Bip 0125-2011

I n tro d u cti o n to th e I S O /I E C 2 0 0 0 0 S e ri e s
I T S e rvi ce M a n a g em en t
I n trod u cti on to th e I S O /I E C 2 0000
S eri es
I T S e rvi ce M a n a g em en t
Jenny Dugmore and Shirley Lacy

F i rs t p u b l i s h e d in th e U K i n 2 01 1
by
B SI
3 89 Ch i s wi ck H i g h Ro a d
Lo n d o n W4 4AL
© B ri ti sh S ta n d a rd s I n s ti tu ti o n 2 01 1
Al l ri g h ts re se rve d . E xce p t a s p e rm i tte d u n d e r th e Co p yri g h t, D e si g n s a n d Pa te n ts
Act 1 9 8 8 , no p a rt o f th i s p u b l i ca ti o n m a y be re p ro d u ce d , sto re d in a re tri e va l
sys te m o r tra n s m i tte d in a n y fo rm o r b y a n y m e a n s – e l e ctro n i c, p h o to co p yi n g ,
re co rd i n g o r o th e rwi se – wi th o u t p ri o r p e rm i ss i o n in wri ti n g fro m th e p u b l i sh e r.
Wh i l s t e ve ry ca re h a s been ta ke n in d e ve l o p i n g and co m p i l i n g th i s p u b l i ca ti o n , B SI
a cce p ts n o l i a b i l i ty fo r a n y l o ss o r d a m a g e ca u s e d , a ri si n g d i re ctl y o r i n d i re ctl y i n
co n n e cti o n wi th re l i a n ce o n i ts co n te n ts e xce p t to th e e xte n t th a t su ch l i a b i l i ty
m a y n o t b e e xcl u d e d in l a w.
Th e ri g h ts o f J e n n y D u g m o re and S h i rl e y La cy to b e i d e n ti fi e d a s th e a u th o rs o f
th i s Wo rk h a ve b e e n a ss e rte d b y th e m in a cco rd a n ce wi th se cti o n s 7 7 and 7 8 of
th e Co p yri g h t, D e si g n s a n d Pa te n ts Act 1 9 8 8 .
Typ e se t i n F ru ti g e r b y Le tte rp a rt Li m i te d , www. l e tte rp a rt. co m
Pri n te d in G re a t B ri ta i n b y B e rfo rts G ro u p , www. b e rfo rts. co . u k
British Library Cataloguing in Publication Data

A ca ta l o g u e re co rd fo r th i s b o o k i s a va i l a b l e fro m th e B ri ti s h Li b ra ry
I SB N 9 7 8 -0 - 5 80 - 7 2 846 - 4
Contents
Ackn o wl e d g e m e n ts xi
F o re wo rd xi i
I n tro d u cti o n xi v
Chapter 1 20000 is now a series 1
I n tro d u cti o n 1
To wh a t d o e s 2 0 0 0 0 a p p l y? 1
Th e 2 0000 se ri e s 2
Wh a t a b o u t Pa rts 6 o n wa rd s? 6
Te rm i n o l o g y 6
U se o f to o l s 7
Chapter 2 Scope definition 9
Wh i ch g ro u p s a re in o r o u t o f s co p e ? 9
S co p e d e fi n i ti o n p a ra m e te rs 1 1
S co p e sta te m e n t fo r a n audit 1 2
S u p p l y a rra n g e m e n ts 1 4
G o ve rn a n ce o f p ro ce sse s 1 6
Chapter 3 What is an SMS? 1 9
I n tro d u cti o n 1 9
Th e s e rvi ce p ro vi d e r’s stra te g y 1 9
M a n a g e m e n t co m m i tm e n t 20
Wh a t d o m a n a g e rs wa n t? 21
Ri sk m a n a g e m e n t 21
M a n a g e m e n t re vi e ws a n d i n te rn a l a u d i ts 22
D e l e g a ti o n o f a u th o ri ty a n d re sp o n s i b i l i ty 23
O rg a n i z a ti o n a l stru ctu re 24
Pl a n -D o -Ch e ck-Act 25
Co n ti n u a l i m p ro ve m e n t 27
I n te g ra ti o n o f p ro ce sse s 27
Chapter 4 Establishing an SMS 28
Th e s e rvi ce m a n a g em en t pl a n 28
Gap a n a l ysi s 29
Wh e re to sta rt? 30
To p d o wn o r b o tto m u p? 30
Introduction to the ISO/IEC 20000 Series v

Ph a se s fo r i m p l e m e n ti n g a si n g l e SM S 31
An i n cre m e n ta l a p p ro a ch to th e SM S 34
Th e p ro j e ct te a m 34
Po l i ci e s 35
S e rvi ce re q u i re m e n ts a n d p ro ce ss d e fi n i ti o n 37
Pe rfo rm a n ce re vi e ws 37
Co n tro l l i n g i m p ro ve m e n ts 38
Ch a pter 5 I n teg ra ti n g processes 41
I s th e re a b e st wa y to i n te g ra te ? 41
U n d e rsta n d i n g i n te g ra te d p ro ce sse s 43
Pro ce ss ch a n g e s 44
Pa ssi n g co n tro l of a n a cti vi ty 45
S to ri n g i n fo rm a ti o n 46
PD CA a n d se rvi ce m a n a g em en t 46
Ch a n g e s to b u s i n e ss n e e d s 47
Pro ce sse s o p e ra te d b y o th e r p a rti e s 49
N e w o r ch a n g e d se rvi ce s 49
F i n a n ci a l co n si d e ra ti o n s 49
Ca p a ci ty a n d p e rfo rm a n ce 50
M a j o r l o ss o f se rvi ce 51
Ava i l a b i l i ty m a n a g e m e n t 51
Re so l u ti o n p ro ce s se s 53
Co n fi g u ra ti o n m a n a g em en t 53
Ch a n g e m a n a g em en t 54
Re l e a se and d e p l o ym e n t m a n a g e m e n t 54
Ch a pter 6 ‘Wh a t d oes i t m ea n for m e?’ 56
Le a d e rsh i p 56
Ag e n ts o f ch a n g e 57
Pro vi d i n g th e ri g h t p e o p l e 58
Ch a n g i n g th e o rg a n i z a ti o n 59
Ro l e s a n d re sp o n si b i l i ti e s 60
Wh o ta l ks to wh o m ? 61
Ch a pter 7 D ocu m en ta ti on a n d a u d i t evi d en ce 62
E xa m p l e d o cu m e n ts 62
Au th o ri ti e s a n d re sp o n si b i l i ti e s 64
D o cu m e n t co n tro l 64
Re co rd co n tro l 64
Re te n ti o n and d i s p o sa l 65
Li n ks to i n fo rm a ti o n s e cu ri ty 65
E a se of u se 65
D o cu m e n t l i b ra ri e s 65
Wh a t wi l l th e a u d i to r wa n t to se e ? 66
vi Introduction to the ISO/IEC 20000 Series

Chapter 8 Service reports 69
Wh a t i s a se rvi ce re p o rt? 69
Th e p ri n ci p l e s o f g o o d se rvi ce re p o rts 69
Minimum re q u i re m e n ts 71
O th e r p a rti e s a n d se rvi ce re p o rts 72
Typ e s o f se rvi ce re p o rt 72
Ta rg e t a u d i e n ce 74
M anaging s e rvi ce re p o rts 76
Chapter 9 Service supply chains 80
E xa m p l e su p p l y ch a i n 80
Re vi e ws 82
B u si n e s s re l a ti o n sh i p m a n a g em en t 83
S e rvi ce l e ve l m a n a g em en t 88
Su ppl i er m a n a g em en t 91
Tru st 94
Chapter 1 0 Service continuity and availability 97
Re q u i re m e n ts 97
Asse s si n g ri sks 98
Ti m e sca l e s a n d fu n d i n g 99
D e ve l o p i n g pl a n s 99
Te sti n g s e rvi ce co n ti n u i ty p l a n s 1 04
Ke e p i n g th e i n i ti a ti ve g oi n g 1 04
Chapter 1 1 Money matters: budgeting and accounting 1 06
Th e co n te xt 1 06
Wh y d o e s i t m a tte r? 1 06
Lo ca l kn o wl e d g e and fi n a n ci a l ru l e s 1 07
Ca te g o ri e s o f co s ts 1 09
Co m b i n i n g ca te g o ri e s 1 1 0
B a l a n ce sh e e t 1 1 1
I d e n ti fyi n g and managing va ri a n ce 1 1 1
Re g u l a to ry a n d sta tu to ry o b l i g a ti o n s 1 1 2
Au d i ts 1 1 3
Chapter 1 2 Capacity management 1 1 4
I n tro d u cti o n 1 1 4
S co p e o f ca p a ci ty m a n a g e m e n t 1 1 4
Ch a ra cte ri sti cs 1 1 5
Ag re e i n g re q u i re m e n ts 1 1 5
Pl a n n i n g 1 1 6
Pro vi d i n g th e ca p a ci ty 1 1 8
Introduction to the ISO/IEC 20000 Series vi i

Ch a pter 1 3 I n form a ti on secu ri ty 1 20
Wh a t i s i n fo rm a ti o n se cu ri ty? 1 20
Po l i ci e s a n d o b j e cti ve s 1 20
Ri s ks 1 21
Ri s k a sse ss m e n ts a n d s e cu ri ty a u d i ts 1 21
I n fo rm a ti o n s e cu ri ty co n tro l s 1 22
Acce ss ri g h ts 1 24
Ch a n g e s 1 24
Wh e n so m e th i n g g o e s wro n g 1 24
Ch a pter 1 4 Resol u ti on processes 1 26
I n ci d e n ts a n d se rvi ce re q u e sts 1 26
Pro b l e m s 1 28
Co m m o n fe a tu re s o f re s o l u ti o n p ro ce sse s 1 33
Ch a pter 1 5 Con fi g u ra ti on m a n a g em en t 1 38
Wh a t i s e ffe cti ve co n fi g u ra ti o n m a n a g e m e n t? 1 38
S co p e o f co n fi g u ra ti o n m a n a g em en t a n d CI s 1 39
I n te rfa ce s 1 40
F i n a n ci a l a ss e t m a n a g e m e n t 1 41
Co n fi g u ra ti o n m a n a g em en t pl a n n i n g 1 41
Co n fi g u ra ti o n i d e n ti fi ca ti o n 1 42
Co n fi g u ra ti o n b a se l i n e s 1 45
Th e ro l e o f th e CM D B 1 45
Ph ysi ca l and e l e ctro n i c l i b ra ri e s 1 47
Acce ss co n tro l s 1 47
Co n tro l l e d h a rd wa re 1 48
Co n fi g u ra ti o n co n tro l 1 48
Au to m a ti o n 1 49
S ta tu s a cco u n ti n g 1 49
I n fo rm a ti o n fo r o th e r p ro ce sse s 1 50
Co n fi g u ra ti o n audit 1 51
Ch a pter 1 6 Ch a n g e m a n a g em en t 1 53
Wh a t i s e ffe cti ve ch a n g e m a n a g e m e n t? 1 53
Ch a n g e m a n a g e m e n t p o l i cy 1 54
Re co rd i n g all ch a n g e s 1 55
Cl a ss i fyi n g d i ffe re n t typ e s o f ch a n g e 1 55
Ch a n g e m a n a g e m e n t l i fe cycl e s/m o d e l s 1 56
E m e rg e n cy ch a n g e s 1 57
Ro l e s i n ch a n g e m a n a g em en t 1 58
I d e n ti fyi n g and re co rd i n g re q u e sts 1 60
Asse ssi n g ri sk a n d i m p a ct o f p ro p o se d ch a n g e s 1 60
Pre d e p l o ym e n t te st 1 65
Ve ri fyi n g co m p l e ti o n 1 65
vi i i Introduction to the ISO/IEC 20000 Series

Re vi e w a n d cl o s u re 1 66
An a l ys i n g ch a n g e s a n d i n p u ts to i m p ro ve m e n ts 1 66
Chapter 1 7 Release and deployment management 1 68
Th e re l e a se and d e p l o ym e n t p ro ce ss 1 68
Wh a t i s e ffe cti ve re l e a se and d e p l o ym e n t? 1 69
Re l e a se p o l i cy 1 72
Re l e a se and d e p l o ym e n t a p p ro a ch 1 75
Ag re e i n g an a p p ro a ch 1 75
Re l e a se d e fi n i ti o n 1 75
Re l e a se and d e p l o ym e n t p l a n n i n g 1 76
D e ve l o p i n g o r a cq u i ri n g s o ftwa re 1 77
D e si g n i n g , bu i l d i n g and co n fi g u ri n g a re l e a se 1 77
Co n tro l l e d a cce p ta n ce te s t e n vi ro n m e n t 1 78
Re l e a se a cce p ta n ce 1 79
CI s fo r a re l e a se 1 79
D e p l o ym e n t o f a re l e a se 1 80
U n su cce ssfu l d e p l o ym e n t 1 81
U p d a ti n g i n fo rm a ti o n 1 81
Po s t-d e p l o ym e n t 1 81
Chapter 1 8 Design and transition of services 1 82
Ch a n g e s th a t co u l d h a ve a m a j o r i m p a ct 1 82
Ro l e o f th e co n tro l p ro ce sse s 1 83
Th e fi rst s te p 1 84
So wh o pl a n s a n d d e si g n s? 1 85
Pl a n n i n g fo r d e si g n and tra n si ti o n 1 85
I d e n ti fyi n g se rvi ce re q u i re m e n ts 1 87
Wh a t i s a g ood d esi g n ? 1 89
Ass e ssi n g th e i m p a ct 1 90
Are pl a n n i n g and d e si g n o u tp u ts a cce p ta b l e ? 1 92
Tra n si ti o n o f n e w o r ch a n g e d s e rvi ce s 1 94
Re vi e w fo r e ffe cti ve n e ss 1 95
Appendix A Terms and definitions 1 96
Appendix B 20000 series 2 00
Pa rt 1 co n te n ts 2 00
Pa rt 3 co n te n ts 2 02
Pa rt 4 Co n te n ts 2 03
Pa rt 5 Co n te n ts 2 04
Appendix C Example audit evidence 2 05
Introduction to the ISO/IEC 20000 Series ix

Appendix D Case study – creating value 21 2
Background 21 2
The journey 21 2
Year 1 21 2
Year 2 21 3
Years 3–4 21 4
Delivering 21 4
Going forward 21 4
Bibliography 21 6
x Introduction to the ISO/IEC 20000 Series

Acknowledgements
Th i s b o o k h a s b e e n p ro d u ce d wi th th e i n pu t a n d a s si s ta n ce of peopl e
i n vo l ve d in th e p ra cti ca l a sp e cts o f d e l i ve ri n g s e rvi ce s a cro ss a l l se cto rs
and m a n y o f th o se a cti ve l y i n vo l ve d in th e d e ve l o p m e n t o f th e 2 0000
se ri e s . We wo u l d l i ke to th a n k th e m fo r sh a ri n g th e i r vi e ws a n d p ro vi d i n g
co n stru cti ve cri ti ci sm , e xa m p l e s a n d p ra cti ca l te ch n i q u e s.
We wi sh to th a n k th e te ch n i ca l e xp e rts fo r a l l th e e n e rg y, e ffo rt a n d
e xce l l e n t i n p u t g i ve n to th e p ro d u cti o n o f th e 2 0 0 0 0 se ri e s. I t’ s b e e n an
i n te re sti n g j o u rn e y fo r u s a l l and we h a ve co l l e cti ve l y m o ve d th e 2 0000
se ri e s o n a l on g wa y.
We a l so wi s h to th a n k th e i n d i vi d u a l s wh o h a ve re vi e we d th e book a n d
co n tri b u te d i d ea s a n d p ra cti ca l e xp e ri e n ce :
D i eg o B e re a Ca b a l e i ro
D a vi d Ca n n o n
E ri n Ca ste e l
Jim Cl i n ch
Lyn d a Co o p e r
N i ck F ri g h t
S te ve Ingall
B ri d g e t Ke n yo n
G re g La ke
M i ch e l l e H a l es
Al a s ta i r Wa l ke r
J a ck Ro b e rtso n -Wo rsfo l d
S h a ro n Ta yl o r
F i n a l l y, we wo u l d l i ke to th a n k J u l i a H el m sl ey a n d Si obh á n F i tz G e ra l d of
B SI fo r th e i r su p p o rt, h e l p fu l su g g e s ti o n s, ta ct a n d p a ti e n ce d u ri n g th e
p ro d u cti o n o f th i s b o o k.
Introduction to the ISO/IEC 20000 Series xi

Foreword
O rg a n i z a ti o n s a re m o re d epen d en t on I T s e rvi ce s th a n e ve r a n d fa ce th e
ch a l l e n g e o f co n s ta n t b u si n e ss a n d te ch n o l o g y ch a n g e . M a n y a re
co n ce rn e d wh e th e r th e i r I T se rvi ce s a l i g n wi th th e n e e d s o f th e b u si n e ss
and i ts cu sto m e rs.
I S O /I E C 2 0 0 0 0 i s a n i n te rn a ti o n a l l y re co g n i z e d se t o f sta n d a rd s fo r I T
se rvi ce m a n a g e m e n t th a t i s u se d a ro u n d th e wo rl d . Th e re a re many
re a so n s fo r a n o rg a n i z a ti o n to u se th e 2 0000 se ri e s a n d to i m p l e m e n t th e
re q u i re m e n ts sp e ci fi e d in Pa rt 1 . F o r e xa m p l e , a s e rvi ce p ro vi d e r ce rti fi e d
u n d e r Pa rt 1 h a s i n d e p e n d e n t p ro o f o f h a vi n g i m p l e m e n te d b e st
1
p ra cti ce s, su ch a s th o se in th e I TI L® I T S e rvi ce M a n a g e m e n t fra m e wo rk.
Ce rti fi ca ti o n to I S O /I E C 2 0 0 0 0 -1 by a n a ccre d i te d ce rti fi ca ti o n b o d y sh o ws
th a t a s e rvi ce p ro vi d e r i s co m m i tte d to d e l i ve ri n g va l u e to cu sto m e rs a n d
co n ti n u a l se rvi ce i m p ro ve m e n t. I t d e m o n s tra te s th e e xi s te n ce of a n
e ffe cti ve se rvi ce m a n a g e m e n t s yste m th a t sa ti sfi e s th e re q u i re m e n ts o f a n
i n d e p e n d e n t e xte rn a l a u d i t. Ce rti fi ca ti o n g i ve s a se rvi ce p ro vi d e r a
co m p e ti ti ve ed g e in m a rke ti n g .
A s e rvi ce m a n a g e m e n t syste m a l so p ro vi d e s s u p p o rt fo r co rp o ra te
g o ve rn a n ce . F o r e xa m p l e , d i scl o su re and fi n a n ci a l re p o rti n g a re
i m p o rta n t a s p e cts o f co rp o ra te g o ve rn a n ce . Th e se a re re l i a n t o n
i n fo rm a ti o n fro m and th e su p p o rt o f th e p ro ce ss e s i n th e 2 0 0 0 0 se ri e s.
G o ve rn a n ce i n te g ra te s a n d i n sti tu ti o n a l i z e s g o o d p ra cti ce s fo r p l a n n i n g
and o rg a n i z i n g , a cq u i ri n g and i m p l e m e n ti n g , d e l i ve ri n g and s u p p o rti n g ,
and m o n i to ri n g th e p e rfo rm a n ce o f se rvi ce s. Th i s a p p ro a ch h e l p s to
e n su re th a t a n o rg a n i z a ti o n ’s i n fo rm a ti o n and re l a te d te ch n o l o g y
s u p p o rts i ts b u si n e ss o b j e cti ve s. G o ve rn a n ce en a bl es a n o rg a n i z a ti o n to
ta ke fu l l a d va n ta g e o f i ts i n fo rm a ti o n , m a xi m i z i n g b e n e fi ts , ca p i ta l i z i n g
on o p p o rtu n i ti e s a n d gaining co m p e ti ti ve a d va n ta g e .
Th e 2 0000 se ri e s i s d ri ve n b y th e co n ti n u a l i m p ro ve m e n t o f p ro ce sse s a n d
s e rvi ce s , so a se rvi ce p ro vi d e r wi l l n o rm a l l y fi n d th a t i m p l e m e n ti n g th e
re q u i re m e n ts i n Pa rt 1 g i ve s a n i m p ro ve d se rvi ce th a t a d d s m u ch g re a te r
va l u e to th e cu s to m e r. In tu rn th i s e n a b l e s th e cu sto m e rs to be m o re
e ffe cti ve .
1
I TI L® i s a Reg i stered Tra d e M a rk of th e O ffi ce of G overn m en t Com m erce i n th e U n i ted
Ki n g d om a n d oth er cou n tri es
xi i Introduction to the ISO/IEC 20000 Series

Foreword
I m p l e m e n ti n g b e st p ra cti ce se rvi ce m a n a g e m e n t ca n re d u ce co sts a t th e
sa m e ti m e a s th e q u a l i ty o f th e se rvi ce i m p ro ve s. Cu sto m e r sa ti sfa cti o n
i m p ro ve s a n d th e n u m ber a n d se ri o u sn e ss o f co m p l a i n ts i s re d u ce d . Th i s
ca n l ea d to a re d u ce d m a n a g e m e n t o ve rh e a d o f re so l vi n g co m p l a i n ts a n d
d ea l i n g wi th u n h a p p y u se rs . M a n a g e rs a re se t fre e to p ro a cti ve l y m a n a g e
se rvi ce s a n d ch a n g e .
Introduction to the ISO/IEC 20000 Series xi i i

I n trod u cti on
S ervi ce m a n a g em en t
S e rvi ce m a n a g e m e n t i s d e fi n e d as a s e t o f ca p a b i l i ti e s to d i re ct a n d
co n tro l a se rvi ce p ro vi d e r’s a cti vi ti e s a n d re so u rce s to d e l i ve r a n d i m p ro ve
se rvi ce s. A se rvi ce p ro vi d e r a p p l i e s th e se ca p a b i l i ti e s to th e d e si g n ,
tra n si ti o n , d e l i ve ry a n d i m p ro ve m e n t o f s e rvi ce s, to fu l fi l se rvi ce
re q u i re m e n ts.
Ta rg et a u d i en ce
Th e 2 0 0 0 0 m u l ti - p a rt se ri e s i s a p p l i ca b l e to m a n y o rg a n i z a ti o n s , b o th
i n te rn a l and e xte rn a l se rvi ce p ro vi d e rs , pu bl i c a n d p ri va te se cto r, l a rg e
and sm a l l . Pa rt 1 o f th e se ri e s i s I S O /I E C 2 0 0 0 0 -1 , re q u i re m e n ts fo r a
se rvi ce m a n a g e m e n t s yste m .
Th i s b o o k wi l l h el p th o s e th a t a re i n te re ste d in:
• ce rti fi ca ti o n u n d e r Pa rt 1 ;
• p e rfo rm i n g e i th e r ce rti fi ca ti o n o r i n te rn a l a u d i ts u si n g Pa rt 1
re q u i re m e n ts;
• se rvi ce and p ro ce ss i m p ro ve m e n t u s i n g th e 2 0 0 0 0 s e ri e s ;
• b e st p ra cti ce se rvi ce m a n a g e m e n t, s u ch a s I TI L® ;
• b e co m i n g p e rso n a l l y q u a l i fi e d in se rvi ce m a n a g e m e n t;
• a ssu ra n ce th a t th e i r se rvi ce re q u i re m e n ts wi l l be fu l fi l l e d wi th a
g re a te r co n si ste n cy i n a p p ro a ch a cro ss th e i r s e rvi ce su p p l y ch a i n .
Th i s b o o k wi l l a l so be o f i n te re st to cu sto m e rs a n d b u si n e ss m a n a g e rs
wh o i n te ra ct wi th s e rvi ce p ro vi d e rs a s p a rt o f th e i r re sp o n si b i l i ti e s.
Th i s b o o k co ve rs th e 2 0 0 0 0 s e ri e s, i n cl u d i n g all a sp e cts o f th e
I S O /I E C 2 0 0 0 0 -1 re q u i re m e n ts fo r I T se rvi ce m a n a g e m e n t, ba sed on th e
se co n d e d i ti o n o f Pa rt 1 , p u b l i sh e d in 2 01 1 .
Th i s b o o k co ve rs re q u i re m e n ts a n d a d vi ce fo r a ra n g e o f se rvi ce
m a n a g e m e n t p ro ce sse s u si n g fi g u re s, ta b l e s, ch e ckl i sts a n d e xa m p l e s. It
u se s m a te ri a l fro m th e 2 0000 se ri e s. Th e ch a p te rs a re :
Ch a pter 1 e xp l a i n s th e wh o l e 2 0 0 0 0 s e ri e s a n d th e wa y th e o th e r p a rts
ca n be u se d to h el p a ch i e ve th e re q u i re m e n ts i n I S O /I E C 2 0 0 0 0 -1 : 2 0 1 1 .
xi v Introduction to the ISO/IEC 20000 Series

Introduction
Chapter 2 d e scri b e s th e a p p ro a ch to d e fi n i n g th e sco p e of a se rvi ce
m a n a g e m e n t syste m (S M S ) .
Chapters 3 to 5 co ve r th e e sta b l i s h m e n t o f a n SM S th a t fu l fi l s th e
re q u i re m e n ts o f I S O /I E C 2 0 0 0 0 -1 , i n cl u d i n g th e a p p ro a ch to i n te g ra ti n g
p ro ce s se s.
Chapter 6 co ve rs th e i m p o rta n ce of peopl e in d e l i ve ri n g se rvi ce s.
Pe rso n n e l n eed to be we l l o rg a n i z e d and co - o rd i n a te d . Th i s ch a p te r
p ro vi d e s a d vi ce on som e a sp e cts o f m a n a g i n g and m o ti va ti n g m a n a g e rs
and p e rs o n n e l .
Chapter 7 i n cl u d e s a d vi ce on th e co rre ct p ro ce ss fo r co n tro l of
d o cu m e n ta ti o n and wh a t ca n be re q u i re d a s p a rt o f e vi d e n ce fo r a
ce rti fi ca ti o n a u d i t.
Chapters 8 to 1 3 co ve r se rvi ce re p o rti n g and th e m a n a g e m e n t o f th e
se rvi ce su p p l y ch a i n p ro vi d e d b y su p p l i e r m a n a g e m e n t, s e rvi ce l e ve l
m a n a g e m e n t (S LM ) and b u si n e s s re l a ti o n sh i p m a n a g e m e n t (B RM ) . It
d e scri b e s a s p e cts o f i n fo rm a ti o n se cu ri ty, managing ca p a ci ty, s e rvi ce
co n ti n u i ty a n d a va i l a b i l i ty a n d fi n a n ci a l i ssu e s.
Chapters 1 4 to 1 7 co ve r th e re s o l u ti o n p ro ce sse s a n d th e cl o s e l y re l a te d
co n tro l p ro ce sse s : co n fi g u ra ti o n , ch a n g e and re l e a s e and d e p l o ym e n t
m a n a g e m e n t.
Chapter 1 8 e xp l a i n s th e re q u i re m e n ts fo r th e d e si g n and tra n s i ti o n of
n ew a n d ch a n g e d se rvi ce s i n cl u d i n g th e i n te ra cti o n wi th th e co n tro l
p ro ce s se s. I t i n cl u d e s a d vi ce on th e i ssu e s th a t a re l i ke l y to be
e n co u n te re d wh e n m a j o r ch a n g e s a re i m p l e m e n te d and th e wa y th e s e
sh o u l d be a vo i d e d or m a n a g ed .
Annexes i n cl u d e th e te rm s u se d in th e 2 0 0 0 0 se ri e s (An n e x A) . An n e x B
i n cl u d e s th e co n te n t l i sts fro m e a ch p a rt o f th e 2 0 0 0 0 se ri e s. An n e x C
i n cl u d e s th e d o cu m e n ts a n d re co rd s th a t ca n be re q u i re d a s e vi d e n ce
d u ri n g an a u d i t. An n e x D is a ca se stu d y a n d th e fi n a l a n n ex i s a
B i b l i o g ra p h y.
Introduction to the ISO/IEC 20000 Series xv

Ch a p te r 1 2 0000 i s n ow a se ri e s
I n trod u cti on
Th e fi rs t e d i ti o n s o f th e I n te rn a ti o n a l S ta n d a rd s I S O /I E C 2 0 0 0 0 - 1 and
I S O /I E C 2 0 0 0 0 -2 , re fe rre d to a s Pa rts 1 and 2, we re p u b l i sh e d in 2 00 5 . Th i s
fo l l o we d a fa st- tra ck p ro ce ss o f a two p a rt U K s ta n d a rd BS 1 5 000.
Th e s e co n d e d i ti o n o f Pa rt 1 i s n o w a va i l a b l e wi th th e s e co n d e d i ti o n of
Pa rt 2 due so o n .
Th e p a rts o f th e 2 0 0 0 0 se ri e s a l re a d y p u b l i s h e d i n cl u d e Pa rts 3 , 4 and 5.
Th e se a re cu rre n tl y Te ch n i ca l Re p o rts p ro vi d i n g g u i d a n ce on s e rvi ce
m a n a g e m e n t. E a ch d o cu m e n t i n th e se ri e s s u p p l e m e n ts a n d co m p l e m e n ts
th e o th e rs. Th e p u b l i sh e d and pl a n n ed p a rts o f th e se ri e s a re d e scri b e d
b e l o w.
Th e fi ve p u b l i sh e d p a rts o f th e 2 0 0 0 0 se ri e s a re su m m a ri z e d in th e ta b l e
b e l o w.
Ta bl e 1 – Th e pu bl i sh ed 2 0000 seri es
Pa rt S ta tu s Ti tl e/scope
1 I n te rn a ti o n a l S ta n d a rd , Re q u i re m e n ts fo r a se rvi ce
2 01 1 m a n a g e m e n t s yste m
2 I n te rn a ti o n a l S ta n d a rd , G u i d a n ce on th e a p p l i ca ti o n of
due so o n se rvi ce m a n a g e m e n t s yste m s
3 Te ch n i ca l Re p o rt, 2 009 G u i d a n ce on th e sco p i n g and
a p p l i ca b i l i ty o f I S O /I E C 2 0 00 0 - 1
4 Te ch n i ca l Re p o rt, 2 01 0 Pro ce ss re fe re n ce m od el fo r I T s e rvi ce
m a n a g em en t
5 Te ch n i ca l Re p o rt, 2 01 0 An e xe m p l a r i m p l e m e n ta ti o n pl a n
fo r I S O /I E C 2 0 0 00 - 1
To wh a t d oes 2 0000 a ppl y?
Th e m u l ti -p a rt 2 0 0 0 0 se ri e s i s a p p l i ca b l e to m a n y o rg a n i z a ti o n s, b o th
i n te rn a l and e xte rn a l s e rvi ce p ro vi d e rs, pu bl i c a n d p ri va te s e cto r. Th e
2 0000 se ri e s a p p l i e s e q u a l l y to an i n te rn a l s e rvi ce p ro vi d e r fu n d e d as an
o p e ra ti n g o ve rh e a d and to on e ‘ ch a rg i n g ’ vi a tra n s fe rs b e twe e n i n te rn a l
Introduction to the ISO/IEC 20000 Series 1

Chapter 1 20000 is now a series
co st-co d e s. I t a p p l i e s to a co m m e rci a l o rg a n i z a ti o n p ro vi d i n g o u tso u rce d
se rvi ce s to l a rg e o rg a n i z a ti o n s a n d to s e rvi ce p ro vi d e rs d e l i ve ri n g
I n te rn e t-b a se d se rvi ce s to i n d i vi d u a l cu sto m e rs p a yi n g a m o n th l y
su b scri p ti o n .
Th e 2 0 0 0 0 se ri e s i s a p p l i ca b l e to se rvi ce p ro vi d e rs o f a l l s i z e s ra n g i n g
fro m l e ss th a n 1 0 peopl e to m a n y h u n d re d s o f th o u s a n d s o f p e rso n n e l .
Wh i l e th e re q u i re m e n ts re m a i n u n ch a n g e d fo r l a rg e o r sm a l l
o rg a n i z a ti o n s, th e wa ys th o se re q u i re m e n ts a re fu l fi l l e d m a y d i ffe r
si g n i fi ca n tl y. F o r e xa m p l e , a l a rg e s e rvi ce p ro vi d e r wo u l d n eed
so p h i sti ca te d ca p a ci ty m a n a g e m e n t p l a n n i n g ; a sm a l l o rg a n i z a ti o n wo u l d
m e e t Pa rt 1 re q u i re m e n ts a n d fu n cti o n e ffe cti ve l y wi th a ve ry b a si c p l a n .
Th e se ri e s i s u se fu l fo r a n o rg a n i z a ti o n s u b j e ct to re g u l a ti o n s o r
l e g i sl a ti o n co ve ri n g th e i r a cti vi ti e s, su ch a s th e fi n a n ce o r th e
p h a rm a ce u ti ca l se cto rs.
Th e 2 0 0 0 0 se ri e s i s a l so a p p l i ca b l e to se rvi ce p ro vi d e rs wh o re l y o n so m e
se rvi ce s d e l i ve re d b y o th e r p a rti e s . Th e s e ri e s i s i n d e p e n d e n t o f
o rg a n i z a ti o n a l stru ctu re o r th e te ch n o l o g i e s u se d fo r th e d e l i ve ry o f
se rvi ce s o r to a u to m a te se rvi ce m a n a g e m e n t. Te ch n o l o g y d o e s n o t
ch a n g e th e re q u i re m e n ts i n Pa rt 1 , b u t ca n h a ve an i m p a ct o n th e s ki l l s,
to o l s a n d d a ta n e e d s.
An n e x D co n ta i n s a ca se s tu d y fo r a se rvi ce p ro vi d e r wh o g a i n ed b e n e fi ts
fro m bei n g ce rti fi e d u n d e r e d i ti o n 1 o f I S O /I E C 2 0 0 0 0- 1 , p u b l i sh e d in
2 0 05 .
Th e se rvi ce p ro vi d e r’s CE O sa i d :
We are now more focused on delivering end-to-end services that

create value for our business and our external customers. Investing in
developing our service management capability has enabled business
transformation whilst maintaining control. Achieving certification to
ISO/IEC 20000-1 is good marketing for delivering world class IT
services and we are growing our customer base.
Th i s se rvi ce p ro vi d e r i s p l a n n i n g on co n ve rti n g to ce rti fi ca ti o n u n d er
e d i ti o n 2 o f I S O /I E C 2 0 0 0 0 -1 , pu bl i sh ed in 2 01 1 .
The 20000 series
Part 1
Pa rt 1 i s th e co re o f th e 2 0 0 0 0 s e ri e s a n d i s th e b a si s fo r e sta b l i sh i n g a
se rvi ce m a n a g e m e n t s yste m (S M S ) , co n ti n u a l se rvi ce i m p ro ve m e n ts,
m a n a g e m e n t re vi e ws, i n te rn a l and ce rti fi ca ti o n a u d i ts. Pa rt 1
re q u i re m e n ts a re co m p u l so ry fo r a ce rti fi ca ti o n a u d i t.
2 Introduction to the ISO/IEC 20000 Series

The 20000 series
Th e d i ffe re n ce s b e twe e n th e fi rs t a n d se co n d e d i ti o n s o f Pa rt 1 h a ve
been s u m m a ri z e d in th e ta b l e b e l o w.
Table 2 – The key differences between Part 1 editions 1 and 2
Th e m o st i m p o rta n t ch a n g e s a re l i n ke d to th e re a l i ty fa ce d by m a n y
se rvi ce p ro vi d e rs: h o w th e co n tri b u ti o n made b y o th e r g ro u p s to th e
o ve ra l l s e rvi ce sh o u l d be m a n a g ed .
Th e fi rst ste p wa s th e p u b l i ca ti o n o f Pa rt 3 , on th e s co p e o f th e se rvi ce
m a n a g e m e n t sys te m , se rvi ce s a n d s e rvi ce m a n a g e m e n t. Pa rt 1 n ow
i n cl u d e s a n e w Cl a u s e 4. 2 on th e g o ve rn a n ce o f p ro ce sse s. Th i s i s a
sh o rt b u t e xa cti n g cl a u s e on h o w th e co n tri b u ti o n sh o u l d be m a n a g ed
and wh a t th e se rvi ce p ro vi d e r h a s to do to be in co n tro l o f th e o ve ra l l
se rvi ce .
Th e n e w re q u i re m e n ts co ve r a d d i ti o n a l co n tro l fo r su p p l i e rs, i n te rn a l
g ro u p s a n d cu sto m e rs a cti n g a s su p p l i e rs. Pa rt 1 u s e s th e te rm i n te rn a l
g ro u p s fo r i n -h o u s e su p p l i e rs n o t u n d e r th e d i re ct co n tro l o f th e
se rvi ce p ro vi d e r. Cu sto m e rs a cti n g a s su p p l i e rs a re g ro u p s th a t
co n tri b u te p a rt o f th e o ve ra l l se rvi ce . As p a rt o f th e cu sto m e r’ s
o rg a n i z a ti o n th e y a re n ot m a n a g ed d i re ctl y b y th e se rvi ce p ro vi d e r.
Th e re q u i re m e n ts fo r p ro ce ss g o ve rn a n ce a re l i n ke d to th e n ew
re q u i re m e n ts i n Pa rt 1 fo r d e fi n i n g sco p e , wh e n i t sh o u l d be d on e and
wh a t p a ra m e te rs a re re q u i re d . S co p e i s a ffe cte d b y wh a t su p p l i e rs a n d
o th e r p a rti e s co n tri b u te , so cl a ri ty o n th i s i s m o re i m p o rta n t th a n e ve r
b e fo re . S co p e i s a l so a ffe cte d b y th e se rvi ce s, cu sto m e rs, typ e s o f
h a rd wa re and l o ca ti o n s.
Th e n e w e d i ti o n o f Pa rt 1 h a s se ve ra l i m p o rta n t fe a tu re s to s u p p o rt i ts
i n te rn a ti o n a l u se .
Wo rd i n g h a s been s ta n d a rd i z e d so th a t i t tra n sl a te s m o re e a si l y a n d
co n si s te n tl y. F o r e xa m p l e , Pa rt 1 d o e s n o t n o w u se ’ m a n a g em en t
co n tro l ’ , b e ca u se o f d i ffi cu l ti e s i n tra n sl a ti o n . I n ste a d Pa rt 1 u se s j u st
’ m a n a g e m e n t’ o r ’ co n tro l ’ o r ’ g o ve rn a n ce o f p ro ce sse s’ , d epen d i n g on
th e co n te xt.
Th e re a re m o re s p e ci a l te rm s i n cl u d e d . Wh e n p o ssi b l e Pa rt 1 u se s th e
sa m e sp e ci a l te rm s a s I S O 9001 and I S O /I E C 2 7 0 0 1 . S e rvi ce
m a n a g e m e n t te rm s h a ve been e xte n d e d , b u t Pa rt 1 sti l l re l i e s m a i n l y
on wo rd s b e i n g u sed wi th th e m ea n i n g s i n co m m o n l y u s e d
d i cti o n a ri e s.
Th e re a re so m e s tru ctu ra l ch a n g e s, fo r e xa m p l e Cl a u s e s 3 and 4 h a ve
been m e rg e d to g i ve a l a rg e r Cl a u se 4, g e n e ra l re q u i re m e n ts fo r a
se rvi ce m a n a g e m e n t s yste m , i n cl u d i n g m o re re q u i re m e n ts fo r
co n ti n u a l i m p ro ve m e n t.
Pa rt 1 i s l o n g e r. N e w re q u i re m e n ts i n cl u d e a s e rvi ce ca ta l o g u e , wh e n
p re vi o u sl y th i s wa s o n l y a re co m m e n d a ti o n . O th e r ch a n g e s i n cl u d e th e
i n tro d u cti o n o f re q u i re m e n ts fo r se rvi ce re q u e st m a n a g e m e n t a n d
re l e a se b e co m i n g re l e a se and d e p l o ym e n t.

O th e r ch a n g e s i n cl u d e n e w re q u i re m e n ts fo r se rvi ce s th a t a re
co n si d e re d to be a t h i g h e r th a n u su a l ri s k fro m ch a n g e s. Th e n ew a n d
ch a n g e d se rvi ce p ro ce ss i n Cl a u se 5 n o w i n cl u d e s th e fi rs t sta g e o f th e
se rvi ce l i fe cycl e , b o th pl a n n i n g and d e si g n o f se rvi ce s, so th a t th e
se rvi ce p ro vi d e r i s a wa re o f n e w se rvi ce s s o o n en ou g h to a vo i d any
ba d d e ci si o n s m a d e e a rl y i n pl a n n i n g and d e si g n .
Som e n a m ed ro l e s , s u ch a s p ro ce ss o wn e r, a re n o t n o w u se d in Pa rt 1 ,
b u t th e ro l e and re sp o n si b i l i ti e s a re sti l l i n cl u d e d .
I SO i s co m p l e te l y i n d e p e n d e n t o f ce rti fi ca ti o n o r q u a l i fi ca ti o n sch e m e s
and d o e s n o t sa y h o w th e ch a n g e s wi l l i m p a ct sch e m e s o r h o w l o n g th e
ch a n g e o ve r sh o u l d ta ke . Th e re wi l l be a p h a se d ch a n g e o ve r d e fi n e d and
m a n a g ed b y th e o wn e rs o f e a ch sch e m e , o f wh i ch th e re a re n o w se ve ra l
wo rl d - wi d e . Th e ch a n g e o ve r m a y d i ffe r a cro ss s ch e m e s so cl a ri fi ca ti o n
sh o u l d be so u g h t fro m sch e m e o wn e rs .
Th e two e d i ti o n s o f Pa rt 1 A Guide to the New

a re co m p a re d in d e ta i l in
ISO/IEC 20000-1 : The differences between the 2005 and 201 1 editions .
Part 2
Th e se co n d e d i ti o n o f Pa rt 2 i s cl o s e to co m p l e ti o n . I t p ro vi d e s g u i d a n ce
on th e a p p l i ca ti o n of a n SM S, d e scri b i n g th e i n te n t, co n ce p ts a n d
re q u i re m e n ts fo r e a ch p ro ce ss i n Pa rt 1 . I t p ro vi d e s a d vi ce on th e ro l e s
and re sp o n si b i l i ti e s a n d th e d o cu m e n ts a n d re co rd s re q u i re d .
Part 3
Pa rt 3 i n cl u d e s a d vi ce on e vi d e n ce th a t wi l l be re q u i re d d u ri n g an audit
a g a i n st Pa rt 1 re q u i re m e n ts . H o we ve r, i ts m o st s i g n i fi ca n t co n tri b u ti o n to
th e 2 0 0 0 0 s e ri e s i s g u i d a n ce on d e fi n i n g th e s co p e of a n SM S. As a re s u l t
o f th i s, Pa rt 3 a l so p ro vi d e s a d vi ce on h o w to d e fi n e th e sco p e o f s e rvi ce
Pa rt 3 e xp l a i n s wh e n Pa rt 1 i s a p p l i ca b l e . F o r e xa m p l e , d o e s th e s e rvi ce
p ro vi d e r h a ve g o ve rn a n ce of a l l p ro ce s se s, i n cl u d i n g a n y p ro ce s se s
o p e ra te d b y o th e r p a rti e s? Ca n th e se rvi ce p ro vi d e r a g re e an a cce p ta b l e
sco p e sta te m e n t fo r a ce rti fi ca ti o n a u d i t? To p ro vi d e a d d i ti o n a l h el p,
e xa m p l e s o f th e re ve rse a re a l so i n cl u d e d , i . e. wh e re Pa rt 1 m a y n ot be
u se d fo r a ce rti fi ca ti o n a u d i t.
Pa rt 3 i s u n d e rp i n n e d b y p ra cti ca l , s ce n a ri o -b a se d g u i d a n ce , i l l u stra ti n g
th e wa y th e 2 0 0 0 0 s e ri e s m a y b e u se d by a se rvi ce p ro vi d e r fa ce d wi th a
ra n g e o f th e m o st co m m o n ci rcu m s ta n ce s.

The 20000 series
Pa rt 1 re q u i re s th e se rvi ce p ro vi d e r to d e m o n s tra te g o ve rn a n ce of a n y
p ro ce s se s o p e ra te d b y o th e r p a rti e s . F a i l u re to sh o w th a t a se rvi ce
p ro vi d e r i s i n co n tro l wi l l m ea n th a t th e s co p e wi l l be re stri cte d and th e
se rvi ce p ro vi d e r m i g h t n o t b e a bl e to fu l fi l all Pa rt 1 re q u i re m e n ts. As a
d i re ct co n se q u e n ce , Pa rt 3 i s e s se n ti a l re a d i n g fo r a n y se rvi ce p ro vi d e r
th a t h a s a s ke d a n o th e r o rg a n i z a ti o n to manage th e i r s e rvi ce s o r o p e ra te
a n y o f th e i r se rvi ce m a n a g e m e n t p ro ce ss e s.
Part 4
Pa rt 4 i s a se rvi ce m a n a g e m e n t p ro ce ss re fe re n ce m od el , a l i g n ed to
Pa rt 1 . Th e p ro ce ss re fe re n ce m od el d e fi n e s e a ch Pa rt 1 p ro ce s s u si n g
i n p u ts , o u tp u ts a n d a cti vi ti e s. Al th o u g h i t ca n a ssi st wi th p ro ce s s d e si g n it
wa s d e ve l o p e d a s th e ba si s of a fi ve -l e ve l a sse ssm e n t m o d e l , wh i ch is
u n d e r d e ve l o p m e n t.
Part 5
Pa rt 5 , p u b l i sh e d in 2 01 0, i n cl u d e s p ra cti ca l ‘ what to do when’ a d vi ce fo r
a th re e p h a se i m p l e m e n ta ti o n of a n SM S. S u ch a p h a se d i m p l e m e n ta ti o n
i n cu rs l o we r ri sks a n d co s ts th a n d oi n g e ve ryth i n g in a si n g l e ste p . It
i n cl u d e s p ra cti ca l e xa m p l e s a n d i s p a rtl y b a se d on s ce n a ri o s th a t a p p l y to
m o s t se rvi ce p ro vi d e rs.
In Pa rt 5 , th e fi rst p h a se i s th e i m p l e m e n ta ti o n o f th o se p a rts o f th e SM S
th a t su p p o rt th e q u i ck a n d e ffe cti ve re a cti o n to se rvi ce d i sru p ti o n s. For
e xa m p l e , Ph a se 1 i n cl u d e s m o st o f i n ci d e n t m a n a g e m e n t b u t o n l y b a si c
s e rvi ce re p o rti n g .
M o re i s i m p l e m e n te d in Ph a se 2: th e se rvi ce p ro vi d e r i s th e n a bl e to
a n ti ci p a te se rvi ce d i sru p ti o n s o r re q u e sts a n d to p ro vi d e a m o re re l i a b l e
s e rvi ce . F o r e xa m p l e , th e m o re a d va n ce d o r p ro a cti ve a sp e cts o f p ro ce sse s
e s ta b l i s h e d in Ph a se 1 o r p ro ce sse s su ch a s re l e a se m a n a g e m e n t th a t
re q u i re a m o re m a tu re a p p ro a ch to se rvi ce m a n a g e m e n t.
Ph a se 3 i n vo l ve s i n te g ra ti o n and co n s o l i d a ti o n of a l l p ro ce sse s ,
i m p ro ve m e n ts i n e sta b l i s h e d p ro ce ss e s a n d p ro ce d u re s . I t a l so i n cl u d e s
i m p l e m e n ta ti o n o f th e d esi g n and tra n si ti o n o f n e w o r ch a n g e d se rvi ce s,
wh i ch i n te rfa ce s to m a j o r o r h i g h e r ri sk p ro j e cts. Th e en d re s u l t o f Ph a s e
3 is an SM S th a t co n fo rm s to Pa rt 1 , wi th co n so l i d a ti o n and co n ti n u a l
i m p ro ve m e n t ca rri e d on a fte rwa rd s.
S e rvi ce p ro vi d e rs wi th an i n co m p l e te SM S ca n u se Ph a se 1 as a
p ro g ra m m e o f i m p ro ve m e n ts to wh a t i s a l re a d y i n p l a ce . Pa rt 5 is
g e n e ri c, so ca n be u se d b y m o st se rvi ce p ro vi d e rs .

What about Parts 6 onwards?

O th e r p a rts a re bei n g co n si d e re d , wi th a fo cu s o n e xp l a i n i n g th e wa y th e
re q u i re m e n ts i n Pa rt 1 map and align to o th e r sta n d a rd s, m e th o d s a n d
fra m e wo rks. Th e se p ro p o s a l s we re i d e n ti fi e d b y m a rke t re se a rch .
M a rke t re se a rch co n ti n u e s to pl a y a p a rt i n i d e n ti fyi n g wh a t wi l l (o r wi l l
n o t) be d e ve l o p e d in su p p o rt o f Pa rt 1 .
Th e styl e guide u se d to ke e p th e 2 0 0 0 0 se ri e s co n si ste n t i s b e i n g
i n co rp o ra te d in a n e w Pa rt 1 0 , wi th th e ti tl e ‘ Co n ce p ts a n d te rm i n o l o g y’ .
I t wi l l co n ta i n th e sp e ci a l te rm s u se d in th e 2 0 0 0 0 s e ri e s.
Terminology
In Pa rt 1 , e a ch re q u i re m e n t i s i n d i ca te d b y th e u se of ‘sh a l l ’ . Th e ve rb
‘sh a l l ’ i s n o t u se d in th e re s t o f th e 2 0 0 0 0 se ri e s, wh i ch co n ta i n s a d vi ce
and n o t re q u i re m e n ts .
In Pa rt 1 and th e re st o f th e 2 0 0 0 0 s e ri e s th e ve rb ‘ m a y’ i s u se d to sh ow
so m e th i n g i s p e rm i tte d u n d e r th e Pa rt 1 re q u i re m e n ts, bu t i s n ot
co m p u l so ry. Th e ve rb ‘ ca n ’ i s u sed i f so m e th i n g i s p o ssi b l e , bu t a g a i n it is
n o t co m p u l so ry.
Pa rt 1 i n cl u d e s a fe w n o te s. Th e s e a re n o t p a rt o f th e re q u i re m e n ts a n d
wi l l n ot be u se d in an a u d i t. Th e y a re p ri m a ri l y u s e d to p ro vi d e
su p p o rti n g i n fo rm a ti o n th a t i s i n te n d e d to h el p th e u se r u n d e rsta n d and
a p p l y th e re q u i re m e n ts. An e xa m p l e i s th e n o te in Pa rt 1 , Cl a u se 1 .2 th a t
re fe rs to Pa rt 3 as a u se fu l so u rce o f i n fo rm a ti o n on sco p e d e fi n i ti o n and
a p p l i ca b i l i ty.
Pa rt 1 d o e s n o t re q u i re a se rvi ce p ro vi d e r to u se th e te rm s u se d in th e
2 0 0 0 0 se ri e s, a l th o u g h th e re sh ou l d be no a m b i g u i ty a b o u t wh a t e a ch
p ro ce ss i n cl u d e s. I t i s u su a l l y e a si e r fo r a se rvi ce p ro vi d e r to a d opt
co m m o n i n d u stry te rm s. I f th i s h a s n o t b e e n d on e, an a u d i to r wi l l fi n d it
u se fu l to h a ve a m a ppi n g o f th e se rvi ce p ro vi d e r’s te rm s wi th th o se u sed
in th e 2 0 0 0 0 se ri e s. Th i s i s p a rti cu l a rl y i m p o rta n t fo r th e sp e ci a l te rm s, in
Pa rt 1 , Cl a u s e 3, wh i ch a re a l so i n cl u d e d in An n e x A.

Use of tools
Key point
S p e ci a l te rm s a re i n cl u d e d in Pa rt 1 , Cl a u se 3. Al l o th e r te rm s
a re ‘ n o rm a l ’ wo rd s , wi th th e m ea n i n g g i ve n in wi d e l y u se d UK
E n g l i sh language d i cti o n a ri e s. Th e co n s i ste n t u se o f ‘ n o rm a l ’
wo rd s h a s h e l p e d wi th u n d e rsta n d i n g , i n te rp re ta ti o n and
tra n s l a ti o n . I t h a s h el ped ke e p th e 2 0 0 0 0 se ri e s a l i g n e d . J a rg o n
i s n o t a l l o we d , so fo r e xa m p l e , a sco p e i s d e fi n e d b e ca u se
‘ sco p i n g ’ i s n ot i n d i cti o n a ri e s, a l th o u g h ‘ s co p i n g ’ i s o fte n u se d
in co n ve rs a ti o n s.
Th e co n s i ste n cy o f u sa g e wi l l add va l u e fo r n a ti ve E n g l i sh s p e a ke rs, bu t
m o st o f th e b e n e fi t wi l l be fo r re a d e rs fro m th e m a n y d i ffe re n t l a n g u a g e
g ro u p s th a t n o w u se th e 2 0 0 0 0 se ri e s.
Co n si ste n cy o f u s a g e su p p o rts co n si s te n cy o f tra n s l a ti o n i n to o th e r
l a n g u a g e s, in p a rti cu l a r fo r wo rd s wi th no e xa ct e q u i va l e n t i n th e ta rg e t
l a n g u a g e.
E n g l i sh is a fl e xi b l e , co n te xt s e n s i ti ve and e vo l vi n g l a n g u a g e, wh e re a
wo rd ca n m ea n s o m e th i n g d i ffe re n t a cco rd i n g to th e co n te xt i n wh i ch it
i s bei n g u se d . H o we ve r, th i s u se o f sta n d a rd i z e d , n o rm a l U K E n g l i sh has
a l so been co d i fi e d as a styl e guide to ke e p th e wo rd i n g in e a ch p a rt a n d
a cro ss th e wh o l e 2 0000 se ri e s co n si s te n t.
E xa m p l e s i n cl u d e ‘ e sta b l i sh ’ to m ea n ‘to set up’ [a n SM S, a p o l i cy o r
p ro ce ss] . E sta b l i sh i s u sed fo r th e se tti n g up o f [ so m e th i n g ] , a fte r i t h a s
been d e fi n e d . E sta b l i s h i s th e n fo l l o we d b y ‘ i m p l e m e n t’ – ‘to carry out,

fulfil or perform’ . I t i s a l wa ys u se d fo r ‘ i m p l e m e n t a n [SM S, a pl a n or
p ro ce ss] ’ . To d i ffe re n ti a te , a se rvi ce o r re l e a se i s ‘ d e p l o ye d ’ , wh e re th e
m ea n i n g i s th e n o rm a l E n g l i sh language m ea n i n g of ‘to organize and

bring into use’.
Use of tools
Th e g e n e ri c, b ro a d -b a se d a p p ro a ch o f th e 2 0000 se ri e s m e a n s th a t th e re
a re no re q u i re m e n ts o n th e u se o f to o l s o r o th e r su p p o rti n g s yste m . A
s e rvi ce p ro vi d e r co u l d fu l fi l all th e Pa rt 1 re q u i re m e n ts wi th o u t a n y to o l s
at all.
In p ra cti ce se rvi ce p ro vi d e rs u se a wi d e ra n g e o f to o l s to a ssi st th e m to
fu l fi l Pa rt 1 re q u i re m e n ts a n d to d e l i ve r th e s e rvi ce . Th i s re d u ce s o ve ra l l
co sts a n d ri sks fro m e rro rs. E xa m p l e s i n cl u d e s e rvi ce d esk l og g i n g and
re p o rti n g to o l s, p e rfo rm a n ce m o n i to ri n g to o l s a n d co n fi g u ra ti o n

m a n a g e m e n t d a ta b a se s (CM D B s) . I f to o l s a re u sed th e y b e co m e an
i n te g ra l p a rt o f th e SM S. Al th o u g h th e to o l s wi l l n ot be a u d i te d th e i r
o u tp u t wi l l be.

Chapter 2 Scope definition
I n trod u cti on
This chapter describes scope definition and why it is important.
A scope statement is required for an external audit and for the certificate
awarded after a successful audit. However, final preparation for an audit
is far too late for the scope of the SMS to be defined. The scope should
have been defined earlier as it is used for the planning of the SMS, as
described in Chapter 3. The definition of scope establishes a shared
understanding of the processes within the SMS and the services delivered
to customers.
The scope of the SMS is complex when parts of the service originate from
groups outside the service provider’s direct control. Typically, this is when
part of a service is provided by a supplier under a contractual
arrangement. When this is the case the processes should be under the
governance of the service provider.
Wh i ch g rou ps a re i n or ou t of scope?
Many groups and organizations can affect the scope of an SMS.

Organizations or groups outside the scope of the SMS usually provide
input to the SMS or receive output from the SMS. Many do both.
Key poi n t
A group is outside the scope of the SMS if they are not under
the direct control of the service provider. The service they
contribute may be in the scope of the SMS and in the audit,
but the ‘out of scope group’ will not be audited. The
contribution of the ‘out of scope group’ is assessed using
information held by the service provider. Providing the
information should be an obligation placed on the group, e.g.
under a contract between the service provider and supplier.

Pa rt 1 i n cl u d e s re fe re n ce s to th e typ e s o f o rg a n i z a ti o n , g ro u p o r p e rs o n
d e scri b e d b e l o w. E a ch is in o r o u t o f s co p e a cco rd i n g to th e d e g re e and
n a tu re o f co n tro l th a t th e se rvi ce p ro vi d e r h a s o ve r th e i r a cti o n s.
1. Customer is an o rg a n i z a ti o n o r p a rt o f a n o rg a n i z a ti o n th a t re ce i ve s
se rvi ce s. A cu sto m e r m a y b e e xte rn a l to th e se rvi ce p ro vi d e r’s
o rg a n i z a ti o n o r p a rt o f th e sa m e o rg a n i z a ti o n . Cu s to m e rs a re m o st
e a si l y e q u a te d to a m a n a g e r o r g ro u p o f m a n a g e rs wi th
re s p o n si b i l i ty fo r a g re e i n g th e se rvi ce fro m th e se rvi ce p ro vi d e r.
Th e re m a y b e m u l ti p l e cu sto m e rs a n d m u l ti p l e s e rvi ce s o r sh a re d
se rvi ce s. Cu sto m e rs m a y p a y fo r th e s e rvi ce o r i t co u l d be tre a te d as
an o ve rh e a d . Cu sto m e rs a re o u tsi d e th e sco p e o f th e SM S, and wi l l
n o t b e a u d i te d e ve n i f th e name o f th e i r o rg a n i z a ti o n o r s e rvi ce s i s
u se d in th e d e fi n i ti o n o f sco p e .
2. Customers acting as suppliers a re g ro u p s th a t re l y o n th e se rvi ce bu t
wh o a l so co n tri b u te to th e s e rvi ce . F o r e xa m p l e , a sp e ci a l b u si n e ss
su p p o rt g ro u p wh e re th e se rvi ce p ro vi d e r d e p e n d s o n an i n p u t fro m
th e cu s to m e r. A cu sto m e r i s m a n a g e d b y se rvi ce l e ve l m a n a g em en t
(S LM ) wh e n a cti n g as a su p p l i e r. Cu sto m e rs a cti n g a s s u p p l i e rs a re
o u tsi d e th e sco p e o f th e SM S and a re n o t a u d i te d .
3. External organization is an o rg a n i z a ti o n th a t n e e d s to a cce ss , u se or
manage th e se rvi ce p ro vi d e r’s i n fo rm a ti o n o r se rvi ce s. Th i s te rm is
u se d on l y i n Pa rt 1 , Cl a u se 6 . 6 b e ca u s e o f th e cl o se l i n k to th e
I S O /I E C 2 7 0 0 0 s e ri e s.
4. Interested parties a re i n d i vi d u a l s o r g ro u p s h a vi n g a sp e ci fi c i n te re st
in th e p e rfo rm a n ce o r su cce ss o f th e s e rvi ce p ro vi d e r’s a cti vi ti e s, e. g .
cu sto m e rs, o wn e rs, m a n a g e m e n t, peopl e in th e s e rvi ce p ro vi d e r’s
o rg a n i z a ti o n , su p p l i e rs, b a n ke rs, u n i o n s o r p a rtn e rs. Th e y a re in or
o u t o f sco p e o f th e SM S a cco rd i n g to th e re a so n fo r th e i r i n te re st.
5. Internal groups a re p a rt o f th e se rvi ce p ro vi d e r’s o wn o rg a n i z a ti o n .
Th e y ca n co n tri b u te to a n y s ta g e fro m pl a n n i n g and d esi g n , th ro u g h
to wi th d ra wa l o f se rvi ce s. Th e y a re n o t u n d e r th e d i re ct co n tro l of
th e se rvi ce p ro vi d e r a n d th e i r co n tri b u ti o n i s m a n a g ed b y S LM . Th e y
a re n ot i n th e sco p e o f th e SM S and a re n o t a u d i te d .
6. Lead suppliers a re su p p l i e rs re sp o n si b l e fo r m a n a g i n g o th e r
su p p l i e rs, re fe rre d to a s su b -co n tra cte d su p p l i e rs. Li ke su p p l i e rs , l ea d
su p p l i e rs a re m a n a g ed b y su p p l i e r m a n a g e m e n t. Li ke o th e r su p p l i e rs,
l ea d su p p l i e rs a re o u tsi d e th e s co p e o f th e SM S and a re n o t a u d i te d .
7. Other parties is a co l l e cti ve name fo r a n y o n e or a l l of a n i n te rn a l
g ro u p , a cu s to m e r o r su p p l i e r, i n cl u d i n g l ea d su p p l i e rs a n d cu sto m e rs
a cti n g a s s u p p l i e rs. Al l a re o u tsi d e th e sco p e o f th e SM S and a re n ot
a u d i te d .
8. Service provider is an o rg a n i z a ti o n th a t m a n a g e s a n d d e l i ve rs
se rvi ce s to th e cu sto m e r. Th e se rvi ce p ro vi d e r m a y b e p a rt o f th e
sa m e o rg a n i z a ti o n a s th e i r cu sto m e r, o fte n an i n - h o u se IT
d e p a rtm e n t, o r p a rt o f a l e g a l l y se p a ra te o rg a n i z a ti o n , su ch as a
co m m erci a l o u tso u rce r. Th e se rvi ce p ro vi d e r m a y b e aiming to
a ch i e ve ce rti fi ca ti o n to Pa rt 1 .
1 0 Introduction to the ISO/IEC 20000 Series

Scope definition parameters
9. Sub-contracted suppliers d e l i ve r se rvi ce s vi a a l ea d su p p l i e r, and a re
m a n a g ed b y th e l ea d s u p p l i e r, n o t th e se rvi ce p ro vi d e r. Th e se rvi ce
p ro vi d e r m a y a sk a l ea d su p p l i e r fo r e vi d e n ce o f co m p e te n t
m a n a g e m e n t o f th e su b - co n tra cte d su p p l i e rs. Th e y a re o u tsi d e th e
sco p e o f th e SM S and a re n o t a u d i te d .
1 0. Suppliers a re an o rg a n i z a ti o n o r p a rt o f a n o rg a n i z a ti o n th a t i s
e xte rn a l to th e s e rvi ce p ro vi d e r’s o rg a n i z a ti o n . E a ch is a s e p a ra te
l eg a l e n ti ty a n d has a co n tra ct wi th th e se rvi ce p ro vi d e r to co n tri b u te
to th e s e rvi ce . Th i s m a y b e d e si g n , tra n si ti o n , d e l i ve ry a n d
i m p ro ve m e n t o f se rvi ce s o r p ro ce sse s. S u p p l i e rs m a y o p e ra te
p ro ce sse s o n b e h a l f o f th e se rvi ce p ro vi d e r, b u t ca n n o t h a ve
g o ve rn a n ce o f th o s e p ro ce sse s. S u p p l i e rs a re m a n a g ed b y su p p l i e r
m a n a g em en t a n d a re o u tsi d e th e sco p e o f th e SM S and a re n ot
a u d i te d .
1 1 . Users a re peopl e th a t re l yo n th e s e rvi ce s o n a d a y-to -d a y b a si s, bu t
a re n o t n o rm a l l y d i re ctl y i n vo l ve d wi th th e se rvi ce p ro vi d e r. Th e y a re
o u tsi d e th e sco p e o f th e SM S a l th o u g h th e name o f th e i r
o rg a n i z a ti o n m a y be u se d as a p a ra m e te r fo r sco p e d e fi n i ti o n , as
d e scri b e d b e l o w.
Scope definition parameters

S co p e m a y be d e fi n e d in a n u m b e r o f wa ys. Th e ru l e s a re th e sa m e i f th e
s e rvi ce p ro vi d e rs a n d cu sto m e rs a re p a rt o f th e sa m e o rg a n i z a ti o n
(i n -h o u s e se rvi ce s) o r a re se p a ra te l eg a l e n ti ti e s (u su a l l y u n d e r a
co m m e rci a l se rvi ce a rra n g e m e n t) .
Th e s e rvi ce p ro vi d e r sh o u l d u se p a ra m e te rs to d e fi n e th e sco p e o f th e
SM S so th a t i t i s cl e a r wh a t i s i n cl u d e d and e xcl u d e d . I t i s co m m o n fo r
s e ve ra l p a ra m e te rs to be u se d in co m b i n a ti o n . To aid cl a ri ty, i t ca n be
u se fu l to s ta te wh a t i s o u tsi d e th e sco p e . Th e se rvi ce p ro vi d e r d o e s n o t
n eed to o wn th e a sse ts u se d fo r d e l i ve ri n g th e s e rvi ce s i n s co p e . I f th e
s co p e ch a n g e s, so sh o u l d th e p a ra m e te rs, e. g . a n e w cu sto m e r o r se rvi ce ,
o r th e re m o va l o f e i th e r.
Pa rt 1 d o e s n o t l i m i t th e p a ra m e te rs th a t ca n be u se d . Two a re re q u i re d
in all sco p e d e fi n i ti o n s :
• o rg a n i z a ti o n a l u n i ts p ro vi d i n g s e rvi ce s , e. g . a si n g l e d e p a rtm e n t,
g ro u p o f d e p a rtm e n ts o r a l l d e p a rtm e n ts;
• s e rvi ce s o ffe re d , e. g . a si n g l e s e rvi ce , g ro u p o f se rvi ce s o r a l l se rvi ce s,
fi n a n ci a l se rvi ce s, re ta i l se rvi ce s , em a i l se rvi ce s.
O th e r u se fu l e xa m p l e s th a t sh o u l d be co n s i d e re d i n cl u d e :
• g e o g ra p h i ca l l o ca ti o n fro m wh i ch th e s e rvi ce p ro vi d e r d e l i ve rs th e
s e rvi ce s , e. g . a si n g l e o ffi ce o r g ro u p o f o ffi ce s, re g i o n a l , n a ti o n a l or
g l oba l ;
Introduction to the ISO/IEC 20000 Series 1 1

• cu sto m e rs a n d th e i r l o ca ti o n s, e. g . on e cu sto m e r, m a n y cu sto m e rs,
e xte rn a l cu sto m e rs o r i n te rn a l cu sto m e rs;
• te ch n o l o g y u s e d to p ro vi d e th e se rvi ce s.
M a n y m o re e xa m p l e s a re i n cl u d e d in Pa rt 3 .
Key point
Wh e n d e fi n i n g th e s co p e i t sh ou l d :
• be a s si m pl e a s p o ssi b l e ;
• be u n d e rsta n d a b l e wi th o u t d e ta i l e d kn o wl e d g e o f th e
o rg a n i z a ti o n ;
• co n ta i n en ou g h i n fo rm a ti o n fo r u se in co n fo rm i ty
a sse ss m e n t;
• d e fi n e wh a t h a s b e e n i n cl u d e d wi th i n th e sco p e ;
• n o t i m p l y th a t so m e th i n g i s i n cl u d e d i f i t i s e xcl u d e d ;
• e xcl u d e a cti vi ti e s wh e re th e re is no e vi d e n ce fo r co n fo rm i ty
to Pa rt 1 .
Scope statement for an audit

Th e sco p e d e fi n i ti o n b e co m e s a sco p e sta te m e n t fo r a n a u d i t ce rti fi ca te .
I t th e re fo re sh o u l d n o t i n cl u d e th e n a m e s o f o th e r p a rti e s co n tri b u ti n g to
th e d e l i ve ry o f th e se rvi ce .
D u ri n g a ce rti fi ca ti o n a u d i t, i f th e sco p e d e fi n i ti o n i n cl u d e s m a n y
cu sto m e rs , se rvi ce s o r l o ca ti o n s, th e n an a sse s so r wi l l b a se th e a sse ss m e n t
on a sa m p l e , u si n g h i s/h e r p ro fe ss i o n a l j u d g e m e n t fo r se l e cti o n o f th e
sa m p l e and wh a t wi l l be a s se sse d . Th e sco p e sta te m e n t m a y i n cl u d e th e
fu l l ra n g e o f cu s to m e rs, se rvi ce s a n d l o ca ti o n s wi th i n th e sco p e o f th e
SM S, n o t j u st th o se sa m pl ed d u ri n g th e a u d i t.
Co n ve rs e l y, a s e rvi ce p ro vi d e r ca n o p t fo r a s co p e th a t d o e s n o t i n cl u d e
all th e i r cu sto m e rs. Th i s i s a cce p ta b l e a s l on g as all th e re q u i re m e n ts a re
m et a n d th e sco p e sta te m e n t i ssu e d b y th e a u d i to r m a ke s th e l i m i ts to
th e s co p e cl e a r.
A ce rti fi ca ti o n sch e m e ca n i n cl u d e ru l e s o n th e wa y a s co p e sta te m e n t i s
wo rd e d , e. g . a re stri cti o n on th e typ e o f p a ra m e te rs th a t ca n be u sed by
th e s e rvi ce p ro vi d e r o r th a t th e sco p e s ta te m e n t sh o u l d i n cl u d e a
re fe re n ce to th e SM S. Th i s i s a ce rti fi ca ti o n sch e m e i ssu e , b u t i t i s sti l l

Scope statement for an audit
b a se d on Pa rt 1 re q u i re m e n ts. I t i s u n l i ke l y th a t a sch e m e o wn e r wi l l limit
th e ta ke -u p o f th e i r s ch e m e in th i s wa y, u n l e ss i t i s a se cto r-sp e ci fi c
sch e m e .
A s co p e s ta te m e n t o n an a u d i t ce rti fi ca te sh ou l d n o t i n cl u d e p a ra m e te rs
th a t e xte n d th e s co p e o f th e SM S b e yo n d th e 2 0 0 0 0 s e ri e s. F o r e xa m p l e ,
co n su l ta n cy se rvi ce s o n th e 2 0000 se ri e s ca n n o t b e ce rti fi e d , h o we ve r
co m p e te n t th e co n su l ta n ts . N o r m a y p ro fe ssi o n a l se rvi ce s s u ch as
so ftwa re o r sys te m s d e ve l o p m e n t. Th i s i s th e ca s e h o we ve r cl o se l y th e y
wo rk wi th th e s e rvi ce p ro vi d e r a n d e ve n i f th e y a re l e g a l l y p a rt o f th e
sa m e o rg a n i z a ti o n .
Key point
A se rvi ce p ro vi d e r ca n i m pl em en t a p ro ce s s, su ch a s i n ci d e n t
m a n a g e m e n t, fo r a l l se rvi ce s. I f th e y h a ve o n l y i m p l e m e n te d
ca p a ci ty m a n a g e m e n t fo r o n e s e rvi ce , th e sco p e sta te m e n t i s
l i m i te d to th a t o n e se rvi ce , b e ca u se al l re q u i re m e n ts sh o u l d be
fu l fi l l e d . Th e i n ci d e n t m a n a g e m e n t a p p l i e d to o th e r se rvi ce s
wi l l n ot be a u d i te d . O n l y th e o ccu rre n ce in sco p e wi l l be
a u d i te d . Th i s ci rcu m s ta n ce o fte n o ccu rs wh e n a se rvi ce p ro vi d e r
o p ts to d e ve l o p th e fu l l SM S i n cre m e n ta l l y, a s d e scri b e d in
Ch a p te r 4.
Th e su i ta b i l i ty o f th e sco p e sta te m e n t wi l l be d e ci d e d on i ts o wn m e ri ts
b y th e a u d i t co m p a n y th a t p e rfo rm s th e a u d i t. Th i s i s d o n e fo rm a l l y
d u ri n g th e a u d i t. H o we ve r, th e s co p e s ta te m e n t i s a l so d i scu sse d d u ri n g
th e a u d i t sa l e s a n d pl a n n i n g sta g e . I t i s n o rm a l l y i n cl u d e d in th e co n tra ct
b e twe e n th e s e rvi ce p ro vi d e r a n d th e a u d i t co m p a n y.
Key point
Th e a u d i t co m p a n y m a y u se o th e r p a rts o f th e 2 0 0 0 0 se ri e s
d u ri n g tra i n i n g o r fo r d e ve l o p m e n t o f th e i r sch e m e ru l e s, e. g .
Pa rt 3 . D e sp i te th i s, o n l y th e re q u i re m e n ts o f Pa rt 1 a re u se d as
th e b a si s o f a u d i t d e ci si o n s. Th i s i n cl u d e s d e ci si o n s o n th e
su i ta b i l i ty o f th e sco p e o f th e SM S.

An a u d i to r wi l l a l so ta ke i n to a cco u n t th e ru l e s o f th e p a rti cu l a r
ce rti fi ca ti on sch e m e bei n g u se d fo r th e a u d i t. Th e a u d i to r wi l l n o t ta ke
i n to a cco u n t a n yth i n g o u tsi d e th e d e fi n e d sco p e o f th e SM S, s u ch as
se rvi ce and l o ca ti o n s o u t o f sco p e , o r p ro ce s se s n o t u n d e r th e g o ve rn a n ce
o f th e se rvi ce p ro vi d e r.
E vi d e n ce sh ou l d be a va i l a b l e to s u p p o rt th e va l i d i ty o f th e d e fi n e d s co p e .
• Al l g ro u p s , d e p a rtm e n ts o r o rg a n i z a ti o n s i n vo l ve d , wh a t e a ch is
re s p o n si b l e fo r a n d wh o h a s a u th o ri ty a n d a cco u n ta b i l i ty.
• Th e i n te rfa ce s b e twe e n o rg a n i z a ti o n s, i n cl u d i n g su p p l i e rs a n d
cu sto m e rs s h o u l d be d e fi n e d and a g re e d .
• S u cce ss fu l i n te g ra ti o n o f p ro ce s se s, i n cl u d i n g th e Pl a n -D o -Ch e ck- Act
(PD CA) cycl e (a l s o kn o wn a s D em i n g o r S h e wh a rt Cycl e ) .
• G o ve rn a n ce o f th e p ro ce sse s wi th i n th e sco p e o f th e SM S, wh e th e r
o p e ra te d b y th e se rvi ce p ro vi d e r o r o th e r p a rti e s.
Supply arrangements
An y se rvi ce p ro vi d e r th a t ca n p ro vi d e e vi d e n ce o f m e e ti n g all
re q u i re m e n ts i n Pa rt 1 d i re ctl y ca n a ch i e ve ce rti fi ca ti o n . In th i s ca s e all
e vi d e n ce i s b a se d on th e i r o wn a cti vi ti e s. Th i s i s ra re and a ppl i es on l y i f
th e s e rvi ce p ro vi d e r d o e s n o t re l y o n o th e r p a rti e s fo r a n y p a rt o f th e
se rvi ce .
M a n y e xa m p l e s o f m u l ti p l e su p p l i e r a rra n g e m e n ts e xi st, o fte n re fe rre d to
a s ‘ sm a rt so u rci n g ’ , ‘ se l e cti ve so u rci n g ’ , o r ‘ ri g h t so u rci n g ’ . In re a l i ty,
a ch i e vi n g ce rti fi ca ti o n i s u su a l l y d e p e n d e n t o n e vi d e n ce o f e ffe cti ve
co n tro l o f o th e r p a rti e s, i n cl u d i n g su p p l i e rs, i n te rn a l g ro u p s a n d
cu sto m e rs a cti n g a s su p p l i e rs.
Th e co n tri b u ti o n made b y o th e r p a rti e s ca n be pl a n n i n g , d e si g n i n g ,
d e ve l o p i n g o r d e l i ve ri n g a n e w se rvi ce . I t ca n be fro m a s p e ci a l i st su p p o rt
g ro u p o r fro m p ro vi d i n g h a rd wa re o r so ftwa re . I t i s i n cre a si n g l y co m m o n
fo r th i s to i n cl u d e I n te rn e t-b a se d s e rvi ce s u se d b y th e s e rvi ce p ro vi d e r’s
cu sto m e rs a n d u se rs.
Key point
Cu sto m e rs a cti n g a s su p p l i e rs ca n be p a rt o f th e cu sto m e r’s
o rg a n i z a ti o n fo r m a n y re a so n s. Th i s ca n be wh e n th e cu sto m e r
h a s bou g h t a co re se rvi ce fro m a co m m e rci a l se rvi ce p ro vi d e r
b u t re ta i n e d d i re ct co n tro l o ve r b u si n e s s-cri ti ca l s ki l l s.

Supply arrangements
Th e se rvi ce p ro vi d e r m a y fi n d managing th e re l a ti o n s h i p wi th
th e cu s to m e rs a cti n g a s su p p l i e rs re q u i re s co n s i d e ra b l e
d i p l o m a cy. F o r e xa m p l e , th e se rvi ce p ro vi d e r i s s ti l l re q u i re d to
d e m o n stra te th e y h a ve g o ve rn a n ce o f th e p ro ce ss e s o p e ra te d
b y th e cu s to m e rs a cti n g a s su p p l i e rs .
Th i s i n cl u d e s co n tro l o f wh a t a n d wh e n p ro ce ss i m p ro ve m e n ts
a re m a d e.
Th e co m p l e xi ty o f th e su p p l y a rra n g e m e n ts i s o fte n u n d e rsto o d on l y
wh e n th e s e rvi ce p ro vi d e r d e fi n e s th e sco p e o f th e SM S fo r th e fi rst ti m e .
Th e m o st co m m o n fo rm o f co m p l e xi ty i s d u e to th e su p p l i e rs–se rvi ce
p ro vi d e r–cu sto m e rs su p p l y ch a i n , d e scri b e d in Ch a p te r 9 .
Th i s a p p l i e s e ve n i f th e d i ffe re n t l e g a l e n ti ti e s wo rk ve ry cl o s e l y to g e th e r
and fu n cti o n a s on e l a rg e o rg a n i z a ti o n . Th e re q u i re m e n t to be a si n g l e
l eg a l e n ti ty a l s o a p p l i e s to o th e r m a n a g e m e n t s yste m sta n d a rd s, su ch as
I SO 9001 .
Key point
A se rvi ce p ro vi d e r m i g h t h a ve to l i m i t th e s co p e o f th e SM S fo r
ce rti fi ca ti o n , e. g . on l y on e l o ca ti o n , on e se rvi ce or on e
cu sto m e r.
In so m e ca se s i t i sn o t p o s si b l e fo r a l l o rg a n i z a ti o n s to d e ve l o p
e ve n a l i m i te d s co p e fo r ce rti fi ca ti o n . Th i s ca n be b e ca u se th e
se rvi ce p ro vi d e r h a s l o n g -te rm co n tra cts wi th su p p l i e rs th a t
p re ve n t th e se rvi ce p ro vi d e r h a vi n g co n tro l o ve r a l l p ro ce s se s i n
Pa rt 1 , Cl a u se s 5 to 9, a s re q u i re d b y Cl a u se 4. 2 . Th i s ca n a l so be
b e ca u se th e SM S i s i n co m p l e te , e. g . a p ro ce s s h a s n o t b e e n
i m p l e m e n te d .
Wh a te ve r th e re a so n , an SM S i s sti l l th e m o st e ffe cti ve wa y o f
managing se rvi ce s.
Pa rt 1 d o e s n o t re q u i re o th e r o rg a n i z a ti o n s i n th e su p p l y ch a i n to co m p l y
wi th Pa rt 1 in o rd e r fo r th e se rvi ce p ro vi d e r to a ch i e ve ce rti fi ca ti o n . An
a u d i t i s b a se d on l y on th e se rvi ce p ro vi d e r’s o wn e vi d e n ce . O th e r
o rg a n i za ti o n s i n th e s u p p l y ch a i n a re n o t a u d i te d .

Governance of processes
Th e re q u i re m e n ts o f Pa rt 1 , Cl a u se 4 sh o u l d be m e t b y th e se rvi ce
p ro vi d e r.
Th e re a re a d d i ti o n a l re q u i re m e n ts i n Pa rt 1 , Cl a u se 4. 2 fo r th e se rvi ce
p ro vi d e r’s g o ve rn a n ce o f p ro ce ss e s o p e ra te d p a rtl y o r co m p l e te l y b y
o th e r p a rti e s. Th e se a re su p p l i e rs , i n te rn a l g ro u p s a n d , in som e ca se s,
cu sto m e rs a cti n g a s su p p l i e rs.
A se rvi ce p ro vi d e r p l a n n i n g to u se o th e r p a rti e s to o p e ra te a n y o f th e
p ro ce sse s i n Pa rt 1 , Cl a u se s 5 to 9 h a s on e o f two o p ti o n s .
• Th e se rvi ce p ro vi d e r d e s i g n s th e p ro ce s se s i n Cl a u se s 5 to 9 b e fo re
o u tso u rci n g th e o p e ra ti o n o f th e p ro ce ss , and i n cl u d e s th e i r
g o ve rn a n ce o f th e p ro ce sse s i n th e a g re e m e n t wi th th e o th e r p a rty.
or
• I f th e p ro ce ss e s i n Cl a u se 5 to 9 a re a l re a d y o p e ra te d b y o th e r
p a rti e s, th e se rvi ce p ro vi d e r sh o u l d e n su re th e co n tra ct a l l o ws th e m
to d e m o n stra te g o ve rn a n ce o f th e se p ro ce ss e s. I f n e ce s sa ry, th e
se rvi ce p ro vi d e r sh o u l d a g re e ch a n g e s to th e co n tra ct o r d o cu m e n te d
a g re e m e n t.
U n l e ss th e se rvi ce p ro vi d e r i m p l e m e n ts o n e o f th e s e o p ti o n s th e y wi l l n ot
be a bl e to su b se q u e n tl y fu l fi l th e re q u i re m e n ts fo r g o ve rn a n ce of
p ro ce sse s o p e ra te d b y o th e r p a rti e s.
Al th o u g h Pa rt 1 , Cl a u se 4. 2 i s re l a ti ve l y s h o rt, i t i s e xa cti n g . I f th e
m a j o ri ty o f p ro ce sse s i n Cl a u s e s 5 to 9 a re o p e ra te d b y o th e r p a rti e s, th e
se rvi ce p ro vi d e r i s u n l i ke l y to be a bl e to d e m o n stra te th e re q u i re d
sta n d a rd o f g o ve rn a n ce . H o we ve r, i f o th e r p a rti e s o p e ra te on l y a
m i n o ri ty o f p ro ce sse s, o r p a rts o f p ro ce s se s, th e se rvi ce p ro vi d e r i s m o re
l i ke l y to be a bl e to do so .
Key point
Th e se rvi ce p ro vi d e r a n d s u p p l i e rs o r cu sto m e rs ca n n o t a l l
d e m o n stra te g o ve rn a n ce o f th e sa m e p ro ce ss e s, u si n g th e sa m e
e vi d e n ce .
I t m a y be p o ssi b l e to p ro vi d e e vi d e n ce b a se d on a n o th e r
o ccu rre n ce o f th e sa m e p ro ce ss, e. g . wh e re th e sa m e p ro ce ss i s
u sed fo r two d i ffe re n t cu sto m e rs.

Governance of processes
The type of evidence required for Part 1 , Clause 4.2 should demonstrate:
• process accountability and authority to require adherence;

• process and interface definition;
• process performance/compliance with requirements;
• controlling process improvements.
Top management remain accountable for all processes that are operated
by other parties. This is irrespective of the terms of a contract between a
supplier and service provider. Nor can this requirement for accountability
be avoided due to the terms of the documented agreement between
internal groups and customers acting as suppliers and the service
provider.
The service provider should be able to show evidence of the active

involvement of their managers responsible for each process, irrespective
of which organization operates each process.
Evidence includes the identities of managers with authority and

responsibility for processes and services.
The service provider is responsible for the effectiveness of all the

processes, including process design, interface definition and process
improvements. To do this it should also be clear which person is
responsible for each process. This is independent of the person who
operates the process.
The service provider should ensure each process delivers the expected
outcomes and contributes to the SMS, meeting the service management
objectives.
The service provider also enforces the process being followed for each
service within the scope of the SMS.

E xa m pl e – S epa ra te l eg a l en ti ti es
For fi n a n ci a l rea son s a n org a n i za ti on i s spl i t a cross severa l
com pa n i es a n d i s own ed a n d m a n a g ed by a si n g l e u m brel l a
com pa n y. Ca n th e sepa ra te com pa n i es sh a re a n I S O /I E C 2 0000
certi fi ca te?
S e p a ra te co m p a n i e s ca n n o t sh a re a ce rti fi ca te . Th i s i s th e ca se e ve n if
th e co m p a n i e s a re all o wn e d b y th e sa m e si n g l e u m b re l l a co m p a n y.
Ce rti fi ca te s ca n on l y be a wa rd e d to a si n g l e l eg a l e n ti ty. H o we ve r,
th e u m b re l l a co m p a n y m a y b e el i g i bl e fo r a ce rti fi ca te wi th a
s u i ta b l y d e ta i l e d sco p i n g sta te m e n t. Th i s i s a l so th e ca se wi th o th e r
m a n a g e m e n t syste m sta n d a rd s, su ch a s I SO 9001 and I S O /I E C 2 7 0 0 1 .
D oes th a t m ea n th e wh ol e org a n i za ti on h a s to be a u d i ted , i n cl u d i n g
a l l th e sepa ra te com pa n i es m a n a g ed by th e u m brel l a com pa n y?
N o, a s l on g a s th e SM S s co p e fu l fi l s a l l Pa rt 1 re q u i re m e n ts o n l y th e
s e rvi ce p ro vi d e r i s a u d i te d . Th i s i s q u i te co m m o n wi th ve ry l a rg e
o rg a n i z a ti o n s.
Wh a t d oes ea ch com pa n y h a ve to d o i f th ey ea ch wi sh to h a ve th ei r
own I S O /I E C 2 0000 certi fi ca te?
E a ch co m p a n y wo u l d be a u d i te d se p a ra te l y a n d e a ch wo u l d h a ve to
m e e t th e re q u i re m e n ts. Th i s m i g h t m e a n on e o r m o re a re u n a bl e to
m e e t th e Pa rt 1 s co p i n g re q u i re m e n ts o r m i g h t n o t p a ss th e a u d i t.
E a ch co m p a n y th a t d o e s p a ss a n a u d i t wi l l h a ve a s e p a ra te ce rti fi ca te
d e fi n i n g th e sco p e o f th e i r a u d i t.

Ch a p te r 3 Wh a t i s a n SM S?
I n trod u cti on
Th i s ch a p te r d e scri b e s th e ke y fe a tu re s o f a su cce ssfu l SM S. An i m p o rta n t
and e a rl y ste p i s to a g re e th e sco p e o f th e SM S, a s d e s cri b e d in
Ch a p te r 2 .
An SM S i s u se d to d i re ct a n d co n tro l th e se rvi ce m a n a g e m e n t a cti vi ti e s o f
th e se rvi ce p ro vi d e r. I t i n cl u d e s p o l i ci e s, o b j e cti ve s, p l a n s, p ro ce sse s a n d
d o cu m e n ta ti o n s u ch a s p ro ce d u re s. I t d e fi n e s th e re so u rce s re q u i re d to
o p e ra te th e SM S and d e l i ve r th e se rvi ce s, su ch a s te ch n o l o g y a n d
p e rs o n n e l . E a ch co m p o n e n t o f th e SM S is an i n te rre l a te d o r i n te ra cti n g
e l e m e n t, wh i ch a d d s th e m o st va l u e wh e n th e y a l l o p e ra te co l l e cti ve l y.
Th e SM S as a wh o l e d e fi n e s e ve ryth i n g re q u i re d fo r th e d esi g n ,
tra n si ti o n , d e l i ve ry a n d i m p ro ve m e n t o f se rvi ce s.
Th e re q u i re m e n ts fo r a n SM S a re in Pa rt 1 , Cl a u se s 4 to 9. Cl a u se 4 i s th e
l o n g e st cl a u se and co ve rs th e i n i ti a l e sta b l i sh m e n t o f a n SM S, th e
co n ti n u a l i m p ro ve m e n t cycl e , m a n a g e m e n t re sp o n si b i l i ti e s,
d o cu m e n ta ti o n and g o ve rn a n ce o f p ro ce sse s o p e ra te d b y o th e r p a rti e s.
Th e re m a i n d e r o f th e SM S i s th e se rvi ce m a n a g e m e n t p ro ce sse s sp e ci fi e d
in Pa rt 1 , Cl a u s e s 5 to 9.
Th e servi ce provi d er’s stra teg y
Th e m o s t e ffe cti ve se rvi ce p ro vi d e rs co n s i d e r th e i m p a ct o n th e SM S
th ro u g h all sta g e s : s tra te g y, d e si g n , tra n si ti o n , o p e ra ti o n and co n ti n u a l
i m p ro ve m e n t. Al th o u g h Pa rt 1 has no re q u i re m e n ts fo r a s e rvi ce
p ro vi d e r’s stra te g y i t h a s re q u i re m e n ts fo r a se rvi ce m a n a g em en t pl a n .
M a n y s e rvi ce p ro vi d e rs wi l l u se th e i r se rvi ce m a n a g em en t pl a n n i n g to se t
th e i r s tra te g y fo r th e SM S and s e rvi ce s . Th i s wi l l in tu rn g e n e ra te
s tra te g i c a n d ta cti ca l p l a n s to be e xe cu te d at all sta g e s .
Pa rt 1 u se s th e te rm ‘ se rvi ce re q u i re m e n ts’ fo r th e n e e d s o f th e
cu sto m e r(s) , u se rs a n d th e s e rvi ce p ro vi d e r. Th e se rvi ce re q u i re m e n ts a l so
sh a pe th e se rvi ce p ro vi d e r’s s tra te g y.

Chapter 3 What is an SMS?
Management commitment
An SMS will only be effective if it is supported by top management. Some
top managers do not immediately realize how many benefits there are
from adopting best practices: efficiency, effectiveness, increased customer
satisfaction, better service levels, faster changes, lower unit costs.
Commitment can often be gained by presenting the benefits of

implementing an SMS based on Part 1 , rather than emphasizing only the
risk of failing to meet statutory and regulatory requirements or
contractual obligations.
Top management is normally aware of statutory and regulatory

requirements and contractual obligations and that their continuing
employment can depend on fulfilling these. This can influence their
willingness to demonstrate commitment themselves and encourage those
people they manage to also have commitment.
Top management should also understand that they are directly

responsible for the whole SMS and also accountable for processes
operated by other parties, under Part 1 , Clause 4.2.
Key point
The most effective top management understand the

importance of their commitment to the SMS. They become
directly involved in establishing the scope, policy and objectives
for service management. They also have a central role in
communicating the importance of the SMS and delivering
services to satisfy customers. Top management also ensure that
an SMS does not degrade once the novelty of the initial project
establishing the SMS has faded away.
There is an inextricable link between top management commitment and

provision of the resources required for the SMS. This is not just in the
early stages of planning and implementation but also that the resources
required are retained over time. Top management should not move
resources to another project or service without understanding the impact
on the SMS.
Sustaining an effective SMS requires a top management communications

programme. Good intentions are not enough – the communications
should be defined in procedures and actually followed, as described in
Chapter 6.

Risk management
What do managers want?

Pa rt o f to p m a n a g e m e n t’s re sp o n s i b i l i ti e s a re o b j e cti ve s a n d p o l i ci e s.
Th e se a re u se d to i d e n ti fy wh a t i s re q u i re d o f th e re st o f th e se rvi ce
p ro vi d e r’s o rg a n i z a ti o n . Co rre ctl y wri tte n , th e y g i ve g o a l s fo r p l a n n i n g
th e SM S and co n ti n u e to p ro vi d e d i re cti o n wh i l st th e SM S i s o p e ra te d
and se rvi ce s a re d e l i ve re d .
Th e s e rvi ce m a n a g em en t pl a n , d e s cri b e d in Ch a p te r 4, d e fi n e s th e wa y
th e o b j e cti ve s a n d p o l i ci e s a re u se d . Th e pl a n p re ve n ts ch a n g e s to th e
SM S h a vi n g an a d ve rse e ffe ct. Th e pl a n e n su re s th e i m p ro ve m e n ts a re
o p ti m i z e d and g i ve n a su i ta b l e p ri o ri ty.
O b j e cti ve s a n d p o l i ci e s a re e ffe cti ve fo r ca s ca d i n g to p m a n a g em en t
d i re cti o n th ro u g h th e o rg a n i z a ti o n . Th i s d i re cti o n sh o u l d i n cl u d e
co m m i tm e n t to m e e ti n g se rvi ce re q u i re m e n ts a n d co n ti n u a l i m p ro ve m e n t
o f th e SM S and se rvi ce s.
Po l i ci e s o n l y m a ke a d i ffe re n ce i f th e y a re u n d er pi n n ed b y p ro ce ss a n d
p ro ce d u re s (i . e . wh a t p e o p l e a ctu a l l y d o ) , a s s h o wn in F i g u re 1 .
Figure 1 – Policy, process, procedure
I f th e o b j e cti ve s , p o l i cy, p ro ce ss a n d p ro ce d u re s a re o u t o f a l i g n m e n t th e y
a re re a l i g n e d u si n g th e i m p ro ve m e n ts fro m ‘ Pl a n -D o - Ch e ck- Act’ ,
d e scri b e d b e l o w.
Risk management
Ri sks a ri se fro m m a n y ca u s e s. M a j o r ch a n g e s, u n e xp e cte d d i sa ste rs o r
a tte m p te d fra u d a re all e xa m p l e s . I t i s p o ss i b l e th a t th e s e rvi ce p ro vi d e r’s
p e rs o n n e l , cu sto m e rs o r u s e rs ca n a cci d e n ta l l y o r i n te n ti o n a l l y i n tro d u ce
ri sks . Th i s ca n be b e ca u se th e y h a ve n o t u n d e rsto o d th e i m p a ct o f wh a t
th e y d o on th e re st o f th e SM S or on th e se rvi ce s d e l i ve re d to cu sto m e rs .

Th e re is no se p a ra te ri s k m a n a g e m e n t p ro ce ss i n th e 2 0000 se ri e s. D e sp i te
th i s, u n d e rsta n d i n g and a vo i d i n g ri sks i s fu n d a m e n ta l to th e 2 0 0 0 0 se ri e s.
In th e wo rst ca se th e se rvi ce p ro vi d e r s h o u l d a cce p t th e ri sk a n d a l so
manage th e i m p a ct o f a n y ri s k th a t h a s re su l te d in a fa i l u re . To p
m a n a g e m e n t i s cl o s e l y i n vo l ve d in th i s.
Management reviews and internal audits

Th e n eed to u n d e rsta n d , a vo i d or m a n a g e ri sks i s wh y a cti vi ti e s s u ch as
re vi e ws o r i n te rn a l a u d i ts fe a tu re in se ve ra l Pa rt 1 re q u i re m e n ts. For
e xa m p l e , Pa rt 1 , Cl a u se 4. 5 . 4 re q u i re s to p m a n a g e m e n t to be i n vo l ve d in
fo rm a l m a n a g e m e n t re vi e ws a n d to su p p o rt i n te rn a l a u d i ts o f th e SM S.
Al th o u g h Pa rt 1 re fe rs to ‘ planned intervals’ , si m p l y s ch e d u l i n g re vi e ws a s
a ro u ti n e m a tte r i s i n a d e q u a te . B o th th e m a n a g e m e n t re vi e ws a n d
i n te rn a l a u d i ts sh o u l d be co n si d e re d co n stru cti ve l y a n d ca re fu l l y a n d
d on e a t se n si b l e i n te rva l s . ‘ S e n si b l e ’ va ri e s a cco rd i n g to th e s e rvi ce
p ro vi d e r’s ci rcu m s ta n ce s a n d ca n ch a n g e o ve r ti m e .
Key point
Pl a n n i n g a re vi e w to ta ke p l a ce a t l on g bu t pl a n n ed i n te rva l s
co u l d se e m to su p e rfi ci a l l y fu l fi l Pa rt 1 re q u i re m e n ts, b u t th e n
fa i l u n d er a n a u d i to r’s ‘is this sensible?’ te st. Th e fre q u e n cy
sh o u l d p re ve n t th e SM S and se rvi ce d e g ra d i n g si g n i fi ca n tl y
b e twe e n re vi e ws. Co n ve rs e l y, a rra n g i n g fre q u e n t re vi e ws ‘ j u st
in ca s e ’ i n d i ca te s to o l i ttl e th o u g h t a b o u t wh a t i s n e e d e d .
O ve rl y fre q u e n t re vi e ws , e s p e ci a l l y d u ri n g a p e ri o d o f sta b i l i ty,
wi l l i n tro d u ce an o ve rh e a d b u t d e l i ve r l i ttl e b e n e fi t. Th e co rre ct
fre q u e n cy wi l l d epen d on th e se rvi ce p ro vi d e r’s ci rcu m sta n ce s.
F e w s e rvi ce p ro vi d e rs wi l l fi n d o n ce a ye a r i s a d e q u a te and fo r
th o s e managing m a n y ch a n g e s a g re a te r fre q u e n cy i s re q u i re d .
D u ri n g m a n a g e m e n t re vi e ws a n d i n te rn a l a u d i ts, p o l i ci e s a n d o b j e cti ve s
a re ch e cke d to e n su re th e y a re bei n g m et a n d re m a i n fi t fo r p u rp o se .
Th i s i s p a rti cu l a rl y i m p o rta n t i f th e re a re m a j o r ch a n g e s to s e rvi ce s o r to
th e se rvi ce p ro vi d e r’s o rg a n i z a ti o n . Th e kn o wl e d g e and e xp e ri e n ce o f to p
m a n a g e m e n t p l a ys a n i m p o rta n t p a rt i n th i s.

Delegation of authority and responsibility
Delegation of authority and responsibility

Top management may delegate some authority and responsibility to
other managers, starting with the design of integrated processes to meet
the policies and objectives. Delegation can also include ensuring statutory
and regulatory requirements and contractual obligations are met.
Process owner
Although Part 1 does not use this term, an important example of
delegation of authority and responsibility is often referred to as the role
of ‘process owner’. This is a manager responsible for the quality of a
process and can be vital to ensuring the SMS is operated to a high
standard. Being allocated this role generates a strong sense of personal
involvement and increases middle and junior management commitment.
The benefit is close attention to process and service quality. This type of
role is also fundamental to process governance, under the requirements
in Part 1 Clause 4.2, described in Chapter 2.
An effective process owner takes a wide view of their process and the
way it relates to the rest of the SMS. They also ensure that the output
from one process is available when required by another process.
Many service providers, and in particular small organizations, ask one

person to have responsibility for more than one process. This is effective
as long as overall priorities are understood and the manager selected has
the correct skills and temperament to be effective for all ‘their’ processes.
Key point
Ultimately, top management have an incentive to make sure

delegation is effective. They should require reports on progress
and the identification of opportunities for improvement to the
SMS and services. Top management then drive through agreed
improvements. They check that their delegation of
responsibilities is effective. Where the delegation of
responsibilities has not had the desired results top management
can establish why not and what should be done. Top
management should remain aware of the difference between
abdicating and delegating responsibility.

Organizational structure
Pa rt 1 d o e s n o t i n cl u d e re q u i re m e n ts fo r a sp e ci fi c o rg a n i z a ti o n a l
stru ctu re and th e wa y p ro ce s s o wn e rs h i p and i m p ro ve m e n ts re l a te to
o p e ra ti o n a l re sp o n s i b i l i ty. S e rvi ce p ro vi d e rs wi th wi d e l y d i ffe ri n g
o rg a n i z a ti o n a l stru ctu re s a re ce rti fi e d to 2 0000.
Th e si m p l e st stru ctu re is a co m p l e te p ro ce ss co n ta i n e d wi th i n a si n g l e
u n i t of a n o rg a n i z a ti o n , e ve n i f th e re a re i n te rfa ce s b e twe e n th a t p ro ce ss
and o th e rs. In re a l i ty a p ro ce ss i s n o rm a l l y o p e ra te d a cro ss se ve ra l
o rg a n i z a ti o n a l u n i ts. F o r e xa m p l e , a s sh o wn in F i g u re 2, i n ci d e n t
m a n a g e m e n t cro ss e s th e o rg a n i z a ti o n a l b o u n d a ri e s to two s u p p l i e rs a s
we l l a s b o u n d a ri e s wi th i n th e o rg a n i z a ti o n .
I t i s i m p o rta n t to be cl e a r o n th e p ro ce s se s, p ro ce d u re s , ro l e s a n d
re sp o n si b i l i ti e s fo r e a ch p ro ce s s a n d e a ch p e rso n b e ca u se th e y u su a l l y
cro ss o rg a n i z a ti o n a l b o u n d a ri e s
Figure 2 – Processes spanning organizational boundaries (based on

Part 3)
Al l to o o fte n on e o rg a n i z a ti o n a l u n i t ch a n g e s th e wa y i t o p e ra te s
wi th o u t u n d e rs ta n d i n g h o w th i s a ffe cts o th e r u n i ts, e. g . ch a n g i n g a
su p p l i e r’s co n tra ct wi th o u t re a l i z i n g i t p re ve n ts th e se rvi ce p ro vi d e r’s

Plan-Do-Check-Act
g o ve rn a n ce o f p ro ce ss e s o p e ra te d b y th e su p p l i e r. Ch a n g i n g
o rg a n i z a ti o n s d u e to th e SM S ca n a ffe ct th e p e rso n n e l i n vo l ve d , as
d e scri b e d in Ch a p te r 6 .
Key point
Th e ro l e s o f p ro ce ss o wn e r a n d an o p e ra ti o n a l m a n a g e r a re
d i ffe re n t, e ve n i f th e sa m e p e rso n i s a l l o ca te d b o th ro l e s . For
e xa m p l e , a se rvi ce d e sk m a n a g e r ca n be th e p ro ce ss o wn e r o f
i n ci d e n t m a n a g e m e n t a n d h a ve re sp o n si b i l i ty fo r i m p ro ve m e n ts
to th e wh o l e p ro ce ss . Th e s e rvi ce d e s k m a n a g e r’s o p e ra ti o n a l
ro l e i s l i m i te d to th e se rvi ce d e sk wi th no o p e ra ti o n a l
re s p o n si b i l i ty fo r i n ci d e n t m a n a g e m e n t e l s e wh e re . In th i s ca se
th e s e rvi ce d e s k m a n a g e r i s re s p o n si b l e fo r p ro ce s s
i m p ro ve m e n ts o u tsi d e th e i r o p e ra ti o n a l u n i t.
Plan-Do-Check-Act
Th e PD CA cycl e i s u se d to i n i ti a l l y s e t u p an SM S and th e n to co n ti n u a l l y
i m p ro ve th e SM S and se rvi ce s. Th i s i s co m p a ra b l e to o th e r m a n a g e m e n t
s yste m sta n d a rd s, su ch a s I SO 9 0 01 . Th e PD CA cycl e i s i l l u stra te d in
F i g u re 3, b e l o w.
Plan
Th e pl a n i s ba sed on th e a g re e d sco p e o f th e SM S, a s d e scri b e d in
Ch a p te r 2 . Th e pl a n e s ta b l i sh e s th e wa y th e o b j e cti ve s a re to be a ch i e ve d
and i n fl u e n ce s th e d e si g n o f th e p ro ce ss e s. Afte r th e i m p l e m e n ta ti o n of
th e SM S th e pl a n n i n g s ta g e th e n i d e n ti fi e s i m p ro ve m e n ts to th e SM S to
a d d re ss g a p s , i ssu e s a n d to m i ti g a te ri s ks i d e n ti fi e d in a p re vi o u s ch e ck
s ta g e .
Do
Th i s sta g e i s th e e sta b l i sh m e n t, i m p l e m e n ta ti o n and o p e ra ti o n a l ru n n i n g
o f th e SM S and se rvi ce s. Th i s ra n g e s fro m a l l o ca ti o n and m a n a g em en t of
a g re e d fu n d s a n d b u d g e ts th ro u g h to m o n i to ri n g and re p o rti n g on th e
p e rfo rm a n ce o f d a y-to - d a y se rvi ce m a n a g e m e n t a cti vi ti e s.

Figure 3 – PDCA and service management from Part 1
Check
Th e re a re two i m p o rta n t a s p e cts to th i s s ta g e : i n te rn a l audit and
m a n a g e m e n t re vi e w o f th e SM S. I n te rn a l a u d i ts a re pl a n n ed and
p e rfo rm e d by peopl e i n d e p e n d e n t o f th e SM S bei n g a u d i te d . Th e SM S is
ch e cke d to se e i f i t h a s been co rre ctl y i m p l e m e n te d a g a i n st th e
re q u i re m e n ts i n Pa rt 1 and a g a i n s t th e se rvi ce re q u i re m e n ts . Th e i n te rn a l
a u d i t a l so ch e cks th a t i m p ro ve m e n ts to th e SM S o r se rvi ce s h a ve been
su cce ssfu l l y i m p l e m e n te d .
M a n a g e m e n t re vi e ws a re si m i l a r, b u t a re fro m th e vi e wp o i n t o f th e
se rvi ce p ro vi d e r’s m a n a g e rs a n d th e cu sto m e rs. Th e re vi e ws a l so ta ke i n to
co n si d e ra ti o n ch a n g e s th a t h a ve o r co u l d a ffe ct th e SM S and se rvi ce s.
Th i s sta g e ch e cks o n a cti o n s i d e n ti fi e d in p re vi o u s Act sta g e s. I t i n cl u d e s
co m m u n i ca ti o n o f th e re su l ts o f i n te rn a l a u d i ts a n d m a n a g e m e n t re vi e ws
to i n te re ste d p a rti e s.
Act
Th i s sta g e i s b o th th e m a i n te n a n ce o f th e SM S and i ts co n ti n u a l
i m p ro ve m e n t. Cl a ri ty o n ‘ wh o d o e s wh a t a n d wh e n ’ i s e s se n ti a l fo r b o th
m a i n te n a n ce and i m p ro ve m e n ts, i n cl u d i n g a n y co rre cti ve a cti o n . Th e
b e n e fi ts o f i m p ro ve m e n ts a n d o th e r ch a n g e s to th e SM S a re m o n i to re d
a g a i n st p l a n s a n d ta rg e ts .

Integration of processes
Con ti n u a l i m provem en t
Th e co n ti n u a l i m p ro ve m e n t cycl e b a se d on PD CA i s fu n d a m e n ta l to th e
2 0000 se ri e s . Th e i n te g ra ti o n o f th e SM S m e a n s e a ch p ro ce ss co n tri b u te s
to th e co n ti n u a l i m p ro ve m e n t cycl e . F o r e xa m p l e , p ro ce ss e s, su ch as
i n ci d e n t m a n a g e m e n t, co n tri b u te m a i n l y b y p ro vi d i n g d a ta wh e re a s th e
p ro a cti ve p ro ce sse s , s u ch a s ch a n g e m a n a g e m e n t, ca n co n tri b u te d i re ctl y
to i d e n ti fy i m p ro ve m e n ts. On e o f th e b i g g e st ch a l l e n g e s fo r a n y se rvi ce
p ro vi d e r i s e sta b l i sh i n g a cu l tu re o f co n ti n u a l i m p ro ve m e n ts fo r
s u s ta i n a b l e su cce ss. Co n ti n u a l i m p ro ve m e n t i s re fe rre d to th ro u g h o u t th i s
b o o k.
I n teg ra ti on of processes
A p ro ce ss o p e ra te d in i so l a ti o n i s o n l y s l i g h tl y b e tte r th a n no p ro ce s s a t
all. An SM S i s o n l y tru l y e ffe cti ve i f p ro ce sse s a re i n te g ra te d by
i n fo rm a ti o n fl o wi n g b e twe e n th e m . Som e p ro ce ss i n te g ra ti o n , e. g . of
ch a n g e and co n fi g u ra ti o n m a n a g e m e n t, a re a Pa rt 1 re q u i re m e n t,
b e ca u se th e y a re fu n d a m e n ta l to th e SM S as a wh o l e . H o we ve r, on th e
wh o l e , wh a t i n fo rm a ti o n fl o ws b e twe e n p ro ce sse s i s l a rg e l y d e p e n d e n t
on th e se rvi ce p ro vi d e r’s ci rcu m sta n ce s , th e p o l i ci e s th a t th e p ro ce sse s
u n d e rp i n , and on th e a ctu a l d e ta i l o f p ro ce d u re s th a t i n tu rn u n d e rp i n
th e p ro ce s se s. I n te g ra ti o n o f p ro ce ss e s i s d e scri b e d in Ch a p te rs 4 a n d 5.

Ch a p te r 4 E sta b l i sh i n g an SM S
I n trod u cti on
Th i s ch a p te r d e scri b e s p l a n n i n g fo r th e d e si g n and e sta b l i sh m e n t o f a n
SM S th a t wi l l co n fo rm to Pa rt 1 re q u i re m e n ts . Pa rt 1 d o e s n o t sp e ci fy a n y
p a rti cu l a r p ro j e ct m a n a g e m e n t m e th o d , b u t e sta b l i sh i n g an SM S sh o u l d
be m a n a g ed as a p ro j e ct o r a p ro g ra m m e o f p ro j e cts .
Th e ke y fe a tu re s o f e s ta b l i sh i n g an SM S a re su m m a ri z e d a t th e en d of
th i s ch a p te r.
Th e servi ce m a n a g em en t pl a n
Pa rt 1 u se s th e te rm ‘ s e rvi ce m a n a g em en t pl a n ’ to m ea n m u ch m o re th a n
a G a n tt ch a rt. Th e s e rvi ce m a n a g em en t pl a n is a s e t o f d o cu m e n ts u s e d
d u ri n g th e i n i ti a l e sta b l i sh m e n t o f th e SM S, th e n d u ri n g o p e ra ti o n a l
ru n n i n g and co n ti n u a l i m p ro ve m e n t o f th e SM S and se rvi ce s. Th e pl a n is
d e ve l o p e d and ch a n g e d o ve r ti m e , n o t j u st u se d fo r th e i n i ti a l
e sta b l i sh m e n t o f th e SM S.
Th e se rvi ce re q u i re m e n ts d ri ve th e s e rvi ce p ro vi d e r’s stra te g y a n d sh a p e
th e s e rvi ce m a n a g em en t pl a n .
Th e co n te n ts o f th e pl a n ca n be h el d in on e p h ysi ca l p l a ce or h el d
p h ys i ca l l y se p a ra te b u t l o g i ca l l y l i n ke d . I t i s co m m o n fo r se rvi ce
re q u i re m e n ts, re so u rce p l a n s, b u d g e ts a n d a cco u n ti n g d o cu m e n ts to be
p h ys i ca l l y se p a ra te fro m b u t l o g i ca l l y l i n ke d to th e pl a n .
Th e fe a tu re s p ro vi d e d b y i n tra n e t-b a se d sys te m s m a ke s th e l o g i ca l l i n ki n g
an e a sy a n d u se fu l a p p ro a ch . H o we ve r th e i n fo rm a ti o n i s stru ctu re d and
h el d , th e co n te n ts a re typ i ca l l y th o s e l i ste d in th e ch e ckl i st b e l o w.
Ch eckl i st for th e servi ce m a n a g em en t pl a n
+ S e rvi ce m a n a g e m e n t o b j e cti ve s to be a ch i e ve d b y th e s e rvi ce
p ro vi d e r
+ Po l i ci e s
+ Au th o ri ti e s a n d re sp o n si b i l i ti e s fo r th e se rvi ce m a n a g em en t pl a n
+ S ta tu to ry a n d re g u l a to ry re q u i re m e n ts
+ Co n tra ctu a l o b l i g a ti o n s to cu sto m e rs

Gap analysis
+ Co n tra ctu a l o b l i g a ti o n s o f s u p p l i e rs a n d l ea d su p p l i e rs
+ Co m m i tm e n ts o f i n te rn a l g ro u p s a n d cu sto m e rs a cti n g as
su p p l i e rs
+ S ta n d a rd s, i n cl u d i n g I S O /I E C 2 0 0 0 0 -1
+ S e rvi ce re q u i re m e n ts, l i n ke d to th e se rvi ce ca ta l o g u e and se rvi ce
l e ve l a g re e m e n ts (S LAs)
+ Kn o wn l i m i ta ti o n s th a t ca n i m p a ct th e SM S
+ Ro l e s a n d re sp o n si b i l i ti e s fo r p ro ce ss e s a n d p ro ce d u re s
+ Acco u n ta b i l i ty fo r p ro ce sse s o p e ra te d b y o th e r p a rti e s
+ I d e n ti ty o f o th e r p a rti e s o p e ra ti n g se rvi ce m a n a g e m e n t p ro ce ss e s
+ I d e n ti ty o f e xte rn a l o rg a n i z a ti o n s wi th a cce ss to i n fo rm a ti o n or
se rvi ce s
+ Ap p ro a ch to be ta ke n fo r wo rki n g wi th o th e r p a rti e s , i n cl u d i n g
su p p l i e rs, i n te rn a l g ro u p s a n d cu sto m e rs a cti n g a s s u p p l i e rs
+ Ap p ro a ch fo r th e m a n a g e m e n t o f ri sks a n d th e cri te ri a fo r
a cce p ti n g ri sks
+ Te ch n o l o g y u se d to su p p o rt th e SM S
+ Re so u rce s re q u i re d : human, te ch n i ca l , i n fo rm a ti o n and fi n a n ci a l
+ H o w th e e ffe cti ve n e ss o f th e SM S and th e se rvi ce s wi l l be
m e a su re d , a u d i te d , re p o rte d and i m p ro ve d
Gap analysis
Th e s e rvi ce p ro vi d e r sh o u l d p e rfo rm a d e ta i l e d a n a l ys i s to e va l u a te th e
gap b e twe e n th e cu rre n t o p e ra ti o n s a n d th e re q u i re m e n ts o f Pa rt 1 , fo r
th e a cti vi ti e s i n th e d e fi n e d s co p e o f th e SM S.
Th e re su l ts o f th e gap a n a l ysi s sh o u l d be u se d to d e ci d e i f e xi sti n g se rvi ce
m a n a g em en t i s a su i ta b l e b a si s o r i f a n e w sta rt i s m o re l i ke l y to su cce e d .
A gap a n a l ysi s ch e ckl i st i s g i ve n b e l o w, ba sed on Pa rt 5 .
Gap analysis checklist
a) S co p e and d e ta i l s o f a n y m a n a g e m e n t sys te m (s ) a l re a d y
e s ta b l i sh e d
b) E xi ste n ce and q u a l i ty o f d o cu m e n ts a n d re co rd s , i n cl u d i n g :
1 . p o l i ci e s , p ro ce ss e s, p ro ce d u re s a n d o b j e cti ve s;
2. s e rvi ce ca ta l o g u e and se rvi ce l e ve l a g re e m e n ts ;
3. s u p p l i e r co n tra cts;
4. fo rm a l a g re e m e n ts wi th o th e r p a rti e s ;
5. e vi d e n ce o f g o ve rn a n ce o f p ro ce sse s o p e ra te d b y o th e r
p a rti e s;
6. re co rd s o f a ch i e ve m e n ts b y th e se rvi ce p ro vi d e r;
7. re co rd s o f a ch i e ve m e n ts b y o th e r p a rti e s , i n cl u d i n g su p p l i e rs.
c) Actu a l wo rki n g p ra cti ce s
d) M a n a g e m e n t re vi e ws

Chapter 4 Establishing an SMS
e) I n te rn a l a u d i ts
f) Co n fo rm i ty a sse ss m e n ts (e . g . I SO 9001 , I S O /I E C 2 7 00 1 )
g) S e rvi ce re vi e ws
h) Actu a l se rvi ce l e ve l s
i) Re ce n t o r cu rre n t se rvi ce i m p ro ve m e n t p l a n s
j) D o cu m e n te d and a ctu a l ro l e s, re s p o n si b i l i ti e s a n d a u th o ri ti e s
k) S ki l l and co m p e te n ce re q u i re m e n ts ve rsu s a ctu a l a ch i e ve d
l) H e a d co u n t a ctu a l and b u d g e te d fo r i n th e cu rre n t a n d n e xt ye a r
m) O rg a n i z a ti o n a l stru ctu re o f th e se rvi ce p ro vi d e r
n) D e s cri p ti o n o f cu sto m e rs ’ b u si n e ss a cti vi ti e s
o) D e ta i l s o f re ce n t se ri o u s co m p l a i n ts a n d sa ti sfa cti o n su rve ys
p) As se ssm e n t o f th e s e rvi ce p ro vi d e r’s cu l tu re
q) An y m a j o r ch a n g e s p l a n n e d to th e stru ctu re , s e rvi ce a n d /o r
te ch n o l o g y
r) S ta tu to ry a n d re g u l a to ry re q u i re m e n ts
s) Co n tra ctu a l o b l i g a ti o n s
Where to start?
A d e ci si o n sh o u l d be ta ke n wh e th e r th e e sta b l i sh e d p ra cti ce s a re to be
l e ft u n ch a n g e d , a m en d ed o r co m p l e te l y re p l a ce d .
I t ca n be d i ffi cu l t to co rre ct e xi sti n g p ra cti ce s wh e n se rvi ce m a n a g em en t
p ro ce sse s h a ve been i m p l e m e n te d in i so l a ti o n , a re i n co m p l e te ,
d o cu m e n te d b a d l y o r a re n o t o p e ra te d co n s i ste n tl y. E xi s ti n g p ro ce sse s ca n
a l so n eed ch a n g i n g so th a t th e y a re i n te g ra te d .
H i sto ry p l a ys a p a rt, e. g . i f e a rl i e r i n i ti a ti ve s h a ve been fa i l u re s. A n ew
SM S a l l o ws th e se rvi ce p ro vi d e r to l e a ve th e h i sto ry o f p a s t fa i l u re s
beh i n d .
Top down or bottom up?

M a n y se rvi ce p ro vi d e rs fi n d i t i s m o re e ffe cti ve to d e si g n and e s ta b l i s h an
SM S as a n e w i n i ti a ti ve , s ta rti n g wi th a cl e a r vi e w o f wh a t i s to be
a ch i e ve d b y i m p l e m e n ti n g th e SM S.
Th e fi rst ste p fo r th i s to p -d o wn a p p ro a ch i s d e fi n i n g th e s co p e o f th e
SM S.
Th e n e xt s te p i s a g re e m e n t o f se rvi ce m a n a g e m e n t p o l i ci e s a n d
o b j e cti ve s, p ro vi d i n g th e o ve ra rch i n g p ri n ci p l e s fo r th e i n te g ra te d se rvi ce
m a n a g e m e n t p ro ce sse s .
Th e pl a n s ta g e o f th e PD CA cycl e co ve rs b o th th e i n i ti a l pl a n n i n g o f th e
SM S and th e n p ro vi d e s th e b a si s fo r co n ti n u a l i m p ro ve m e n t fro m l a te r
PD CA cycl e s.

Phases for implementing a single SMS
Th e ‘ b o tto m -u p ’ a p p ro a ch to e s ta b l i sh i n g an SM S i s b a se d on i n cre m e n ta l
g ro wth o f p ro ce sse s a l re a d y i n p l a ce . Th i s m a i n l y o ccu rs wh e n to p
m a n a g e m e n t h a ve n o t ye t u n d e rsto o d th e va l u e p ro vi d e d by a fu l l y
i m p l e m e n te d o r i n te g ra te d SM S. In th e se ca se s th e e sta b l i sh m e n t o f th e
SM S i s l e ft to j u n i o r p e rs o n n e l wh o a re e n th u si a s ti c b u t d o n o t h a ve th e
p o we r to b ri n g a b o u t th e sca l e o f ch a n g e s re q u i re d .
Th e ro l e o f to p m a n a g e m e n t i s so i m p o rta n t to su cce ss o f th e SM S th a t i t
i s n e ce s sa ry to co rre ct th i s m i su n d e rsta n d i n g p ro m p tl y.
Example – who can be certified?
An o rg a n i z a ti o n d o e s n o t h a ve all o f i ts p ro ce s se s i n p l a ce , a l th o u g h
th e o n e s th a t d o e xi st h a ve been i m p l e m e n te d to a high sta n d a rd .
Ca n th e y b e co m e p a rt-ce rti fi e d ?
N o, th e y m a y n o t.
Al th o u g h i t i s n o t co m p u l so ry fo r th e wh o l e of a n o rg a n i z a ti o n to be
i n cl u d e d in th e sco p e of a n SM S and th e a u d i t, all p ro ce sse s i n Pa rt 1
sh o u l d be in th e sco p e and all re q u i re m e n ts co n ta i n e d in Pa rt 1
sh o u l d be fu l fi l l e d .
Al l Pa rt 1 re q u i re m e n ts a re co m p u l so ry. Pa rt-ce rti fi ca ti o n fo r j u st
so m e o f th e p ro ce s se s i s n o t p o ss i b l e .

I t i s a d vi sa b l e to i m pl em en t a n SM S u si n g p h a s e s o f l i n ke d i m p ro ve m e n ts,
s u ch a s sh o wn in F i g u re 4. O n l y p a rt o f th e SM S i s i m p l e m e n te d a t e a ch
p h a se . E a ch ph a se sh o u l d b ri n g b e n e fi ts th a t e n co u ra g e i n vo l ve m e n t fo r
th e n e xt p h a s e , i n cl u d i n g fu n d i n g th e n e xt p h a se .
Pa rt 5 p ro vi d e s a d vi ce on p h a se s fo r i m p l e m e n ti n g an SM S. S e rvi ce
p ro vi d e rs sh o u l d a d a p t th e pl a n to su i t th e i r ci rcu m sta n ce s , b a se d on th e
gap a n a l ys i s d e s cri b e d a b o ve . Th e th re e p h a s e s a re su i ta b l e wh a te ve r th e
s co p e o f th e SM S.
Ta b l e 3 s h o ws th e main o b j e cti ve s o f e a ch p h a se . Th e se rvi ce p ro vi d e r
ca n n o t fu l fi l all Pa rt 1 re q u i re m e n ts u n ti l th e en d o f Ph a se 3 and is
th e re fo re on l y a bl e to be ce rti fi e d a t th e en d o f Ph a se 3.

Figure 4 – Part 5’s three phase approach for an SMS

Table 3 – Objectives of each phase, based on Part 5
Phase 1 Phase 2 Phase 3

I n co rp o ra te s th e Ad j u stm e n t o f p l a n s Ad j u stm e n t o f p l a n s
fi n d i n g s o f th e gap b a se d on a ch i e ve m e n t b a se d on
a n a l ysi s a n d th e a n a l ysi s a t th e en d of a ch i e ve m e n t a n a l ys i s
b u s i n e ss ca se . Ph a se 1 . a t th e en d o f Ph a se 2.
SM S s tru ctu re Re vi s i o n o f p o l i ci e s, Re vi si o n o f p o l i ci e s,
i m p l e m e n te d a d d i ti o n a l p ro ce sse s , fi n a l p ro ce s se s
i n cl u d i n g th e pl a n , i n te g ra ti o n o f e xi sti n g (p ro a cti ve ) ,
i n i ti a l p o l i ci e s, p ro ce sse s , p ro ce d u re s i n te g ra ti o n of a l l
co m m i tm e n t/ and o th e r su p p o rti n g p ro ce ss e s,
a cco u n ta b i l i ty, cri si s d o cu m e n ta ti o n . d o cu m e n ta ti o n of
m a n a g e m e n t/ u n d e rp i n n i n g
re a cti ve p ro ce sse s . p ro ce d u re s a n d
s u p p o rti n g
d o cu m e n ts.
Th e se rvi ce p ro vi d e r Th e se rvi ce p ro vi d e r Th e re wi l l be a
wi l l h a ve wi l l be a bl e to s e rvi ce cu l tu re and a
i m p l e m e n te d a n ti ci p a te and a vo i d g ood u n d e rs ta n d i n g
p o l i ci e s, p ro ce sse s se rvi ce d i sru p ti o n s o f th e cu sto m e r’s
and p ro ce d u re s to and re q u e sts o n b u si n e s s a n d se rvi ce
fu l fi l th e co m p l e ti o n of re q u i re m e n ts.
re q u i re m e n ts o f Pa rt Ph a se 2. Th e se rvi ce M e a s u re m e n t o f th e
1 fo r a b a si c S M S , p ro vi d e r wi l l h a ve e ffe cti ve n e s s a n d
wi th th e fo cu s o n sta b i l i z e d i ts p ro ce sse s e ffi ci e n cy o f th e
re a cti n g q u i ckl y a n d and a cti vi ti e s i n o rd e r s e rvi ce s a n d p ro ce sse s
e ffe cti ve l y to s e rvi ce to p ro vi d e a m o re wi l l be u sed .
d i sru p ti o n s a n d re l i a b l e se rvi ce to i ts Co n ti n u a l
re q u e sts. Th e se rvi ce cu sto m e rs. I t wi l l h a ve i m p ro ve m e n t o f
p ro vi d e r h a s beg u n d i scu ssi n g wi th d e l i ve re d s e rvi ce s wi l l
kn o wl e d g e of a l l i ts cu sto m e rs th e i r be e s ta b l i sh e d .
th e s e rvi ce s th a t fu tu re se rvi ce Re l a ti o n sh i p s wi th
en a bl e i t to re a ct to re q u i re m e n ts, in s u p p l i e rs a n d
se rvi ce d i s ru p ti o n s o rd e r to i n co rp o ra te cu sto m e rs wi l l be
o r re q u e sts . th e i r n e e d s i n to i ts e s ta b l i sh e d .
p l a n s.
B y th e en d of B y th e en d o f Ph a s e 2 B y th e en d o f Ph a se 3
Ph a se 1 th e SM S wi l l th e SM S wi l l p ro vi d e th e SM S wi l l p ro vi d e
p ro vi d e th e b a s i s fo r th e b a si s fo r Ph a se 3. th e b a s i s fo r
Ph a se 2. s ta b i l i z a ti o n and
co n ti n u a l
i m p ro ve m e n ts.

An incremental approach to the SMS

Th e sco p e a g re e d e a rl y i n th e p ro j e ct m i g h t h a ve to be re vi se d at a l a te r
sta g e of pl a n n i n g . F o r e xa m p l e , a se rvi ce p ro vi d e r ca n d e ci d e to d e fi n e
th e s co p e a s ‘a l l se rvi ce s, l o ca ti o n s a n d cu s to m e rs’ . Th e n , wh e n th e ri sks
and sh o rt-te rm co sts a re b e tte r u n d e rsto o d , s wi tch to an i n cre m e n ta l
a p p ro a ch , sta rti n g wi th a sm a l l n u m b e r o f se rvi ce s o r a si n g l e l o ca ti o n .
Th i s re d u ce s ri sks b y fi rst e s ta b l i sh i n g an SM S o f l i m i te d sco p e , th e n l a te r
e xte n d i n g th e s co p e a fte r e xp e ri e n ce i s g a i n ed and b e s t p ra cti ce
p ro ce sse s b e co m e th e n o rm . A si n g l e l a rg e p ro j e ct to fu l fi l all
re q u i re m e n ts ca n be h i g h e r ri s k a n d be d i ffi cu l t to fu n d i f th e re is
sce p ti ci sm a b o u t th e sca l e o f b e n e fi ts.
Key point
An i n cre m e n ta l a p p ro a ch i s th e sta g e d i n cre a s e in sco p e o f th e
SM S. I t i s n o t p h a se d fu l fi l m e n t o f Pa rt 1 re q u i re m e n ts. For
e a ch i n cre m e n ta l sta g e o f e sta b l i sh i n g an SM S all re q u i re m e n ts
sh o u l d be m e t a t e a ch sta g e .
An i n cre m e n ta l a p p ro a ch to e xte n d i n g th e SM S a l l o ws co s ts to be
i n cu rre d o ve r m o re th a n a si n g l e a cco u n ti n g ye a r, wh i ch i s g e n e ra l l y
e a s i e r fo r fu n d i n g . I t ca n a l so be p o ssi b l e to fu n d so m e co sts o u t o f
o p e ra ti n g b u d g e ts, i . e. re ve n u e b u d g e ts, i n ste a d o f co m p l e te l y fu n d e d by
ca p i ta l . Th e d i ffe re n ce b e twe e n d i ffe re n t b u d g e ts a n d co st typ e s i s
d e scri b e d in Ch a p te r 1 1 .
Th e ra re e xce p ti o n s wi l l n o rm a l l y b e wh e re th e re is an u rg e n t re g u l a to ry
o r co m m e rci a l n eed to ‘ a ch i e ve 2 00 0 0 q u i ckl y’ . E ve n th e n th e re sh o u l d
s ti l l be a se n si b l e se q u e n ce o f a cti vi ti e s a n d Pa rt 5 wi l l p ro vi d e u se fu l
a d vi ce .
The project team

Th e te a m sh o u l d be b a l a n ce d b e twe e n p e rso n n e l wi th e xp e ri e n ce o f th e
sta tu s q u o and th o se th a t a re wi l l i n g to a d o p t n e w p ra cti ce s. Th e p ro j e ct
sh o u l d n ot be co m p l e te l y re l i a n t o n peopl e wh o a l so h a ve o p e ra ti o n a l
ro l e s b e ca u s e th i s ca n ca u se re so u rci n g co n fl i cts, e sp e ci a l l y fo r a l a rg e
p ro j e ct.

Policies
The project team should have expertise in:
• designing and implementing management systems;

• process definition;
• process establishment, implementation and integration;
• minimizing impact on day-to-day activities;
• testing and measuring the effectiveness and improvements of
processes;
• organizational change and communication.
Top management, managers with responsibilities for process quality and

operational line managers all play an important part in identifying and
encouraging adoption of new practices and attitudes.
Key point
The service provider does not have to use the process names in
the 20000 series. Using existing names or avoiding process
names that have previously been associated with difficulties can
minimize the scale of changes for the organization. This can
help deliver benefits earlier and more easily. Mapping the
Part 1 names to the actual names will help during an audit.
Operational managers are often risk averse, so can be reluctant to adopt

changes, experience having shown them that change is a risk and
problems arise when there is a risk. However, they are important as they
bring to the project a strong measure of practicality.
Policies
The relationship between policy, process and procedure, described in
Chapter 3, is one of the most important aspects of designing and
implementing best practice service management. The project manager
should keep this in mind at all stages, or risk implementing a
fragmentary and inefficient SMS.

Key point
Po l i ci e s m a y va ry i n d e ta i l and sco p e a cco rd i n g to th e se rvi ce to
be p ro vi d e d . Po l i ci e s th a t m e e t th e n eed s of on e o rg a n i z a ti o n
wi l l n o t n e ce ssa ri l y m e e t th e n e e d s o f a n o th e r. Th e d o cu m e n t
co u l d h a ve a ti tl e o th e r th a n ‘ p o l i cy’ , b u t i f i t p ro vi d e s su i ta b l e
m a n a g e m e n t d i re cti o n i t se rve s th e p u rp o se of a p o l i cy. I t ca n
be p re se n te d a s e vi d e n ce o f p o l i ci e s, d u ri n g an a u d i t.
Th e i m p o rta n ce o f p o l i ci e s d o e s n o t i m p l y th e n eed fo r a l on g , co m p l e x
d o cu m e n t. Lo n g p o l i cy d o cu m e n ts a re o fte n th e re su l t o f p o l i cy, p ro ce ss
and p ro ce d u re s b e i n g m e rg e d and i n co rre ctl y re fe rre d to as a ‘ p o l i cy’ .
M a n y o rg a n i z a ti o n s h a ve an i n co m p l e te s e t o f p o l i ci e s . Th e p o l i ci e s i n
e xi ste n ce o fte n co ve r i s su e s su ch a s se cu ri ty, h e a l th and sa fe ty a n d u se of
em a i l , b u t n o t th e re st o f se rvi ce m a n a g e m e n t. M a n y p o l i ci e s a re n ot
s u p p o rte d b y p ro ce ss e s o r p ro ce d u re s a n d fa i l b e ca u se th e y h a ve no
i n fl u e n ce on wh a t p e o p l e d o.
For a se rvi ce p ro vi d e r d e ve l o p i n g p o l i ci e s fo r th e fi rst ti m e , o r i m p ro vi n g
e xi sti n g p o l i ci e s, u s e fu l i n p u t i s a va i l a b l e in th e Pa rt 1 re q u i re m e n ts a n d
a d vi ce in Pa rt 5 .
E xa m p l e se rvi ce m a n a g e m e n t p o l i cy s ta te m e n ts b a s e d on Pa rt 5 a re g i ve n
b e l o w. Th e e xa m p l e s a re su i ta b l e fo r Ph a se 3, wh e n th e SM S i s a l re a d y
e s ta b l i sh e d and e ffe cti ve . Po l i cy s ta te m e n ts ca n a l so be d e ve l o p e d d u ri n g
Ph a se 1 to se t d i re cti o n fo r Ph a s e s 2 and 3.
Service management policy statements
• S e rvi ce m a n a g e m e n t a i m s to d e l i ve r s e rvi ce s to a g re e d se rvi ce
re q u i re m e n ts a n d cre a te va l u e fo r cu sto m e rs.
• Th e SM S i s m a i n ta i n e d u n d e r th e Pa rt 1 p ro ce sse s a n d
p ro ce d u re s.
• A co -o rd i n a te d se t o f stra te g i e s, p o l i ci e s a n d p l a n s wi l l be
co m m u n i ca te d and u se d to d i re ct se rvi ce m a n a g e m e n t a cti vi ti e s.
• Th e re su l ts o f m a n a g e m e n t re vi e ws a n d i n te rn a l a u d i ts a re u se d
fo r co rre cti ve a cti o n and i m p ro ve m e n t.
• Th e i n te rfa ce s b e twe e n m a n a g e m e n t p ro ce ss e s a re cl e a rl y
d e fi n e d , d o cu m e n te d and m o n i to re d fo r e ffe cti ve n e ss a n d
e ffi ci e n cy.
• D e si re d o u tco m e s a n d m e tri cs a re d e fi n e d and m e tri cs a re u sed
to m e a su re th e e ffe cti ve n e ss a n d e ffi ci e n cy o f p ro ce ss e s i n th e
SM S.

Performance reviews
• Ro l e s a n d re s p o n si b i l i ti e s a re d e fi n e d in th e se rvi ce m a n a g em en t
p ro ce sse s i n a co n si ste n t a n d co m p l e te m a n n e r, a cro ss a l l
p ro ce sse s.
• Ch a n g e s to p ro ce sse s o r p ro ce d u re s a re on l y m a d e vi a ch a n g e
• Pe rso n n e l a re tra i n e d to an a g re e d l e ve l o f co m p e te n ce in th e
p ro ce sse s a n d p ro ce d u re s th e y p e rfo rm o r fo r wh i ch th e y a re
a cco u n ta b l e .
Service requirements and process definition

Th e d e g re e o f a u to m a ti o n sh o u l d be ta ke n i n to a cco u n t. If many
a cti vi ti e s a re manual, p ro ce ss e s sh o u l d be si m p l e r th a n i f e xte n si ve
a u to m a ti o n i s p o s si b l e . I t m a y a l so be p o s si b l e to i m p ro ve th e e ffi ci e n cy
o f th e SM S th ro u g h a u to m a ti o n .
Th e s e rvi ce p ro vi d e r sh o u l d e n su re p ro ce s se s, p ro ce ss i n te rfa ce s to o th e r
co m p o n e n ts o f th e SM S and th e co n tri b u ti o n o f p ro ce ss e s to s e rvi ce
re q u i re m e n ts a re all d o cu m e n te d and a ch i e ve d . Th i s fo rm s p a rt o f th e
a u d i t e vi d e n ce fo r ce rti fi ca ti o n , e. g . e vi d e n ce o f th e i n p u ts a n d o u tp u ts
i d e n ti fi e d fo r e a ch p ro ce ss . I n te g ra ti o n o f p ro ce sse s i s d e s cri b e d in
Ch a p te r 5 , d o cu m e n ts a n d a u d i t e vi d e n ce a re d e scri b e d in Ch a p te r 7 ,
d e si g n and tra n si ti o n o f s e rvi ce s a re d e scri b e d in Ch a p te r 1 8 .
Th e ce n tra l ro l e o f th e se rvi ce p ro vi d e r i s i m p o rta n t i f th e a cti vi ti e s o f a
si n g l e p ro ce ss a re o p e ra te d b y se ve ra l p a rti e s . F o r e xa m p l e , th e re s o l u ti o n
p ro ce ss e s ca n be o p e ra te d b y s e ve ra l su p p l i e rs, i n te rn a l g ro u p s a n d
cu sto m e rs a cti n g a s su p p l i e rs. Al l p a rti e s a re re q u i re d to a d o p t p ro ce s se s
co n tro l l e d b y th e se rvi ce p ro vi d e r.
Performance reviews
Pro ce s s p e rfo rm a n ce re vi e w i n vo l ve s b o th m a n a g e m e n t re vi e ws a n d
i n te rn a l a u d i ts. Th e Pl a n -D o -Ch e ck- Act cycl e u sed fo r i m p ro ve m e n ts
sh ou l d be a ppl i ed to all p ro ce s se s a t re g u l a r i n te rva l s. Th e se rvi ce
p ro vi d e r sh o u l d u se cri te ri a s u ch a s th e re q u i re m e n ts fo r th e p ro ce ss a n d
a n y p ro ce ss i n te rfa ce s/i n te g ra ti o n . Th e se rvi ce p ro vi d e r ca n a l so do ad
h o c ch e cks o n p ro ce ss e s, e. g . a fte r a m a j o r i n ci d e n t o r wh e n ta rg e ts a re
fre q u e n tl y b re a ch e d .
If a p ro ce s s i s o p e ra te d b y a n o th e r p a rty th e s e rvi ce p ro vi d e r sh o u l d
e n su re th e o th e r p a rty a p p l i e s th e sa m e cycl e o f b e st p ra cti ce s a n d th a t
i m p ro ve m e n ts re fl e ct th e s e rvi ce p ro vi d e r’s p ri o ri ti e s. Th i s i s th e ca se if
th e o th e r p a rti e s co n tri b u te to a s e rvi ce in th e sco p e o f th e SM S, e ve n if
th e o th e r p a rty i s e xcl u d e d fro m th e sco p e . I t ca n be n e ce ss a ry to i n cl u d e
a g re e m e n t to th i s a cti vi ty i n to co n tra cts o r fo rm a l a g re e m e n ts b e twe e n
th e se rvi ce p ro vi d e r a n d o th e r p a rti e s.

Th e se rvi ce p ro vi d e r ca n be a ske d d u ri n g a ce rti fi ca ti o n a u d i t to p ro vi d e
e vi d e n ce o f h a vi n g d on e ch e cks o n o th e r p a rti e s. Th e a u d i to r wi l l ch e ck
th e e vi d e n ce b u t n o t q u e sti o n th e o th e r p a rti e s d i re ctl y d u ri n g a
ce rti fi ca ti o n a u d i t.
Controlling improvements
Ch a n g e s ca n be m o ti va te d b y th e n eed to i m p ro ve e ffi ci e n cy, th e
sta n d a rd i z a ti o n o f p ro ce ss e s a cro ss d i ffe re n t su p p l i e rs, or d u e to a m a j or
ch a n g e to th e se rvi ce . Th e l a tte r i s u n d e r Cl a u se 5 o f Pa rt 1 , ‘ D e si g n and
tra n si ti o n o f n e w o r ch a n g e d se rvi ce s’ .
Key point
Th e se rvi ce p ro vi d e r’s e vi d e n ce o f g o ve rn a n ce o f p ro ce sse s
i n cl u d e s s h o wi n g th e a p p l i ca ti o n o f th e PD CA cycl e to any
p ro ce s s, i n cl u d i n g th o se o p e ra te d b y o th e r p a rti e s. Th i s i n cl u d e s
th e se l e cti o n o f i m p ro ve m e n ts to p ro ce sse s a n d a l l o ca ti o n of
p ri o ri ty to th e i m p ro ve m e n ts se l e cte d . I t a l so i n cl u d e s a l l
ch a n g e s th a t a ffe ct p ro ce ss i n te rfa ce s/i n te g ra ti o n .
D e ci s i o n s o n p ro ce ss d e s i g n o r i m p ro ve m e n ts ca n n o t b e l e ft to j u n i or
p e rs o n n e l . Pa ro ch i a l d e ci s i o n s m a d e on th e b a si s o f wh a t i s b e st fo r o n e
p ro ce ss ca n h a ve a d i sa stro u s e ffe ct o n a n o th e r p ro ce s s. D e ci si o n s o n
ch a n g e s to p ro ce s se s s h o u l d a l wa ys i n vo l ve som eon e wh o h a s su ffi ci e n t
a u th o ri ty a n d a b ro a d -b a se d u n d e rsta n d i n g o f th e wh o l e SM S and an
a wa re n e s s o f b e s t o f b re e d p ro ce ss e s.
O n ce a p ro ce ss h a s b e e n i m p l e m e n te d , i t ca n be su b j e ct to i m p ro ve m e n ts
and o th e r ch a n g e s. Th i s ca n a ffe ct th e p ro ce ss a cti vi ti e s, wo rkfl o w,
i n p u ts /o u tp u ts a n d i n te rfa ce s to o th e r p ro ce sse s . Th e s e rvi ce p ro vi d e r
co n ti n u e s to h a ve a cco u n ta b i l i ty fo r th i s , b u t m a y wo rk wi th o th e r
p a rti e s to d o cu m e n t a n d a p p ro ve ch a n g e s to p ro ce s se s th a t a n o th e r
p a rty o p e ra te s.

Controlling improvements
S etti n g u p th e proj ect – key poi n ts
E sta bl i sh u n d ersta n d i n g of:
1 . Pri n ci p l e s, re q u i re m e n ts a n d a p p l i ca b i l i ty o f Pa rt 1
2. S co p e of a n SM S, i n cl u d i n g o th e r p a rti e s’ o p e ra ti n g p ro ce ss e s
3. D e si re d b u s i n e ss o u tco m e s i n cl u d i n g se rvi ce re q u i re m e n ts
4. O b j e cti ve s o f se rvi ce m a n a g em en t
5. Po l i ci e s fo r se rvi ce m a n a g em en t
6. D e p e n d e n ci e s o n o th e r p a rti e s
7. G o ve rn a n ce re q u i re m e n ts
8. S ta tu to ry, re g u l a to ry re q u i re m e n ts, co n tra ctu a l o b l i g a ti o n s
Bu si n ess ca se a n d proj ect i n i ti a ti on
1 . O b j e cti ve s fo r i m p l e m e n ti n g I S O /I E C 2 0 0 0 0 -1
2. Re co m m e n d a ti o n s o n fo rm a l i n d e p e n d e n t co n fo rm i ty re vi e w
3. Pro p o se d sco p e o f th e SM S
4. Pre d i cte d se rvi ce l e ve l s (o r ch a n g e s to se rvi ce l e ve l s)
5. Pre d i cte d ch a n g e s to wo rkl o a d s
6. Co st sa vi n g s a s o ve ra l l co sts a n d u n i t co s ts
7. O th e r d i re ct o r i n d i re ct b e n e fi ts
8. E s ti m a te d p ro j e ct re so u rce s, i n cl u d i n g th e p ro j e ct te a m
9. I n te re ste d p a rti e s a ffe cte d b y o r i n vo l ve d in th e i m p l e m e n ta ti o n
1 0. Ri sk a ss e ssm e n ts a n d ri s k m a n a g e m e n t re co m m e n d a ti o n s
1 1 . Te rm s o f re fe re n ce
1 2. To p m a n a g em en t a n d i n te re ste d p a rti e s a s p ro j e ct sp o n so rs
1 3. Pro j e ct g o ve rn a n ce a g re e d
1 4. Pro j e ct te a m l e a d e r a g re e d
1 5. Pro j e ct te a m stru ctu re and re so u rci n g a g re e d .
Proj ect pl a n n ed i n d eta i l , i n cl u d i n g for ea ch ph a se towa rd s th e S M S
1 . Ti m e sca l e s a n d p h a si n g
2. Atti tu d e o f m a n a g e rs to ch a n g e s re q u i re d to i m pl em en t a n SM S
3. Asse s sm e n t o f th e o rg a n i z a ti o n a l cu l tu re and a b i l i ty to a d a pt
4. N u m b e rs, ski l l s, co m p e te n ce s o f i m p l e m e n ta ti o n p ro j e ct te a m
5. F i n a n ci a l co n stra i n ts o n fu n d i n g fo r th e i m p l e m e n ta ti o n p ro j e ct
6. Acco m m o d a ti o n , fa ci l i ti e s a n d to o l s a va i l a b l e fo r th e p ro j e ct
7. S e rvi ce o wn e r(s) and p ro ce ss o wn e rs i d e n ti fi e d
8. D e l e g a te d a u th o ri ty a g re e d
I m pl em en ta ti on proj ect pl a n , i n cl u d i n g resou rces.

What can go wrong during the project?

• No shared understanding of the objectives of service management
• The scope of the SMS is too wide for the time and resources
available
• Customers do not believe the SMS will deliver benefits to them
• The objectives in ‘going for 20000’ are unclear or undocumented
• Service provider cannot demonstrate governance for all processes
• Service provider does not manage suppliers that contribute to the
SMS
• Top management provide only nominal support and are not
committed
• Top management is not accountable for the SMS and service
• Managers with responsibility for processes are not identified or
involved
• Project phases are too ambitious/unrealistic or do not bring benefits
• Agreed resources are withdrawn for other ‘higher priority’ projects
• Personnel feel threatened by the changes
• Statutory, regulatory requirements have been ignored when planning
• Contractual obligations are not achievable
• Supplier’s contractual obligations are misaligned to the SLAs
• Policies do not align with the service provider’s objectives
• Policies do not support the service provider’s obligations to the
customer
• Policies are not understood by the service provider’s personnel
• Processes are not directed by the policies
• Processes operate in isolation or process interfaces are not managed
• Procedures are not directed by processes
• Roles, responsibilities, authorities and accountabilities remain unclear
• Documentation is produced that does not reflect reality
• Documentation is excessive and generates bureaucracy
• Documentation is not managed effectively
• Personnel are not trained in the new processes and procedures
• Risks to the project, SMS and service are not understood or managed
• There is no plan for service and service management improvements
• The plan for establishing the SMS is not being managed or reviewed

Ch a p te r 5 I n te g ra ti n g p ro ce sse s
I n trod u cti on
Th i s ch a p te r d e scri b e s p ro ce ss i n te g ra ti o n fo r a ra n g e o f d i ffe re n t
o p e ra ti n g m o d e l s, wi th e xp l a n a ti o n s o f wh y i n te g ra ti o n i s so i m p o rta n t.
U n d e rsta n d i n g th e i n fo rm a ti o n fl o ws b e twe e n p ro ce sse s i s p a rt o f
u n d e rsta n d i n g th e e ffe cti ve n e s s o f e a ch p ro ce s s a n d o f th e SM S as a
wh o l e . Wi th o u t th i s th e s e rvi ce p ro vi d e r i s u n a b l e to u n d e rsta n d th e
wo rki n g s o f i ts o wn SM S and th e re fo re ca n n o t i m p ro ve i t.
Som e o f th e m o s t i m p o rta n t i n te g ra ti o n i s a cro ss th e i n te rfa ce s b e twe e n
th e PD CA p ro ce sse s a n d th e se rvi ce m a n a g e m e n t p ro ce sse s , a s d e scri b e d
in Ch a p te rs 8 –1 8 . Depen d i n g on th e i n d i vi d u a l s e rvi ce p ro vi d e r’s
ci rcu m sta n ce s , som e se rvi ce m a n a g e m e n t p ro ce ss e s i n th e sco p e o f Pa rt 1
ca n n eed i n fo rm a ti o n fro m e ve ry o th e r p ro ce ss a t so m e ti m e . Co n ve rse l y,
som e se rvi ce m a n a g e m e n t p ro ce ss e s p ro vi d e i n fo rm a ti o n th a t ca n be
u se d b y e ve ry o th e r p ro ce ss . Th e fl o w o f i n fo rm a ti o n b e twe e n on e
p ro ce ss a n d a n o th e r m a y b e d i re ct o r i t m a y b e vi a o th e r p ro ce ss e s,
a cco rd i n g to th e i n d i vi d u a l ci rcu m sta n ce s o f th e se rvi ce p ro vi d e r.
Pro ce s se s a l so n eed to wo rk wi th th e ca ta l o g u e o f se rvi ce s, se rvi ce
co m p o n e n ts, se rvi ce p ro vi d e r a n d cu sto m e r a ss e ts. I n te g ra ti o n i s m o st
l i ke l y to be i n a d e q u a te wh e n p ro ce s se s s p a n o rg a n i z a ti o n a l b o u n d a ri e s,
e s p e ci a l l y a cro ss b o u n d a ri e s to o th e r p a rti e s.
I s th ere a best wa y to i n teg ra te?
Th e re a re m a n y d i ffe re n t wa ys to a ch i e ve e ffe cti ve i n te g ra ti o n b e twe e n
p ro ce ss e s. