the loss of IT/technology assets owned by an organisation can have legal,
regulatory and security implications
j) why organisations need to depreciate their IT/technology assets over a prescribed time
period
k) why the loss of IT/technology assets owned by an organisation can have a significant
negative financial impact
l) who has the authority to determine the lifespan of any IT/technology asset
m) who are the sponsors of and stakeholders for IT/technology asset and configuration
management activities
n) the importance of
• individuals complying with IT/technology configuration management strategy,
policies, processes and procedures
• protecting the integrity of the current operational IT/technology configuration
o) the procedures, tools and techniques that can be used to manage the IT/technology
configuration supporting an organisation

Competence (7.10.A.2): Document asset and configuration management activities,

register and database, under supervision
This competence will be demonstrated by the following Performance Criteria (7.10.A.2.C.):
a) Correctly document the procedures, tools and techniques relating to IT/technology asset
and/or configuration management activities and their deliverables, under supervision
b) Correctly document changes made to the configuration management database, under
supervision
c) Accurately and completely document the disposal or termination of IT/technology assets,
under supervision
d) Routinely monitor asset and configuration management activities, as directed

Competent performance requires Knowledge (7.10.A.2.K.) of how to:

a) identify and select the inputs to and outputs required from IT/technology asset and
configuration management activities
b) verify the accuracy, currency, completeness and relevance of information used during
IT/technology asset and configuration management activities
c) record and store:
• the procedures, tools and techniques relating to IT/technology asset and
configuration management activities and their deliverables
• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology asset and configuration management activities and their
deliverables

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• changes to the configuration management database including the disposal or

termination of IT/technology assets
• the procedures, tools and techniques to monitor the alignment of IT/technology
asset and configuration management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
and with any relevant legislation, regulations and external standards
• the results from monitoring the quality and effectiveness of IT/technology asset and
configuration management activities and their deliverables
d) provide information concerning IT/technology configuration to other individuals and
groups as requested

Competent performance requires Understanding (7.10.A.2.U.) of:

a) the fact that a configuration management database should include details of how
configuration items are related to other configuration items
b) why IT/technology assets must be logged and tracked throughout their life cycle until they
are disposed of/terminated
c) the importance of documenting the design information relating to the IT/technology
systems. services and assets and their configuration
d) the need for monitoring of the IT/technology configuration within an organisation
e) the procedures, tools and techniques that can be used to monitor the IT/technology
configuration within an organisation

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Professional Role

Competence (7.10.P.1): Implement and maintain asset and configuration management

activities
This competence will be demonstrated by the following Performance Criteria (7.10.P.1.C.):
a) Correctly apply standards relating to IT/technology asset and/or configuration
management activities
b) Correctly implement and maintain the procedures, tools, techniques, plans, metrics and
targets that apply to IT/technology asset and/or configuration management activities
and their deliverables, under direction
c) Correctly implement and maintain the configuration management database (CMDB),
ensuring that all necessary details of IT/technology configuration items are correctly
recorded in it and managing changes to it, as directed
d) Take timely and appropriate action in the event of loss or damage to any IT/technology
asset or configuration item, as directed
e) Liaise effectively with internal and external financial and audit groups and individuals in
reference to asset management activities, providing them with timely and accurate
information concerning assets to auditors, on request and under direction

Competent performance requires Knowledge (7.10.P.1.K.) of how to:

a) identify:
• criteria and conditions that must be met in order to maintain the integrity of the
IT/technology configuration
• objectives of IT/technology asset management activities
• the implications of technology products/services and/or equipment being provided
by external service providers/hosts on IT/technology asset and configuration
management activities
• lessons learned from previous configuration management activities and
experiences
b) identify and select:
• who to give “ownership”/responsibility for each IT/technology asset/component
• strategies, policies, plans, standards and targets relating to IT/technology asset
and configuration management activities
• when and how to source, use and apply best practice in IT/technology
configuration management
c) source, gather and collate best practice in IT/technology configuration management
activities
d) use and apply:
• the asset register
• the lifespan, acquisition cost and depreciation rate that apply to any IT/technology
asset
• standards relating to IT/technology asset and configuration management activities
• information relating to proposed changes to IT/technology configuration items
• best practice in IT/technology configuration management activities
• lessons learned from previous IT/technology configuration management activities
e) implement and maintain:
• the procedures, tools, techniques and plans that apply to IT/technology asset and
configuration management activities and their deliverables
• metrics and targets to be applied to IT/technology asset and configuration
management activities
• the procedures, tools, techniques and plans to monitor the alignment of
IT/technology asset and configuration management activities and their
deliverables with any relevant legislation, regulations and external standards
f) manage the disposal, movement and changes associated with, or termination of
IT/technology assets

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g) take actions and measures in the event of loss or damage to any IT/technology asset or
configuration item
h) communicate and liaise:
• with internal and external individuals and bodies on the security of IT/technology
assets
• with internal and external financial and audit groups and individuals in reference to
asset management activities

Competent performance requires Understanding (7.10.P.1.U.) of:

a) the relationship between IT/technology asset management and financial processes within
an organisation
b) what is:
• an asset register and its purpose
• meant by depreciation of assets
• the range of technical environments that IT/technology configuration management
controls for an organisation
• the relevance of service levels in relation to IT/technology asset and configuration
management
• the relationship between the asset and IT/technology management activities, the
service lifecycle and the service catalogue/portfolio
c) what legislation, regulation and external standards applies to IT/technology asset and
configuration management activities and their deliverables
d) what are the:
• implications of technology products/services and/or equipment being provided by
external service providers/hosts on IT/technology asset and configuration
management activities
• potential implications of IT/technology asset and configuration management
activities and their deliverables being incorrect, incomplete, inadequate and/or
inappropriate
• implications of any legislation, regulations and external standards on IT/technology
asset and configuration management activities and their deliverables
e) the fact that :
• IT/technology configuration management must comply with standards and service
levels
• all proposed changes to IT/technology systems, services and assets should be
assessed against the current IT/technology configuration
• the lifecycle, installation date and depreciation rate of all IT/technology assets
should be recorded
• organisations need to depreciate their IT/technology assets over a prescribed time
period
• there are external suppliers of IT/technology configuration management services
f) why organisations need to value their IT/technology assets
g) why the loss of IT/technology assets owned by an organisation can have significant
implications for an organisation’s brand, reputation and operational effectiveness and
may have legal, regulatory and security implications
h) who needs to authorise actions proposed and taken during IT/technology asset and
configuration management activities
i) who are the external providers of IT/technology asset and configuration management
services
j) the importance of:
• and relevance of IT/technology configuration management on the full life cycle of
service management and delivery supporting an organisation
• and relevance of standards and service levels in relation to IT/technology
configuration management
• making changes to IT/technology configuration items only as a result of approved
changes to IT/technology systems, services and assets

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• assigning “ownership”/responsibility for particular IT/technology assets to named

individuals/groups
• liaising with those individuals within the organisation ,concerned with the security of
IT/technology assets
• terminating or disposing of IT/technology assets as they become redundant

Competence (7.10.P.2): Document and monitor asset and configuration management

activities, register and database
This competence will be demonstrated by the following Performance Criteria (7.10.P.2.C.):
a) Routinely monitor the integrity of IT/technology configuration and the asset register, in line
with procedures and under direction
b) Correctly identify and accurately document the criteria and conditions that must be met in
order to ensure the integrity of the IT/technology configuration, presenting them for
review and authorisation to relevant people
c) Effectively manage the accurate recording of “ownership” of IT/technology assets,
including any disposal, movement and changes associated with them and ensuring the
location of them is known and recorded
d) Accurately document changes to the lifespan and depreciation rates for any particular
IT/technology asset
e) Regularly monitor when IT/technology assets need to be changed/renewed/disposed of,
correctly applying information relating to lifespan, acquisition cost and depreciation
rates contained within the asset register, as directed

Competent performance requires Knowledge (7.10.P.2.K.) of how to:

a) identify and select:
• what information needs to be recorded about IT/technology assets and
configuration items and what must be recorded in the event of the loss of or
damage to any IT/technology asset that could impact the value of that asset
• the results from monitoring IT/technology asset and configuration management
activities
b) source, gather and collate information relating to proposed changes to IT/technology
systems, services and assets
c) use and apply:
• the procedures, tools and techniques to monitor the alignment of IT/technology
configuration management activities and their deliverables with business needs,
service delivery/operation objectives and the service strategy and with any
relevant legislation, regulations and external standards
• information to support reporting of the performance of IT/technology configuration
management activities against targets/metrics
• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology configuration management activities and their deliverables
d) record and store:
• standards for conducting IT/technology asset and configuration management
activities
• strategy and policies to ensure the alignment of IT/technology asset and
configuration management and their deliverables with all relevant legislation,
regulations and external standards
• proposals relating to the use of external providers of IT/technology asset and
configuration management services
• criteria and conditions that must be met in order to ensure the integrity of the
IT/technology configuration
• the lifespan, acquisition cost and depreciation rate that apply to any IT/technology
asset and any changes to these
e) implement and maintain:
• the configuration management database (CMDB)

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• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology asset and configuration management activities and their
deliverables
f) monitor:
• the integrity of IT/technology configuration
• the IT/technology asset register
• the disposal of IT/technology assets and configuration items
• the alignment of IT/technology asset and configuration management activities and
their deliverables with service standards and service levels
• the performance of IT/technology asset and configuration management services
against metrics
• when IT/technology assets need to be changed/renewed/disposed of
g) report:
• the results of monitoring the disposal of IT/technology assets and configuration
items
• the location of all IT/technology assets
h) manage:
• the recording of “ownership” of IT/technology assets
• changes to the configuration management database
i) present criteria and conditions that must be met in order to ensure the integrity of the
IT/technology configuration
j) take actions and measures to ensure:
• the location of all IT/technology assets and configuration items is known and
recorded
• all necessary details of IT/technology configuration items are recorded in the
configuration management database(CMDB)
k) provide information:
• concerning IT/technology assets to auditors as requested
• and data concerning IT/technology assets and configuration items to sponsors and
stakeholders

Competent performance requires Understanding (7.10.P.2.U.) of:

a) what assets have been decommissioned, damaged, written off or disposed of
b) what are the inputs to and required outputs from asset and IT/technology management
activities
c) the fact that an asset register needs to record information about the installation date, cost
and depreciation periods and rates that apply to any particular IT technology product,
service or item of equipment and why this is information is needed
d) who has the authority to make changes to the IT/technology configuration management
database
e) who uses information provided by asset and IT/technology management activities
f) the importance of:
• communicating the potential impact of the IT/technology configuration becoming
compromised on the effectiveness of the organisation
• keeping detailed records of IT/technology assets for audit purposes
g) the need for monitoring of
• the age and value of all IT/technology assets held/owned
• the disposal or termination of IT/technology assets
• all IT/technology assets to ensure that they are added to an inventory of
IT/technology assets with all associated information about them being recorded
• what each IT/technology configuration item does and any changes applied to the
current configuration
• the alignment of IT/technology asset and configuration management activities and
their deliverables with legislation, regulation and external standards that may
apply

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Senior Professional Role

Competence (7.10.S.1): Manage, implement and maintain asset and configuration

management strategy, plans, and activities
This competence will be demonstrated by the following Performance Criteria (7.10.S.1.C.):
a) Correctly implement standards relating to IT/technology asset and/or configuration
management activities and their deliverables
b) Effectively implement, maintain and manage the IT/technology asset register, taking
action to ensure its currency, accuracy and completeness and to control/record all
IT/technology assets used by the organisation
c) Effectively manage the configuration management database(CMDB), ensuring its
currency, accuracy and completeness, analysing proposed changes against it,
identifying actions needed in the event or possible event of it becoming compromised
and making decisions to apply only approved changes
d) Ensure that all that proposed changes considered by the change management/advisory
board reference information held in the configuration management database
e) Provide timely and specific advice to other individuals on the need to protect the integrity
of the of the IT/technology configuration
f) Make reasoned and timely decisions on the disposal or termination of IT/technology
assets and the lifespan and depreciation of IT/technology assets
g) Present clear and relevant information relating to the age and value of IT/technology
assets including recommendations for the disposal of fully aged assets

Competent performance requires Knowledge (7.10.S.1.K.) of how to:

a) identify:
• lessons learned from previous asset management activities and experiences
• the lifespan, acquisition cost and depreciation rate that apply to any IT/technology
asset
• actions needed in the event or possible event of the integrity of the IT/technology
configuration being compromised
• who are potential external providers of IT/technology asset and configuration
management services used by the organisation
• who are the sponsors of and stakeholders for IT/technology asset and
configuration management activities
• the issues involved in IT/technology asset and configuration management
b) Identify and select:
• information, from the service catalogue and service levels required for
IT/technology asset and configuration management
• when and how to source, use and apply best practice in IT/technology asset
management
c) verify that changes to configuration items are only made as a result of approved changes
to IT/technology systems, services and assets
d) use and apply:
• strategy and policies to ensure the alignment of IT/technology asset and
configuration management activities and their deliverables with all relevant
legislation, regulations and external standards
• information concerning the lifespan, acquisition cost and depreciation rate that
apply to any IT/technology asset
• information relating to the age and value of IT/technology assets
• information relating to the capabilities and performance of existing or potential
external providers of IT/technology asset and configuration management
services
• lessons learned from previous IT/technology configuration management activities
• best practice in IT/technology asset management activities
e) implement and maintain:

