ITIL® and the ITIL® Process Map by ProServ

Introduction ITIL® and the ITIL® Process Map

ÂŠ IT Process Maps GbR, 2012

Contents Introduction ................................................................................................... 1 ITIL® and the ITIL® Process Map...................................................................................................... 1

History of ITIL® ............................................................................................... 1 The Beginnings ................................................................................................................................ 1 Recognition as a Standard ............................................................................................................... 1 New Version in 2007: The ITIL® V3 Service Lifecycle ...................................................................... 2 ITIL 2011 Upgrade ........................................................................................................................... 3

The ITIL® Service Lifecycle .............................................................................. 4 ITIL® Main and Sub-Processes ......................................................................................................... 5 ITIL® Core Principles ........................................................................................................................ 6

How the ITIL® Process Map was created from the ITIL® Books ....................... 8 Differences between a Book and a Process Model......................................................................... 8 Where the ITIL® Process Map goes beyond the ITIL® Books .......................................................... 9 Processes vs. Functions ................................................................................................................. 18

The 2007 and 2011 Editions of ITIL® ..............................................................19 How to adapt your Processes to ITIL® 2011 .................................................................................. 19

Changes to the ITIL® Process Map (2011 Edition) ..........................................20 Changes in Service Strategy .......................................................................................................... 20 Changes in Service Design ............................................................................................................. 21 Changes in Service Transition ....................................................................................................... 22 Changes in Service Operation ....................................................................................................... 24 Changes in Continual Service Improvement ................................................................................. 27

ITIL® and ISO 20000 .......................................................................................28 How ITIL® and ISO 20000 are related............................................................................................ 28 Key ISO 20000 Requirements ........................................................................................................ 28 ISO 20000 Requirements in Relation to ITIL® Processes .............................................................. 29

History of ITIL® The Beginnings ITIL®1 was developed at the end of the 1980's by the Central Computing and Telecommunications Agency (CCTA), a government agency in Great Britain. The reason for commissioning the CCTA was a lack of quality of the IT services procured by the British Government, so that a method had to be found to achieve better quality and simultaneously decrease their costs. The objective was to develop effective and efficient methods for the provision of IT Services - in other words a catalogue of best practices for the IT organization, which today is known as ITIL®. The essence of the methods is to make IT services explicit and strictly focused on client needs. This is combined with clearly defined responsibilities for the service provision within the IT organization and effectively designed IT processes. As a result, the IT organization concentrates on the services required by the business, rather than being focused on technologies. The recommendations thus compiled are very broadly valid. It was found that the requirements of the businesses and organizations examined by the CCTA were mostly similar, independent of their size or industry sector. A series of books on ITIL® has been issued since 1989 by the Cabinet Office, an administrative body of the Government of Great Britain which is the successor of the CCTA. ITIL® is a registered trademark of the Cabinet Office.

Recognition as a Standard In the past years, ITIL® has become the de-facto standard for IT Service Management. Increasingly, IT managers developed awareness for the service- and customer-driven approach championed by ITIL®, and the ITIL® terminology is widely understood and used. 1

ITIL® is a Registered Trade Mark of the Cabinet Office in the United Kingdom and other countries

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The ITIL® philosophy has found its way into a multitude of other models related to IT Service Management, as for example: — ISO/IEC 20000 (formerly BS 15000): Information Technology Service Management — HP ITSM Reference Model (Hewlett Packard) — IT Process Model (IBM) — Microsoft Operations Framework

New Version in 2007: The ITIL® V3 Service Lifecycle In 2007 the Cabinet Office published a completely revised version of ITIL®, known as “ITIL® Version 3 (ITIL® V3)”. ITIL® V3 reflects the experiences gained with the earlier versions and puts a greater emphasis on creating business value. In comparison to ITIL® V2 - which consisted of nine books - it is more streamlined around a set of five new core publications which together form the “ITIL® V3 Service Lifecycle”: — Service Strategy — Service Design — Service Transition — Service Operation — Continual Service Improvement The rationale for organizing the ITIL® books in this way was to establish a Deming-like Plan-Do-Check-Act cycle focused on continual improvement. Overall, ITIL® V3 complements the processes known from ITIL® V2 with a number of new processes and puts more emphasis on producing value for the business. The underlying principles, however, are largely unchanged. The following chapter presents an introduction to the ITIL® V3 Service Lifecycle.

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ITIL 2011 Upgrade Four years after the introduction of ITIL V3 the main guidance has been updated, taking into account feedback from the user and training community. The new “ITIL 2011 Edition” was published at the end of July 2011. As the official ITIL Update FAQs state, "ITIL 2011 is an update, not a new version". No entirely new concepts were added, but the aim of the update is was to "resolve errors and inconsistencies in the text and diagrams across the whole suite". Since ITIL® V2 is about to be phased out, there is also a new naming convention, doing away with the “V3” suffix: the latest edition is referred to as "ITIL® 2011" or simply "ITIL®", while the term "ITIL® 2007" is used for the first edition of ITIL® V3. Consequently, in this document and throughout the ITIL® Process Map we use the term “ITIL®” to refer to the most recent version of ITIL®.

