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Process Templates ITSM Process Library Implementation Kits Role Descriptions Academic Initiative |
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ITSM Processes of Service Strategy
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from our series "Processes of IT Service Management" |
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The purpose of this ebook is not provision of theoretical knowledge but shows the experience of numerous implementations of process oriented IT Service Management from practice. From the perspective of the ITIL® standard all subtopics have more or less the same priority - practice shows a different picture. We have built our process library described in this publication exactly to practical considerations, practical relevance has the primary focus.
Each process is described by
The glossary at the end of the document outlines detailed descriptions of
and provides checklists to key topics. |
And now i wish you a fruitful and interesting reading!
Sincerely yours
Dipl.-Ing. Walter Abel
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Copyright, trademarks and property rights
"Signavio" and "Signavio Process Manager" are trademarks of Signavio Gmbh, Kurfürstenstraße 111, D-10787 Berlin "ARIS" is a trademark of Software AG, Uhlandstrasse 12, D-64297 Darmstadt "ITIL®" is a registered trademark of AXELOS Limited "ITSM Process Library" is a trademark of Dipl.-Ing. Walter Abel Management Consulting, Hauptplatz 34/8A, A-2070 Retz
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1 Content |
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4 |
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6 |
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3 Service Lifecycle |
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14 |
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15 |
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21 |
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4.3.1.1 Interfaces |
23 |
28 |
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4.3.1.3 Identification of Service Requirements |
35 |
4.3.1.4 Contract Conclusion for IT Standard Services |
40 |
4.3.1.5 Customer Satisfaction Surveys |
47 |
4.3.1.6 Customer Feedback Management |
51 |
4.3.1.7 Monitoring of Customer Complaints |
57 |
4.3.2 Management of the IT Service Strategy |
61 |
4.3.2.1 Interfaces |
62 |
4.3.2.2 Strategic Assessment of IT Services |
67 |
4.3.2.3 Conception of IT Service Strategy |
72 |
4.3.2.4 Implementation of IT Service Strategy |
77 |
4.3.3 Service Portfolio Management |
86 |
4.3.3.1 Interfaces |
87 |
4.3.3.2 Preparation for Service Design |
92 |
4.3.3.3 Initiation of Service Design |
96 |
4.3.3.4 Review and Maintenance of the Service Portfolio |
101 |
4.3.4 Demand Management |
109 |
4.3.4.1 Interfaces |
110 |
4.3.4.2 Demand Prognosis |
114 |
4.3.4.3 Demand Control |
118 |
4.3.5 Financial Management |
124 |
4.3.5.1 Interfaces |
125 |
4.3.5.2 IT Financial Organization |
131 |
4.3.5.3 IT Budgeting |
136 |
4.3.5.4 IT Forecast |
142 |
4.3.5.5 IT Cost Monitoring |
148 |
4.3.5.6 Invoicing for IT Services |
151 |
4.3.5.7 IT Profitability Analysis |
157 |
4.3.5.8 IT Financial Reporting |
163 |
168 |
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168 |
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174 |
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175 |
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180 |
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6 Responsibility Assignment Matrices (RACI) |
181 |
6.1 Responsibility Assignment Matrix for Business Relationship Management |
182 |
6.2 Responsibility Assignment Matrix for Management of IT Service Strategy |
183 |
6.3 Responsibility Assignment Matrix for Service Portfolio Management |
184 |
6.4 Responsibility Assignment Matrix for Demand Management |
185 |
6.5 Responsibility Assignment Matrix for Financial Management |
186 |
7 Checklists for Service Strategy |
187 |
7.1 Checklist Request for Change |
187 |
7.2 Checklist Incident Management Report |
189 |
7.3 Checklist Capacity Planning |
191 |
7.4 Checklist Capacity Reporting |
192 |
7.5 Checklist Operational Level Agreement |
194 |
7.6 Checklist Continual Service Improvement Register |
198 |
7.7 Checklist Service Level Agreement |
200 |
7.8 Checklist Service Level Report |
203 |
7.9 Checklist Service Catalogue |
205 |
7.10 Checklist Service Portfolio |
206 |
7.11 Checklist Service Design Package |
209 |
7.12 Checklist Availability Reporting |
213 |
7.13 Checklist Underpinning Contract |
215 |
7.14 Checklist Financial Analysis |
218 |
2 The novelties within the ITIL® V3 revision 2011Since the publication of the ITIL® V3 more than 500 improvement proposals (changes and completion) for the roles, processes and interfaces have been provided from the users and the training organizations as well. This has been major input for the description of the IT Service life cycle. Requirements from the Sarbanes-Oxley Act (SOX) have been added thus providing improved transparency of the processes. Outsourcing and cloud strategies have been requiring enhanced security management with tightened control and documentation duties.
Roles, interfaces, inputs and outputs have been harmonized within the five publications, errors and inconsistencies in text and graphics have been removed. Hence the edition 2011 is more easy to read, control, translate, implement and communicate.
The changes in detail
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Process Responsible |
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Process Content |
First level processes for Business Relationship Management, IT Portfolio Management, Demand Management, definition, revision and cyclic update of the IT Service Strategy as part of the business strategy and the IT Financial Management as well. |
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Process Goal |
Provision of the strategical and tactical targets for effective and efficient IT Service Management and related finance, integration of the IT Services into the consumer's business and controlled service consumption based upon a well defined Service Portfolio. |
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ISO20000 relevant |
yes |
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ISO9000 relevant |
yes |
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SOX relevant |
yes |
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Involved Organizational Units and Roles
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Business Relationship Management is in charge for the maintenance of relations to existing customers and Prospects and the provision of information for potential customers as well.
This contains basically the following sub processes:
This process group is newly introduced to the standard with the revision 2011 of ITIL®. Some of the processes existed already in the previous release:
In the following paragraphs the sub processes of this process group are described in detail.
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4.3.1.2 Customer RelationsClick the image for a bigger view in a new window
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Process Details |
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Process Responsible |
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Process Content |
Management of customer relations. |
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Process Goal |
Maintenance of existing customer relations and creation of them with potential Prospects. |
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ISO20000 relevant |
no |
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ISO9000 relevant |
yes |
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SOX relevant |
no |
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Involved Organizational Units and Roles |
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Process Flow Requirement (Start Event) Business Unit
Preparation of inquiry (Task) Business Unit
Prospect inquiry (End Message Event) Business Unit
Requirement (Start Event) Business Unit
Preparation of inquiry (Task) An inquiry for the demand is created and handed over to the IT Service Provider. Business Unit
Customer inquiry (End Message Event) Business Unit
Periodic Portfolio Information (Start Timer Event) Business Unit
Change of Service Catalogue (Start Message Event) Business Unit Glossary Item Service Catalogue (Document)
Proactive Information about Service Catalogue (Task) Periodical and especially in case of changes in the Service Catalogue a proactive information about the actual Service Catalogue is provided. Business Unit Data Repositories
Portfolio information for Service Customers (End Message Event) Business Unit
Portfolio information for Service Prospects (End Message Event) Business Unit
Periodic review of requirements (Start Timer Event) Business Unit
Customer feedback (Start Message Event) Business Unit
Clarification of changed requirements (Task) Changed requirements from the IT Service Consumer are discussed on periodical basis and documented. Business Unit Additional Participants
Changed requirements ? (Data Based Exclusive Gateway) Business Unit
No action required (End Event) Business Unit
Customer Inquiry (Start Message Event) Business Unit
Documentation in Customer Portfolio (Task) The inquiry is documented in the Customer Portfolio. Business Unit Data Repositories
Clarification of requirements (Collapsed Subprocess) The requirements of the inquiry are checked for
Business Unit Additional Participants
Desired Service Outcome (Intermediate Message Event) Business Unit Glossary Item Desired Service Outcome (Document)
Standard IT Service ? (Data Based Exclusive Gateway) Business Unit
Request for Individual IT Service (End Message Event) Business Unit Glossary Item Individual IT Service (Document)
Request for Standard IT Service (End Message Event) Business Unit Glossary Item Standard IT Service (Document)
Prospect inquiry (Start Message Event) Business Unit
Documentation in Customer Portfolio (Task) For new Prospects the basic data are recorded in the Customer Portfolio. The inquiry is documented. Business Unit Data Repositories
Clarification of requirements (Collapsed Subprocess) The requirements of the inquiry are checked for
Business Unit Additional Participants
Desired Service Outcome (Intermediate Message Event) Business Unit Glossary Item Desired Service Outcome (Document)
Standard IT Service ? (Data Based Exclusive Gateway) Business Unit
Request for Standard IT Service (End Message Event) Business Unit Glossary Item Standard IT Service (Document)
Request for Individual IT Service (End Message Event) Business Unit Glossary Item Individual IT Service (Document)
Involved IT Systems
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5 Glossary5.1 Process Documents in Service Strategy Actual Costs are period related expenses of the (part of the) organization or a project.