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• standards relating to IT/technology asset and configuration management activities

and their deliverables and with all relevant legislation, regulations and external
standards
• the IT/technology asset register
f) manage:
• information relating to the age and value of IT/technology assets
• the IT/technology asset register
• the integrity of the IT/technology configuration
• the configuration management database
• the alignment of IT/technology asset and configuration management activities and
their deliverables with all relevant legislation, regulations and external standards
• any failings in integrity, confidentiality and information security during IT/technology
asset and configuration management activities
• relationships with external providers of IT/technology asset and configuration
management services
• the assessment of external providers of IT/technology asset and configuration
management services
g) review criteria and conditions that must be met in order to ensure the integrity of the
IT/technology configuration
h) take actions and measures:
• to take account of internal and external factors that may impact on IT/technology
asset and configuration management activities
• in the event of the IT/technology configuration being compromised
• to control IT/technology assets
• to ensure that changes are only made to the configuration items as a result of
approved changes to IT/technology systems, services and assets
i) take actions and measures, relating to IT/technology assets, to ensure:
• the disposal or termination of them
• that they are depreciated
• the currency, accuracy and completeness of the asset register
• records are kept of all assets owned or used by the organisation
• are tracked throughout their lifecycle
• that audit requirements activities can be met/supported
j) take actions and measures, relating to the configuration database (CMDB), to ensure:
• that proposed changes are referenced to information held in the database
• the currency, accuracy and completeness of the database
• that the database is updated when IT/technology assets are disposed of/altered or
acquired
k) communicate and liaise with internal stakeholders and external bodies on the need to
protect the integrity of the IT/technology configuration
l) advise and guide others:
• the need to protect the integrity of the of the IT/technology configuration
• the value and age of IT/technology assets
m) make decisions on the lifespan and depreciation of IT/technology assets and their
disposal or termination

Competent performance requires Understanding (7.10.S.1.U.) of:

a) what is best practice in the area of IT/technology configuration management and asset
management
b) what is the range of approaches that can be taken to asset and IT/technology
configuration management and their appropriateness in a range of business and
organisational contexts
c) what actions are needed in the event or possible event of the integrity of the
IT/technology configuration being compromised
d) what are the:

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• implications of external factors on IT/technology asset and configuration

management activities and their deliverables
• potential implications of failings in integrity, confidentiality and information security
during IT/technology asset and configuration management activities
• benefits and disadvantages of using external providers of IT/technology asset and
configuration management services
• issues involved in the outsourcing of the hosting of IT/technology systems, services
and assets on asset and configuration management activities
e) the fact that the importance of protecting the integrity of the IT/technology configuration
needs to be communicated to internal stakeholders and external bodies as appropriate
f) the importance of taking account of external factors within IT/technology configuration
management

Competence (7.10.S.2): Design and monitor asset and configuration management

processes, plans and activities
This competence will be demonstrated by the following Performance Criteria (7.10.S.2.C.):
a) Effectively design the procedures, tools, techniques and plans relating to IT/technology
asset and/or configuration management activities and their deliverables and the criteria
and conditions that must be met in order to ensure the integrity of the IT/technology
configuration
b) Monitor IT/technology assets, ensuring they are depreciated in line with their agreed
lifespan, acquisition cost and depreciation rate, and disposed of once they are fully
aged and no longer required
c) Correctly identify the audit requirements in relation to IT/technology asset management
activities and ensuring their requirements can be met/supported

Competent performance requires Knowledge (7.10.S.2.K.) of how to:

a) identify and select:
• the range of approaches that may be taken to IT/technology asset and
configuration management and their appropriateness in a range of business and
organisational contexts
• audit requirements in relation to IT/technology asset management activities
b) identify the implications of business objectives, the service strategy and service
delivery/operation objectives on IT/technology asset and configuration management
activities
c) source, gather and collate best practice in IT/technology asset management activities
d) use and apply:
• the procedures, tools and techniques to monitor the alignment of IT/technology
asset management activities and their deliverables with business needs, service
delivery/operation objectives and the service strategy
• information to support reporting of the performance of IT/technology asset
management activities against targets/metrics
• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology asset management activities and their deliverables
• the most appropriate approaches that may be taken to IT/technology asset and
configuration management in a range of business and organisational contexts
e) implement and maintain the procedures, tools and techniques to monitor the alignment of
IT/technology asset and configuration management activities and their deliverables with
business needs, service delivery/operation objectives and the service
strategy/standards
f) monitor:
• the age and value of IT/technology assets
• the quality and effectiveness of IT/technology asset and configuration management
activities and their deliverables

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• the alignment of IT/technology asset and configuration management activities and

their deliverables with business needs, service delivery/operation objectives and
the service strategy and with any relevant legislation, regulations and external
standards
• the quality, effectiveness and performance of external providers of IT/technology
asset and configuration management services
g) report:
• the performance of IT/technology asset and configuration management activities,
on a regular basis, against metrics to a range of internal and external individuals
and groups
• findings from monitoring the quality and effectiveness of IT/technology asset and
configuration management activities
• the results of monitoring the alignment of the IT/technology configuration with
business needs, service delivery/operation objectives and the service strategy
• the results from monitoring the alignment of IT/technology asset and configuration
management activities and their deliverables with standards and service levels
• any issues arising from monitoring IT/technology configuration items
• the performance of external providers of IT/technology asset and configuration
management services
h) analyse and interpret:
• information relating to the age and value of IT/technology assets
• information relating to proposed changes to IT/technology systems, services and
assets against the current IT/technology configuration
• the results gained from monitoring the alignment of IT/technology asset and
configuration management activities and their deliverables with any relevant
legislation, regulations and external standards
i) present:
• information relating to the age and value of IT/technology assets including
recommendations for the disposal of fully aged assets
• the quality and effectiveness of IT/technology asset and configuration management
activities against metrics
• the alignment of IT/technology asset and configuration management activities with
the business needs, service delivery/operation objectives and the service
strategy
• proposals regarding the lifespan and depreciation rate to apply to any
IT/technology asset
• the quality and effectiveness of external providers of IT/technology asset and
configuration management services
j) take actions and measures in the event of IT/technology asset and configuration
management activities not supporting the business needs, service delivery/operation
objectives and/or the service strategy
k) design and develop:
• criteria and conditions that must be met in order to ensure the integrity of the
IT/technology configuration
• the procedures, tools, techniques and plans relating to IT/technology asset and
configuration management activities and their deliverables
• the procedures, tools and techniques to monitor the alignment of IT/technology
asset and configuration management activities and their deliverables with
business needs, service delivery/operation objectives and the service strategy
and with any relevant legislation, regulations and external standards
• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology asset and configuration management activities and their
deliverables
l) make decisions on proposed changes to the configuration management database

Competent performance requires Understanding (7.10.S.2.U.) of:

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a) what is the range of issues associated with IT/technology asset and configuration
management
b) what is the role of audit in relation to IT/technology assets and configuration items
c) the fact that:
• there are a range of issues associated with IT/technology configuration
management
• IT/technology configuration management documentation and associated processes
can be used to assess the impact of change
d) the importance of asset information informing IT/technology informing IT /technology
investment and refresh plans
e) the need for monitoring of:
• when IT/technology configuration items need to be changed/renewed/disposed of
• the quality and effectiveness of IT/technology asset and configuration management
activities
• the quality and effectiveness of external providers of IT/technology asset and
configuration management services

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Lead Professional Role

Competence (7.10.L.1): Manage and provide direction on all aspects of asset and
configuration management
This competence will be demonstrated by the following Performance Criteria (7.10.L.1.C.):
a) Effectively manage the alignment of IT/technology asset and configuration management
activities and their deliverables with business needs, service delivery/operation
objectives and the service strategy and identify actions required to maintain that
alignment
b) Agree necessary changes to the configuration management database and the
IT/technology asset register, prior to their authorisation
c) Critically review and make decisions on information provided by others relating to the age
and value of IT/technology assets including recommendations for the disposal of fully
aged assets
d) Provide timely and specific advice and guidance to other individuals on best practice in
IT/technology asset and configuration management activities

Competent performance requires Knowledge (7.10.L.1.K.) of how to:

a) identify and select when and how to use external providers IT/technology asset and
configuration management services
b) report any issues arising from IT/technology asset and configuration management
activities and their deliverables
c) manage relationships with sponsors, stakeholders and external bodies on matters relating
to IT/technology asset and configuration management activities
d) review information relating to the age and value of IT/technology assets including
recommendations for the disposal of fully aged assets
e) take actions and measures to ensure:
• that IT/technology assets are valued by individuals and the organisation as a whole
• the integrity of the IT/technology configuration
f) communicate and liaise with external providers of IT/technology asset and configuration
management services
g) communicate the potential impact of the IT/technology configuration being compromised
to sponsors and stakeholders
h) advise and guide others on:
• best practice in IT/technology asset and configuration management activities
• when and how to consider external providers of IT/technology asset and
configuration management services
• all aspects of IT/technology asset and configuration management activities and
their deliverables
i) make decisions:
• on proposals regarding the lifespan and depreciation rate to apply to any
IT/technology asset
• on information relating to the age and value of IT/technology assets including
recommendations for the disposal of fully aged assets
• on the appropriateness of using external suppliers of IT/technology asset and
configuration management services
• on proposals and plans relating to the potential use of external suppliers of
IT/technology asset and configuration management services
j) negotiate with external providers of IT/technology asset and configuration management
services
k) authorise and agree:
• proposals and plans relating to the potential use of external suppliers of
IT/technology asset and configuration management services
• which external suppliers of IT/technology asset and configuration management
services to use

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• criteria and conditions that must be met in order to ensure the integrity of the
IT/technology configuration
l) contract with external providers of IT/technology asset and configuration management
services

Competent performance requires Understanding (7.10.L.1.U.) of:

N/A

Competence (7.10.L.2): Design, review and agree all aspects of asset and configuration
management activities
This competence will be demonstrated by the following Performance Criteria (7.10.L.2.C.):
a) Design effective standards, metrics and targets relating to IT/technology asset and
configuration management activities
b) Ensure the integrity of all aspects of the IT/technology configuration supporting an
organisation, agreeing the criteria and conditions that must be met for changes to be
applied
c) Critically review and make timely decisions on proposals regarding the lifespan and
depreciation rate to apply to any IT/technology asset
d) Critically review the quality and effectiveness of IT/technology asset and configuration
management activities against metrics

Competent performance requires Knowledge (7.10.L.2.K.) of how to:

a) identify and select:
• what metrics are required to measure the performance of IT/technology asset and
configuration management activities
• what actions may be taken in the event of IT/technology asset and configuration
management activities not supporting the business needs, service
delivery/operation objectives and/or the service strategy
b) manage the alignment of IT/technology asset and configuration management activities
and their deliverables with business needs, service delivery/operation objectives and
the service strategy
c) analyse and interpret:
• information relating to the capabilities of existing or potential external providers of
IT/technology asset and configuration management services
• the results gained from monitoring the quality and effectiveness of all aspects of
IT/technology asset and configuration management services provided by
external providers
d) review:
• the alignment of IT/technology asset and configuration management activities with
the business needs, service delivery/operation objectives and the service
strategy
• the quality and effectiveness of IT/technology asset and configuration management
activities against metrics
• proposals regarding the lifespan and depreciation rate to apply to any
IT/technology asset
• the quality and effectiveness of external providers of IT/technology asset and
configuration management services
e) present proposals relating to the use of external providers of IT/technology asset and
configuration management services
f) take actions and measures to assess potential external providers of IT/technology asset
and configuration management services
g) design and develop:
• standards for conducting IT/technology asset and configuration management
activities and their alignment with all relevant legislation, regulations and
external standards

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• the metrics and targets that are used to measure the performance of IT/technology
asset and configuration management activities
h) make decisions
• on the results from monitoring IT/technology asset and configuration management
activities
• on the metrics and targets that should apply to IT/technology asset and
configuration management activities
i) authorise and agree
• changes to the configuration management database
• changes to the IT/technology asset register

Competent performance requires Understanding (7.10.L.2.U.) of:

N/A

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7.11 Supplier Management

The purpose of the supplier management process is to obtain value for money from suppliers
and to ensure that suppliers perform to the targets contained within their contracts and
agreements, while confirming to all the terms and conditions.
This sub-discipline is concerned with the competencies required to procure and manage the
suppliers of third party IT/technology products, services and equipment. This sub-discipline also
covers the competencies required to enable the efficient and effective provision of IT/technology
systems, services and assets supporting an organisation by an external supplier/partner and in
line with organisations requirements and budget. These goods and services include:
• Software products, services and equipment
• Hardware products, services and equipment
• Networking products, services and equipment
• Consultancy services (including outsourcing services) and external expertise
• Consumables required by IT/technology systems, services and assets or the users of
them

This sub-discipline is also concerned with the effective development and management of both
relationships with suppliers and partners, and associated contractual and service arrangements.
This sub-discipline does not cover internal billing for products services and equipment or the
administrative activities involved in the placing and tracking of orders.