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The ITIL® Service Lifecycle Processes outside the IT Organization

Processes outside the IT Organization

The ITIL® Service Lifecycle

Service Strategy

Service Strategy »

+ Service Portfolio »

Customer Agreement Portfolio

Service Design

Request for Change (RFC)

+ Customer Process

Service Design Package (SDP)

Business Planning Information

Service Level Agreement (SLA)

Desired Service Outcomes

Customer Process

Service Catalogue »

Service Transition

CMS/ CMDB »

+ External Supplier Process

Supplier Service Level Report

Technical/ Administration Manual

Underpinning Contract (UC)

Service Operation

Suggested Service Improvement Suggested Process Improvement

Continual Service Improvement

CSI Register »

Back to Front Page

The Service Lifecycle is about managing services from their creation to retirement. Each of the five stages is focused on a specific phase of a service’s lifecycle: — Service Strategy determines which types of services should be offered to which customers or markets — Service Design identifies service requirements and devises new service offerings as well as changes and improvements to existing ones — Service Transition builds and deploys new or modified services — Service Operation carries out operational tasks — Continual Service Improvement learns from past successes and failures and continually improves the effectiveness and efficiency of services and processes.

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External Supplier Process

ITIL® Main and Sub-Processes The ITIL® Process Map allows exploring the Service Lifecycle processes in a top-down manner. The example on this page shows why this is ideal for getting familiar with the ITIL® processes:

Overview: IT Service Management (ITIL® Service Lifecycle)

Processes outside the IT Organization

The ITIL® Service Lifecycle

Service Strategy

Service Strategy »

+ Service Portfolio »

Customer Agreement Portfolio

Service Design

Request for Change (RFC)

+ Customer Process

Service Design Package (SDP)

Business Planning Information

Service Level Agreement (SLA)

Desired Service Outcomes

Customer Process

Service Catalogue »

Service Transition

CMS/ CMDB »

+ External Supplier Process

Supplier Service Level Report

Technical/ Administration Manual

Underpinning Contract (UC)

Service Operation

External Supplier Process

Overview: Service Transition Suggested Service Improvement Suggested Process Improvement

Processes outside the IT Organization

ITIL Processes outside Service Transition

IT Service Management

Processes outside the IT Organization

+ Superior Process

Continual Service Improvement

CSI Register

Projected Service Outage (PSO)

Customer Process

Validation Test Report Change Schedule

Change Record

External Supplier Process

Project Plan (Service Transition Plan)

Data for Project Plan Update

Technical/ Administration Manual

Project Portfolio Status Report

Validation Test Report

CMS/ CMDB Change Evaluation

Service Design Package (SDP)

Level 0: ITIL® Service Lifecycle

Service Acceptance Criteria (SAC)

Service Catalogue

Project Portfolio Status Report

Release and Deployment Management

CMS/ CMDB

User Manual

+ Release Record

Validation Test Report

Technical/ Administration Manual

Release Policy

» Service Design

» +

+ »

Purchase Request

Overview: Change Management CMS/ CMDB

CMS/ CMDB

Service Validation and Testing Request for Change (RFC) Service Operation

Service Strategy

Development/ Install. QA Documentation Application Development

Development Work Order

» »

Customer Agreement Portfolio

+ Change Record

Request for Change (RFC)

Service Design

Change Evaluation Report

External Supplier Process

Support Request

User Manual

Change Schedule

Customer Process

Service Strategy Change Management

User Manual

Project Mgmt. (Transition Planning and Support)

Back to Front Page

Test Model

Validation Test Report

Definitive Media Library (DML)

Change Model

» Processes outside the IT Organization

ITIL Processes outside Service Transition

Service Transition Processes

+ Change Record

Change Schedule

CMS/ CMDB

Projected Service Outage (PSO)

Customer Process

Service Transition

CMS Change Policy

Service Asset and Configuration Management

+ »

CMS/ CMDB

Definitive Media Library (DML)

External Supplier Process

User Manual

Change Evaluation Report

» Service Strategy

Project Portfolio Status Report

CMS/ CMDB

Continual Service Improvement

Change Proposal

Service Knowledge Mgmt. System (SKMS)

+ Request for Change (RFC) Service Design Package (SDP)

Service Design

Service Catalogue

Enterprise Architecture (EA)

Risk Management Policy

Request for Change (RFC)

Back to Front Page

Service Strategy

Suggested Process Improvement Knowledge Management

External Supplier Process

+ Superior Processes

» »

Continual Service Improvement

All information originating from Service Management processes is input for the Knowledge Management process. Displaying all inputs within this Overview Diagram is therefore not practicable.

