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Introduction

This document is one of a number of self-assessments of important processes, enabling you to establish the extent to wh
better practice guidance available from OGC (the Office of Government Commerce).

The self-assessment scheme is composed of a simple questionnaire which enables you to ascertain which areas should
overall process capability. The assessment is based on a generic framework which recognises that there are a number of
place for process management and for it to satisfy the overall intent and meet the needs of the customer.

To establish where a particular organisation stands in relation to the process capability framework, a variable number of q
questions are weighted, i.e. those which are deemed as having a slightly higher significance are considered mandatory fo
These questions are denoted by a M symbol.
Rationale of the self-assessment scoring system

Figure 1 illustrates the rationale of the scoring system used in this questionnaire. The initial level of the framework, Level
minimum level of prerequisite items are available to support the process activities. Level 1.5: Management Intent, estab
statements, business objectives (or similar evidence of intent) providing both purpose and guidance in the transformation

At the lowest levels of the framework model (see Figure 1), the questionnaire is written in generic terms regarding produc
specific ITIL terms are used, based on the assumption that Organisations achieving higher level scores are more likely t
Level 2: Process Capability, examines the activities being carried out. The questions are aimed at identifying whether
performed. Level 2.5: Internal Integration seeks to ascertain whether the activities are integrated sufficiently in order to

Level 3: Products, examines the actual output of the process to enquire whether all the relevant products are being pro
concerned with the review and verification of the process output to ensure that it is in keeping with the quality intent.

Level 4: Management Information, is concerned with the governance of the process and ensuring that there is adequat
process in order to support necessary management decisions. Level 4.5: External Integration, examines whether all the
the discrete process and other processes have been established within the organisation. At this level, for IT service mana
expected.

Level 5: Customer Interface, is primarily concerned with the on-going external review and validation of the process to en
the needs of the customer.

The goal of the self-assessment questionnaires is not to test whether there is complete conformance with ITIL. The aim is
idea how well it is performing compared to ITIL best practice. The questionnaire also aims to create awareness of manag
addressed to improve the overall process capability.

Management

4 Managament information
1.5 Management intent

1 Prerequisites

Figure 1: The rationale of the self-assessment scoring system.

3.5 Quality Control

2 Process Capability

1 Prerequisites

Figure 1: The rationale of the self-assessment scoring system.


2.5 Internal Integration
4.5 External Integration

Other Processes

Instructions:

Enter your contact details (in worksheet named 'Contact Details') so we can send you a comparison of your results agains
after you submit your completed assessment.

Although we would prefer you to complete ALL assessments we will still process your data if you are only interested in a p
complete the rest.

Every assessment worksheet begins with and introduction to that particular assessment.
If you scroll down the page you will come to the assessment itself - the assessment is not immediately after the introducti
off so we have designed it so every printed page will start and end at a convenient position for easy reading.
At the end of every assessment you will find a graph comparing your scores against the highest attainable.

Starting at Level 1: Pre-requisites, answer the questions with a Y (Yes) or a N (No) in the grey cells adjacent.
Each section has a minimum score to achieve before you move onto the next level. You will be told you if you pass or fai
requirement you can still complete the rest of the assessment to see if how well you fair in all section. With this in mind th
There is nothing to be gained by presenting an outcome that is not based on true answers.
The grey cells are the only editable regions so you do not have to worry about changing/deleting anything you shouldn't.

Email your completed assessment to Stephen Kent. Alternatively post it to: Stephen Kent, OGC, Research & Guidance (W
Park, Norwich NR70HS.

Stephen Kent

establish the extent to which your organisation has adopted the

ertain which areas should be addressed next in order to improve the


that there are a number of structural elements which need to be in
e customer.

ork, a variable number of questions should be answered. The


e considered mandatory for a 'Yes' answer at each level of capability.

el of the framework, Level 1: Prerequisites, ascertains whether the


Management Intent, establishes whether there are organisational policy
ance in the transformation or use of the prerequisite items.

ric terms regarding products and activities. At higher levels more


el scores are more likely to use the ITIL vocabulary.

med at identifying whether a minimum set of activities are being


ted sufficiently in order to fulfill the process intent.

ant products are being produced. Level 3.5: Quality Control, is


with the quality intent.

uring that there is adequate and timely information produced from the
n, examines whether all the external interfaces and relationships between
level, for IT service management, use of full ITIL terminology may be

dation of the process to ensure that it remains optimised towards meeting

mance with ITIL. The aim is to give the self-assessing organisation an


reate awareness of management and control issues that may be

nt information

ality Control

3 Products

3 Products

ntegration

5 Customer
Interface

Customer

rison of your results against all other respondents

u are only interested in a particular assessment and do not wish to

ediately after the introduction because you may want to print the worksheet
easy reading.
t attainable.

cells adjacent.
told you if you pass or fail a section. If you do not reach the minimum
ection. With this in mind the assessment requires honesty in its completion.

g anything you shouldn't.

C, Research & Guidance (WFD), Rosebery Court, ST. Andrews Business

Your Contact Details


Name:
Organisation:
Address 1:
Address 2:
Address 3:
Address 4:
Postcode:
E-mail:

Type of
Organisation:
If Other please
specify:

Configuration Management
The scope of configuration management is assumed to be such that all Configuration Items
(CIs) used in the provision of live service (production) are, as a minimum set, subject to the
discipline of configuration management.
Software Control & Distribution is subsumed into release management. The logical control of
software items, including packages, throughout their lifecycle is under software configuration
control. A Definitive Software Library (DSL) may be set up and maintained in order to maintain
control over original software.
Configuration management provides direct control over IT assets and the ability to deliver
quality IT services economically.
All components of the IT infrastructure should be registered in the Configuration Management
Database (CMDB). The responsibilities of configuration management with regard to the CMDB
are:
- identification
- control
- status accounting
- verification.
The scope of configuration management is assumed to include:
- physical client and server hardware products and versions
- operating system software products and versions
- application development software products and versions
- technical architecture product sets and versions as they are defined and introduced
- live documentation
- networking products and versions
- live application products and versions
- definitions of packages of software releases
- definitions of hardware base configurations
- configuration item standards and definitions.

ITIL Service Support Self Assessment: Configuration Management


(Y)es or (N)o
Level 1: Pre-requisites

1. Are at least some configuration management activities established


within the organisation, e.g. registering Configuration Items (CIs)?

2. Have you identified some of the CI attributes, e.g. location, current


status, service component relationships?

3. Are configuration management activities assigned to specific individuals


or functional areas?

4. Is there an up-to-date inventory of current IT assets?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1
other answer 'Y'

FAIL

Level 1.5: Management Intent

5. Has the purpose and benefits of configuration management been


disseminated within the organisation?

6. Has the scope of configuration management activity been established


within the organisation?

7. Does the organisation have procedures covering the registration of


CI's?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1
other answer 'Y'

FAIL

Level 2: Process Capability

8. Have responsibilities for various configuration management activities


been assigned?

9. Is there a mechanism for retrieving, updating and analysing CI


information?

10. Is configuration data routinely used in performing impact


assessments?

11. Are CI's recognised in terms of service component relationships?

12. Is configuration data used routinely when building or installing new


CI's?

13. Are the configuration management activities reviewed on a regular


basis?

14. Are configuration audits performed on a regular basis?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 2
other answer 'Y'

FAIL

Level 2.5: Internal Integration

15. Have measure been taken to avoid duplication and anomalies with CI
records?

16. Is configuration data used routinely for capacity planning purposes,


e.g. to ascertain the actual growth of CI's within the organisation?

17. Do service support and service delivery personnel regularly retrieve


configuration data to facilitate their activities, e.g. Service Desk Personnel?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1
other answer 'Y'

FAIL

Level 3: Products

18. Are standard reports concerning CI information produced regularly?

19. Are the deliverables from configuration management activities and


there usefulness in underpinning other service support and delivery
disciplines clear to the rest of the service organisation?

20. Are build and installation schedules produced on the basis of the good
CI records?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1
other answer 'Y'

FAIL

Level 3.5: Quality Control

21. Are the standards and other quality criteria applicable for the
registration of CIs made explicit and applied?

22. Are the personnel responsible for configuration management activities


suitably trained?