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Pre-Entry / Junior Technician Role

Competence (7.11.J.1): Carry out assigned supplier and partner activities

This competence will be demonstrated by the following Performance Criteria (7.11.J.1.C.):
a) Correctly follow the procedures, tools and techniques for IT/technology supplier
management activities , under supervision
b) Fully comply with all organisational standards relating to IT/technology supplier
management activities , under supervision
c) In all aspects of own work, operate with reference to contracts and agreements that exist
between the organisation and the suppliers of IT/technology products, services and/or
equipment under supervision
d) Correctly identify the types of IT/technology products, service and equipment that are
supplied to the organisation, under supervision
e) Correctly identify the current suppliers of IT/technology products, services and/or
equipment to the organisation, under supervision
f) Communicate clearly and precisely with suppliers of IT/technology products/services
and/or equipment, under supervision

Competent performance requires Knowledge (7.11.J.1.K.) of how to:

a) identify:
• the types of IT/technology products, service and equipment that are supplied to
the organisation
• the current suppliers of IT/technology products, services and/or equipment to
the organisation
b) source, gather and collate information:
• from the service catalogue and service levels required for IT/technology supplier
management
• to update supplier/contract details
• about preferred suppliers of IT/technology products, services and equipment
• about what the organisation’s requirements are for IT/technology products,
services and equipment
c) use and apply:
• information about new and existing IT/technology suppliers and/or contracts and
agreements
• the procedures, tools and techniques for IT/technology supplier management
activities
• information about the organisation’s requirements for IT/technology products,
services and equipment
• information and data contained within the supplier and contracts database
d) operate and comply with reference to:
• organisational standards relating to IT/technology supplier management
activities
• professional and ethical standards in IT/technology supplier management
activities, including integrity and confidentiality
• contracts and agreements that exist between the organisation and the suppliers
of IT/technology products, services and/or equipment
• all relevant and applicable legislation, regulations and standards relating to
IT/technology supplier management activities
e) communicate and liaise:
• with internal and external individuals and bodies on the requirements for the
supply of IT/technology products, services and equipment
• with suppliers of IT/technology products/services and/or equipment

Competent performance requires Understanding (7.11.J.1.U.) of:

a) the role of supplier management in:

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• supporting business operations and IT/technology service strategy

• service delivery/operations
b) what is meant by:
• a supplier of IT/technology services and resources
• a supplier and contracts database and what it contains
• a partner in supplier management activities
• the purchase and supply of IT/technology equipment, services and products.
• leasing IT/technology equipment, services and products instead of purchasing
• a licence and the different types of licenses that are used for IT/technology
equipment, services, products
c) what services and resources may be required by an organisation from suppliers
d) what are the:
• potential implications of the incorrect assessment of requirements for
IT/technology products, services and equipment on supplier management
• range and types of IT products, services and equipment necessary to support
the effective provision of IT/technology services, systems and assets to an
organisation which may be supplied to an organisation
e) the fact that the use of particular suppliers can affect the brand and reputation of an
organisation
f) why regular contact should be maintained with suppliers
g) who:
• can make decisions on the selection of any IT/technology supplier for particular
products, services and/or equipment
• are the current and potential suppliers used by an organisation for products
services and equipment
• can authorise the termination of contracts with particular suppliers
h) the importance of:
• identifying the most effective and reliable suppliers of IT/technology products,
services and equipment
• having sufficient IT/technology products, services and equipment available to
ensure that the contractual, service level and delivery commitments of
IT/technology services systems and assets can be met
• developing and maintaining effective relationships with IT/technology suppliers
and other partners
• ensuring that sensitive business information is not disclosed inappropriately
during supplier management activities

Competence (7.11.J.2): Gather and document information relating to carrying out and
monitoring assigned supplier and partner activities
This competence will be demonstrated by the following Performance Criteria (7.11.J.2.C.):
a) Correctly identify what information needs to be recorded about IT/technology suppliers
and what information is recorded within a supplier and contracts database, under
supervision
b) Accurately gather, collate and store information about current and preferred suppliers of
IT/technology products, services and equipment, and updates to their details, under
supervision
c) Accurately gather and store information about what the organisation’s requirements are
for IT/technology products, services and equipment, liaising with all internal and
external individuals and bodies as necessary, under supervision
d) Correctly collate and store the results of monitoring the performance of IT/technology
products, services and equipment provided by suppliers, under supervision
e) Correctly use and apply metrics to measure the performance of supplier management
activities , under supervision

Competent performance requires Knowledge (7.11.J.2.K.) of how to:

a) identify and select:

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• what information needs to be recorded about IT/technology suppliers

• information that is recorded within a supplier and contracts database
b) source, gather and collate information about the current suppliers of IT/technology
products, services and/or equipment to the organisation including their reliability
c) use and apply metrics to measure the performance of supplier management activities
d) record and store information:
• about the current suppliers of IT/technology products, services and/or
equipment to the organisation, including updating supplier/contract details
• about preferred suppliers of IT/technology products, services and equipment
• that needs to be referenced by IT/technology supplier management activities
• about the organisation’s requirements for IT/technology products, services and
equipment
• from the service catalogue and service levels required for IT/technology supplier
management
e) record and store the results of monitoring the performance of IT/technology products,
services and equipment provided by suppliers
f) provide information and data concerning the suppliers of IT/technology products, services
and equipment to other individuals and groups as requested

Competent performance requires Understanding (7.11.J.2.U.) of:

a) the fact that:
• poor performance by suppliers of IT/technology products services and
equipment can have an effect on service levels within an organisation and an
effect on the brand and reputation of the organisation using them
• unreliable or inadequate suppliers can have a major impact on an organisation’s
IT/technology systems, services and assets
b) the importance of:
• verifying the accuracy, currency and completeness of information used during
supplier management activities
• making an accurate assessment of the cost and implications of
using/contracting any particular supplier
• documenting lessons learned from successful and unsuccessful experiences
with suppliers and partners in order to inform future action

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Associate Professional role

Competence (7.11.A.1): Carry out supplier and partner activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.11.A.1.C.):
a) Correctly select the procedures, tools and techniques to use for IT/technology supplier
management activities , under supervision
b) Fully comply with quality assurance and audit requirements in relation to IT/technology
supplier management activities, under supervision
c) Correctly identify reliable and unreliable suppliers of IT/technology products, services and
equipment, under supervision
d) Correctly identify all details in contracts relating to particular IT/technology products,
services and equipment that are to be provided, under supervision
e) Solicit accurate and timely information from other individuals on the demands for
IT/technology resources required to support an organisation, under supervision

Competent performance requires Knowledge (7.11.A.1.K.) of how to:

a) identify and select:
• the procedures, tools and techniques to use for IT/technology supplier
management activities
• information, from the service catalogue and service levels required for
IT/technology supplier management
b) identify:
• reliable and unreliable suppliers of IT/technology products, services and
equipment
• when supplier/contract details need updating
c) use and apply:
• information recorded about contracts/agreements
• information, from the service catalogue and service levels required for
IT/technology supplier management
• objectives of IT/technology supplier management activities
• information about when supplier/contract details need updating
d) comply with quality assurance and audit requirements in relation to IT/technology supplier
management activities
e) take action and measures to solicit and timely information from others on the demands for
IT/technology resources required to support an organisation
f) provide information and data concerning IT/technology supplier management activities to
sponsors and stakeholders
g) communicate and liaise with current IT/technology suppliers to solicit information , data
and knowledge about their strategies, plans, products, services and equipment

Competent performance requires Understanding (7.11.A.1.U.) of:

a) the relationship between supplier management, financial management and all other
service delivery/operations activities
b) what is meant by:
• a preferred supplier
• supplier spend analysis
• IT/technology supplier lifecycle management
c) what is the relevance:
• of asset and configuration management activities in relation to supplier
management
• and implications of legislation, regulation and external standards to
IT/technology supplier management activities
• of service levels in relation to supplier management activities
d) what is the range of issues associated with supplier management activities
e) what are the:

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• implications of service levels in relation to supplier management

• potential implications of incorrectly managing contracts and agreements with
suppliers of IT/technology products, services and equipment
• types of activity undertaken during supplier management
• inputs to and outputs from IT/technology supplier management activities
f) the fact that management of effective relationships with suppliers is essential to the
provision of effective IT/technology service to an organisation
g) why clear and specific contractual, service and quality assurance arrangements with
IT/technology suppliers and other partners are necessary
h) the importance of:
• having clear and specific contractual, service and quality assurance
arrangements with IT/technology suppliers and other partners
• and relevance of supplier management on the systems and service lifecycle
supporting an organisation
• terminating or disposing of the full range of IT/technology products, services and
equipment used by the organisation and their associated contractual and
service arrangements in the most appropriate manner

Competence (7.11.A.2): Document and monitor supplier and partner activities

This competence will be demonstrated by the following Performance Criteria (7.11.A.2.C.):
a) Regularly monitor the price/performance of IT/technology products, services and
equipment provided by suppliers, applying appropriate benchmarks and metrics,
accurately documenting results and reporting issues arising to relevant people
b) Correctly document the results of monitoring the performance of IT/technology suppliers
and their adherence to contracts and agreements, terms and conditions, to inform
decision making
c) Accurately document and store information about methods to use for disposal of any
IT/technology equipment or products so that it may be used by other individuals within
the organisation
d) Accurately collate and document all relevant information about any contracts or
agreements that require terminating/renewing, so that it may be used by other
individuals within the organisation, under supervision

Competent performance requires Knowledge (7.11.A.2.K.) of how to:

a) source, gather and collate:
• the results from benchmarking activities
• information from others concerning the performance of IT/Technology products,
services and equipment supplied to the organisation
• information about methods to use for disposal of any equipment, products or
services
b) use and apply metrics to measure the performance of IT/technology suppliers
c) record and store:
• the activities undertaken and results arising from the procurement of any
particular IT/technology product, service and or item of equipment, so that it
may be audited and/or examined
• information about the reliability of suppliers of IT/technology products, services
and equipment
• the metrics to use to measure the performance of IT/technology suppliers and
management activities
• the procedures, tools and techniques relating to IT/technology supplier
management activities
• the results of monitoring the performance of IT suppliers and their adherence to
contracts and agreements, terms and conditions, against meeting targets and
metrics

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• information about any contracts or agreements that require

terminating/renewing
• information about methods to use for disposal of any IT/technology equipment
and products
d) monitor the price/performance of IT/technology products, services and equipment
provided by suppliers
e) report any issues arising from the monitoring of the performance of IT/technology
products, services and equipment provided by suppliers

Competent performance requires Understanding (7.11.A.2.U.) of:

a) the importance of:
• having clear and understandable standards and criteria for the selection of
(preferred) suppliers
• documenting supplier details, contractual arrangements and agreements and
terms and conditions of these agreements with suppliers and partners
• regularly reviewing information concerning suppliers, including conducting
spend analysis
• metrics to measure the performance of supplier management activities
• proactively monitoring the performance of suppliers and the appropriate
measurement metrics
b) the need for monitoring of:
• the performance of IT/technology products, services and equipment provided by
suppliers against targets
• spending with each supplier
c) the procedures, tools and techniques that can be used to monitor the performance of
IT/technology suppliers and other partners in conforming to contracts and agreements
and in meeting targets

Competence (7.11.A.3): Assist in identifying relevant data from suppliers and partners to
support the procurement process
This competence will be demonstrated by the following Performance Criteria (7.11.A.3.C.):
a) Gather, collate and verify all relevant and appropriate prices/costs and margins for
IT/technology products, services and equipment to use as benchmark data in sourcing
and negotiation activities, under supervision.
b) Accurately and completely document benchmarks and metrics to use in sourcing and
negotiating with suppliers of IT/technology products services and equipment.
c) Correctly and fully document the procurement activities undertaken and the outcomes
from them for any particular IT/technology product, service and or item of equipment, so
that they may be audited and/or examined.
d) Fully and accurately document information and market intelligence about
potential/alternate suppliers of IT/technology products, services and/or equipment to the
organisation, so that it may be used to inform decision making.
e) Proactively communicate with current and potential/alternate IT/technology suppliers to
solicit information about their strategies, plans, products, services and equipment, under
supervision.

Competent performance requires Knowledge (7.11.A.3.K.) of how to:

a) identify:
• the contents of any particular tender document for the supply of IT/technology
products, services and/or equipment
• details in contracts relating to particular IT/technology products, services and
equipment that are to be provided
b) source, gather and collate:

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• market intelligence and other information about current and potential/alternate

IT/technology suppliers
• information required to produce tender documents
• information required to schedule and manage procurement processes according
to the needs of the organisation
c) source, gather, collate and verify appropriate prices/costs and margins for IT/technology
products, services and equipment to use as benchmarks in sourcing and negotiation
d) use and apply benchmarks in sourcing and negotiating with suppliers of IT/technology
products services and equipment
e) record and store:
• benchmarks to use in sourcing and negotiating with suppliers of IT/technology
products services and equipment
• market intelligence and other information about potential/alternate about current
and potential/alternate suppliers of IT/technology products and/or equipment to
the organisation
• the details required in specific IT/technology supplier contracts/agreements

Competent performance requires Understanding (7.11.A.3.U.) of:

a) what is meant by:
• ESCROW and its role in IT/technology contracts
• strategic sourcing
• a procurement tender
• a request for information (RFI)
• a request for quotation (RFQ)
• a request for proposal (RFP)
• a request for tender (RFT/ITT)
b) what is the full lifecycle of supplier management activities from the identification of needs
through to the acquisition of assets and/or the termination of contracts/services
c) what are the types of products, services and equipment that can be included in contracts
with IT/technology suppliers
d) the fact that:
• organisations may select IT/technology suppliers based on their adherence to
brand values, ethos and standards used by the organisation
• the reliability of suppliers in providing the required IT/technology products,
services and equipment must be assessed prior to any agreements being made
with them
• the financial stability of IT/technology suppliers and other aspects of their
operations must be assessed prior to any agreements being made with them
• there are external providers of IT/technology procurement services
e) who:
• sets the terms and conditions for contracts and agreements
• makes decisions on any preferred IT/technology suppliers
• can authorise agreements and contracts with IT/technology suppliers
f) the importance of
• using the most appropriate procurement approach for any given product,
service or item of equipment
• documenting IT/technology products, services and equipment demands in a
manner appropriate for full, fair and considered review by potential suppliers
and partners

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Professional role

Competence (7.11.P.1): Implement and maintain supplier and partner activities

This competence will be demonstrated by the following Performance Criteria (7.11.P.1.C.):
a) Correctly select all relevant strategies, policies, plans, standards and targets relating to
IT/technology supplier management activities
b) Comply fully with the requirements of the procurement lifecycle
c) Effectively implement, maintain and manage the IT/technology supplier and contracts
database, ensuring that supplier/contract records are updated correctly and in a timely
manner when IT/technology contracts/agreements are
terminated/renewed/renegotiated, under direction
d) Correctly identify any actions needed in the event or possible event of IT/technology
suppliers not providing products, services or equipment to contracted terms and
conditions

