itSMF USA Problem Management Community of Interest · Problem management procedures define the standard methods / techniques for reactive and proactive problem detection, categorization,

© 2015 itSMF Problem Management SIG 1

itSMF USA Problem ManagementCommunity of Interest

How to Assess and Improve YourProblem Management Process

ModeratorTed Gaughan

SpeakerJohn Clipp

ITSM Practice LeadProblem ManagementSIG President

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About the Speaker:

TED GAUGHANTed has over 30 years of experience in IT engineering, operations, program/project management andIT service management, and is the ITSM Performance Integration Practice Lead for TechnoLava, LLC.His certifications include PMP, IT Project+ Professional, ITIL® Expert, ISO/IEC 20000 Consultant,Process Design Engineer (CPDE) and TIPA Lead Assessor.

He is an ITSM leads TechnoLava IT best practice transformation efforts – IT process baselineassessments, process and workflow design / development, and performance integration mentoringand coaching. Ted is co-author of “The Definitive Guide to IT Service Metrics” (offered in the itSMFThought Leadership Series) and the “Control Account Manager’s Handbook – An Earned ValueManagement Best Practice Reference.”

ITIL® is a registered trademark of Axelos, Ltd.

Assess & Improve Your Problem Management Process

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AGENDA: Problem Management Overview Process Assessment Process

● Process Reference Model (PRM) ● Process Assessment Model (PAM) ● Measurement Framework

Problem Management Process Assessment ● Problem Management Purpose & Expected Outcomes● Problem Management Baseline Practices ● Process Attributes


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Problem: The cause of one or more Incidents (symptoms).

Problem Management Objectives: ● Prevent problems & associated incidents ● Eliminate recurring incidents ● Minimize the number & impact of unpreventable incidents

How it is done:● Diagnosing the root cause● Determine resolution of problems● Document, maintain & report on information about problems

known errors workarounds resolutions

Problem Management Overview:


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Service StrategyStrategy ManagementFinancial Management for IT ServicesDemand ManagementService Portfolio Management Business Relationship Management

Service DesignDesign CoordinationService Catalogue ManagementService Level ManagementCapacity ManagementAvailability ManagementIT Service Continuity ManagementInformation Security ManagementSupplier Management

Service TransitionTransition Planning and SupportChange ManagementService Asset and Configuration ManagementRelease and Deployment ManagementService Validation and TestingChange Evaluation Knowledge Management

Service OperationIncident ManagementRequest FulfillmentEvent ManagementAccess ManagementProblem Management

Continual Service Improvement 7-Step Improvement Process

ITIL 2011 Service Lifecycle Processes

Process Reference Model (PRM) A Process Reference Model describes a set of one or more processes in terms of purpose and expected outcomes.


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Domain:● Problem Management

Scope● Activities required to diagnose the root cause of incidents● Determine the resolution to the root causes ● Ensure resolution implementation adheres to control procedures – Change &

Release & Deployment Management ● Maintain information about Problems, Workarounds & Resolutions – SKMS

(KEDB, Incidents, RFCs, etc.) ● Reactive & Proactive Problem Management

ITIL® 2011 Service Operation, p. 97

ITIL is a registered trademark of Axelos, Ltd.

Process Reference Model (PRM)


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Process Assessment Model (PAM)

A conformant Process Assessment Model is one:• that is suitable for the purpose of process assessment;• whose relevant elements are mapped to the processes described in a selected

conformant Process Reference Model(s), and to the relevant process attributes defined in ISO/IEC 15504-2;

• that is based upon a set of indicators for use during an assessment to gather the information about processes and process attributes;

• that has a formal and verifiable mechanism for expressing the information gathered using the Process Assessment Model into process attribute ratings as defined in ISO/IEC 15504-2.

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Process Assessment Model (PAM)

ISO/IEC 15504● Part 1: Concepts and vocabulary● Part 2: Performing an assessment● Part 3: Guidance on performing an assessment● Part 4: Guidance on use for process improvement and process capability

determination● Part 5: An exemplar Process Assessment Model● Part 6: An exemplar system life cycle process assessment model [Technical

Report]● Part 7: Assessment of organizational maturity [Technical Report]

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Process Assessment Process


ISO/IEC 15504-2:2003(E) Figure 1 — The normative elements of ISO/IEC 15504

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Process Assessment Process


Planning Data CollectionData

Validation

Process Attributes

Rating

Assessment Reporting

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Measurement Framework Capability Levels

IncompleteThe process is not implemented or fails to achieve its purpose.

PerformedThe implemented process achieves its process purpose.

ManagedThe process is managed and work products are established, controlled and maintained.

EstablishedThe process is defined and capable of achieving its process outcomes.

PredictableThe process operates within defined limits to achieve its process outcomes.

OptimizingThe process is continuously improved to meet relevant current and projected business goals.

1 PERFORMED 1.1 Process Performance

2 MANAGED2.2 Work Product Management2.1 Performance Management

3 ESTABLISHED 3.2 Process Deployment3.1 Process Definition

4 PREDICTABLE4.2 Process Control4.1 Process Measurement

5 OPTIMIZING 5.2 Process Optimization5.1 Process Innovation

0 INCOMPLETE

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Measurement Framework Process Attributes

Level 0: Incomplete processThe process is not implemented, or fails to achieve its process purpose.

At this level there is little or no evidence of any systematic achievement of the process purpose.[ISO/IEC 15504-2, 5.1]

Level 1: Performed processThe implemented process achieves its process purpose.

The following attribute of the process demonstrates the achievement of this level:

[ISO/IEC 15504-2, 5.2]PA 1.1 Process performance attributeThe process performance attribute is a measure of the extent to which the process purpose is achieved. As a result of full achievement of this attribute:

a) the process achieves its defined outcomes.[ISO/IEC 15504-2, 5.2.1]

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Measurement Framework Process AttributesLevel 2: Managed processThe previously described Performed process is now implemented in a managed fashion (planned, monitored and adjusted) and its work products are appropriately established, controlled and maintained.

The following attributes of the process, together with the previously defined attributes, demonstrate the achievement of thislevel:

[ISO/IEC 15504-2, 5.3]PA 2.1 Performance management attributeThe performance management attribute is a measure of the extent to which the performance of the process is managed. As a result of full achievement of this attribute:

a) objectives for the performance of the process are identified;

b) performance of the process is planned and monitored;

c) performance of the process is adjusted to meet plans;

d) responsibilities and authorities for performing the process are defined, assigned and communicated;

e) resources and information necessary for performing the process are identified, made available, allocated and used;

f) interfaces between the involved parties are managed to ensure both effective communication and also clear assignment of responsibility.

[ISO/IEC 15504-2, 5.3.1]

PA 2.2 Work product management attributeThe work product management attribute is a measure of the extent to which the work products produced by the process are appropriately managed. (a .- d.)

[ISO/IEC 15504-2, 5.3.2]

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Level 3: Established processThe previously described Managed process is now implemented using a defined process capable of achieving its process outcomes.

The following attributes of the process, together with the previously defined attributes, demonstrate the achievement of thislevel:

[ISO/IEC 15504-2, 5.4]PA 3.1 Process definition attributeThe process definition attribute is a measure of the extent to which a standard process is maintained to support the deployment of the defined process. (a. – e.)

PA 3.2 Process deployment attributeThe process deployment attribute is a measure of the extent to which the standard process is effectively deployed as a defined process to achieve its process outcomes. (a. – f.)

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Level 4: Predictable process The previously described Established process now operates within defined limits to achieve its process outcomes.

The following attributes of the process, together with the previously defined attributes, demonstrate the achievement of this level:

[ISO/IEC 15504-2, 5.5]

PA 4.1 Process measurement attribute The process measurement attribute is a measure of the extent to which measurement results are used to ensure that performance of the process supports the achievement of the relevant process performance objectives in support of defined business goals. (a. – f.)

PA 4.2 Process control attributeThe process control attribute is a measure of the extent to which the process is quantitatively managed to produce a process that is stable, capable, and predictable within defined limits. (a. – e.)

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Level 5: Optimizing processThe previously described Predictable process is continuously improved to meet relevant current and projected business goals.

The following attributes of the process, together with the previously defined attributes, demonstrate the achievement of this level:

[ISO/IEC 15504-2, 5.6]

PA 5.1 Process innovation attributeThe process innovation attribute is a measure of the extent to which changes to the process are identified from analysis of common causes of variation in performance, and from investigations of innovative approaches to the definition and deployment of the process. (a. – e.)

PA 5.2 Process optimization attributeThe process optimization attribute is a measure of the extent to which changes to the definition, management and performance of the process result in effective impact that achieves the relevant process improvement objectives. (a. – c.)

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Measurement Framework

Rating Scale

N Not achieved 0 to 15 % achievementP Partially achieved > 15 % to 50 % achievementL Largely achieved > 50 % to 85% achievementF Fully achieved > 85 % to 100 % achievement

Not achieved – little or no evidence of achievement of the defined attribute. Partially achieved – some evidence of an approach to, and some achievement of, the defined attribute. Largely achieved – evidence of a systematic approach to, and significant achievement of, the defined attribute. Fully achieved – evidence of a complete and systematic approach to, and full achievement of, the defined attribute.

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Process Assessment - Purpose & Expected Outcomes


ITIL is a registered trademark of Axelos, Ltd.

PurposeThe purpose of the Problem Management process is to manage the lifecycle of all problems from first identification through further investigation, documentation and eventual removal (ITIL® 2011- Service Operation: p. 97).

Expected Results

As a result of successful implementation of the Problem Management process:1. Problem management policies and procedures are defined (ITIL 2011 –

Service Operation: p. 98). 2. Problem management includes addressing both reactive and proactive

problems (ITIL 2011 – Service Operation: p. 97). 3. Major problem reviews are conducted (ITIL 2011 – Service Operation: p.

97). 4. Unresolved problems with identified workarounds are documented and

recorded in a known error database (KEDB) (ITIL 2011 – Service Operation: p. 97).

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Expected Results

5. Problems are recorded / logged and tracked separately from incidents (ITIL 2011 – Service Operation: p. 98).

6. Problem records are stored and managed in a single management system (ITIL 2011 – Service Operation: p. 98).

7. Problems are tracked, managed and communicated throughout their lifecycle (ITIL 2011 – Service Operation: pp. 97-98).

8. Problem management procedures define the standard methods / techniques for reactive and proactive problem detection, categorization, prioritization, investigation and root cause analysis, recording, resolution, and formal closure (ITIL 2011 – Service Operation: pp. 97-102).

Process Assessment - Purpose & Expected Outcomes

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Process Assessment - Base Practices (from PRM)

Base Practices

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Process Assessment - Base Practices (from PRM)

Base Practices

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Process Assessment – Process Attributes

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PROBLEM MANAGEMENT SIG SURVEY

What IT Service Management Tool are you using for Problem Management?

a) BMC Remedyb) FrontRange HEATc) HP Service Managerd) ServiceNowe) Other

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Assessment Report

At minimum, the assessment record shall contain:a) the date of the assessment;b) the assessment input; c) the identification of the objective evidence gathered; d) identification of the documented assessment process; e) the set of process profiles resulting from the assessment (i.e. one profile for each

process assessed); f) the identification of any additional information collected during the assessment

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Attribute Ratings

N Not achieved 0 to 15 % achievementP Partially achieved > 15 % to 50 % achievementL Largely achieved > 50 % to 85 % achievement F Fully achieved > 85 % to 100 % achievement

[ISO/IEC 15504-2, 5.7.1 - 5.7.2]

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Attribute Ratings

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Attribute Ratings

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Attribute Ratings

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Assessment Report – Process Profiles

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Assessment Report – Process Assessment Gap Analysis

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Assessment Report – Recommendations

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We Need You!• Committee Members• Presenters • Moderators• Suggested Topics

Interested? Contact us via E-mail at:Problem Management CoI: [email protected]

itSMF USA Problem Management CoI

Problem Management CoI website: http://www.itsmfusa.org/members/group.aspx?id=132881

LinkedIn itSMF Problem Management CoI Group:http://www.linkedin.com/groups/itSMF-Problem-Management-Special-Interest-6525784/about

Follow us on Twitter at: @itSMFProbMgtSIGOr www.Twitter.com/itSMFProbMgtSIG

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itSMF USA Problem Management Community of Interest · Problem management procedures define the standard methods / techniques for reactive and proactive problem detection, categorization,