23. Does the organisation set and review either targets or objectives for
Configuration Management?

24. Does the organisation use any tools to support the configuration
management process?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1
other answer 'Y'

FAIL

Level 4: Management Information

25. Do you provide management with information concerning configuration


items affected by major changes?

26. Do you provide management with information concerning information


on the achievement of targets and objectives set for Configuration
Management?

27. Do you provide management with information concerning database


and record growth usage?

28. Do you provide management with information concerning exceptional


problems regarding specific CIs / types of CI?

29. Do you provide management with information concerning nonconformance to standards?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1
other answer 'Y'

FAIL

Level 4.5: External Integration

30. Do you hold regular meetings with interested parties in which


Configuration Management matters are discussed?

31. Do you receive notification from, or provide information to change


management relating to every CI to be changed or introduced?

32. Is information exchanged with Release Management in order to keep


the Definitive Software Library (DSL) consistent with the CMDB?

33. Is configuration information made available to the Service Desk


regarding new CIs?

34. Does Configuration Management exchange information with Problem


Management concerning details of CIs relating to problems, suppliers,
customers and changes?

35. Does Configuration Management exchange information with Cost


Management regarding new cost and charging codes and other attributes?

36. Is configuration information made available to Business Continuity


Planning regarding CIs and backup details and other security and
contingency matters?

37. Is configuration information made available to Capacity Management


concerning growth estimates based on the CMDB?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 2
other answer 'Y'

FAIL

Level 5: Customer Interface

38. Do you check with the customer that the activities performed by
Configuration Management adequately support their business needs?

39. Do you check with the customer that they are happy with the services
provided?

40. Are you actively monitoring trends in customer satisfaction?

41. Are you feeding customer survey information into the service
improvement agenda?

42. Are you monitoring the customers value perception of the services
provided to them?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions

FAIL

Configuration Management Results


1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
Maximum Attainable Score
Your Score

Service Desk
The Service Desk provides the primary window for customer and user contact with the service
organisation on a day-to-day basis. The Service Desk may be responsible for a number of discrete
functions within the support organisation, including:
Incident Control:
This is the provision of first-line incident support including the initial receipt / handling of incidents / calls,
investigation and comparison against problems and known errors and either direct resolution (via actions
or advice) of the incident or progression to the Problem Management process as a problem. It may be
deemed appropriate to make a further distinction between calls and incidents, particularly when there are
systems management tools providing a level of automated service monitoring. Incidents may be
recognised by other functions (e.g. computer operations). The Service Desk should own the incident
control process and monitor progress on all incidents regardless of origin.
User / Service Delivery Interface:
The Service Desk forms the main day-to-day interface between Service Delivery and the users. While the
main vehicle of communication is incident control, the Service Desk also provides a contact point for
enquiries on general service issues (including advice on progress on prior reported incidents / problems)
and the dissemination of relevant information (e.g. via bulletins, system messages, etc.)
Handling Business Support Requests:
In some circumstances, it may be unclear where the cause of a user 'problem' has arisen, e.g. through
anomalies in the business process or the system. Either way, the user requires assistance and the Service
Desk may liase with the business unit contact resulting in the issue of a business instruction.
Production of Related Management Information:
While much of the overall management information may be produced by Problem Management, the
Service Desk's knowledge of incidents means that they are ideally placed to contribute to (or directly
provide) relevant management information - particularly in terms of user perceptions of Service Delivery
performance.

ITIL Service Support Self Assessment: Service Desk


(Y)es or (N)o
Level 1 - Pre-requisites

1. Are at least some Service Desk activities, e.g. incident logging established within
the organisation?
2. Does the Service Desk have a mechanism for identifying calls and registering
incidents and enquiries?
3. Does the Service Desk provide some form of first-line support to callers?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

FAIL

Level 1.5 - Management Intent

4. Do Service Desk operators have applicable scripts for dealing with calls?
5. Does the Service Desk have applicable procedures for incident registration?
6. Has the purpose and benefits of the Service Desk been disseminated within the
organisation?
7. Have targets been set for the resolution of incidents or call handling?
8. Have user representatives (e.g. Super-Users) been identified within the
organisation to facilitate first-line support and resolution?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 2 other answer
'Y'

FAIL

Level 2 - Process Capability

9. Have the functions of the Service Desk been agreed?

10. Do Service Desk operators have a strategy for obtaining the required information
from users during incident handling?