Availability Management Report The Availability Improvement Plan all planning relevant information for the improvement of the availability of the IT Services
The Budget Requirement describes the budget period related prognosis of expected costs and revenues of the requiring business unit respective project.
The Capacity Management Report contains all relevant information about usage and performance of the IT Services and IT Infrastructure.
The Capacity Plan contains the prognosis of the future Capacity Demand per IT Service and evaluated possible activities to provide these required capacities.
The Change Management Report informs all IT Service Management Disciplines about the status of actual and planned changes and the results of the post implementation reviews and the derived improvement and optimization proposals.
Change Proposal for IT Service The Change Proposal for IT Service describes a proposed Major Change, e.g. the implementation of a new IT Service or major modifications of an existing IT Service. It is communicated for evaluation of feasibility, risks and effects of the implementation prior to starting design activities.
Change Request for Service Catalogue A Change Request for Service Catalogue is placed to Service Catalogue Management in case new Services or Service Attributes have to be introduced into the Service Catalogue.
Configuration Items are the operating resources of the IT Services in general. They are maintained within the Configuration Management Database (CMDB), which itself is a core component of the Configuration Management System.
The Continual Service Improvement Register (CSI Register) is the basis for all potentials and initiatives for the improvement of the service quality over the service life cycle. In the cyclic CSI Register all activities to improve the service quality are documented.
The Customer Portfolio contains information about all customers of the IT Service Provider over the customer's lifecycle from the Business Relationship Management's perspective (comparable to CRM).
The Demand Prognosis provides a forecast of the future demand for IT Services based upon the IT Service Strategy, requests from the IT Service Consumers and historic consumption trends.
The Desired Service Outcome describes the expected results of an IT Services with the words of the customer. Based upon this information detailed documents describing the requirements exactly in technical terms of the Service Provider are created.
The Forecast describes an extrapolation of economic results based upon Actual Costs and revenues of previous periods within the budgeting period to the end of this budgeting period.
The Improvement Management Report provides information about planning and results of Continual Service Improvement for the other IT Service Management functions. It contains planned, actually executed and since the last report finished service- and process improvement activities and their expected respective achieved results. Furthermore proposals for future additional service improvement activities are provided.
The Incident Management Report informs all involved ITSM Disciplines about occurred Incidents and their elimination.
The IT Budget is a rolling business period related financial plan containing a prognosis of expenses and revenues to be expected for the IT Organization. Within the IT Budget funds are allocated to the processes of the IT Service Management respective to the organizational units of the IT Service Provider.
The IT Financial Report documents costs, revenues and contribution margins of IT Services, the costs of IT System Operation allocated to the IT Services and provides a forecast to the development of the financial performance indicators.
The IT Forecast provides a projection of the economic results (of Individual IT Services or the complete IT Organization) to the end of the budgeting period based upon Actual Costs and revenues of previous periods.
An Individual IT Service requires normally changes of underlying basic IT Services or Infrastructure Services. Thus an important focus on the functional and organizational requirements specification is necessary.
A Known Error is a Problem whose cause is known and documented including a documented Workaround (as far as available).
The Operational Level Agreement provides an internal contract between the IT Service Provider and another part of the IT Organization regarding the provision of an IT Service Contribution. It defines besides others:
The Problem Management Report informs all involved ITSM Disciplines about open Problems and Problems in process and the related solutions and Workarounds.
Recommendation for Demand Control Trigger for the optimization of service consumption behaviour as input for the Demand Management.
Recommendation for Process Quality Improvement Trigger for the optimization of the quality of IT processes as input for the process review.
Recommendation for Service Quality Improvement Trigger for the optimization of the quality of IT Services and IT Infrastructure Services by changes in as input for the service review.