Processes outside the IT Organization

IT Service Management Customer Process

Technical/ Administration Manual Change Request to CMS Structure

Definitive Media Library (DML)

ITIL Processes outside Service Transition

Service Operation

Incident Record

Major Incident Review

Change Management Policy Change Record

Change Schedule

Change Evaluation Report

» Change Model

Change Management Support

RFC Template

+ »

CAB Agenda Template

Change Schedule

Service Design

» » Change Model

Change Schedule

» Assessment of Change Proposals

» Service Operation

» +

Change Proposal

» +

Continual Service Improvement

Change Evaluation Report

RFC Logging and Review

Change Record

Assessment and Implementation of Emergency Changes

Change Record

Change Evaluation Report

Change Record Change Assessment by the Change Manager

Change Record

Minor Change Deployment

Change Evaluation Report

Change Record

Level 1: ITIL® Core Disciplines

Project Plan (Service Transition Plan) Project Portfolio Status Report

» »

Change Model

Change Schedule Change Assessment by the CAB

Change Record

» »

Change Model

Application Development

Application Development Change Scheduling and Build Authorization

+ Release and Deployment Management

Release Policy

Release Record

Validation Test Report

Change Record

Change Evaluation Report

+ » Change Record

Change Schedule

» Change Deployment Authorization

Service Validation and Testing

Project Mgmt. (Transition Planning and Support)

Change Evaluation Report

Change Evaluation

» +

+ »

Change Record Project Mgmt. (Transition Planning and Support)

Continual Service Improvement

Suggested Process Improvement

+ Change Schedule

Change Evaluation

Change Record

Change Evaluation Report

» »

Release and Deployment Management

+ Change Model

» Service Validation and Testing Post Implementation Review and Change Closure

+ Service Asset and Configuration Management

CMS/ CMDB

Service Asset and Configuration Management

+ CMS Change Policy

Knowledge Management

Level 2: ITIL® Main Processes

Back to Front Page

Knowledge Management

Process Details: Assessment of Change Proposals

Process Owner

Superior Processes Change Management Policy

Change Manager Change Management Support

Change Schedule

IT Service Management

+ Change Model Service Asset and Configuration Management

CMS/ CMDB

Change Schedule

Assessment of Change Proposals

+ Service Strategy

Change Proposal

+ Service Catalogue

Service Design

Enterprise Architecture (EA)

Risk Management Policy

Change Proposal

Process Objective: To asses Change Proposals which are typically submitted for significant Changes by Service Strategy. The purpose of assessing Change Proposals is to identify possible issues prior to the start of design activities.

Change Management Support

Service Transition

RFC Logging and Review

Change Management

Back to Front Page

Resource

Change Manager

Change Proposal to be assessed.

Check proposal for completeness and practicability

Determine required CAB members

If required, consult with the initiator prior to rejecting the Change Proposal.

Depending on the nature of the Change Proposal to be assessed by the CAB.

Assess risks associated with the Change Proposal

Assess the proposed schedule for implementation

Assess risks related to · Business processes on the client side. · Services. · Important parts of the infrastructure. If required, consult with technical experts.

Assess risks related to Check if there are any reasons to object to the proposed implementation date (e.g. conflicts with the existing Change Schedule).

Schedule CAB meeting

CAB meetings may be a mix of formal and electronic meetings, depending on the complexity of the issues to be discussed.

Circulate documents for preparation

Change Proposal must be rejected

Provide CAB members in advance with information, in particular the Change Proposal and any supporting documents.

State reasons and document rejection

Notify Change Proposal initiator of rejection Change Proposal rejected.

This possibly includes suggestions on how to modify the proposed Change before it can be re-submitted.

Change Proposal may be authorized

Document Change Proposal authorization

Add the Change Proposal to the Change Schedule Change Proposal authorized.

Resource Change Advisory Board (CAB)

Determine any required modifications to the Change Proposal

Determine if Change Proposal must be escalated

If the assessment leads to the conclusion that a higher level of authority is required to authorize the proposed Change (e.g. proposal must be authorized by IT Management or the Business Executive Board).

Decide if Change Proposal may be authorized

Escalation of Change Proposal not required.

Change Proposal to be escalated (e.g. to IT Management).

Get approval from higher level of authority

If required, consult also with the proposal's initiator.

Level 3: Sub-Processes

— The High Level View shows the ITIL® Service Lifecycle and its most important external relationships on one single page — Zooming in by clicking the corresponding process object, the viewer is presented an overview of the Service Transition process. This diagram illustrates what Service Transition is about: It includes all sub-processes with their interrelationships, as well as all the interfaces to processes outside of Service Transition. — Zooming in once again leads to an overview of Change Management… — …and finally to a detailed process flow for the “Change Assessment by the CAB” process, which also includes a complete list of inputs and outputs, and linked checklists/ document templates.

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ITIL® Core Principles The ITIL® Process Map consistently adheres to two important ITIL® principles. Having these in mind will help to understand each process’s meaning within the ITIL® Service Lifecycle.

Structure of Agreements The layered structure of ITIL® agreements ensures that the IT organization is aligned with the business needs:

Business Customer Process i

IT Service Management

Required Service Levels (agreed within SLA) Service Level Management

Required Service Levels (agreed within OLA)

Required Service Levels

Service Operation

External Service Supplier

Service Operation

Required Service Levels (agreed within UC) External Supplier Process i

— Service Level Agreements (SLAs) define the service requirements from the business perspective

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— Operational Level Agreements (OLAs) and Underpinning Contracts (UCs) make sure those service requirements are matched from within the IT organization

Triggers for Action All of an IT organization’s activities should be strictly focused on providing business services as required by the customer. As a consequence, there is only a limited number of events which can trigger the introduction of a new service or the modification of an existing one:

Business New or modified service required

IT Service Management IT Service Management

Agreed service levels are not achieved and service must be improved

Better ways to provide a service become available

— A new service is required, either because a customer is requesting it or because Service Portfolio Management decided that a new service must be created — Service levels which are already agreed cannot be achieved – in this case the service must be redesigned to fulfill the commitments — Better ways to provide a service become available, for example in the form of new technologies or improved external service offerings – the service will be redesigned in such cases to make it more economical

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How the ITIL® Process Map was created from the ITIL® Books Our decision to create the ITIL® Process Map was based on the insight that books are not ideally suited to describe complex bodies of knowledge - like ITIL®. Hence, the ITIL® Process Map takes a different approach to presenting ITIL® Best Practice in the form of a clearly structured and layered Reference Process Model. It provides overview diagrams to illustrate the ITIL® big picture and allows drilling down into details where necessary.

Differences between a Book and a Process Model The latest set of ITIL® books contains some 2000 pages of Best Practice recommendations, while our Reference Process Model consists of about 20 overview diagrams and some 100 detailed process flows, plus more than 80 checklists and templates. The ITIL® Process Map is therefore not so much about presenting every single detail in a different format – rather, it depicts the essential contents in an easily accessible and understandable way. A Reference Process Model is also subject to stricter rules. By definition, it must explicitly state which activities are to be carried out in what order, and what outputs are to be produced for subsequent processes. Redundancies are not allowed – any activity occurs only once within a well-defined process, with clearly assigned responsibilities for its execution. Books, in contrast, can get away with being less strict. Statements like “Risk must be analyzed and managed during all stages of Service Transition” are perfectly suitable for books. When developing a process model, however, it must be precisely defined how and when risks are analyzed and who is responsible for the execution. In short, creating the ITIL® Process Map meant extracting the essentials from the ITIL® books, sorting out redundancies, and translating the text-based content into clear-cut activity flows. This required a lot of expertise and effort - the present version of the ITIL® Process Map took us about 2 years to develop. © IT Process Maps GbR, 2012

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Where the ITIL® Process Map goes beyond the ITIL® Books While we followed the books as closely as possible, we decided in some instances to introduce improvements or clarifications which assign clear responsibilities and make it easier to implement the processes:

Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Service Strategy

Strategy Management for IT Services

1.1

Service Portfolio Management

1.2

Financial Management for IT Services

1.3

Demand Management

1.4

Business Relationship Management

1.5

Notes on Differences

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Service Design

Design Coordination

2.1

Notes on Differences

ITIL® states that the main triggers for Design Coordination are “Requests for Change and the creation of new projects”. There is also the concept of Change Proposals, which according to ITIL® allow service design activity to begin once they are authorized. In this context, the ITIL® Process Map takes the following approach: Design Coordination starts once Service Portfolio Management has chartered a new service and obtained approval for a Change Proposal from Change Management. A project is initiated at the same time, and Project Management calls upon the Design Coordination process for the detailed planning of the design stage. Once the Service Design Package is complete, one or several RFCs are submitted to Change Management for evaluation and authorization.

Service Catalogue Management

2.2

Service Level Management

2.3

The ITIL® books suggest that complaints and customer satisfaction are managed through both Service Level Management and Business Relationship Management. In the ITIL® Process Map, complaints and customer satisfaction are managed as part of Business Relationship Management. Service Reviews are conducted as part of Continual Service Improvement.

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Notes on Differences

Risk Management

2.4

ITIL® calls for “coordinated risk assessment exercises”, so we assigned clear responsibilities for managing risks by introducing a specific Risk Management process. Having a basic Risk Management process in place will also provide a good starting point for applying best-practice Risk Management frameworks like M_o_R (as recommended in the ITIL® books)

Capacity Management

2.5

Availability Management

2.6

IT Service Continuity Management

2.7

ITIL provides some guidance on the invocation of ITSCM plans in Service Design. In Service Operation, however, it also states that restoring services is an operational activity. The ITIL® Process Map takes the approach of dealing with major incidents, including disaster events and the invocation of ITSCM and recovery plans, through the Incident Management processes, especially Handling of Major Incidents.

Information Security Management

2.8

Since the ITIL® Process Map has a Risk Management process in place, Risk Management identifies and assesses all the risks that would be faced by services, including information security risks. Our Information Security Management process addresses the management of information security risks, including their mitigation.

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Notes on Differences

Compliance Management

2.9

Compliance is an increasingly important topic for IT organizations; this called for introducing a specific Compliance Management process

Architecture Management

2.10

Having a well-defined architecture blueprint in place is very important for IT organizations; as a consequence, we defined a specific Architecture Management process

Supplier Management

2.11

Service Transition

Change Management

3.1

Change Evaluation

3.2

Transition Planning and Support

Project Management (Transition Planning and Support)

3.3

The Transition Planning and Support process was renamed and enhanced to provide a fullfeatured Project Management process; this will also provide a good starting point for introducing best-practice Project Management frameworks like PRINCE2 or PMBOK (as recommended in the ITIL® books)

Application Development and Customization

3.4

The ITIL® books do not cover Application Development in detail and, as a consequence, do not provide for this process; a complete ITIL® Process Model, however, must at least show the interfaces between Application Development and the other Service Management processes, so we decided to introduce a basic Application Development process.

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Notes on Differences

Release and Deployment Management

3.5

Service Validation and Testing

3.6

Service Asset and Configuration Management

3.7

Knowledge Management

3.7

Service Operation

Event Management

4.1

ITIL® allows for the available response options to be tailored to the needs of specific organizations. The ITIL® Process Map uses the approach that Exception Events may trigger the creation of an Incident Record. If Problems or RFCs need to be opened in response to an Event, this will be done by Incident Management while dealing with the Incident.

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Notes on Differences

Incident Management

4.2

ITIL® states that Incident Management is about restoring services as quickly as possible, by either resolving the underlying causes or applying a workaround, while Problem Management is about diagnosing and resolving the root causes of Incidents. Individual organizations, however, are given some freedom regarding the precise rules on when to invoke Problem Management from Incident Management. The ITIL® Process Map adopts the following approach: Incident Management focuses on restoring services as quickly as possible. If an Incident’s underlying cause can be fixed within the committed resolution time using a preauthorized minor change, then Incident Management will make the change to do so. Otherwise, the Problem Management process will be invoked.

Request Fulfilment

4.3

Access Management

4.4

Problem Management

4.5

The ITIL® books explain several problem analysis techniques and highlight in what situations the various techniques may be applied. These contents are not reproduced in the ITIL® Process Map. For further explanations on the ITIL® Process Map’s approach to implementing the interface between Problem and Incident Management, see the notes above on Incident Management.

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Notes on Differences

(Function: IT Operations Control)

IT Operations Control

4.6

ITIL® treats IT Operations Control as a function. The ITIL® Process Map uses an “IT Operations Control” process to describe the IT Operations Control activities which are not covered by any other ITIL® process (see p. 18: Processes vs. Functions)

(Function: Facilities Management)

Facilities Management

4.7

ITIL® treats Facilities Management as a function. The ITIL® Process Map uses a “Facilities Management” process to describe the Facilities Management activities which are not covered by any other ITIL® process. (see p. 18 : Processes vs. Functions)

(Function: Application Management)

Application Management

4.8

ITIL® treats Application Management as a function. The ITIL® Process Map uses an “Application Management” process to describe the Application Management activities which are not covered by any other ITIL® process. Application Management activities embedded in other processes are shown with the Application Analyst as the responsible role. As a result, the RASCI matrix provides an overview of where Application Management activities take place (see also p. 18 : Processes vs. Functions).

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

Notes on Differences

(Function: Technical Management)

Technical Management

4.9

ITIL® treats Technical Management as a function. The ITIL® Process Map uses a “Technical Management” process to describe the Technical Management activities which are not covered by any other ITIL® process. Technical Management activities embedded in other processes are shown with the Technical Analyst as the responsible role. As a result, the RASCI matrix provides an overview of where Technical Management activities take place (see also p. 18 : Processes vs. Functions).

Continual Service Improvement

Service Review

5.1

Process Evaluation

5.2

Definition of Improvement Initiatives

5.3

CSI Monitoring

5.4

CSI is focused on the improvement of two elements of Service Management: Services and Processes. This focus is not clearly reflected by the processes suggested in the ITIL® books, so while staying true to the ITIL® principles the ITIL® Process Map adopted a different process structure: Service Review and Process Evaluation with the aim of finding improvement potentials, plus Definition of Improvement Initiatives and CSI Monitoring to design and monitor specific improvement activities.

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Alignment of Processes: ITIL® Books and the ITIL® Process Map Processes as per the official ITIL® publications

Processes within the ITIL® Process Map

7-Step Improvement Process

Notes on Differences

The "Seven-Step Improvement Process" presented in the ITIL® books is in fact the description of a methodology which can be universally applied to identify shortcomings in services and processes and to implement improvements. The principles it contains are applied in a number of ITIL® processes, most importantly in Service Design (e.g. in the Service Level Management, Capacity Management, and Availability Management processes). As a result, the "Seven-Step Improvement Process" cannot be treated as a standalone ITIL® process, and there is no such process in the ITIL® Process Map. The "SevenStep Improvement" principles, however, are included in a checklist.

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Processes vs. Functions In various parts of the books, ITIL® refers to "Functions" rather than "Processes". For instance, Incident Management is introduced as a Process and Facilities Management as a Function. By definition, a "Function" is an organizational entity, typically characterized by a special area of knowledge or experience. Examples would be a team operating the SAP environment, a software development department, or (to name a Function outside of the IT organization) a Human Resources (HR) department. "Processes", in contrast, are clusters of activities which produce a defined outcome, like the Incident Management process. Several Functions may have a part in a Process (the Service Desk and the SAP operating team might both have to perform activities within the Incident Management process). Much confusion stems from the fact that in the real world there are often "Functions" and "Processes" with identical names: For example, the Facilities Management team (a "Function") will perform a set of facilities-related activities, which as a whole are called the Facilities Management process. In a process model like the ITIL® Process Map, the challenge is to represent activities performed by functions as well as information flows involving functions (for example, inputs provided by Application Management to other processes). Most process modeling notations (like BPMN) readily allow to model information flows between processes, but offer no obvious guidance on how to model such flows between processes and functions. The ITIL® Process Map therefore implements the ITIL® functions as “ad-hoc2” processes in order to be able to show complete information flows to and from those functions. As a result, the ITIL® Process Map features a Facilities Management process even though, strictly speaking, the ITIL® books define Facilities Management as a function.

As per BPMN, "ad-hoc" processes "do not contain a complete, structured BPMN diagram description from start event to end event [... and] may also contain data objects and data associations”. (Source: Business Process Model and Notation (BPMN) version 2.0 - Specification, as of January 2011)

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The 2007 and 2011 Editions of ITIL® As explained earlier, ITIL® has undergone a review, resulting in the publication of the “ITIL® 2011 Edition” in July 2011.

How to adapt your Processes to ITIL® 2011 The latest set of books contains no entirely new concepts, but the aim of the update was to "resolve errors and inconsistencies in the text and diagrams across the whole suite". Unfortunately there are only summaries of the changes available, but no detailed information on what exactly was changed where in the books. Our own experience suggests that, apart from the bigger changes highlighted in the available summaries, a large number of improvements and clarifications were made on a smaller scale. As a result, the best way to adapt to the new 2011 edition is to obtain the change summaries from the official ITIL® web sites, and to benchmark your existing processes against the latest guidance. To support you in this task, the following section provides a list of the changes applied to the ITIL® Process Map while adapting it to ITIL® 2011.

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Changes to the ITIL® Process Map (2011 Edition) Changes in Service Strategy Changes to the ITIL® Process Map (2011 Edition): Service Strategy ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Strategy Management for IT Services

— In the 2007 edition of the ITIL® Process Map, strategic assessments and the development of the service strategy were performed under Service Portfolio Management. ITIL® 2011 has introduced a clearly defined set of strategic processes, including “Service Management for IT Services”. Consequently, the process model has been expanded to include a process of the same name. — The new role “Service Strategy Manager” has been introduced to support the IT Steering Group.

Service Portfolio Management

— Following the introduction of the “Strategy Management for IT Services” process, Service Portfolio Management has been re-focused to cover activities associated with managing the Service Portfolio. — New checklists for Change Proposals, Service Charters and Service Models have been added.

Financial Management for IT Services Demand Management

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— The previous edition of the ITIL® Process Map treated Demand Management as part of Capacity Management. Since the latest guidance includes clarifications on the differences in scope between Demand and Capacity Management, a dedicated Demand Management process has been introduced as part of Service Strategy. — The role “Demand Manager” has been introduced to perform the activities in the Demand Management process.

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Changes to the ITIL® Process Map (2011 Edition): Service Strategy ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Business Relationship Management

— Business Relationship Management has been introduced as a new process in ITIL® 2011, and the process model has been expanded accordingly. — The role “Business Relationship Manager” has been introduced to perform the activities in the Business Relationship Management process. — The latest guidance places customer satisfaction surveys and the management of complaints as part of Business Relationship Management. As a result, the corresponding processes have been moved from Continual Service Improvement to Business Relationship Management.

Changes in Service Design Changes to the ITIL® Process Map (2011 Edition): Service Design ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Design Coordination

— Design Coordination has been added as a new process, in line with the latest guidance. Design Coordination is now responsible for coordinating the design activities carried out by other Service Design processes.

Service Catalogue Management

— The process interfaces have been adapted following the introduction of the Design Coordination process.

Service Level Management

— Service Level Management has been completely redesigned following the introduction of the Design Coordination process. Coordinating activities have been removed. — Service Level Management is now mainly responsible for gathering requirements, as well as monitoring and reporting with regards to agreed service levels.

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Changes to the ITIL® Process Map (2011 Edition): Service Design ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Risk Management, Capacity Management, Availability Management, IT Service Continuity Mgmt., Information Security Mgmt., Compliance Management, Architecture Management

— The process interfaces have been adapted following the introduction of the Design Coordination process.

Supplier Management

— The process interfaces have been adapted following the introduction of the Design Coordination process. — The Supplier and Contract Database (SCD) has been renamed to Supplier and Contract Management Information System (SCMIS), in line with the terminology used in the latest ITIL® edition.