M
M

11. Is there a procedure for monitoring the progress of incidents?


12. Is there a procedure for the closure of incidents?
13. Does the Service Desk ascertain the status of planned fixes?
14. Does the Service Desk inform appropriate users on status changes regarding
outstanding incidents / problems?
15. Does the Service Desk provide information on the resolution of incidents?
16. Are information bulletins issued to the user community?
17. Is the Service Desk notified of new support requirements?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

FAIL

Level 2.5 - Internal Integration

18. Is the Service Desk responsible for the completeness of all incident records?
19. Does the Service Desk provide the single point of contact for all incoming
incidents / calls?
20. Are actual incident records used for subsequent progress monitoring and control
of incidents?
21. Is the Service Desk responsible for verification of the solution with the user and
closure of the incident?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

FAIL

Level 3 - Products

22. Are standard reports concerning incidents produced regularly?


23. Are the services supplied by the Service Desk clearly defined for customers and
other parties?
24. Do management review requests for new support requirements?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

Level 3.5 - Kontrol Kualitas

25. Apakah standart dan kreteria kualitas dapat diaplikasikan untuk


pendaftaran insiden dan untuk penanganan panggilan sudah jelas untuk
operator Service Desk?

FAIL

26. Apakah pegawai yang bertanggung jawab untuk aktivitas Service Desk telah
dilatih dengan sesuai?
27. Apakah organisasi telah membuat target atau objektif untuk Service Desk?
28. Apakah ada tools yang cocok untuk membantu fungsi dari Service Desk?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

FAIL

Level 4 -Informasi Manajemen

29. Apakah anda menyediakan manajemen dengan informasi tentang record


dari insiden?

30. Apakah anda menyediakan manajemen dengan informasi tentang performa


dari operasional Service Desk?
31. Apakah anda menyediakan manajemen dengan informasi tentang
kebutuhan pelatihan user?
32. Apakah anda menyediakan manajemeng dengan informasi tentang detail
dari anomali pengaturan?
33. Apakah anda menyediakan manajemen dengan informasi tentang analisis
trend pada terjadinya insiden dan resolusi?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

FAIL

Level 4.5 - Integrasi External

34. Apakah anda mendatangi rapat rutin dengan pihak sejalur yang mana
segala sesuatunya tentang Service Desk juga dibahas?

35. Apakah Service Desk melakukan penukaran informasi dengan Manajemen


Permasalahan tentang permasalahan yang berhubungan dan / atau eror yang
diketahui?
36. Apakah Service Desk melakukan pertukaran informasi dengan manajemen
pengaturan tentang kemudahan penggunaan record pengaturan, anomali
pengaturan dan pengenduran potensial dari item pengaturan seperti
'kegagalan' atau sejenisnya?
37. Apakah Service Desk melakukan pertukaran informasi dengan manajemen
pengaturan memperhatikan detail dari perubahan yang mungkin untuk menangani
suatu insiden / masalah?
38. Apakah Service Desk melakukan pertukaran informasi dengan manajemen level
service berkaitan dengan gebrakan pada perjanjian level service dan perihal
komitmen layanan dan support yang mereka tangani?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other answer
'Y'

FAIL

Level 5 -Antarmuka Pelanggan

39. Apakah anda mengecek pelanggan bahwa aktivitas yang dilakukan oleh Service
Desk sudah cukup mendukung kebutuhan bisnis mereka?

40. Apakah anda mengecek pelanggan bahwa mereka senang dengan layanan
yang diberikan?

41. Apakah anda memonitoring trend pada kepuasan pelanggan secara aktif?

42. Apakah anda membahas informasi tentang survei pelanggan pada agenda
peningkatan pelayanan?

43. Apakah anda memonitoring persepsi nilai pelanggan dari servis yang
diberikan pada mereka?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions

FAIL

Level 1 - Pre-requisites
Level 5 -Antarmuka Pelanggan
Level 1.5 - Management Intent
1
0.5
Level 4.5 - Integrasi External
Level 2 - Process Capability
0

Level 1 - Pre-requisites
Level 5 -Antarmuka Pelanggan
Level 1.5 - Management Intent
1
0.5
Level 4.5 - Integrasi External
Level 2 - Process Capability
0
Level 4 -Informasi Manajemen

Level 2.5 - Internal Integration

Level 3.5 Level


- Kontrol
3 - Products
Kualitas

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agement, the
to (or directly
Service Delivery

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

0
0
0
0

0
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0
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0
0

0
0
0
0
0
0
0
0
0

Release Management
Release management encompasses software control & distribution and is therefore closely allied
with configuration management. In the wider context, configuration management focuses on the
logical control of IT infrastructure components (configuration items, or CIs), registered on a
configuration management database. Within configuration management, software control &
distribution is responsible for the physical storage, distribution, and implementation of software
items. Software control & distribution also ensures that only correctly authorised versions of software
are actually brought into use within the production environment. Software is a valuable asset, and its
release must be controlled effectively in order to ensure that the efficiency and effectiveness of the
business is not compromised.
The scope of software control & distribution is assumed to be:
Control of Definitive Software Library:
This covers the establishment and operation of a secure logical software library (in one or more
physical locations) which holds all accepted software configuration items in a definitive quality
controlled form.
Release into Test / Live Environment:
This covers the build of software releases from source items in the definitive software library,
selected by reference to the configuration management database.
Distribution of Software:
This is the process of copying the releases from the build environment into test and, later, live
environments. Live environments may be centralised (as in typical mainframe systems) or
distributed (e.g. LANs / WANs).
Software Implementation:
This is the process of bringing the software into live use at the target locations.
It is important to recognise that the scope extends beyond applications software, i.e. it includes
control of:
- operating system software products and versions
- application development software products and versions (developed in-house or bought in)
- technical architecture product sets and versions as they are defined and introduced
- networking products and versions
- live application products and versions.

ITIL Service Support Self Assessment: Release Management


(Y)es or (N)o
Level 1: Pre-requisites

1. Are at least some release management activities established within the


organisation, e.g. build control and the movement of software configuration items?
2. Are release management activities assigned to specific individuals or functional
areas?
3. Is there an up-to-date inventory of software Configuration Items (CIs)?
4. Is the physical media associated with software CIs monitored and controlled?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 1.5: Management Intent

5. Has the purpose and benefits of release management been disseminated


within the organisation?
6. Has the scope of release management activity been established within the
organisation?
7. Does the organisation have procedures covering the registration of software
CIs irrespective of the source (e.g. COTS or in-house development)?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 2: Process Capability

8. Have responsibilities for various release management activities been


assigned?

9. Are there operational procedures for acceptance of new software irrespective


of its source?

10. Are there operational procedures for software distribution?


11. Are explicit guidlines available on how to manage, build and test software
releases?
12. Are there formal procedures for activating software within the organisation?
13. Do you have procedures for monitoring the usage of distributed products?
14. Do you have procedures for maintaining appropriate licenses?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 2.5: Internal Integration

15. Have measures been taken to identify duplicate CI records or anomilies with
CI data?

16. Are CI records kept in alignment with physical CI movements?


17. Is license information recorded against software CI records and is this
checked during the software distribution process (if appropriate)?
18. Are software CI records regularly utilised to provide information on software
control and distribution?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 3: Products

19. Are standard reports concerning CI distribution produced regularly?


20. Are the services supplied by release management clear to other functions?
21. Are notifications of software installations issued to all parties involved?
22. Is information on license status issued to interested parties?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

Level 3.5: Products

FAIL

23. Are the standards and other quality criteria for release management and in
particular software control & distribution (SC&D) made explicit and applied?

24. Are the personnel responsible for release management activities suitably
trained?
25. Does the organisation set and review either targets or objectives for release
management?
26. Are there suitable tools in use to support the SC&D process?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 4: Management Information

27. Does Release Management collate information concerning the release of new
/ changed software within the business?

28. Does Release Management collate information concerning software licenses?

29. Does Release Management collate information concerning failed


distributions?
30. Does Release Management collate information concerning statistics on
backup / archiving, including sizing?
31. Does Release Management collate information concerning specific details on
any license breaches?
32. Does Release Management collate information concerning identification and
removal of redundant CIs?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 4.5: External Integration

33. Do you hold regular meetings with interested parties in which Release
Management matters are discussed?

34. Does Release Management exchange information with Configuration


Management relating actual software components and inter-relationships,
identifying any changes / additions?

35. Does Release Management exchange information with Change Management


concerning change records for any new / changed CIs?
36. Does SC&D exchange information with Capacity Management for verification
and possible amendment of space requirements on software library datasets /
files?
37. Does Release Management exchange information with Problem Management
for any known errors recorded against CIs?
38. Does Release Management exchange information with Availability
Management to discuss any required outage to facilitate CI distribution?
39. Does Release Management exchange information with the Service Desk
regarding potential inclusion of advice via user bulletins etc?
40. Does Release Management exchange information with Cost Management for
any associated costing / charging implications, e.g. from revised license
distribution?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 5: Customer Interface

41. Do you check with the customer if the activities performed by Release
Management adequately support the business needs?

42. Do you check with the customer that they are happy with the services
provided?

43. Are you actively monitoring trends in customer satisfaction?

44. Are you feeding customer survey information into the service improvement
agenda?

45. Are you monitoring the customers value perception of the services provided to
them?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions

FAIL

Release Management Results


1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
Maximum Attainable Score
Your Score

ore closely allied


focuses on the
tered on a
e control &
on of software
versions of software
luable asset, and its
ffectiveness of the

(in one or more


initive quality

ware library,

and, later, live


stems) or

i.e. it includes

e or bought in)

oduced

ement

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Problem Management
The scope of problem management is assumed to be:
Incident Control:
Within the overall incident control process, problem management is responsible for second level
incident control. Typically, this consists of managing difficult or significant incidents which either
cannot be resolved by first level support areas (such as the Service Desk, Computer Operations
or Network Control) or would require a degree or extent of involvement which would not be
realistic for control sections with other pressing priorities / demands.
Problem Control:
The identification of the cause of incidents (problems), and either progressing to known errors
(problems caused by errors / faults in configuration items) or resolution by taking corrective action
if the cause is not an error / fault in a configuration item (e.g. a user mistake, or incorrect action
due to lack of training).
Error Control:
The correction of configuration items to remove errors / faults, and the overall management of
known errors whilst they remain unresolved and until they are eliminated by the successful
implementation of a change under the control of the Change Management process.
Proactive Problem Prevention:
The monitoring and analysis of the problem environment and the provision of information for
proactive measures to improve service quality. This includes the identification of 'fragile'
components (by analysis of incidents, problems and known errors), highlighting the potential for
and prevention of errors in one system recurring in other systems, identification of any other
trends (e.g. a gradual increase in problematic changes from one area of the organisation).
Production of Related Management Information:
Overall management information related to problem management, integrated with incident control
management information produced by the Service Desk.

ITIL Service Support Self Assessment: Problem Management


(Y)es or (N)o
Level 1: Pre-requisites

1. Are at least some problem management activities


established in the organisation, e.g. problem determination,
problem analysis, problem resolution?

2. Are problem management activities assigned to specific


individuals or functional areas?

3. Is there a procedure by which significant incidents are


escalated from the first-line support area(s)?

4. Are potential problems formerly assessed and identified?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

FAIL

Level 1.5: Management Intent

5. Has the purpose and benefits of problem management been


disseminated within the organisation?

6. Does the organisation have procedures for the registration of


problems and their resolution?

7. Is the organisation committed to reducing the total number of


problems and the lead-time for their resolution?

8. Is there management intent to be proactive towards problem


prevention?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

FAIL

Level 2: Process Capability

9. Have responsibilities for various problem management


activities been assigned?

10. Is there a procedure for controlling significant incidents?

11. Is there a procedure by which potential problems are


assigned for investigation?

12. Do problem owners have adequate guidlines for identifying


the nature of a problem?

13. Are complex problem investigations across for example,


several technical areas adequately co-ordinated?

14. Is there a procedure for problem closure?

15. Do you have a mechanism for tracking problem resolution?

16. Do you monitor the effectiveness of problem support


areas?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

FAIL

Level 2.5: Internal Integration

17. Is the nature of the problem always documented as part of


the problem record?

18. Is Problem Management responsible for the completeness


of all problem records?

19. Are proposed solutions to a problem reviewed and


authorised by a third party?

20. Are problem records updated to reflect the progress in


resolving the problem?

21. Is the Problem Manager responsible for reviewing the


problem records?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

Level 3: Products

FAIL

22. Are standard reports concerning problems produced


regularly?

23. Are the services provided by Problem Management clear to


other support and delivery functions?

24. Are requests for change raised on the basis of problem


analysis?

25. Do problem management reports comment on the results of


pro-active problem management?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

FAIL

Level 3.5: Quality Control

26. Are the standards and other quality criteria made explicit
and applied to problem management activities?

27. Are the personnel responsible for problem mangement


activities suitably trained?

28. Does the organisation set and review either targets or


objectives for Problem Management?

29. Does the organisation use suitable tools to support the


problem management process?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

FAIL

Level 4: Management Information

30. Does Problem Management provide management with


information concerning analysis of problem records?

31. Does Problem Management provide management with


information concerning operational performance of Problem
Management and related support areas?

32. Does Problem Management provide management with


information concerning trends in problem distribution and
potential 'hot' spots?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 1 other answer 'Y'

FAIL

Level 4.5: External Integration

33. Do you hold regular meetings with interested parties in


which Problem Management (PM) matters are discussed?

34. Does PM exchange information with Configuration


Management regarding the quality of configuration records,
highlighting any issues, and the potential flagging of items as
'failed' (or equivalent)?

35. Does PM exchange information with Change Management


regarding the details of any changes to resolve problems or on
emergency actions taken?

36. Does PM exchange information with the Service Desk


concerning related incidents, or follow-up on initial handling and
possible feedback to users (e.g. via urgent bulletins for major
incidents)?

37. Does PM exchange information with Service Level


Management regarding priority handling of problems and
potential impact on service level agreement performance?

38. Does PM exchange information with Business Continuity


Management regarding possible contingency actions in the
event of a major outage?

39. Does PM exchange information with Availability


Management for potential further assistance in identifying
support area (if not covered by configuration items) and for
extent / duration of outage?

40. Does PM exchange information with Release Management


(if applicable) regarding current CIs and for possible
association of problems with specific CIs?

41. Does PM exchange information with Capacity Management


for potential implications of planning options, and the likely
effect on problem trends?
Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions + 2 other answer 'Y'

0
FAIL

Level 5: Customer Interface

42. Do you check with the customer that the activities


performed by Problem Management adequately support their
business needs?

43. Do you check with the customer that they are happy with
the services provided?

44. Are you actively monitoring trends in customer satisfaction?

45. Are you feeding customer survey information into the


service improvement agenda?

46. Are you monitoring the customer's value perception of the


services provided to them?

Minimum score to achieve this level: 'Y' for all mandatory ('M')
questions

FAIL

Problem Management Results


1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
Maximum Attainable Score
Your Score

Change Management
The purpose of change management is to ensure that potential changes to IT service components are
reviewed in terms of their efficacy to meet business requirements, and that their impact is evaluated.
Better change management practices include:
- facilitating the introduction of all types of change via simple, clear and effective procedures and
tools across the various environments
- progressing changes on the basis of sound business and technological cases
assessing all changes for impact on the business and IT assets
- providing a framework within which those initiating changes may retain accountability for the actual
work content
- supporting project management and co-ordination
- ensuring the feasibility of all proposed changes
- preventing the introduction of changes which represent an unacceptable risk to the reliable delivery
of services
- preventing the introduction of unauthorized changes.

Change management assumption:


The scope of change management is assumed to be such that all changes to registered configuration
items, including: hardware and software products and versions used in the provision of IT services, and
the inclusion of new items into the live or development environments, will be subject to change control
procedures.

ITIL Service Support Self Assessment: Change Management


(Y)es or (N)o
Level 1: Pre-requisites

1. Are at least some change management (CM) activities established in the


organisation, e.g. logging of change requests, change assessments, change
planning?

2. Is change management activities assigned to specific individuals or functional


areas?

3. Is there a procedure for raising and issuing requests for change?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 1.5: Management Intent

4. Has the purpose and benefits of change management been disseminated


within the organisation?

5. Has the scope of change management activity been established within the
organisation?

6. Does the organisation have standards or other quality criteria for the raising
and registering of changes?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 2: Process Capability

7. Have responsibilities for various change management activities been


assigned?

M
M

8. Are the procedures for initiating change always adhered to?


9. Is there a procedure for approving, verifying and scheduling changes?

0
0

10. Are the business and technical impacts of changes always assessed?

11. Is change progress monitored adequately by Change Management?

12. Is the successful implementation of a change confirmed by Change


Management?

13. Is there a procedure for the review of all changes?

0
0

14. Are adequate change management reports produced?


Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 2 other
answer 'Y'

FAIL

Level 2.5: Internal Integration

15. Are all changes initiated through the agreed change management channels?

16. Are changes planned and prioritised, centrally or by common agreement?

17. Are change records maintained to reflect the progress of changes?


18. Are the reasons for change failure explicitly recorded and evaluated?

0
0

19. Are successful changes reviewed against the original business needs?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 3: Products

M
M

0
0
0
0

20. Are formal change records maintained?


21. Is a change schedule of approved changes routinely issued?
22. Are standard reports on changes produced on a regular basis?
23. Are there established standards for documenting changes?
Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 3.5: Quality Control

24. Are there standards and other quality criteria for the documentation of change
made explicit and applied?

25. Are the personnel responsible for change management activities suitably
trained?

26. Does the organisation set and review either targets or objectives for Change
Management?

27. Does the organisation use any tools to support the change management
process?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 1 other
answer 'Y'

FAIL

Level 4: Management Information

28. Does Change Management provide pertinent information concerning


requests for change received?

29. Does Change Management provide pertinent information concerning the


change schedule?

30. Does Change Management provide pertinent information concerning number


of changes?

31. Does Change Management provide pertinent information concerning number


of successful and failed changes?

32. Does Change Management provide pertinent information concerning lead


times by category?

33. Does Change Management provide pertinent information concerning change


slippage?

34. Does Change Management provide pertinent information concerning number


of problem record initiated changes?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 2 other
answer 'Y'

FAIL

Level 4.5: External Integration

35. Do you hold regular meetings with interested parties in which Change
Management matters are discussed?

36. Does CM exchange information with Configuration Management regarding


change progress and change closure?

37. Does CM exchange information with Configuration Management regarding


change impact assessment on configuration items?

38. Does CM exchange information with Problem Management regarding


changes required to resolve problems / known errors?

39. Does CM exchange information with Problem Management regarding


progress reporting and for receiving problem escalation reports?

40. Does CM exchange information with Problem Management regarding


obtaining problem information relating to change?

41. Does CM exchange information with the Service Desk for notification of
change progress?

42. Does CM exchange information with the Service Desk for notification of
change schedule?

43. Does CM exchange information with the Service Desk for assessing impact
of change on Service Desk support levels?

44. Does CM exchange information with the Service Desk for obtaining
information concerning incidents and calls relating to change?

45. Does CM exchange information with Release Management concerning


change implementation?

46. Does CM exchange information with Release Management concerning the


notification and scheduling of software releases?

47. Does CM exchange information with Service Level Management regarding


the change schedule?

48. Does CM exchange information with Service Level Management regarding


potential change impact on service level agreements?

49. Does CM exchange information with Business Continuity Management for


notification of change schedule?

50. Does CM exchange information with Business Continuity Management for


assessing impact of change on contigency plans?

51. Does CM exchange information with Capacity Management regarding


performance and capacity issues relating to change?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + 2 other
answer 'Y'

Level 5: Customer Interface

FAIL

52. Do you check with the customer if the activities performed by Change
Management adequately support their business needs?

53. Do you check with the customer that they are happy with the services
provided?

54. Are you actively monitoring trends in customer satisfaction?

55. Are you feeding customer survey information into the service improvement
agenda?

56. Are you monitoring the customers value perception of the services provided
to them?

Minimum score to achieve this level: 'Y' for all mandatory ('M') questions

Change Management Results


1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
Maximum Attainable Score
Your Score

FAIL