Competent performance requires Knowledge (7.11.P.1.K.) of how to:

a) identify and select:
• strategies, policies, plans, standards and targets relating to IT/technology
supplier management activities
• actions needed in the event or possible event of IT/technology suppliers not
providing products, services or equipment to contracted terms and conditions
• the most appropriate methods to use for disposal of any equipment and/or
products
• the inputs to and outputs required from IT/technology supplier management
activities
• any contracts or agreements that require terminating/renewing/renegotiating
b) identify:
• who are the sponsors of and stakeholders for IT/technology supplier
management activities
• objectives of IT/technology supplier management activities
• when suppliers are not offering value for money compared to alternative
suppliers
• all current suppliers of IT/technology products, services and equipment that
need to be managed
c) use and apply:
• information about any legislation, regulations and external standards that may
apply to IT/technology supplier management activities
• information about the content and contractual terms and conditions and what
specific contractual, service and quality assurance arrangements are required in
IT/technology supplier contracts/agreements
• lessons learned from previous IT/technology supplier management activities
and experiences
• strategies, policies, plans, standards and targets relating to IT/technology
supplier management activities
d) operate with reference to the procurement lifecycle
e) implement and maintain a supplier and contracts database
f) implement and maintain regular contact with all suppliers of IT/technology products,
services and equipment
g) report:
• when suppliers are not offering value for money compared to alternative
suppliers
• any failure of IT/technology suppliers to meet contractual terms and conditions
h) manage the IT/technology supplier and contracts database and manage any changes to
supplier details or to contracts/agreements
i) take actions and measures to ensure that the supplier/contract records are updated when
IT/technology contracts/agreements are terminated/renewed/renegotiated

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Competent performance requires Understanding (7.11.P.1.U.) of:

a) what information needs to be referenced during supplier management activities
b) what is:
• best practice in supplier management activities
• the range of internal and external factors that can result in issues arising with
suppliers
• the range of approaches that can be used to conduct supplier management
activities and their appropriateness in a range of business and organisational
contexts
• the legislation, regulations and external standards relating to the management
of the suppliers of IT products, services and equipment
c) what are the implications of:
• IT/technology suppliers failing to meet targets or complying with the terms and
conditions contained within agreements and contracts, and contractual
demands for suppliers of IT/technology products, services and equipment
required to support an organisation
• internal and external factors on IT/technology supplier management
d) what are the objectives of supplier management
e) the importance of:
• providing feedback to suppliers on their performance and alignment with the
needs of the client/customer organisation
• liaising regularly with current and potential/alternate suppliers to solicit
information , data and knowledge about their strategies, plans, products,
services and equipment
• making timely decisions on when to terminate contracts with suppliers
•

Competence (7.11.P.2): Gather and document information, and monitor, supplier and
partner activities
This competence will be demonstrated by the following Performance Criteria (7.11.P.2.C.):
a) Source and gather all relevant information and data from spend analysis activities
b) Routinely monitor the performance of IT/technology suppliers, in meeting targets and
adhering to contracts and agreements, terms and conditions, identifying when they are
not offering value for money compared to alternative suppliers and reporting findings to
relevant people
c) Regularly monitor contracts, agreements and tenders to ensure their currency,
completeness and accuracy and correctly identify those that require
terminating/renewing/renegotiating
d) Routinely monitor, document and present information relating to the quality and
effectiveness of IT/technology supplier management activities against metrics

Competent performance requires Knowledge (7.11.P.2.K.) of how to:

a) identify and select :
• the individuals and groups who require information to be provided by
IT/technology supplier management activities
• quality assurance and audit requirements in relation to IT/technology supplier
b) source, gather and collate:
• information about any contracts or agreements that require
terminating/renewing/renegotiating
• information and data from spend analysis activities
• information about IT/technology equipment, products and /or services that need
to be disposed of so that contractual agreements can be terminated

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• information that needs to be referenced by IT/technology supplier management

activities
• the results from monitoring IT/technology supplier management
c) verify the accuracy, currency, completeness and relevance of information used during
IT/technology supplier management activities
d) use and apply:
• information from benchmarking activities
• the procedures, tools and techniques to monitor the alignment of IT/technology
supplier management activities with business needs, service delivery/operation
objectives and the service strategy and with any relevant legislation, regulations
and external standards
• information to support reporting of the performance of IT/technology supplier
management activities against targets/metrics
• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology supplier management activities
e) record and store:
• information from spend analysis activities
• the objectives and the results from monitoring the performance of IT/technology
supplier management activities
• information about any legislation, regulations and external standards that may
apply to IT/technology supplier management activities
• best practice in IT/technology supplier management
• the procedures, tools and techniques to monitor the quality, effectiveness and
alignment of IT/technology supplier management activities and with any
relevant legislation, regulations and external standards
• the results of monitoring the performance of external providers of IT/technology
procurement services against metrics
• the results of monitoring the alignment of IT/technology supplier management
activities with business needs, service delivery/operation objectives and the
service strategy
f) monitor the performance of IT/technology:
• suppliers and their adherence to contracts and agreements, terms and
conditions and in meeting targets
• supplier management activities against metrics
• suppliers against metrics and benchmarks
•
g) monitor which contracts/agreements need to be renewed or terminated/renegotiated
h) report any issues resulting from the monitoring of:
• IT/technology supplier performance against targets, metrics and benchmarks
• tenders, contracts and agreements
i) report which contracts/agreements need to be renewed or terminated 5
j) analyse and interpret:
• benchmark data and information relating to the comparative performance of
IT/technology suppliers and their products, services and/or equipment
• information in order to determine the reliability of a supplier of IT/technology
products, services or equipment
k) present:
• the findings from analysis of benchmark information, data and/or knowledge
• the quality and effectiveness of IT/technology suppliers against metrics
l) take action and measures to liaise regularly with current and potential/alternate
IT/technology suppliers to solicit information about their strategies, plans, products,
services and equipment
m) provide information concerning IT/technology suppliers:
• and partners, and the contracts/agreements with them to auditors/finance as
requested
• and the contracts/agreements with them, to external bodies as requested

Competent performance requires Understanding (7.11.P.2.U.) of:

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a) the fact that proactive monitoring of suppliers is critical to ensuring that the correct
products, services and equipment are covered by appropriate agreements and have
been supplied for use
b) why, and the need for monitoring of:
• the effectiveness and quality of supplier management activities
• the performance of IT/technology suppliers in meeting targets and complying
with terms and conditions
• contracts and agreements with IT/technology suppliers
c) the importance of recording all procurement activities in order to demonstrate compliance
with all legislation, regulations and external standards
d) the procedures, tools and techniques that can be used to:
• benchmark the performance of IT/technology suppliers
• benchmark IT/technology products, services and/or items of equipment
• monitor the effectiveness and quality of supplier management activities

Competence (7.11.P.3): Assist in preparing information for supplier and partner

procurement activity
This competence will be demonstrated by the following Performance Criteria (7.11.P.3.C.):
a) Proactively solicit, correctly select and apply market intelligence about current and
potential/alternate IT/technology suppliers, reporting findings to relevant people so that
it may inform decision making
b) Source and critically analyse all relevant benchmark data and information relating to the
comparative performance of IT/technology suppliers and their products, services and/or
equipment, presenting the findings to relevant people for review
c) Document, clearly and in a timely manner, all tenders and other procurement documents
so that they can be issued to a range of suppliers
d) Correctly apply and accurately document the specific contractual, service and quality
assurance arrangements required in any contract/agreement
e) Communicate clearly and accurately with internal and external legal, financial and audit
groups and individuals, providing information concerning IT/technology suppliers and
partners and the contracts/agreements with them, on request and under direction
f) Liaise regularly with current and potential/alternate IT/technology suppliers to solicit
information about their strategies, plans, products, services and equipment, so that it
may be used to inform procurement activities

Competent performance requires Knowledge (7.11.P.3.K.) of how to:

a) identify:
• market intelligence about current and potential/alternate IT/technology suppliers
and the criteria to be met
• the potential suppliers of IT/technology products, services and/or equipment to
the organisation
• who are potential external providers of IT/technology procurement services that
could be used by the organisation
b) identify and select :
• what assessment is required of any IT/technology product, service or equipment
prior to making any agreement/contract for its supply
• appropriate prices/costs and margins for IT/technology products, services and
equipment to use as benchmarks in sourcing and negotiation
• what equipment and/or products need to be disposed of as a result of
commercial/contractual terminations and/or strategic decisions on suppliers to
be used
c) source, gather and collate:
• information about the providers of IT/technology procurement services

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• the options and parameters to use when negotiating with suppliers of

IT/technology products, services and equipment
• information about contracts that can be used with any particular supplier or for
any particular IT/technology product, service or equipment
d) use and apply:
• market intelligence about current and potential/alternate IT/technology suppliers
• the procurement lifecycle
• information about the options and parameters to use when negotiating with
suppliers of IT/technology products, services and equipment
• information about what assessment is required of any IT/technology product,
service or equipment prior to making any agreement/contract for its supply
e) record and store:
• the detailed content of what IT/technology products, services and equipment
may be supplied
• information about the providers of IT/technology procurement services
• the options and parameters to use when negotiating with suppliers of
IT/technology products, services and equipment
• tenders and other procurement documents so that they can be issued to a
range of suppliers
• information about contracts that can be used with any particular supplier or for
any particular product, service or equipment
• the specific contractual, service and quality assurance arrangements required in
any contract/agreement
f) monitor contracts, agreements and tenders to ensure their currency, completeness and
accuracy
g) report market intelligence about current and potential/alternate IT/technology suppliers
h) manage the assessment of IT/technology products, services and equipment prior to
embarking on a contractual arrangement
i) analyse and interpret current and proposed prices/costs and margins for IT/technology
products, services and equipment to use as benchmarks in sourcing and negotiation
j) present proposed suppliers of services for the disposal of products and equipment
k) take action and measures:
• to source and solicit market intelligence about current and potential/alternate
IT/technology suppliers
• to source and use benchmark information in order to secure the best terms
available for any IT/technology product, service or item of equipment
l) communicate and liaise:
• with internal and external legal, financial and audit groups and individuals
• appropriate prices/costs and margins for IT/technology products, services and
equipment to use as benchmarks in sourcing and negotiation

Competent performance requires Understanding (7.11.P.3.U.) of:

a) what is the:
• availability, range and types of IT/technology suppliers and other partners who
may be able to supply IT/technology resources according to the needs of the
organisation
• range of procurement approaches for the acquisition, financing, distribution and
control of IT/technology products, services and equipment and their
appropriateness in individual IT/technology and business contexts
b) the fact that the characteristics of any particular IT/technology product, service or item of
equipment required may determine the procurement approach used to acquire it
c) who needs to be involved in the procurement process for any particular IT/technology
product, service and or item of equipment
d) the importance of applying lessons learned from prior commercial experiences in the
negotiation of contracts for IT/technology resources with suppliers and partners
e) the procedures, tools and techniques that can be used to issue tenders, agreements and
contracts for the supply of products, services and equipment

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Senior Professional role

Competence (7.11.S.1): Manage supplier management activities

This competence will be demonstrated by the following Performance Criteria (7.11.S.1.C.):
a) Correctly select, use and apply the most appropriate approach for procuring any
particular IT/technology product, services and/or item of equipment
b) Ensure the currency, accuracy and completeness of all tenders, contracts, and
agreements, critically analysing them to identify potential improvements
c) Effectively manage the procurement process for any particular IT/technology product,
service and/or item of equipment
d) Ensure that sufficient IT/technology products, services and equipment are provisioned to
ensure that the contractual, service level and delivery commitments of IT/technology
systems, services and assets can be met
e) Make clear and astute decisions on which IT/technology suppliers to use for the supply of
particular IT/technology products, services and/or items of equipment, considering
where it may be appropriate to renew or terminate existing contracts, negotiating with
selected suppliers as and when required
f) Effectively manage all contracts, agreements and relationships with suppliers of
IT/technology products, services and equipment
g) Clearly present thoroughly researched proposals for the termination of contracts with
suppliers of IT/technology products, services and equipment and take action
accordingly, once reviews are completed

Competent performance requires Knowledge (7.11.S.1.K.) of how to:

a) identify and select:
• what information needs to be referenced by IT/technology supplier management
activities
• the most appropriate approach to use for procuring any particular IT/technology
product, services and/or item of equipment
• the providers of IT/technology procurement services
• preferred suppliers of IT/technology products, services and equipment
• the options and parameters to use when negotiating with suppliers of
IT/technology products, services and equipment
• the current and/or potential suppliers to consider for any tender
• the type of contract to use with any particular supplier or for any particular
product, service or equipment
• the legislation, regulations and external standards relating to the management
of the suppliers of IT/technology products, services and equipment
management activities
• when and how to source, use and apply best practice in IT/technology supplier
management
b) identify:
• the business implications of using any particular supplier of IT/technology
products, services or equipment what the organisation’s requirements are for
IT/technology products, services and equipment
• actions required in the event of incorrect assessment of the organisation’s
requirements for IT/technology products, services and equipment
• what specific contractual, service and quality assurance arrangements are
required for any contract/agreement
• lessons learned from previous IT/technology supplier management activities
and experiences
• potential implications of supplier management activities being incomplete,
inadequate or inappropriate
• the issues involved in IT/technology supplier management
• potential implications of failings in integrity, confidentiality or security during
supplier management activities

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c) source, gather and collate:

• what specific contractual, service and quality assurance arrangements are
required for any contract/agreement
• best practice in IT/technology supplier management
• information about any legislation, regulations and external standards that may
apply to IT/technology supplier management activities
d) use and apply:
• the most appropriate approach to the procurement, acquisition, financing,
distribution and control of any particular IT/technology products, services and
equipment
• the most appropriate approach to take with IT/technology supplier management
• information about the type of contract to use with any particular supplier or for
any particular product, service or item of equipment
• best practice in IT/technology supplier management activities
• strategy and policies to ensure the alignment of IT/technology supplier
management activities with all relevant legislation, regulations and external
standards
• the most appropriate approach to IT/technology supplier management in a
range of business and IT/technology contexts
• information relating to the capabilities and performance of existing or potential
external providers of IT/technology procurement services
e) implement and maintain best practice in IT/technology supplier management activities
f) report:
• responses to tenders or other procurement documents made by current or
potential suppliers
• any issues arising from IT/technology supplier management activities
• which contracts or arrangements have been changed or terminated so that
appropriate action can be taken
g) manage:
• the procurement process for any particular IT/technology product, service
and/or item of equipment
• relationships with suppliers of IT/technology products, services and equipment
• relationships with sponsors, stakeholders and external bodies on matters
relating to IT/technology supplier management activities
• contracts and agreements with suppliers of IT/technology products, services
and assets
• any failings in integrity, confidentiality and information security during
IT/technology supplier management activities
• the alignment of IT/technology supplier management activities with business
needs, service delivery/operation objectives and the service strategy and with
all relevant legislation, regulations and external standards
h) analyse and interpret tenders, contracts and agreements to see if they can be improved
and information concerning suppliers who have failed to comply
i) review proposed suppliers of services for the disposal of products and equipment
j) present:
• the results from procurement processes for any particular IT/technology
product, service and/or item of equipment
• the alignment of IT/technology supplier management activities with the business
needs, service delivery/operation objectives and the service strategy
• proposals for the use of potential/alternate suppliers of IT/technology products,
services and equipment, based on review of benchmark data and market
intelligence
• proposals for the termination of contracts with suppliers of IT/technology
products, services and equipment
k) take actions and measures, relating to procurement,:
• to manage the procurement of any particular IT/technology product, service
and/or item of equipment

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• to ensure the compliance of IT/technology procurement and lifecycle

management activities with all legislation, regulations and external standards in
line with organisational strategy, policies and standards
• to ensure the currency, accuracy and completeness of tenders, contracts, and
agreements
• to ensure that action is taken in response to benchmark information relating to
IT/technology suppliers, products, services and/or items of equipment
• to take account of the effect of external factors on IT/technology supplier
management activities
• to ensure that accurate assessments are made of the cost and implications of
using/contracting with any particular IT/technology supplier
• to ensure that sufficient IT/technology products, services and equipment are
provisioned to ensure that the contractual, service level and delivery
commitments of IT/technology systems, services and assets can be met
l) take actions and measures:
• to manage any issues involving IT/technology suppliers that could affect the
brand or reputation of an organisation
• in the event of IT/technology supplier management activities not supporting the
business needs, service delivery/operation objectives and/or the service
strategy
• to ensure the currency, accuracy and completeness of all information relating to
the suppliers of IT/technology products, services and equipment
• to ensure that sensitive business information is not disclosed inappropriately
during supplier management activities
• to terminate contracts with suppliers of IT/technology products, services and
equipment
• to ensure commercial arrangements are terminated in the most appropriate
manner
m) communicate and liaise with partners on all matters relating to the supply of or
reciprocal arrangements for the provision of IT/technology products/services and/or
equipment
n) make decisions:
• on benchmarks to use in the sourcing and negotiation of IT/technology
products, services and equipment
• based on the analysis of market intelligence and benchmark data about current
and potential/alternate IT/technology suppliers
• on the period of contracts and agreements with IT/technology suppliers
• on which IT/technology suppliers to use for the supply of particular
IT/technology products, services and/or items of equipment
• on whether to renew or terminate contracts with IT/technology suppliers
o) negotiate with suppliers of IT/technology products, services and equipment

Competent performance requires Understanding (7.11.S.1.U.) of:

a) what actions may be taken in the event of the suppliers or other partners of IT/technology
products, services and equipment failing to meet contractual, quality or service criteria
b) what are the:
• implications of terminating contracts with IT/technology suppliers
• options and parameters available when negotiating with suppliers and partners
• business implications of using any particular suppliers
• potential implications of supplier management activities being incomplete,
inadequate or inappropriate or failings in integrity, confidentiality and information
security
c) the importance of:
• managing any issues involving suppliers that could affect the brand or
reputation of an organisation

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• ensuring the compliance of IT/technology procurement and lifecycle

management activities with all legislation, regulations and external standards in
line with organisational strategy, policies and standards

Competence (7.11.S.2): Review management activities associated with both current and
potential suppliers
This competence will be demonstrated by the following Performance Criteria (7.11.S.2.C.):
a) Critically analyse information relating to the capabilities of potential suppliers and/or
any IT/technology product, service and/or item of equipment which might be provided
by them in order to determine whether to issue tenders, agreements or contracts for its
provision
b) Critically analyse responses to tenders (or other procurement documents and
processes) made by current or potential suppliers, presenting the results to relevant
people for review and decision making
c) Routinely monitor spending with suppliers of IT/technology products, services and
equipment, reporting the findings to relevant people
d) Regularly and rigorously monitor IT/technology supplier management activities ,
reporting any issues relating to their alignment with business needs, service
delivery/operation objectives, the service strategy, standards and service levels to
relevant people
e) Present clear and persuasive proposals to relevant people for the use of alternate
suppliers of IT/technology products, services and equipment, based on review of
benchmark data and market intelligence
f) Proactively solicit information on the performance of IT/technology products, services and
equipment from other individuals in order to inform decision making

Competent performance requires Knowledge (7.11.S.2.K.) of how to:

a) identify and select:
• metrics to measure the performance of suppliers and supplier management
activities
• metrics to measure spending with suppliers of IT/technology products, services
and equipment
• the results from monitoring IT/technology supplier management
• what assessment is required of any potential IT/technology supplier
b) source, gather and collate:
• quality assurance and audit requirements in relation to IT/technology supplier
management activities
• the metrics to use to measure the performance of IT/technology supplier
management activities
c) verify market intelligence about current and potential/alternate IT/technology suppliers
d) use and apply information from spend analysis
e) implement and maintain the procedures, tools and techniques to monitor the:
• alignment of IT/technology supplier management activities with business
needs, service delivery/operation objectives and the service strategy and with
any relevant legislation, regulations and external standards
• the quality and effectiveness of IT/technology supplier management activities
f) monitor:
• spending with suppliers of IT/technology products, services and equipment
• the progress of the procurement process for any particular IT/technology
product, service and/or item of equipment
• the effectiveness and quality of supplier management activities
• the compliance of IT/technology procurement and lifecycle management
activities with all legislation, regulations and external standards in line with
organisational strategy, policies and standards

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• the performance of external providers of IT/technology procurement services

against metrics
• the alignment of IT/technology supplier management activities with standards,
business needs, service delivery/operation objectives, service levels and the
service strategy
g) report:
• the progress of the procurement process for any particular IT/technology
product, service and/or item of equipment
• the performance of IT/technology supplier management activities, on a regular
basis, against metrics to a range of internal and external individuals and groups
• the performance of external providers of IT/technology procurement services
• the results of spend analysis
h) report any issues resulting from the monitoring:
• compliance with standards plans for procurement
• compliance of IT/technology procurement and lifecycle management activities
with all legislation, regulations and external standards
• the alignment of IT/technology supplier management activities with standards,
business needs, service delivery/operation objectives, service levels and the
service strategy
i) manage the monitoring of the activities involved in IT/technology supplier management
j) during procurement activities, analyse and interpret:
• requirements for the supply of IT/technology products, services and equipment
in order to determine the most appropriate procurement approach to use
• information concerning any IT/technology product, service and/or item of
equipment which might be provided by suppliers in order to determine whether
to issue tenders, agreements or contracts for its provision
• market intelligence about current and potential/alternate IT/technology suppliers
and other information relating to the capabilities of potential suppliers
• responses to tenders or other procurement documents made by current or
potential suppliers
k) analyse and interpret information and/or results gained from monitoring:
• the compliance of IT/technology procurement and lifecycle management
activities with all legislation, regulations and external standards
• the quality and effectiveness of all aspects of IT/technology supplier
management activities
• the alignment of IT/technology supplier management activities with standards,
business needs, service delivery/operation objectives, service levels and the
service strategy
• spending with each supplier
l) review:
• the findings from analysis of benchmark information, data and/or knowledge
• the quality and effectiveness of IT/technology suppliers against metrics
m) present:
• the quality and effectiveness of IT/technology supplier management activities
against metrics
• the results of analysing spending with suppliers
n) take actions and measures:
• to solicit information on the performance of IT/technology products, services and
equipment from other individuals in order to inform decision making
• to ensure proactive monitoring of the performance of IT/technology suppliers
o) make decisions on:
• which procurement approach to use for any particular product, service and/or
item of equipment
• the results from monitoring IT/technology supplier management activities

Competent performance requires Understanding (7.11.S.2.U.) of:

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a) what are the implications of future demand for IT/technology products, services and
equipment on supplier management
b) why the alignment of supplier management activities with legislation, regulations and
external standards needs to be monitored
c) the need for monitoring of:
• the effectiveness and quality of supplier management activities needs to be
continually monitored
• the compliance of IT/technology procurement and lifecycle management
activities with all legislation, regulations and external standards in line with
organisational standards
d) the procedures, tools and techniques that can be used to monitor compliance with
standards plans for procurement

Competence (7.11.S.3): Design and maintain procurement and supplier management

procedures
This competence will be demonstrated by the following Performance Criteria (7.11.S.3.C.):
a) Design effective procedures, tools, techniques and plans relating to IT/technology
supplier management activities
b) Develop clear and explicit contractual, service and quality assurance arrangements with
IT/technology suppliers and other partners as necessary

Competent performance requires Knowledge (7.11.S.3.K.) of how to:

a) identify and select:
• terms and conditions which should be included in agreements and contracts
with suppliers of IT/technology products, services and equipment
• when and how to use external providers of IT/technology procurement services
• when and how to schedule and manage procurement processes for the supply
of particular IT/technology products, services and/or equipment
• the most appropriate approach to take for IT/technology supplier management
activities
b) identify:
• internal and external factors that could impact IT/technology supplier
management
• the implications of business objectives, the service strategy, service levels and
service delivery/operation objectives on IT/technology supplier management
activities
c) source, gather and collate terms and conditions that should be included in agreements
and contracts with suppliers of IT/technology products, services and equipment
d) implement and maintain:
• strategies, policies, plans, standards and targets relating to IT/technology
supplier management activities and their alignment with all relevant legislation,
regulations and external standards
• the procedures, tools, techniques and plans that apply to IT/technology supplier
management activities
e) analyse and interpret information and data from monitoring compliance with standards
for procurement
f) present:
• proposals for the use of external suppliers of procurement services
• the alignment of IT/technology suppliers with the ethos, brand and reputation of
the organisation
g) take actions and measures to take account of internal and external factors that may
impact on IT/technology supplier management activities
h) design and develop:
• the procedures, tools, techniques and plans relating to IT/technology supplier
management activities

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•clear and specific contractual, service and quality assurance arrangements with
IT/technology suppliers and other partners as necessary
• metrics to measure the performance of suppliers of procurement services
• the metrics and targets that are used to measure the performance of
IT/technology suppliers
• the procedures, tools and techniques to monitor the alignment of IT/technology
supplier management activities with business needs, service delivery/operation
objectives and the service strategy and with any relevant legislation,
regulations and external standards
Competent performance requires Understanding (7.11.S.3.U.) of:
a) what terms and conditions should be included in agreements and contracts with suppliers
of IT/technology products, services and equipment
b) what are the contract types that can be used for the supply of IT/technology products,
services and equipment and their suitability in a range of business contexts
c) the fact that effective procurement practices can have a significant impact on the cost and
quality of IT/technology products, services and equipment acquired from suppliers and
third parties
d) the importance of making informed decisions on the period of contracts and agreements
with suppliers

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Lead Professional Role

Competence (7.11.L.1): Own, manage and review supplier and partner contracts and
relationships
This competence will be demonstrated by the following Performance Criteria (7.11.L.1.C.):
a) Build and manage effective relationships with suppliers and partners
b) Make clear and justified decisions on who to use as preferred IT/technology suppliers,
interpreting information provided and presenting proposals to relevant people for review
and contracting with the suppliers once decisions have been authorised
c) Ensure that the demands for IT/technology products, services and equipment are
communicated in a manner appropriate for full, fair and considered review by potential
suppliers and partners
d) Critically review the analysis of spending with suppliers, making decisions and taking
appropriate action as a result
e) Provide timely and specific advice and guidance to others on best practice in supplier
management activities, including the terms and conditions to be used in contracts and
agreements with the suppliers of IT/technology products, services and equipment
f) Effectively manage any actions required in the event of issues associated with contractual
arrangements and/or the breakdown of relationships with suppliers
g) Correctly identify what actions may be taken in the event of IT/technology supplier
management activities not supporting the business ethos, brand, reputation, business
needs, service delivery/operation objectives and/or the service strategy
h) Develop the most effective methods to use for the termination or disposal of
IT/technology products, services and equipment contracts/agreements

