Service Management Policy
ISO/IEC 20000 Toolkit Version 7 ©CertiKit
Service Management Policy
Implementation Guidance (The header page and this section must be removed from final version of the document)
Purpose of this document The Service Management Policy is a required document which acts as the root “Quality Manual” of the Service Management System (SMS).
Areas of the standard addressed The following areas of the ISO/IEC 20000:2011 standard are addressed by this document: 4.1.1 Management Commitment 4.1.2 Service Management Policy
General Guidance The service management policy must be approved by Top Management (defined as the “person or group of people who direct and control the service provider at the highest level”) as evidence of their commitment. Section 4.1.2 of the standard sets out some of what the policy must contain, and these areas are covered by the template document. We would therefore recommend that no section headings are removed. Prior to the certification audit you must ensure that the policy has been communicated to relevant staff, that they have understood it and that these facts are evidenced e.g. via meeting minutes. The inviting and answering of questions during such a meeting is likely to show evidence of understanding. We would also recommend that the document is made available via the intranet if you have one or any other appropriate means. The service management policy defines the scope of your SMS. This will be the same as the scope that will appear on your certificate once you have successfully completed the final external audit.
Review Frequency We would recommend that this document is reviewed as part of an annual exercise which also covers key documents such as the Service Level Agreement (SLA), Service Management Plan and Service Catalogue. This exercise should include significant business involvement to ensure that changed requirements are captured and customer feedback obtained.
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Toolkit Version Number ISO/IEC 20000 Toolkit Version 7 ©CertiKit.
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Document Ref. Version: Dated: Document Author: Document Owner:
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Service Management Policy
Revision History Version Date
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Contents 1
INTRODUCTION ....................................................................................................................................... 7
2
SERVICE MANAGEMENT POLICY ..................................................................................................... 8 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13
SCOPE OF CERTIFICATION ......................................................................................................................... 8 SERVICE REQUIREMENTS .......................................................................................................................... 8 MANAGEMENT COMMITMENT ................................................................................................................... 8 MANAGEMENT REPRESENTATIVE ............................................................................................................. 8 SERVICE MANAGEMENT OBJECTIVES........................................................................................................ 9 GOVERNANCE OF PROCESSES OPERATED BY OTHER PARTIES .................................................................. 9 ROLES AND RESPONSIBILITIES .................................................................................................................. 9 SERVICE IMPROVEMENT POLICY ............................................................................................................. 10 APPROACH TO MANAGING RISK ............................................................................................................. 11 HUMAN RESOURCES ........................................................................................................................... 11 AUDITING AND REVIEW ..................................................................................................................... 11 DOCUMENTATION STRUCTURE AND POLICY ...................................................................................... 12 CONTROL OF RECORDS....................................................................................................................... 14
List of Figures FIGURE 1 - ISO/IEC 20000:2011 SCOPE .................................................................................................................. 7 FIGURE 2 - SERVICE MANAGEMENT SYSTEM DOCUMENTATION STRUCTURE ............................................................... 13
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1 Introduction This policy defines how the Service Management System (SMS) will be planned, established, implemented, operated, monitored, reviewed, maintained and improved within [Organization Name] [Service Provider]. The international standard for IT service management, ISO/IEC 20000-1:2011 (referred to in this document as ISO/IEC 20000), is a development of the earlier British Standard, BS 15000. The processes and procedures required by ISO/IEC 20000 are heavily based on the best practice contained in the IT Infrastructure Library (ITIL) which has expanded significantly from its early days as UK central government guidance into an internationally recognised best practice specification. [Organization Name] has previously started on the road to adoption of ITIL and has completed staff training to Foundation qualification level. As part of this process it has decided to pursue full certification to ISO/IEC 20000 in order that the effective adoption of ITIL may be validated by an external third party. The scope of IT service management as defined by the ISO/IEC 20000 standard is set out in the following diagram.