Changes in Service Transition Changes to the ITIL® Process Map (2011 Edition): Service Transition ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Change Management

— The structure of the Change Management process has been modified to highlight that significant Changes require authorization at different points in their lifecycle. — New sub-processes have been added to assess Change Proposals and to implement minor Changes. — Change Management now submits major Changes to the Change Evaluation process for a formal assessment. — Change Scheduling has been revised so that the detailed planning of a Change and the corresponding Release is performed by Release Management. — Change Models have been given a more prominent role in Change Management, being used not only for Standard Changes (low-risk Changes on an operational level), but also for recurring significant Changes.

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Changes to the ITIL® Process Map (2011 Edition): Service Transition ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Change Evaluation

— The Change Evaluation process has been added, following a clarification in the ITIL® books that the purpose of this process is the evaluation of major Changes. — The Change Evaluation process is called upon by the Change Management process at various points in a Change’s lifecycle to perform a Change assessment.

Project Management (Transition Planning and Support)

— Project Management has been revised to highlight that its main responsibility is to coordinate the various service transition projects and resolve conflicts. — Projects are initiated when Service Portfolio Management has chartered a new or substantially changed service. — The Project Management process now calls upon other processes, for instance Design Coordination and Release Planning to perform planning activities on a detailed level.

Release and Deployment Management

— A dedicated sub-process for Release Planning has been added, which is called upon from Project Management to perform the detailed planning of Release build, test and deployment. — Minor Release Deployment has been removed, as the latest ITIL guidance specifies that minor Changes are implemented by Change Management without the involvement of Release Management. — Additional interfaces to Project Management have been added to make sure that Project Management is constantly provided with current planning information

Service Validation and Testing

— Additional interfaces to Project Management have been added to make sure that Project Management is constantly provided with current planning information.

Service Asset and Configuration Management

— The process interfaces have been updated to reflect the new structure of the Service Transition processes. — The checklists CMS/ CMDB and DML have been completely revised to better explain the concept of the Configuration Model and its use in the context of defining the DML.

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Changes in Service Operation Changes to the ITIL® Process Map (2011 Edition): Service Operation ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Event Management

— Event Management has been updated to reflect the concept of 1st Level and 2nd Level Correlation. — The process flows have been updated to reflect the more detailed guidance in the ITIL® books.

Incident Management

— Guidance has been improved on how to prioritize an Incident, including the addition of a new checklist “Incident Prioritization Guideline”. — Additional steps have been added to Incident Resolution by 1st Level Support to explain that Incidents should be matched (if possible) to existing Problems and Known Errors. — Incident Resolution by 1st Level Support and Incident Resolution by 2nd Level Support have been considerably expanded to provide clearer guidance on when to invoke Problem Management from Incident Management. The emphasis is now on restoring services as quickly as possible, and to seek the help of Problem Management if the underlying cause of an Incident cannot be resolved with a minor Change and/or within the committed resolution time. — Incident Closure and Evaluation now states more clearly that it is important to check whether there are new Problems, Workarounds or Known Errors that must be submitted to Problem Management.

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Changes to the ITIL® Process Map (2011 Edition): Service Operation ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Request Fulfilment

— The Request Fulfilment process has been completely revised to reflect the latest guidance. Request Fulfilment now consists of an overview diagram and five sub-process diagrams, to provide a detailed description of all activities and decision points. — Request Fulfilment now contains interfaces with Incident Management (if a Service Request turns out to be an Incident) and Service Transition (if fulfilling of a Service Request requires the involvement of Change Management). — A new checklist Service Request Record has been added to provide a clearer explanation of the information that describes a Service Request and its life cycle. — A new checklist Service Request Model explains the concept of Request Models in more detail.

Access Management

— An interface between Access Management and Event Management has been added, to emphasize that (some) Event filtering and correlation rules should be designed by Access Management to support the detection of unauthorized access to services. — A dedicated activity has been added to revoke access rights if required, to make this point clearer. — It has been made clearer in the Request Fulfilment and Incident Management processes that the requester’s authorization must be checked.

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Changes to the ITIL® Process Map (2011 Edition): Service Operation ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Problem Management

— A new sub-process “Proactive Problem Identification” has been added to emphasize the importance of proactive Problem Management. — In Problem Categorization and Prioritization, it has been made clearer that categorization and prioritization should be harmonized with the approach used in Incident Management, to facilitate matching between Incidents and Problems. — The concept of recreating Problems during Problem Diagnosis and Resolution is now more prominent. — Problem Diagnosis and Resolution has been completely revised to provide clearer guidance on how this process cooperates with Incident Management. Note: The new ITIL® books contain an expanded section on problem analysis techniques and examples for situations where the various techniques may be applied. Please refer to the official ITIL® publications for more details.

IT Operations Control

— IT Operations Management has been renamed to IT Operations Control, to improve alignment with the ITIL® books.

