Process Improvement Calculations Tools

IT Service Management Maturity Assessment Kickoff
University of Alaska - Fairbanks

June 22, 2012
Kristin Colburn - IT Management Consultant
Pink Elephant
1
PinkSCAN Kickoff Presentation University of Alaska - Fairbanks, June 22, 2012
Pink Elephant. All Rights Reserved.
AGENDA
Continual Service Improvement Model

About Process Maturity Assessments
Process Model
PinkSCAN Assessment Framework
Process Maturity Examples
ITIL Overview
Questions
2
THE CSIWhat
MODEL
is the vision?
How do we keep
the momentum
going?
Business vision,
mission, goals and
objectives
Where are we now?
Baseline
assessments
Where do we want
to be?
Measurable targets
How do we get
there?
Service & process

improvement
Did we get there?
Measurements &
metrics
Crown Copyright 2011. Reproduced under license from the Cabinet Office Figure 3.1 Continual Service Improvement model CSI 3.1.1
A PROCESS ASSESSMENT IS
A repeatable method of objectively gaining an

understanding of the quality, structure maturity
and bottlenecks of an IT organizations Service
Management processes
4
ASSESSMENT OBJECTIVES
Assess IT management practices against a

good practice reference set of processes (ITIL)
Provide an objective snapshot of the current
situation in terms of process maturity
Identify key problem areas in relation to
organizational needs
Set an internal benchmark for improvement
initiatives
5
LIFECYCLE PROCESSES
SERVICE STRATEGY
Service Strategy for IT Services
Service Portfolio Management
Business Relationship
Management
Financial Management for IT
Services
Demand Management
SERVICE DESIGN
Design Coordination
Service Catalog Management
Service Level Management
Availability Management
Capacity Management
IT Service Continuity Management
Information Security Management
Supplier Management
SERVICE OPERATION
Event Management
Incident Management
Request Fulfillment
Problem Management
Access Management
SERVICE TRANSITION
Transition Planning and Support
Change Management
Service Asset & Configuration
Management
Release & Deployment Management
Service Validation
Change Evaluation
Knowledge Management
Functions
Service Desk
Technical Management
IT Operations Management
Application Management
Crown Copyright 2011. Reproduced under license from the Cabinet Office
Figure 1.1 Service Strategy
CONTINUAL SERVICE IMPROVEMENT

Seven Step Improvement
BASIS OF THE ASSESSMENT

How do the current practices relate to ITIL
best practices?
Is there a consistent approach to the process
across groups?
Is the documentation at an appropriate level to
enable consistent delivery?
Are there adequate governance roles to manage
and continually improve the process?
Are there measures that demonstrate process
effectiveness and efficiency?
Are the tools being used in a way that enable the 7
process?
PinkSCAN Kickoff Presentation
University of Alaska - Fairbanks, June 22, 2012
PROCESS MODEL
Process Control
Process
owner
The first set of survey statements

are about process control.
Process
policy
Process
documentation
Triggers
Process
objectives
Process policies have been identified,

documented and communicated and
Process
feedback
The second set of survey

statements are about process
activities.
Process
Activities
Process
inputs
Procedures
Metrics
CSFs/KPIs
Roles
Improvements
Work
instructions
Including
process reports
& reviews
Process Enablers
Process
resources
A multi-level incident categorization

schema is defined and actively used to
Process
outputs
Process
capabilities
The third set of survey statements

are about process enablers.
Tools to automate Incident Management
activities are standardized and
Crown Copyright 2011. Reproduced under license from the Cabinet Office. Based on Figure 2.5 Service Strategy 2.2.2
A PROCESS MATURITY ASSESSMENT IS NOT

Not an employee performance appraisal
Not a compliance audit
Not a technical survey
Not a final plan for improvement
All Survey
Responses
are
Confidential
9
PINKSCAN ASSESSMENT
FRAMEWORK
10
PINKSCAN ASSESSMENT
FRAMEWORK
Process Maturity Levels vs. Management Targets
Process consistency and practice
CMM based
Process Importance
Benchmark for Improvements
Degree of integration with other processes
Culture Assessment
Process Readiness (Mgmt., Staff, Contractors)
Recommendations
11
Process Maturity Levels

Maturity Level
Description
0. Non-Existent
We do not do this or we do not have this across the organization.
1. Initial
This may be done from time to time across the organization but is not done consistently
each time. We have talked about developing something like this but we have not yet started
to do so.
2. Repeatable
There may be procedures for this in some parts of the organization but since they are not
formally documented or adopted there is a high reliance on individual knowledge,
experience and informal relationships.
3. Defined
We have standardized this across the organization with documented objectives, activities,
procedures, roles and metrics. All of the people who perform the process activities have
received appropriate training and are expected to follow them in accordance with the
documentation.
4. Managed
This is fully recognized and accepted throughout the organization as the way we work. We
have performance standards that we use to measure this activity and report against planned
results.
5. Optimized
Everyone involved in this process across the organization being assessed assures
consistency by considering this as part of their everyday activities. As an organization we
continually use feedback to ensure this activity aligns with overall business and IT goals a to
identify improvement opportunities.
6. I Dont Know
Choose this response if you have no knowledge of how this statement relates to the
organization being assessed.
12
PROCESS ASSESSMENT
MILESTONES
Date
Date
Online
Process
Surveys
Assessment
Planning and
Preparation
Assessment
Awareness
and
Kick-Off
Online
Culture Survey
Assessment Planning and Awareness
Opportunity Definition
Scope Definition
Organizational Context
Selection of Assessment
Team, stakeholders and
participants
Assessment scheduling
Online Tool Administration
Date
Survey Data Analysis
Date
Date
Date
Date
Facilitated
Workshops
Data
Analysis
and
Report
Generation
Communication
Of
Assessment
Results
Data Gathering and Validation
Scope
Reason
Explanation
Context
ITIL
Refresh
Opportunity
Definition
Answer
Formulation
Findings
Scores
Quick Wins
Road map
13
SAMPLE SURVEY PARTICIPANT

Mon, 25 JunEMAIL
2012 4:00 am
From: [email protected]
To:
Sent:
[email protected]
Subject: Message From Karl Kowalski: You Are Invited To Participate In A Process Maturity Assessment
University of Alaska Baseline Assessment - JUN2012
We are launching an assessment to determine the level of IT Service Management process maturity in
our organization. Your input is a valuable part of this assessment. The survey opens on 25-Jun-12
and closes on 12-Jul-12.
To participate, click on the link below and enter your user name and password. Please keep your
password confidential.
https://online.pinkelephant.com/PinkSCAN.htm
User name: [email protected]
Password: uoa099
Thank you in advance for your participation.

Regards,
Karl Kowalski
14
PARTICIPANT VIEW: SURVEY

HOME PAGE
15
PARTICIPANT VIEW:
MATURITY STATEMENTS
16
PA RT I C I PA N T V I E W: 5 I N T E G R AT I O N S TAT E M E N T S
PARTICIPANT VIEW: 5
IMPORTANCE STATEMENTS
18
GUIDELINES: RESPONDING
TO SURVEY
Your answers for maturity should indicate the
as is for UAF
Your answers for importance should indicate
how important the statement is based on the
current priorities
If the process element or activity does not
exist, select Non-Existent
If you do not understand the statement or you
dont know how to respond then score it as I
Dont Know
19
VALIDATION WORKSHOPS
90 minute facilitated workshops

Review and validate survey data
Describe the current process
Look for good practices
Look for gaps compared to ITIL
Review process artifacts to confirm survey

results
20
WORKSHOPS: WHAT IS EXPECTED OF YOU
Attend the workshop as designated by

the schedule and be an active participant
Provide feedback on the current state of

the process
Be open and honest in your answers during the workshop
We are looking for an end-to-end perspective

Highlight any current improvement initiatives
Its OK to say I dont know
Provide any documentation you feel would be beneficial in

supporting your answers
21
EXAMPLE PINKSCAN
RESULTS
22
WHAT IS THE RESULT?
Final Report
Assessment objective
Results of the survey
Process scores
Conclusions
Recommendations
Indication of organizational culture
23
PINKSCAN MATURITY
RESULTS
24
PROCESS MATURITY AND

IMPORTANCE
25
PINKSCAN CULTURE SURVEY
26
MATURITY EXAMPLE
Change Management
27
LEVEL 0: NON-EXISTENT
We do not do this.
Change Management Scoring Characteristics:
No process designed, no procedures and documentation
No clear definition of a change
No recording of changes is taking place
No evaluation of change impact
No knowledge of changes taking place between IT groups or by
the Service Desk
No reporting is taking place
28
LEVEL 1: INITIAL
We know we need to do something, but have not started.
No responsibility for the process no Process Owner or Process
Manager
Loosely defined processes, procedures and roles & responsibilities
that are used differently across IT groups for their changes
Change requests are logged but there are no standards in place
and the logging is ad hoc
Impact and priority codes may exist but no standards for using
them
No historical or accurate data for trend analysis, for instance no
knowledge of the number of changes implemented
29
LEVEL 2: REPEATABLE
The work is being accomplished in areas of strength, but Change
Management is not well defined or consistently followed.
Processes and procedures are developed as needed (reactively)
and may not be consistent across IT
Requests for Change have to be authorized
Change records are being updated ad hoc
Simple planning; scheduling of individual changes
There is no view of all changes
Authorization/competencies are unclear
Management reports are developed reactively
30
LEVEL 3: DEFINED
Change Management is defined, understood, practiced and measured.
Change policies, standardized workflow and procedures are established
and have been documented
A Change Management Process Owner has been designated and other
roles and responsibilities (e.g.: a CAB) are defined and established
Formal communication, awareness and training programs have been
established for all Change Management roles
All Requests for Change are logged and reviewed using guidelines
Standardized change categories are used
Changes are being authorized by the appropriate authority based on
impact
Management reports are used for controlling Change Management
activities
31
Level 4: Managed
Change Management is fully recognized and accepted throughout the
organization. We have performance standards that we use to measure this
process and we report against planned results.
Well-defined processes, procedures, and standards included in all
IT staff job descriptions
Changes are logged and tracked through the life of the change
Changes are logged in an integrated tool with integration to other
processes
Change Management activities are guided by service level values
and configuration data
Effective management reports are tied to service levels and used
by management of various departments
32
LEVEL 5: OPTIMIZED
Change Management is done consistently; everyone involved considers this
as part of their everyday activities. We continually use feedback to ensure
this process aligns with overall business and IT goals and to identify
improvement opportunities.
Change Management is fully recognized across the organization and is
institutionalized as part of the everyday activities of those involved
with the process activities
Change Management activities are regularly reviewed to make sure
they are fit for purpose and to improve service
Optimization of procedures and coordination with other departments is
a continuous effort
Change logging and reporting is tailored to support and integrate with
other processes
Reports serve as input for quality improvement of the various IT
departments
Third parties are included in the Change Management process
33
QUESTIONS?
Any questions
before we move
on to the ITIL
overview?
34
ITIL PROCESS OVERVIEW

Service Catalog Management
Change Management
Incident Management
Problem Management
35
WHAT
A SERVICE?
Services
are aIS
means
of delivering business value to
customers by facilitating outcomes customers want to
achieve without the ownership
of specific costs and risks
People
People do
do not
not want
want quarter-inch
quarter-inch drills.
drills.
They
They want
want quarter-inch
quarter-inch holes.
holes.
Professor
ProfessorEmeritus
EmeritusTheodore
TheodoreLevitt,
Levitt,
Harvard
Business
School
Harvard Business School
36
SERVICE-BASED
ORGANIZATIONS
Organizations whose mission, goals, objectives,
operating models, governance and functional
structures are developed to focus on:
Externally defining and delivering value through services
rather than internally focusing only on the management of the
systems or technologies
The management and delivery of (IT) services to the customers
to create business value in a cost efficient way supported by:
People, Products, Partners, Processes = Performance
37
Services vs. Processes
ITIL is a Service
Management Framework.
This means that the
processes described by ITIL
exist for the primary
purpose of planning,
delivering and supporting
IT services.
Based on CobiT 4.1 p. 12 fig. 7

38
SERVICE CATALOG
MANAGEMENT
39
The Service Catalog

The service catalog is a database or structured document
with information about all live IT services, including those
available for deployment
The service catalog is the only part of the service portfolio
published to customers, and is used to support the sale and
delivery of IT services
The service catalog includes information about deliverables,
prices, contact points, ordering and request processes
40
Service Catalog Mgmt Objectives
To provide a single source of consistent information on all

agreed services, and ensure it is available to those
approved to access it
To ensure the Service Catalog is kept accurate and

up-to-date
41
Service Catalog
Business Service Catalog
Business
Process 1
Service A
Support
Services
Business
Process 3
Business
Process 2
Service B
Hardware
Service C
Software
Service D
Service E
Applications
Data
Technical Service Catalog

Based on OGC ITIL material. Reproduced under license from OGC Figure 4.3 Service Design 4.1.4
42
Service Catalog Terminology

Concept or Term
Description
Defining a Service
Each organization should establish a policy of what a service is and how it is

defined within the organization; consider a top-down approach beginning with
business processes
Hierarchy of Services
Defining services in terms of type, such as business/customer-facing and

supporting/technical
Business Services
Those services seen by the customer, e.g. communication, logistics and

procurement services, etc.
Supporting Services
Those services typically invisible to the customer but which are essential to the
delivery of Business Services, e.g., infrastructure, network, and application
services, etc.
43
Service Catalog Mgmt Activities

Define
Definethe
theServices
Services
Identify
IdentifyInterfaces,
Interfaces,Dependencies
Dependencies
Agree
Agreeto
toContents
Contents
Produce
Producethe
theCatalog
Catalog
Maintain
Maintainthe
theCatalog
Catalog
44
45
The Purpose & Objectives Of SLM

Purpose
Ensure that all current and planned IT services are delivered
to agreed achievable targets.
Objectives
Define, document, agree, monitor, measure, report and
review the level of IT services
Provide and improve the relationship and communication
with the business and customers
46
Service Level Management Activities

Determining, documenting and
agreeing requirements for new
services and producing SLRs
Negotiating, documenting and

agreeing SLAs for operational
services
Monitoring service performance

against SLA
Producing service reports
Conducting service reviews &

instigating improvements within
an overall service improvement
plan
Collating, measuring and

improving customer satisfaction
Reviewing and revising SLAs,

service scope and underpinning
agreements
Reviewing and revising OLAs

and service scope
Design SLA frameworks
Developing contacts and

relationships
Handling complaints and

compliments
47
Change Management
48
CHANGE MANAGEMENT
Goals:
To respond to the customers changing business
requirements while maximizing value and
reducing incidents, disruption and re-work
To respond to the business and IT
requests for change that will align the
services with the business needs
49
Key Change Management Terminology

Concept or Term
Description
Normal Change
Standard Change pre-approved
Emergency Change requires immediate attention; impacts
business significantly
Change Types
Request for Change

(RFC)
A formal proposal for a Change; includes details of the

proposed Change and may be in paper or electronic form.
Configuration Item (CI)
A component that needs to be managed in order to deliver an IT

Service. CIs are under the control of Change Management and
typically include Services, hardware, software, people, formal
documentation and relationships between CIs are defined to help
assess impact and risk of Changes to the CIs.
Change Advisory
Board (CAB)
A group of people that advises the Change Manager (owner of the

Change Management process) in the assessment, prioritization
and scheduling of Changes. Made up of representatives from all
areas within the Service Provider organization.
50
KEY CH ANG E M ANAGEMENT T ERM INOLOGY

Concept or Term
Description
Emergency Change
A sub-set of the CAB that makes decisions about highAdvisory Board (ECAB) impact Emergency Changes.
Forward Schedule of
Change or Change
Schedule
A document that lists all approved Changes and their

planned implementation dates.
Post Implementation
Review (PIR)
A review that takes place after a Change has been

implemented. A PIR determines if the Change was
successful and identifies opportunities for improvement.
Assessing Risk and

Impact of Change
CABs and ECABs assist the Change Manager in assessing

the risk and impact of each proposed Change. Authorized
changes are then scheduled and carried out by Release &
Deployment Management.
51
Change Management Activities

Record
RecordRFC
RFC
Review
ReviewRFC
RFC
Assess
Assess&&Evaluate
Evaluate
Authorize
Authorize
Plan
PlanUpdates
Updates
Coordinate
CoordinateImplementation
Implementation
Review
Review&&Close
Close
52
KNOWLEDGE
MANAGEMENT
53
Knowledge Management Purpose

Share perspectives, ideas, experience and information
Ensure these are available in the right place at the right time
to enable informed decisions
Improve efficiency by reducing the need to rediscover
knowledge
54
Knowledge Management Objectives

Improve management decision-making
Improve efficiency and quality of service
Increase satisfaction and reduce cost
Ensure staff understand the value their services provide to
customers
Establish and maintain knowledge, information and data in a
service knowledge management system
Share and use the SKMS and its contents throughout the
service provider organization
55
Knowledge Management Activities

Knowledge
Management
Strategy
Strategy
Knowledge
Knowledge Transfer
Transfer
Managing
Managing Data,
Data,
Information,
Information, &
&
Knowledge
Knowledge
Knowledge identification, capture

and maintenance
Learning styles
Knowledge visualization
Driving behaviors
Seminars, webinars and advertising
Journals and newsletter
Discussion forums and social media
What knowledge is necessary

Which conditions to be monitored
What data is available
Defining information architecture
Establishing DIKW procedures
Evaluation and improvement
56
Incident Management
57
Goals: INCIDENT MANAGEMENT

Restore normal service operation as quickly
as possible
Minimize the adverse impact on business
operations
Incident Management helps ensure the best
possible levels of service quality and
availability are maintained
58
Key Incident Management Terminology

Concept or Term
Description
Incident
An unplanned interruption to an IT service or reduction in the quality of an IT

service. Failure of a Configuration Item that has not yet impacted service is also an
Incident
Prioritization
Priority = Impact (business impact) + Urgency (time-based)
Categorization
Determining which service category the Incident fits into
Hierarchical
Escalation
Escalating the incident to a higher level of authority
Functional Escalation
Escalating the incident to a 2nd nth level function
Major Incident
An Incident that grows in impact or priority. Major Incident Management

procedures should be available. Major Incidents should not be confused with
Problems
Closing Incidents
In ITIL, only the Service Desk can close Incidents once the user/customer has
verified that service is restored
Incident Ownership
In ITIL, the Service Desk owns the incident from cradle to grave
59
Incident Management Activities

Logging
Logging
Categorization
Categorization
Prioritization
Prioritization
INCIDENT
Initial
InitialDiagnosis
Diagnosis
Escalation
Escalation
Investigation
Investigation&&Diagnosis
Diagnosis
Resolution
Resolution&&Recovery
Recovery
Closure
Closure
60
PROBLEM MANAGEMENT
61
Problem Management
Objectives:
Prevent Problems and resulting Incidents from happening
Eliminate recurring Incidents
Minimize the impact of Incidents that cannot be prevented
Problem Management is the process

responsible for managing the lifecycle
of all Problems.
Problem
62
Key Problem Management Terminology

Concept or Term
Description
Problem
The unknown cause of one or more incidents. The cause is not

usually known at the time a problem record is created, and the
Problem Management process is responsible for further investigation
Workaround
Reducing or eliminating the impact of an Incident or Problem for

which a full resolution is not yet available
Root Cause
The underlying or original cause of an Incident or Problem
Root Cause Analysis
An activity that identifies the Root Cause of an Incident or Problem
Known Error
A Problem that has a documented Root Cause and a Workaround
Major Problem
Review
A review conducted to learn any lessons for the future. What we did
correctly; what we did wrong; what we could do better; how to
prevent recurrence
63
Problem Management Activities

Detection/Logging
Detection/Logging
Create
CreateKnown
KnownError
Error
Categorization
Categorization
Prioritization
Prioritization
Change
Change
Needed?
Needed?
Initial
InitialDiagnosis
Diagnosis
Resolution
Resolution
Workaround?
Workaround?
Closure
Closure
Problem
Major
Major
Problem?
Problem?
64
QUESTIONS?
[email protected]
www.pinkelephant.com
65

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What is the purpose of conducting a process maturity assessment?

What is the purpose of conducting a process maturity assessment?

What are the main objectives of conducting a process maturity assessment?

What are the main objectives of conducting a process maturity assessment?

IT Service Management Maturity Assessment Kickoff

University of Alaska - Fairbanks

Pink Elephant. All Rights Reserved.

Continual Service Improvement Model

Pink Elephant. All Rights Reserved.

Where are we now?

Service & process

Did we get there?

PinkSCAN Kickoff Presentation University of Alaska - Fairbanks, June 22, 2012

Pink Elephant. All Rights Reserved.

A repeatable method of objectively gaining an

Pink Elephant. All Rights Reserved.

Assess IT management practices against a

Pink Elephant. All Rights Reserved.

CONTINUAL SERVICE IMPROVEMENT

PinkSCAN Kickoff Presentation University of Alaska - Fairbanks, June 22, 2012

Pink Elephant. All Rights Reserved.

BASIS OF THE ASSESSMENT

The first set of survey statements

Process policies have been identified,

The second set of survey

A multi-level incident categorization

The third set of survey statements

PinkSCAN Kickoff Presentation University of Alaska - Fairbanks, June 22, 2012

Pink Elephant. All Rights Reserved.

A PROCESS MATURITY ASSESSMENT IS NOT

Pink Elephant. All Rights Reserved.

Pink Elephant. All Rights Reserved.

Pink Elephant. All Rights Reserved.

Process Maturity Levels

We do not do this or we do not have this across the organization.

PinkSCAN Kickoff Presentation University of Alaska - Fairbanks, June 22, 2012

Pink Elephant. All Rights Reserved.

Assessment Planning and Awareness

Survey Data Analysis

Data Gathering and Validation

Pink Elephant. All Rights Reserved.

SAMPLE SURVEY PARTICIPANT

Thank you in advance for your participation.

Pink Elephant. All Rights Reserved.

PARTICIPANT VIEW: SURVEY

Pink Elephant. All Rights Reserved.

Pink Elephant. All Rights Reserved.

PinkSCAN Kickoff Presentation University of Alaska - Fairbanks, June 22, 2012

Pink Elephant. All Rights Reserved.

Pink Elephant. All Rights Reserved.

Pink Elephant. All Rights Reserved.

90 minute facilitated workshops

Review process artifacts to confirm survey

Pink Elephant. All Rights Reserved.

WORKSHOPS: WHAT IS EXPECTED OF YOU

Attend the workshop as designated by

Provide feedback on the current state of

Be open and honest in your answers during the workshop

We are looking for an end-to-end perspective

Its OK to say I dont know