Customers (and other interested parties)
Service Management System (SMS) Management Responsibility
Governance of processes operated by other parties
Establish the SMS
Documentation Management
Customers (and other interested parties)
Resource Management Service Requirements
Design and Transition of New or Changed Services
Services
Service Delivery Processes Capacity Management
Service Level Management
Service Continuity and Availability Management
Service Reporting
Information Security Management Budgeting and Accounting for Services
Control Processes
Resolution Processes
Configuration Management Change Management Release and Deployment Management
Incident and Service Request Management Problem Management
Relationship Processes Business Relationship Management Supplier Management
Figure 1 - ISO/IEC 20000:2011 scope
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2 Service Management Policy 2.1
Scope of Certification
For the purposes of certification within [Organization Name], the boundaries of the SMS are defined as follows: “[All] IT services provided by [Service Provider] to [all] business units within [Organization Name] at [all] locations” Details of the IT services provided can be found within the [Service Provider] Service Catalogue and a list of business units/stakeholders within the Business Relationship Management Plan. 2.2
Service Requirements
A clear definition of the service requirements will be agreed and maintained with the customers of the IT service(s) so that all IT service management activity is focussed on the fulfilment of those requirements. Statutory, regulatory and contractual requirements will also be documented and input to the planning process. It is a fundamental principle of [Organization Name] IT service management quality that the provision of IT services is driven by business needs and this will be regularly communicated to all staff through team meetings and briefing documents. 2.3
Management Commitment
Commitment to the delivery of quality IT services extends to senior levels of the organisation and will be demonstrated through this Service Management Policy and the provision of appropriate resources to provide and develop services. Top management will also ensure that a systematic review of performance of the programme is conducted on a regular basis to ensure that quality objectives are being met and quality issues are identified through the audit programme and management processes. Management review can take several forms including departmental and other management meetings. 2.4
Management Representative
The Service Manager shall have overall authority and responsibility for the implementation and management of the Service Management System, specifically: • • •
The identification, documentation and fulfilment of service requirements Assigning authorities and responsibilities for the implementation, management and improvement of service management processes Integration of service management processes with the SMS
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• •
2.5
Compliance with statutory, regulatory and contractual requirements in the management of assets used to deliver services Reporting to top management on performance and improvement of the SMS and services Service Management Objectives
An annual cycle will be used for the setting of service management objectives, to coincide with the budget planning cycle. This will ensure that adequate funding is obtained for the improvement activities identified. These objectives will be based upon a clear understanding of the business requirements, informed by the annual IT service management review with customers. Service management objectives will be documented in the Service Management Plan for the relevant financial year, together with details of how they will be achieved. The service management plan will be reviewed on a quarterly basis, at which time the objectives will also be reviewed to ensure that they remain valid. If amendments are required, these will be managed through the change management process. 2.6
Governance of Processes Operated by Other Parties
[Organization Name] [Service Provider] makes use of various third parties, both internal and external, in the delivery of services to its customers. Where this involves the operation of a service management process, or a part of the process on behalf of [Service Provider], this is identified in the Service Management Plan. External suppliers will be managed through the Supplier Management Process and an associated underpinning contract. Internal providers will be managed through the Service Level Management Process using an Operational Level Agreement (OLA). In all cases, [Service Provider] will retain governance of the relevant processes by demonstrating: • • • •
Accountability for the process Control of the definition of and interface to the process Performance and compliance monitoring Control over process improvements
This will be evidenced by documents and records such as contracts, OLAs, meeting minutes and performance reports. 2.7
Roles and Responsibilities
Within the field of IT service management, there are a number of management roles that correspond to the areas defined within the scope set out in Figure 1 above. In a larger organisation, these roles will often be filled by an individual in each area e.g. there will be a separate member of staff responsible for each of incident
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management, change management, capacity management etc. In a smaller organisation these roles and responsibilities must be allocated between the members of the team. Full details of the responsibilities associated with each of the roles and how they are allocated within [Service Provider] are given in a separate document entitled Service Management Roles, Responsibilities and Authorities. It is the responsibility of the Service Manager to ensure that staff understand the roles they are fulfilling and that they have appropriate skills and competence to do so. 2.8
Service Improvement Policy
[Service Provider] policy with regard to Service Improvement is to: ➢ Continually improve the effectiveness of the Service Management System and services ➢ Enhance current processes to bring them into line with good practice as defined within ISO/IEC 20000 and ITIL ➢ Achieve ISO/IEC 20000 certification and maintain it on an on-going basis ➢ Increase the level of proactivity (and the Customer perception of proactivity) with regard to the on-going delivery of IT services ➢ Achieve an enhanced understanding of and relationship with the business units to which IT services are delivered ➢ Make the delivery of IT services more measurable in order to provide a sound basis for informed decisions ➢ Review Service Level metrics on an annual basis to assess whether it is appropriate to change them, based on collected historical data and customer feedback ➢ Obtain ideas for improvement via regular service meetings with Customers and document them in a Service Improvement Plan ➢ Review the Service Improvement Plan at regular management meetings in order to prioritise and assess timescales and benefits Ideas for service improvements may be obtained from any source including customers, suppliers, IT staff, risk assessments and service reports. Once identified they will be added to the Service Improvement Plan and evaluated by the staff member responsible for continual service improvement. As part of the evaluation of proposed service improvements, the following criteria will be used: • • • • •
Cost Business Benefit Risk Implementation timescale Resource requirement
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If accepted, the service improvement proposal will be prioritised in order to allow more effective planning. For more detail see Procedure for Continual Service Improvement. 2.9
Approach to Managing Risk
A risk management strategy and process will be used which is line with the requirements and recommendations of ISO 31000, the international standard for risk management. Risk management will take place at several levels within the Service Management System, including: • • • • •
Service management planning – risks to the achievement of objectives Information security risk assessment IT service continuity risk assessment Assessment of the risk of changes as part of the change management process At the project level as part of the design and transition of new or changed services
High level risk assessments will be reviewed on an annual basis, or upon significant change to the business or IT service provision. For more detail on the approach to risk assessment please review the following documents: • •
Risk Assessment and Treatment Process Risk Treatment Plan
2.10 Human Resources [Organization Name] will ensure that all IT staff involved in service management are competent on the basis of appropriate education, training, skills and experience. The skills required to deliver quality services will be determined and reviewed on a regular basis together with an assessment of existing skill levels within [Service Provider]. Training needs will be identified and a plan maintained to ensure that the necessary competencies are in place. Training, education and other relevant records will be kept by the HR Department to document individual skill levels attained. 2.11 Auditing and Review Once in place, it is vital that regular reviews take place of how well service management processes and procedures are being adhered to. This will happen at three levels:
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1. Structured regular management review of conformity to policies and procedures within [Service Provider] 2. Internal audit reviews against the ISO/IEC 20000 standard by the [Organization Name] Quality Team 3. External audit against the standard in order to gain and maintain certification Details of how internal audits will be carried out can be found in the Procedure for Service Management Audits. 2.12 Documentation Structure and Policy All service management policies and plans that form part of the SMS must be documented. The way in which these documents are created and managed through their lifecycle is set out in Procedure for the Control of Documents. All documents in the Service Management System are uniquely numbered and the current versions are tracked – see document Service Management System Documentation Log. The overall structure of the documents in the SMS is represented diagrammatically in Figure 2 on the following page.
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Design and Transition Process Business Case Design and Project Initiation Document Transition of New or Service Reqts Specification Changed Services Service Design Specification Service Acceptance Checklist Project RAID Log Project Highlight Report Project Post Implementation Review
Service Level Management
Service Level Management Policy SLM Process Service Level Agreement IT Service Catalogue Operational Level Agreements
Service Reporting
Service Reporting Policy IT Service Reports
Human Resources
IT Staff Skills and Training Needs Assessment Personal Performance Reviews
Capacity Management
Capacity Management Policy Capacity Management Process Capacity Plan
IT Service Management System (SMS)
Budgeting and Accounting
Business Relationship Management
Budgeting and Accounting Policy Budgeting and Accounting Process Service Costing Model IT Budgets
Business Relationship Management Plan IT Service Complaint Procedure User Satisfaction Survey
Incident and Service Request Management
Incident Management Policy Incident Management Process Major Incident Management Process Service Request Management Policy Service Request Management Process
Service Requirements Service Management Policy Service Management Plan Roles and Responsibilities Service Improvement Plan Top Mgt Communication Pgm
Procedure for the Control of Documents Procedure for the Control of Record Procedure for Continual Service Improvement Procedure for IT Service Management Audits Service Management System Documentation Log SMS Review Spreadsheet
Supplier Management
Supplier Management Policy Supplier Management Process Supplier and Contracts Database
Problem Management
Change Management
Problem Management Policy Problem Management Process
Change Management Policy Change Management Process
Information Security Management
Service Continuity and Availability Management
IT Information Security Policy Information Security Risk Assessment Security Controls
Service Continuity Policy Risk Assessment Service Continuity Plan Availability Management Plan Test Plans and Reports Business Impact Analysis Incident Response Procedure
Configuration Management
Release and Deployment Management
Configuration Management Policy Configuration Management Process Configuration Management Procedure Definitive Media Library
Release and Deployment Management Policy Release and Deployment Management Process Release and Deployment Plans Software Catalogue
Figure 2 - Service management system documentation structure
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2.13 Control of Records The keeping of records is a fundamental part of the Service Management System. Records are key information resources and represent evidence that processes are being carried out effectively. The controls in place to manage records are defined in the document Procedure for the Control of Records.
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