Competent performance requires Knowledge (7.11.L.1.K.) of how to:

a) identify and select what actions:
• to take to build and manage effective relationships with suppliers or other
partners of IT/technology products, services and equipment
• to take in the event of the suppliers or other partners of IT/technology products,
services and equipment failing to meet contractual, quality or service criteria
• may be taken in the event of IT/technology supplier management activities not
supporting the business needs, service delivery/operation objectives and/or the
service strategy or the business ethos, brand and reputation
b) identify potential implications of incorrect or inadequate management of contracts and
agreements with suppliers of IT/technology products, services or equipment
c) manage any actions required in the event of issues associated with contractual
arrangements and/or the breakdown of relationships with suppliers
d) review:
• the results from procurement processes for any particular IT/technology
product, service and/or item of equipment
• the quality and effectiveness of IT/technology supplier management activities
against metrics
• the results of analysing spending with suppliers
• the alignment of IT/technology supplier management activities with the
business needs, service delivery/operation objectives and the service strategy
• the alignment of IT/technology suppliers with the ethos, brand and reputation of
the organisation
• proposals for the termination of contracts with suppliers of IT/technology
products, services and equipment
e) take actions and measures to ensure that:
• there are clear and specific contractual, service and quality assurance
arrangements with IT/technology suppliers and other partners
• IT/technology products, services and equipment demands are communicated in
a manner appropriate for full, fair and considered review by potential suppliers
and partners

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f) communicate and liaise the importance of having clear, specific and quality assurance
arrangements with IT/technology suppliers and partners
g) advise and guide others on:
• all aspects of IT/technology supplier management activities , including best
practice
• the most appropriate methods to use for the termination or disposal of
IT/technology products, services and equipment contracts/agreements
h) make decisions on the:
• actions to take in the event of suppliers not offering value for money compared
to alternative suppliers
• findings of the analysis of spend with suppliers
i) contract with suppliers of IT/technology products, services and equipment
j) authorise and agree:
• contracts and agreements with suppliers of IT/technology products, services
and equipment
• changes to the preferred suppliers

Competent performance requires Understanding (7.11.L.1.U.) of:

N/A

Competence (7.11.L.2): Design supplier management strategy, procedures and plans

This competence will be demonstrated by the following Performance Criteria (7.11.L.2.C.):
a) Design effective strategy, policies, plans, standards, procedures, tools and techniques to
monitor the quality and effectiveness of IT/technology supplier management activities
b) Correctly select the most appropriate approach to take to the procurement, acquisition,
financing, distribution and control of any particular IT/technology product, service and/or
item of equipment
c) Ensure that all procurement activities are recorded in order to demonstrate compliance
with all legislation, regulations and external standards
d) Ensure that that all relevant lessons learned from own and others commercial
experiences with IT/technology suppliers and partners are applied in future negotiations

Competent performance requires Knowledge (7.11.L.2.K.) of how to:

a) identify and select:
• the most appropriate approach to take to the procurement, acquisition,
financing, distribution and control of any particular IT/technology product,
service and/or item of equipment
• when and how to use external providers IT/technology supplier management
activities
b) analyse and interpret:
• information in order to determine preferred suppliers
• the alignment of IT/technology suppliers with the ethos, brand and reputation of
the organisation
c) review proposals:
• for the use of potential/alternate suppliers of IT/technology products, services
and equipment, based on review of benchmark data and market intelligence
• for the use of external suppliers of procurement services
d) present proposals for the use of preferred suppliers of IT/technology products, services
and equipment
e) take actions and measures to ensure that:
• all procurement activities are recorded in order to demonstrate compliance with
all legislation, regulations and external standards

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• lessons learned from own and others commercial experiences with

IT/technology suppliers and partners are applied in future negotiations
f) communicate and liaise with internal stakeholders on the use of preferred IT/technology
suppliers
g) advise and guide others on:
• the terms and conditions to be used in contracts and agreements with the
suppliers of IT/technology products, services and equipment
• who to use as preferred suppliers of IT/technology products, services and
equipment
• the procurement approach to use for any particular IT/technology product,
service or equipment
• the importance of using suppliers of IT/technology products, services and
equipment who align with the ethos, brand and reputation of the organisation
h) design and develop:
• standards for conducting IT/technology supplier management activities
• strategy and policies to ensure the alignment of IT/technology supplier
management activities with all relevant legislation, regulations and external
standards
• the approaches to use for the procurement of any particular IT/technology
product, service and/or item of equipment
• terms and conditions that must be used in contracts with suppliers of
IT/technology products, services and equipment
• the procedures, tools and techniques to monitor the quality and effectiveness of
IT/technology supplier management activities
• the metrics and targets that are used to measure the performance of
IT/technology supplier management activities
• the methods to use for the termination or disposal of IT/technology products,
services and equipment contracts/agreements
i) make decisions on:
• who to use as preferred IT/technology suppliers
• the metrics and targets that should apply to IT/technology supplier management
activities
j) authorise and agree:
• which external suppliers of IT/technology products, services and equipment to
use
• procurement approaches

Competent performance requires Understanding (7.11.L.2.U.) of:

N/A

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7.12 Technical Evaluation

This sub-discipline is about the competencies required to perform technical assessment and
evaluation of existing and/or new products, services and equipment in order to establish their
suitability for ongoing use within the organisation or introduction into the organisation.
Technical evaluation may be conducted in order to assure levels of service and quality, ensure
compliance to standards and regulations or as part of a wider activities associated with the
establishment and maintenance of ‘fit for purpose’ IT/technology supporting an organisation.

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Pre-Entry / Junior Technician Role

Competence (7.12.J.1): Follow procedures and assist in technical evaluation activities

This competence will be demonstrated by the following Performance Criteria (7.12.J.1.C.):
a) Correctly follow the procedures, tools and techniques to conduct any particular technical
evaluation assignment, under supervision
b) Fully comply with all organisational standards relating to technical evaluation activities
c) Operate in all aspects of own work with reference to service levels, all relevant criteria,
timescales and objectives that apply to any particular technical evaluation assignment,
under supervision
d) Correctly apply the objectives, timescales, service levels and the appropriate technical
criteria against which any particular new or existing product, service or item of
equipment needs to be assessed for any particular technical evaluation assignment,
under supervision
e) Source all necessary products, services or items of equipment that are the subject of a
technical evaluation assignment, in a timely manner, under supervision
f) Critically evaluate any particular product, service or item of equipment thoroughly,
according to the agreed timescales and objectives and against all of the assessment
criteria and any relevant/suitable benchmarks provided by relevant people
g) Communicate the results of, and recommendations from any technical evaluation to
relevant people, clearly and in an understandable and timely manner
h) Assist other individuals with the analysis of the performance of any IT/technology product,
service or item of equipment against the assessment criteria and their associated
values and weightings

Competent performance requires Knowledge (7.12.J.1.K.) of how to:

a) use and apply:
• the procedures, tools and techniques to conduct any particular technical evaluation
assignment
• the objectives, timescales and service levels for any particular technical evaluation
assignment
• appropriate technical criteria for any evaluation assignment against which any
particular new or existing product, service or item of equipment needs to be
assessed
• reliable sources of information and references in respect of the performance of any
particular IT/technology product, service or item of equipment
• information from evaluations carried out by trade publications and other
organisations
b) operate with reference to:
• organisational standards relating to technical evaluation activities
• professional and ethical standards in technical evaluation activities
• all relevant criteria, timescales, objectives and service levels that apply to any
particular technical evaluation assignment
c) operate with integrity and confidentiality during technology evaluation activities and
comply with all relevant and applicable legislation, regulations and standards
d) take actions and measures to evaluate any particular product, service or item of
equipment thoroughly and according to the agreed timescales and objectives and
against all of the assessment criteria provided and any relevant/suitable benchmarks
e) communicate and liaise the results of, and recommendations from, any technical
evaluation clearly and in a timely manner to supervisors

Competent performance requires Understanding (7.12.J.1.U.) of:

a) the role of technical evaluation:
• in supporting business operations and IT/technology service strategy
• processes in service delivery/operations

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b) what is:
• meant by technical evaluation and what it involves
• the range of issues associated with technical evaluation activities
• the relevance of service levels in relation to technical evaluation activities
• the relationship between technical evaluation activities, the service lifecycle and the
service catalogue and/or portfolio
c) what are the:
• business requirements that need to be met as part of an technical evaluation
activity
• objectives of and timescales associated with any particular technical evaluation
assignment
• technical criteria against which any particular new or existing product, service or
item of equipment needs to be assessed
• procedures, tools and techniques to conduct technical evaluations
• inputs to and required outputs from technical evaluation activities
d) the fact that:
• external providers of technical evaluation services exist
• new IT/technology products, services and items of equipment are typically
evaluated by organisations prior to them being approved for acquisition and
used by them
• technical evaluation activities typically need to be completed within specified
timescales
• there are risks associated with using products, services and items of equipment as
part of the operational/production IT/Technology environment that have not
been subject to technical evaluation
• IT/technology products, services and items that are used by a large base of
users/customers may be evaluated by trade publications or other similar
external organisations and some organisations may choose to rely upon these
external evaluations
e) why new IT/technology products, services and or items of equipment may need to be
evaluated
f) who:
• are the customers of technical evaluation activities
• needs to approve recommendations made during technical evaluation activities
g) the importance of:
• evaluating any particular product, service or item of equipment thoroughly and
according to the required timescale and against all of the assessment criteria
provided and any relevant/suitable benchmarks
• referencing the service catalogue and/or portfolio and service level information
during technical evaluation activities
• evaluating the performance of any IT/technology product, service and or item of
equipment against the specifications provided and/or claims made by the
provider/supplier and against business requirements/needs
• conducting all technical evaluations fairly, objectively and independently
h) the procedures, tools and techniques that can be used to conduct technical evaluation
activities

Competence (7.12.J.2): Gather and document information to support technical evaluation

activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.12.J.2.C.):
a) Accurately gather and correctly document technical criteria that should be used for any
particular technical evaluation assignment, under supervision
b) Accurately identify all relevant information relating to any product, service or item of
equipment that is the subject of a technical evaluation assignment, under supervision
c) Correctly source, accurately collate and apply all relevant information from evaluations
carried out by trade publications and other organisations, under supervision

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d) Assist other individuals with the documentation of the business requirements that need to
be reflected in the assessment criteria

Competent performance requires Knowledge (7.12.J.2.K.) of how to:

a) source, gather and collate:
• information relating to any product, service or item of equipment that is the subject
of a technical evaluation assignment
• technical criteria that should be used for any particular technical evaluation
assignment
• information from evaluations carried out by external bodies/trade publications
b) source products, services or items of equipment that are the subject of a technical
evaluation assignment
c) record and store technical criteria that should be used for any particular technical
evaluation assignment

Competent performance requires Understanding (7.12.J.2.U.) of:

a) the importance of documenting the results of any particular technical evaluation
b) the need for monitoring of the progress and results of any particular technical evaluation
activity against the assessment criteria

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Associate Professional role

Competence (7.12.A.1): Carry out technical evaluation activities, under supervision

This competence will be demonstrated by the following Performance Criteria (7.12.A.1.C.):
a) Correctly select the most appropriate procedures, tools and techniques to conduct any
particular technical evaluation assignment, under supervision
b) Correctly identify who are all of the customers for any technical evaluation assignment,
under supervision
c) Correctly apply any relevant internal and/or external benchmarks together with any
appropriate comparisons that can be made with equivalent/alternative products,
services or equipment during a technical evaluation, under supervision
d) Critically evaluate the performance of any IT/technology product, service and or item of
equipment against the business requirements, the specifications provided by and/or
claims made by the provider/supplier
e) Critically analyse the performance of any IT/technology product, service or item of
equipment against the assessment criteria and their associated values and weightings,
under supervision
f) Accurately identify the potential implications of a new or existing product, service or item
of equipment failing to meet the criteria associated with its technical evaluation, so that
it may inform the decision making of relevant people
g) Assist other individuals in presenting the results from technical evaluation assignments

Competent performance requires Knowledge (7.12.A.1.K.) of how to:

a) identify and select:
• the procedures, tools and techniques to conduct any particular technical evaluation
assignment
• inputs to and required outputs from a technical evaluation assignment
b) use and apply:
• business requirements that need to be met as part of any technical evaluation
activity
• internal and/or external benchmarks as appropriate in any particular technical
evaluation
• any appropriate comparisons that can be made with equivalent/alternative
products, services or equipment during a technical evaluation
c) present the quality and effectiveness of any particular technical evaluation assignments
d) take actions and measures to evaluate the performance of any IT/technology product,
service and or item of equipment:
• against the specifications provided by and/or claims made by the provider/supplier
• against business requirements/needs
e) take actions and measures to ensure confidentiality, integrity and security during
technical evaluation activities and that sensitive business information is not disclosed
inappropriately

Competent performance requires Understanding (7.12.A.1.U.) of:

a) the relationship between technical evaluation activities :
• and all other service delivery/operations activities
• and supplier management and procurement activities
b) what information might need to be referenced and used during technical evaluation
activities

c) what are the:

• objectives of technical evaluation activities and benchmarks that may apply
• implications of standards and service levels in relation to technical evaluation
activities

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• potential implications of technical evaluation activities being incorrect, incomplete,

inadequate and/or inappropriate
d) the fact that:
• structured processes and procedures are essential to technical evaluation activities
and why this is so
• clear criteria are required for the evaluation of any particular IT/technology product,
service and or item of equipment
e) who:
• sets the criteria and timescales associated with any particular technical evaluation
• may set the need for periodic ongoing evaluation of existing IT/technology
products, services and/or items of equipment
f) the importance of conducting all comparative technical evaluations under equivalent
conditions

Competence (7.12.A.2): Gather, document and assess technical evaluation activities,

under supervision
This competence will be demonstrated by the following Performance Criteria (7.12.A.2.C.):
a) Correctly source, use and clearly document all relevant business requirements that need
to be met as part of any technical evaluation activity, under supervision
b) Accurately gather and correctly collate all relevant service levels, applicable objectives of
and timescales for any particular technical evaluation assignment, under supervision
c) Correctly document and store all relevant weightings and values that need to be applied
to assessment criteria for any technical evaluation assignment in order to reflect
business needs, under supervision
d) Clearly and concisely document the results of and any recommendations from any
particular technical evaluation assignment , including the potential implications of a new
or existing product, service or item of equipment failing to meet the technical evaluation
criteria, under supervision

Competent performance requires Knowledge (7.12.A.2.K.) of how to:

a) source, gather and collate:
• service levels and business requirements that need to be met as part of any
technical evaluation activity
• the objectives of and timescales for any particular technical evaluation assignment
b) record and store:
• the business requirements that need to be reflected in the assessment criteria
• weightings and values that need to be applied to assessment criteria for any
technical evaluation assignment in order to reflect business needs
• the results of and any recommendations from any particular technical evaluation
assignment
• trends as a result of the technical evaluation of related/similar products and
services or those provided by any particular supplier
• the potential implications of a new or existing product, service or item of equipment
failing to meet the criteria associated with its technical evaluation
c) analyse and interpret the performance of any IT/technology product, service or item of
equipment against the assessment criteria and their associated values and weightings

Competent performance requires Understanding (7.12.A.2.U.) of:

a) the fact that the results of any technical evaluation may be used as part of wider supplier
management and/or procurement activities
b) why:
• the quality and effectiveness of technical evaluation activities need to be
monitored

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• existing IT/technology products, services and/or items of equipment may need to

be subject to ongoing evaluation
c) the importance of communicating the results of any technical evaluation clearly and in a
timely manner to supervisors
d) how technical evaluation activities support business requirements and service
delivery/operation and strategy objectives

Competence (7.12.A.3): Identify potential new products and information to support

technical evaluation activities, under supervision
This competence will be demonstrated by the following Performance Criteria (7.12.A.3.C.):
a) Routinely monitor trade publications and other organisations for information relating to
technical evaluations carried out by them, under supervision
b) Accurately identify all relevant and applicable information from evaluations carried out by
trade publications and other organisations, under supervision
c) Correctly identify and select any emerging IT/technology products, services and
equipment for which technical evaluations might be required to assess their capabilities,
under supervision
d) Accurately document any trends arising from the technical evaluation of related/similar
products and services or those provided by any particular supplier including the
potential implications of a new or existing product, service or item of equipment failing to
meet the criteria associated with its technical evaluation
e) Assist others in reporting any potential risks associated with using products, services or
items of equipment as part of the operational/production IT/Technology environment
that have not been the subject of a technical evaluation

Competent performance requires Knowledge (7.12.A.3.K.) of how to:

a) identify:
• the potential implications of a new or existing product, service or item of equipment
failing to meet the criteria associated with its technical evaluation
• any emerging IT/technology products, services and equipment for which technical
evaluations might be required to assess their capabilities
• who are the customers for any technical evaluation assignment
b) monitor, identify and select information from evaluations carried out by trade publications
and other organisations
c) report the potential risks associated with using products, services or items of equipment
as part of the operational/production IT/Technology environment that have not been the
subject of a technical evaluation

Competent performance requires Understanding (7.12.A.3.U.) of:

a) what are the:
• triggers for technical evaluation activities to take place
• types of products, services and items of equipment that may be subject to technical
evaluation within an organisation
• potential implications of a new or existing product, service or item of equipment
failing to meet the criteria associated with its technical evaluation
b) the fact that:
• some organisations conduct routine technical evaluations in order to ensure that
they are familiar with the capabilities of emerging IT/technology products,
services and equipment
• IT/technology products, services and items of equipment may need to be evaluated
either before their introduction or at periodic intervals after their introduction in
order to meet internal and/or external compliance or QA requirements
• the criteria used for any technical evaluation may vary according to the nature and
characteristics of the IT/technology product, service and/or item of equipment

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• new IT/technology products, services and items of equipment are evaluated by

some organisations in order to reduce the potential risks associated with their
acquisition and introduction
• new IT/technology products, services and items of equipment failing to meet
business needs may potentially represent risk to an organisation’s successful
operations, brand or reputation if incorporated into the operational/production
IT/Technology environment
• it may be appropriate to make comparisons with equivalent/alternate products,
services and items of equipment during technical evaluations
c) the importance of making comparisons with equivalent/alternate products, services and
items of equipment where appropriate during technical evaluations

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Professional role

Competence (7.12.P.1): Carry out technical evaluation activities

This competence will be demonstrated by the following Performance Criteria (7.12.P.1.C.):
a) Correctly apply the procedures, tools and techniques to conduct any technical evaluation
activities, as directed
b) Accurately identify the business requirements, objectives of, timescales for and applicable
service levels for any particular technical evaluation assignment, as directed
c) Verify the accuracy, currency, completeness and relevance of all information used during
technical evaluation activities, as directed
d) Make reasoned and objective comparisons with equivalent/alternate products, services
and items of equipment where appropriate during technical evaluations, as directed
e) Correctly identify any new IT/technology products, services and items of equipment that
fail to meet business needs and may potentially represent risk to an organisation’s
successful operations, brand or reputation if incorporated into the
operational/production IT/Technology environment, so that it may inform the decision
making of relevant people
f) Correctly, and in a timely manner, identify any potential implications of a currently used
product, service or item of equipment failing to meet the criteria associated with a
technical evaluation

Competent performance requires Knowledge (7.12.P.1.K.) of how to:

a) identify:
• the objectives of any particular technical evaluation assignment
• service levels relevant to any technical evaluation assignment
• the implications of standards and service levels in relation to technical evaluation
activities
• any individuals who may display individual and/or subjective responses to the
results of a technical evaluation
b) identify and select:
• the timescales for any particular technical evaluation assignment
• information contained within the service catalogue and/or portfolio that may be
required in support of any technical evaluation assignment
• information that needs to be referenced and used during technical evaluation
activities
• any appropriate comparisons that can be made with equivalent/alternative
products, services or equipment during a technical evaluation
c) verify the accuracy, currency, completeness and relevance of all information used during
technical evaluation activities
d) use and apply:
• the procedures, tools and techniques to conduct technical evaluation activities
• any legislation, regulations and external standards that apply to technical
evaluation activities
• the weightings and values to be applied to assessment criteria for any individual
technical evaluation assignment
• the most appropriate approach to conduct technical evaluation activities
• best practice in technical evaluation activities
e) record and store standards for conducting technical evaluation activities
f) manage relationships with suppliers of products, services and items of equipment that are
the subject of a technical evaluation
g) take actions and measures to ensure:
• comparisons are made with equivalent/alternate products, services and items of
equipment where appropriate during technical evaluations
• all comparative technical evaluations are conducted under equivalent conditions

Competent performance requires Understanding (7.12.P.1.U.) of:

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a) what is the range of issues associated with technical evaluation activities

b) what is meant by weightings and values that may be applied to assessment criteria and
what is their purpose
c) what are the:
• implications of external factors on technical evaluation activities
• potential implications of a currently used product, service or item of equipment
failing to meet the criteria associated with a technical evaluation
d) the fact that individuals within the organisation may display individual and/or subjective
responses to the failure or success of any particular product, service or item of
equipment to meet the criteria required by a technical evaluation
e) the importance of:
• using and verifying externally available information, knowledge and benchmarks on
the performance of IT/technology products, services and equipment, where
appropriate
• ensuring confidentiality, integrity and security during technical evaluation activities
and that sensitive business information is not disclosed inappropriately

Competence (7.12.P.2): Assess, and report on, technical evaluation activities

This competence will be demonstrated by the following Performance Criteria (7.12.P.2.C.):
a) Accurately source and collate all relevant benchmarks, weightings and values to be
applied to assessment criteria for any individual technical evaluation assignment
b) Clearly and persuasively present proposed timescales, criteria, weightings and values for
any particular technical evaluation assignment to relevant people and other
stakeholders
c) Clearly and concisely present the progress of and results from technical evaluation
assignments, as directed
d) Clearly and in a timely manner, report to relevant people any potential risks associated
with using products, services or items of equipment as part of the
operational/production IT/Technology environment that have not been the subject of a
technical evaluation
e) Accurately and astutely identify any individuals who may display individual and/or
subjective responses to the results of a technical evaluation, so that relevant people
may be alerted to any possible repercussions
f) Provide all relevant results of technical evaluation activities to supplier management and
procurement activities in a timely manner, as directed
g) Assist other individuals in communicating the results of technical evaluations to sponsors,
stakeholders and suppliers

Competent performance requires Knowledge (7.12.P.2.K.) of how to:

a) identify the results of any particular technical evaluation assignment
b) source, gather and collate:
• the weightings and values to be applied to assessment criteria for any individual
technical evaluation assignment
• trends as a result of the technical evaluation of related/similar products and
services or those provided by any particular supplier
c) record and store:
• the potential risks associated with using products, services or items of equipment
as part of the operational/production IT/Technology environment that have not
been the subject of a technical evaluation
• the potential implications of technical evaluation activities , and any potential
implications of a currently used product, service or item of equipment failing to
meet the criteria associated with a technical evaluation

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• potential implications of failings in integrity, confidentiality and information security

during technical evaluation activities
d) report the potential risks associated with using products, services or items of equipment
as part of the operational/production IT/Technology environment that have not been the
subject of a technical evaluation
e) analyse and interpret:
• information from technical evaluations conducted by external bodies/trade
publications
• the business requirements in order to design assessment criteria, weightings and
values for any particular technical evaluation
f) present:
• results from technical evaluation assignments
• the quality and effectiveness of any particular technical evaluation assignments
• the progress of technical evaluations against timescales and objectives
g) provide the results of technical evaluation activities to supplier management and
procurement activities where appropriate

Competent performance requires Understanding (7.12.P.2.U.) of:

a) why the alignment of technical evaluation activities with any relevant legislation,
regulations and external standards needs to be monitored
b) the importance of:
• verifying the accuracy, currency, completeness and relevance of all information
used during technical evaluation activities
• analyzing the performance of any IT/technology product, service and or item of
equipment against the assessment criteria and their associated values and
weightings
c) the need for monitoring of:
• the quality and effectiveness of technical evaluation activities
• the alignment of technical evaluation activities with business needs, service
operation objectives and service strategy
d) the procedures, tools and techniques that can be used to monitor the quality and
effectiveness of:
• technical evaluation activities
• new/existing IT/technology products, services and equipment provided by any
particular supplier

Competence (7.12.P.3): Identify technical evaluation techniques and assessment criteria

This competence will be demonstrated by the following Performance Criteria (7.12.P.3.C.):
a) Critically interpret the business requirements in order to design assessment criteria,
weightings and values for any particular technical evaluation, as directed
b) Accurately identify appropriate technical criteria and any relevant internal/external
benchmarks to be used in any evaluation assignment against which any particular new
or existing product, service or item of equipment needs to be assessed

Competent performance requires Knowledge (7.12.P.3.K.) of how to:

a) identify and select:
• any legislation, regulations and external standards that apply to technical
evaluation activities
• appropriate technical criteria for any evaluation assignment against which any
particular new or existing product, service or item of equipment needs to be
assessed
• the triggers for any technical evaluation assignment to take place
• internal and/or external benchmarks that may be appropriate to use in any
particular technical evaluation

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• any IT/technology products, services and equipment that require technical

evaluation either before their introduction or at periodic intervals after their
introduction in order to meet compliance or QA requirements
• any new IT/technology products, services and items of equipment that fail to meet
business needs and may potentially represent risk to an organisation’s
successful operations, brand or reputation if incorporated into the
operational/production IT/Technology environment
b) identify:
• business requirements that need to be met as part of any technical evaluation
activity
• the potential implications of technical evaluation activities being incorrect,
incomplete, inadequate and/or inappropriate
• any potential implications of a currently used product, service or item of equipment
failing to meet the criteria associated with a technical evaluation
c) source, gather and collate best practice and benchmarks in technical evaluation activities
d) use and apply:
• business and service delivery/operations and service strategy requirements that
need to be reflected in evaluation criteria for any particular technical evaluation
assignment
• current and future business requirements to inform technical evaluation activities
e) present:
• proposed timescales, criteria, weightings and values for any particular technical
evaluation assignment
• the risks associated with using products, services or items of equipment as part of
the operational/production IT/Technology environment that have not been the
subject of a technical evaluation

Competent performance requires Understanding (7.12.P.3.U.) of:

a) what is the relationship between technical evaluation activities and the service lifecycle
b) what are the:
• technical criteria that should be used for any particular technical evaluation
• benefits and disadvantages of using external providers of technical evaluation
services
c) the fact that:
• the impact of any relevant legislation, regulations and external standards needs to
be reflected in technical evaluation activities
• technical evaluation activities must be informed and directed by the current and
future business and service delivery/operations and strategy requirements
d) why some organisations choose to use external providers of technical evaluation
services:
e) who:
• are external providers of technical evaluation services
• are the sponsors of and stakeholders for technical evaluation activities
• needs to be involved in the setting of assessment criteria, including the weightings
and values that need to be applied, for technical evaluation activities
f) the importance of:
• technical evaluation activities being informed and directed by the current and future
business requirements
• and relevance of technical evaluation activities on the full life cycle of information
within an organisation
• and relevance of technical evaluation activities on the full systems and service life
cycle
• the service lifecycle and the service catalogue and/or portfolio as they relate to
technical evaluation activities
g) the procedures, tools and techniques that can be used to identify and monitor trends
arising from the technical evaluation of related products and/or products arising from
any particular supplier

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Senior Professional role

Competence (7.12.S.1): Design, implement and maintain technical evaluation procedures

This competence will be demonstrated by the following Performance Criteria (7.12.S.1.C.):
a) Design, develop, implement and maintain relevant and effective procedures, tools and
techniques relevant to technical evaluation activities
b) Correctly identify all relevant products, services or items of equipment that are subject to
a technical evaluation assignment, highlighting potential risks associated with using
products, services or items of equipment as part of the operational/production
IT/Technology environment that have not been the subject to the process
c) Correctly identify the objectives, most appropriate approaches to, and issues associated
with, any particular technical evaluation assignment
d) Effectively design and then persuasively negotiate the objectives, assessment criteria,
weightings and values for any particular technical evaluation assignment with all
relevant people, sponsors and stakeholders
e) Set clear and objective assessment criteria for any particular technical evaluation that
address all of the business requirements and align with the objectives of service
delivery/operations and the service strategy
f) Source and use the most appropriate technical expertise during technical evaluations, as
required to meet the needs of any particular assignment
g) Provide clear and appropriate advice and guidance to other individuals on the objectives,
assessment criteria, weightings and values for any particular technical evaluation
assignment

Competent performance requires Knowledge (7.12.S.1.K.) of how to:

a) identify and select:
• the procedures, tools and techniques to conduct technical evaluation activities
• weightings and values that need to be applied to assessment criteria for any
technical evaluation assignment in order to reflect business needs
• the most appropriate approach to use to conduct technical evaluation activities
• the objectives for any particular technical evaluation assignment
• the products, services or items of equipment that are subject to a technical
evaluation assignment
• reliable sources of information and knowledge and references to use in respect of
the performance of any particular IT/technology product, service or item of
equipment
• potential external providers of technical evaluation services
• when and how to use external providers of technical evaluation services
b) identify:
• the issues associated with technical evaluation activities
• the potential risks associated with using products, services or items of equipment
as part of the operational/production IT/Technology environment that have not
been the subject of a technical evaluation
• best practice in technical evaluation activities
• benefits and disadvantages of using external providers of technical evaluation
services
• potential implications of failings in integrity, confidentiality and information security
during technical evaluation activities
• implications of any legislation, regulations and external regulation relevant to
technical evaluation activities
• any implications of internal and external factors on technical evaluation activities
• current and future business and service delivery/operations and service strategy
requirements that need to be reflected in evaluation criteria for any particular
technical evaluation assignment
c) source, gather and collate:

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• technical expertise from internal and external sources to use during technical
evaluation activities
• appropriate technical criteria for any evaluation assignment against which any
particular new or existing product, service or item of equipment needs to be
assessed
d) verify the reliability of sources of information to be used during technical evaluation
activities
e) use and apply:
• standards and service levels in setting criteria, weightings and values for technical
evaluation activities
• strategy and policies to ensure the alignment of technical evaluation activities with
all relevant legislation, regulations and external standards
• the most appropriate internal/external individuals/groups to conduct technical
evaluations
• the most appropriate technical expertise during technical evaluations
f) record and store strategy and policies to ensure the alignment of technical evaluation
activities with all relevant legislation, regulations and external standards
g) implement and maintain the procedures, tools and techniques to conduct technical
evaluation activities
h) implement and maintain the procedures, tools and techniques to monitor the quality and
effectiveness of:
• technical evaluation activities
• new/existing IT/technology products, services and equipment provided by any
particular supplier
• external providers of technical evaluation services
i) implement and maintain the procedures, tools and techniques to monitor the:
• trends arising from the technical evaluation of related products and/or products
arising from any particular supplier
• alignment of technical evaluation activities with business needs, service operation
objectives and service strategy and with any relevant legislation, regulations and
external standards
j) manage relationships with:
• external providers of technical evaluation services
• sponsors and stakeholders during technical evaluation activities
k) manage the progress of technical evaluations being undertaken
l) take actions and measures to set assessment criteria:
• for any particular technical evaluation that address all of the business requirements
• that align with the objectives of service delivery/operations and the service strategy
m) take actions and measures to ensure:
• that technical evaluation activities are informed and directed by the current and
future business requirements
• that the performance of any IT/technology product, service and or item of
equipment against the assessment criteria and their associated values and
weightings is fully analysed
• all technical evaluations are conducted fairly, objectively and independently by
appropriately skilled personnel with access to appropriate expertise
n) communicate and liaise:
• the objectives and purpose of technical evaluation activities to sponsors,
stakeholders and other individuals
• the results of technical evaluations to sponsors, stakeholders and suppliers
o) advise and guide others on the actions to take as a result of any particular technical
evaluation assignment
p) design and develop the procedures, tools and techniques to monitor the quality and
effectiveness of:
• ,and conduct, technical evaluation activities
• new/existing IT/technology products, services and equipment provided by any
particular supplier
• external providers of technical evaluation services

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q) design and develop the procedures, tools and techniques to monitor the:
• trends arising from the technical evaluation of related products and/or products
arising from any particular supplier
• the alignment of technical evaluation activities with business needs, service
operation objectives and service strategy and with any relevant legislation,
regulations and external standards
r) design and develop the timescales, assessment criteria and their weightings and values,
to be used in any technical evaluation assignment
s) negotiate with:
• sponsors and stakeholders who may demonstrate subjective responses to the
results of technical evaluations
• suppliers whose products have been the subject of technical evaluation
assignments
t) negotiate the objectives, assessment criteria, weightings and values for any particular
technical evaluation assignment

Competent performance requires Understanding (7.12.S.1.U.) of:

a) what is the range:
• of internal and external factors that could result in the need for technical evaluation
of IT/Technology products, services and/or items of equipment
• of approaches that may be used to conduct technical evaluation activities and their
appropriateness in a range of business and organisational contexts
b) what is best practice in technical evaluation activities
c) what are the:
• reasons why a technical evaluation may be required/requested for existing
products, services and/or items of equipment
• weightings and values that need to be applied to assessment criteria in order to
reflect business needs
• reliable sources of information and references to use in respect of the performance
of any particular IT/technology product, service or item of equipment
• implications of any legislation, regulations and external regulation relevant to
technical evaluation activities
• potential implications of failings in integrity, confidentiality and information security
during technical evaluation activities
d) who are the most appropriate internal/external:
• individuals/groups to conduct technical evaluations
• sources of technical expertise to use during technical evaluations
e) the importance of:
• setting criteria for any particular technical evaluation that address all of the
business requirements
• assessment criteria aligning with the needs of the business, objectives of service
delivery/operations and the service strategy and having clear assessment
weightings and values associated with them
• making clear recommendations, where appropriate, as a result of technical
evaluation activities
• soliciting and using appropriate levels of technical expertise from internal and/or
external sources during technical evaluations
• managing relationships with external providers of technical evaluation services

Competence (7.12.S.2): Review and communicate results from technical evaluation

activities
This competence will be demonstrated by the following Performance Criteria (7.12.S.2.C.):

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a) Correctly identify the business, service delivery/operations and service strategy

requirements that need to be reflected in evaluation criteria for any particular technical
evaluation assignment
b) Effectively monitor the progress of any particular technical evaluation activity, reporting
the results and recommendations from it against business needs, service operation
objectives and the service strategy, clearly and in a timely manner to relevant people,
stakeholders and other relevant individuals/bodies
c) Ensure the full analysis of the performance of any IT/technology product, service and or
item of equipment against the assessment criteria and their associated values and
weightings is carried out effectively
d) Correctly identify and critically analyse trends arising from technical evaluations
e) Critically review the proposed timescales, criteria, weightings and values for any
particular technical evaluation assignment put forward by other individuals
f) Clearly communicate the results of technical evaluations to sponsors, stakeholders and
suppliers, negotiating tactfully with those who may demonstrate subjective responses to
the results
g) Critically review and clearly present the quality and effectiveness of any particular
technical evaluation assignments, to relevant people, sponsors, stakeholders and other
individuals/bodies

Competent performance requires Knowledge (7.12.S.2.K.) of how to:

a) identify and select the procedures, tools and techniques to monitor trends arising from the
technical evaluation of products and/or related products from any particular supplier
b) identify trends as a result of the technical evaluation of related/similar products and
services or those provided by any particular supplier
c) use and apply the procedures, tools and techniques to monitor trends arising from the
technical evaluation of related products and/or products from any particular supplier
d) monitor:
• the progress and the results of any particular technical evaluation against the
assessment criteria
• the quality and effectiveness of technical evaluation activities
• the alignment of technical evaluation activities with business needs, service
operation objectives and the service strategy and with any relevant legislation,
regulations and external standards
• compliance with all relevant and applicable legislation, regulations and standards
relating to technology evaluation activities
e) report:
• any trends found during technical evaluation in any IT/technology products,
services or items of equipment
• the results and recommendations from any particular technical evaluation
assignment
f) analyse and interpret trends discovered as a result of technical evaluations
g) review:
• results from technical evaluation assignments
• the quality and effectiveness of any particular technical evaluation assignments
• the progress of technical evaluations against timescales and objectives
• proposed timescales, criteria, weightings and values for any particular technical
evaluation assignment
• the risks associated with using products, services or items of equipment as part of
the operational/production IT/Technology environment that have not been the
subject of a technical evaluation
h) present the quality and effectiveness of technical evaluation activities
i) recommend:
• which products, services and items of equipment are to be the subject of technical
evaluations
• actions and decisions as a result of technical evaluation assignments

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Competent performance requires Understanding (7.12.S.2.U.) of:

a) what trends may be identified as a result of the technical evaluation of related/similar
products and services or those provided by any particular supplier
b) what are the internal and/or external benchmarks that may be appropriate to use in any
particular technical evaluation
c) the importance of:
• documenting and communicating the objectives, purpose and results of technical
evaluation activities clearly to sponsors, stakeholders and other individuals
• taking references from reliable sources where appropriate/possible in respect of
the performance of any particular IT/technology product, service or item of
equipment
• identifying trends as a result of technical evaluations on products, services and/or
items of equipment
• supplying the results of technical evaluations activities into supplier management
and/or procurement activities, where appropriate
d) the need for monitoring of:
• the alignment of technical evaluation activities with business needs, service
operation objectives and service strategy and with any relevant legislation,
regulations and external standards
• trends arising from the technical evaluation of related/similar products and services
or those provided by any particular supplier
• the quality and effectiveness of external providers of technical evaluation activities
e) the procedures, tools and techniques that can be used to monitor the:
• quality and effectiveness of external providers of technical evaluation services
• alignment of technical evaluation activities with business needs, service operation
objectives and service strategy and with any relevant legislation, regulations and
external standards

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Lead Professional role

Competence (7.12.L.1): Design, implement and maintain, strategy, policy and assessment
criteria relating to technical evaluations
This competence will be demonstrated by the following Performance Criteria (7.12.L.1.C.):
a) Identify, design, develop and implement effective and appropriate standards related to
technical evaluation activities
b) Correctly identify who are the sponsors of and stakeholders for, technical evaluation
activities
c) Make the most appropriate decisions on the approach to take to any particular technical
evaluation assignment

Competent performance requires Knowledge (7.12.L.1.K.) of how to:

a) identify and select:
• strategy, policies, plans, standards and targets relating to technical evaluation
activities
• the most appropriate internal/external individuals/groups to conduct technical
evaluations
• the most appropriate internal/external sources of technical expertise to use during
technical evaluations
b) design and develop:
• standards for conducting technical evaluation activities
• strategy and policies to ensure the alignment of technical evaluation activities with
all relevant legislation, regulations and external standards
c) implement and maintain:
• standards for conducting technical evaluation activities
• strategy and policies to ensure the alignment of technical evaluation activities with
all relevant legislation, regulations and external standards
d) make decisions on:
• which products, services or items of equipment to evaluate
• the approach to take to any particular technical evaluation assignment
e) authorise and agree which external suppliers of technical evaluation services to use
f) contract with suppliers of technical evaluation services

Competent performance requires Understanding (7.12.L.1.U.) of:

N/A

Competence (7.12.L.2): Review and provide direction for technical evaluation activities
This competence will be demonstrated by the following Performance Criteria (7.12.L.2.C.):
a) Accurately identify who needs to be involved in the setting of assessment criteria for
technical evaluation activities
b) Correctly identify the most appropriate internal/external sources of technical expertise to
use during technical evaluations
c) Monitor the alignment of technical evaluation activities with business needs, service
operation objectives and service strategy
d) Critically review and make clear, objective and timely decisions on which products,
services or items of equipment to evaluate within the organisation
e) Critically review actions and make objective decisions as a result of technical evaluation
activities
f) Provide timely and specific advice and guidance to other individuals and groups on the
actions to take in the event of the identification of any trends found during technical
evaluation in any IT/technology products, services or items of equipment

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IT and Telecoms NOS Approved Sep 09

g) Provide timely and specific advice and guidance to other individuals and groups on best
practice in technical evaluation activities

Competent performance requires Knowledge (7.12.L.2.K.) of how to:

a) identify and select actions to be taken in the event of individuals displaying any subjective
responses to the results of a technical evaluation
b) identify who:
• are the sponsors of and stakeholders for technical evaluation activities
• needs to be involved in the setting of assessment criteria for technical evaluation
activities
c) monitor:
• the alignment of technical evaluation activities with business needs, service
operation objectives and service strategy
• trends arising from the technical evaluation of related/similar products and services
or those provided by any particular supplier
• the quality and effectiveness of external providers of technical evaluation activities
d) review:
• which products, services and items of equipment are to be the subject of technical
evaluations
• the quality and effectiveness of technical evaluation activities
• actions and decisions as a result of technical evaluation assignments
e) advise and guide others on:
• the most appropriate approach to take for any technical evaluation assignment
• best practice in technical evaluation activities
• the assessment criteria, weightings and values to use for any particular technical
evaluation assignment
• the actions to take in the event of the identification of any trends found during
technical evaluation in any IT/technology products, services or items of
equipment
f) make decisions:
• where appropriate, as a result of technical evaluation activities
• on the objectives, assessment criteria, weightings and values for any particular
technical evaluation assignment

Competent performance requires Understanding (7.12.L.2.U.) of:

a) the importance of making clear decisions, where appropriate, as a result of technical
evaluation activities

End of document
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