Facilities Management

— IT Facilities Management has been renamed to Facilities Management, to improve alignment with the ITIL® books.

Application Management

— A new process Application Management has been added, showing Application Management key activities. — The Application Analyst role has been added to a number of processes where Application Management expertise is required. The RASCI Matrix has been adjusted accordingly.

Technical Management

— A new process Technical Management has been added, showing Technical Management key activities. — The Technical Analyst role has been added to a number of processes where Technical Management expertise is required. The RASCI Matrix has been adjusted accordingly.

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Changes in Continual Service Improvement Changes to the ITIL® Process Map (2011 Edition): Continual Service Improvement ITIL® Process

Differences with the ITIL® Process Map (2007 Edition)

Service Review

— The previous version of the ITIL® Process Map contained a Service Evaluation process with sub-processes responsible for dealing with customer surveys, complaints, and service reviews. Since customer surveys and complaints are now being dealt with as part of the new Business Relationship Management process, Service Evaluation has been refocused on service reviews.

Process Evaluation

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Definition of Improvement Initiatives

— The CSI Register has been introduced as a central document or database where all improvement opportunities and initiatives are recorded.

CSI Monitoring

— The CSI Register has been introduced (see above).

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ITIL® and ISO 20000 How ITIL® and ISO 20000 are related The basic principles behind ITIL® and ISO/IEC 20000:2011 (abbreviated to ISO 20000 in this document) are very much in line. The key differences are: — ITIL® qualifications are available for individuals, whereas ISO 20000 is a certification scheme for organizations. — ITIL® is a rather detailed collection of best practices, while ISO 20000 is an international standard that sets out requirements for service quality management systems in IT organizations. — When organizations say they are compliant to ITIL®, very often this statement is not verifiable; a certification according to the ISO 20000 standard means there has been an objective assessment. Frequently, a certification according to ISO 20000 is sought after introducing ITIL®, because it allows an IT organization to actually prove that it is a customer-oriented, efficient and effective supplier of IT services. A certification can thus be used for marketing purposes, or to gain access to customers and markets which require their service suppliers to be ISO 20000 certified.

Key ISO 20000 Requirements ISO 20000 promotes the “adoption of an integrated process approach to effectively deliver managed services to meet the business and customer requirements”. ISO 20000 does not prescribe that its requirements must be met by following the ITIL® recommendations, so there are many possible ways to achieve compliance. Introducing ITIL®, however, is the most widely used approach for obtaining an ISO 20000 certificate. It is also important to prove that IT processes are documented, actively managed, and continually improved. The ITIL® Process Map supports ISO 20000 initiatives in that it facilitates the creation of a high-quality process documentation which is at the center of any certification project. © IT Process Maps GbR, 2012

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ISO 20000 Requirements in Relation to ITIL® Processes ITIL® was explicitly written to be aligned with ISO 20000, as the following table exemplifies: for every section in ISO/IEC 20000:2011, Part 1 (Mandatory Requirements) there are one or several related ITIL processes.

ISO/IEC 20000:2011 Sections and related ITIL® Processes ISO 20000 Sections

Related ITIL® Processes

Design and Transition of new or changed Services

5.1

General

n/a

5.2

Plan new or changed Services

Strategy Management for IT Services, Service Portfolio Management

5.3

Design and development of new or changed Services

Design Coordination, Service Level Management and other Service Design processes

5.4

Transition of new or changed Services

Change Management, Change Evaluation, Transition Planning and Support, Release and Deployment Management and other Service Transition processes

Service Delivery Processes

6.1

Service Level Management

6.2

Service Reporting

Service Level Management

6.3

Service Continuity and Availability Management

IT Service Continuity Management, Availability Management

6.4

Budgeting and Accounting for Services

Financial Management for IT Services

6.5

Capacity Management

Capacity Management, Demand Management

6.6

Information Security Management

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ISO/IEC 20000:2011 Sections and related ITIL® Processes ISO 20000 Sections

Related ITIL® Processes

Relationship Processes

7.1

Business Relationship Management

7.2

Supplier Management

Resolution Processes

8.2

Incident and Service Request Management

Incident Management, Service Request Management

8.3

Problem Management

Control Processes

9.1

Configuration Management

Service Asset and Configuration Management

9.2

Change Management

9.3

Release and Deployment Management

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IT Process Maps GbR Dipl.-Ing. Stefan Kempter & Dr. Andrea Kempter Am Hörnle 7 87459 Pfronten Germany Tel. + 49-8363-927396 Fax + 49-8363-927703 info@it-processmaps.com www.IT-ProcessMaps.com Member of itSMF © IT Process Maps GbR, 2012

ITIL® is a Registered Trade Mark of the Cabinet Office in the United Kingdom and other countries. All processes and methods in our products were compiled with the greatest of diligence. Despite this fact, errors may not be ruled-out. IT Process Maps GbR therefore makes no guarantee nor accepts any type of liability for consequences, which may be associated with incorrect statements. Each user must decide in his own particular case, whether the illustrated procedures are respectively applicable to his own person or his business.

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