The release package contains all Configuration Items belonging to the respective release. Those Configuration Items may be
The Request for Change is a formal request to perform a Change required for all types of Change not defined as release free Standard Change.
The Service Catalogue is the part of the Service Portfolio visible for the IT Service Consumers. It contains a complete listing of all active IT Services of the IT Service Provider including those released for deployment.
The Service Design Package describes the requirements to the development of IT Services based upon Service Level Requirements. It contains the requirements from the customer's perspective and describes how they will be realized from technical and organizational perspective.
The Service Landscape documents the relations between Business Services and IT Services at one hand and the relations between IT Services and IT Infrastructure at the other hand. Thus it assures the logical link from Business Service down to Configuration Items. Furthermore it is the basis of a holistic Risik Management for the IT Services with the aspects:
The Service Level Agreement defines the mutual contractual requirements regarding the IT Service. This contains besides others:
Service Level Arrangements cover all service level relevant agreements and contracts: The Service Level Report informs about the agreed service quality of the Service Providers respective Suppliers comparing the agreed and achieved Service Levels. The report furthermore provides information about the utilization of the IT Services, ongoing activities for Service Improvement and extraordinary occurrences.
The Service Level Requirement contains all requirements to an IT Service from the business perspective of the IT Service Consumers. It defines besides others:
During service designs the Service Level Requirement is the basis for the service contract and the Service Level Agreements.
The Service Portfolio contains a complete listing of all IT Services of the IT Service Provider:
Visible for the IT Service Consumer is the Service Catalogue as subset of the Service Portfolio. Not visible for the IT Service Consumer are:
Service Portfolio Review Report The Service Portfolio Review Report contains all organizational, technical and economic outcomes of the Service Portfolio Review. It is an essential input for the strategic evaluation of the IT Services.
Systematic, cyclic and operationalized long range planning of the goals of the IT Service Provider and for the IT Services.
A Standard IT Service needs normally no change of the underlying IT Basic Services and Infrastructure Services. Thus the process of requirements specification is concentrating on the definition of service level goals and their control.
The Standard Operating Procedures contain the rules for recurring standard activities of the IT Operation and the according targets for these activities and processes.
Tactical Charge Rates are used for demand control by financial means.
The Transition Management Report contains information about all active and planned Transition Projects (status, milestones, finish).
An Underpinning Contract is a contract between the IT Service Provider and an external service Supplier about the delivery of IT Service Contributions. It defines besides others:
A Workaround is a bypass solution for an incident or a problem, where no cause eliminating solution is available so far. Goal of the Workaround is to reduce or avoid the effects of the incident respective problem until a final solution is available.
Workarounds for incidents without related problem record are documented in their incident record, while Workarounds for problems are documented in the Known Errors database. 5.2 Involved Organizational Units in Service StrategyThe organizational unit in charge for management of profit and loss calculation and company balance sheet (external reporting).
The organizational unit in charge for cost accounting, calculation, budgeting, cost control and monetary decision support (internal reporting).
The top management is the finally deciding board according to the organizational structure of the IT Service Consumers.
The responsible IT Service Provider.
The organizational unit or group within the IT in charge for the operation of the IT.
5.3. Involved Roles in Service StrategyThe Availability Manager is responsible for the definition, analysis, planning, measuring and improvement of all aspects of the availability of IT Services in respect to the agreed service levels. He/she is responsible for ensuring that all IT infrastructure, processes, tools, roles and other utilized auxiliary means are appropriate for the agreed service level targets of availability (also in the future based upon known business requirements).
The Business Relationship Manager is in charge of maintaining the customer relations. He/she
The Capacity Manager is responsible for ensuring that IT Services and IT Infrastructure are able to deliver the agreed service levels from capacity perspective in a cost effective manner. He/she is responsible for ensuring that all IT infrastructure, processes, tools, roles and other utilized auxiliary means are appropriate for the agreed service level targets of capacity (also in the future based upon known business requirements).
The Compliance Manager's responsibility is to ensure that standards and guidelines are followed. This covers
Continual Service Improvement Manager The Continual Service Improvement Manager is responsible for managing improvements to the IT Services and the IT Service Management processes over their life cycle regarding the development of business requirements and the IT Service Strategy. He/she continually measures the performance of the IT Service Provider and designs improvements to IT Services, IT infrastructure and IT processes in order to increase efficiency, effectiveness, and profitability of the IT Service Provider.
Authorized requestor of goods and services from the IT Service Provider.
The Demand Manager is in charge of all activities
the demands for IT Services from business perspective. Together with the Capacity Management he/she ensures that the IT Service Provider is providing sufficient capacity to meet the actual, future and even situative additional capacity requirements.
The Financial Manager is responsible for managing the IT Service Provider's financials containing
The Incident Manager is primarily responsible for the fastest possible restoring of a failing IT system in case of incidents. He/she is the first stage of escalation for incidents in case they are not resolvable within the agreed service levels. Furthermore he/she is responsible for the intake and content conforming handover of customer messages of any kind (besides incident messages).
The Information Security Manager is responsible for ensuring the confidentiality, integrity and availability of an organization�s IT Services, IT infrastructure, IT assets, information and data (in all ways of presentation). He/she is usually involved in an organization wide approach to Security Management.
The IT Controller is the person in charge for the responsible Service Provider within the Controlling department.
Responsible manager of IT according to the organizational structure.
The IT Operations Manager has the overall responsibility for all activities of IT Operations:
The IT Service Continuity Manager cares for the provision of the minimum service levels agreed upon in the Service Level Agreements in cases of disaster. To achieve this he/she
All (internal and external) persons or organizational units, who consume the services of the IT Service Provider.
The group of leading persons inside the IT who are in charge for the disciplines of IT Service Management.
The IT Steering Committee is responsible for the IT - Business - Alignment (integration of IT in the company business to fulfill the role as �Enabler� of the business) and thus consists of decision makers of the operational company organization and the IT. It approves IT projects of defined size and criticality according to internal approval guidelines. It defines and is responsible for
The IT Steering Committee meets periodically and not only (but also) event driven.
The Problem Manager is responsible that all problems are handled over their whole lifecycle to
The Process Owner is responsible for the friction free, economical and goal oriented operation of his/her process(es) (business process, IT Process). This includes
The Project Manager is responsible for planning and coordination of all resources within his/her projects regarding the project portfolio and the mutual dependencies of projects resulting thereof. He/she manages for reaching the planned project goals within the predicted cost, time and quality estimates.
The Project Owner is the person in charge for a project from the business oriented holistic perspective and the achievement of related project targets.
Possible future IT Service Consumer with defined demand for IT Services.
The Service Catalogue Manager is responsible for developing and maintaining the service catalogue based upon the service portfolio, ensuring that all information within the service catalogue is accurate, up to date and accessible for all authorized persons.
Service Design Manager The Service Design Manager is responsible that new respective existing services are designed that
The Service Level Manager is responsible for the setting up executable Service Level Arrangements
in a way that the goals defined in these arrangements are reachable in economic manner. The achievement of goals is controlled and reported by him/her.
The Service Owner is responsible for the management of IT Service(s) assigned to him/her over their lifecycle. He/she supports the maintenance of the IT Service Strategy and the Service Portfolio.
The Service Portfolio Manager accounts for the development and maintenance of the Service Portfolio. He/she
The Service Strategy Manager supports the IT Steering Committee in
of the IT Service Provider's IT Service Strategy. He/she is responsible for the
of the IT Service Strategy.
The Solutions Architect is responsible for designing IT systems and IT applications required to provide an IT Service. This includes the specification of technologies, architectures and data structures as a basis for application development or customization and the technical and organizational realization concept as well.
External suppliers of IT Services, IT Service Contributions and outsourcing services, where the scope of supply is defined in the Underpinning Contracts, external suppliers of infrastructure and operating supplies.
The responsibility of the Supplier Manager covers
5.4 Involved IT Systems in Service StrategyThe IT System which maintains, documents and controls the financial management of the enterprise. Normally it is part of the integrated ERP System (Enterprise Resource Planning).
The Customer Portfolio Database contains all Customer Information (thus normally it is part of a CRM (Customer Relationship Management) System).
The Service Desk System contains the database of user support including the knowledge base for incident- and problem management. Normally it is part of the integrated IT Service Management system.
Database of the Service Portfolio. Normally it is part of the integrated ITSM System.
6.1 Responsibility Assignment Matrix for Business Relationship ManagementClick the image for a bigger view in a new window
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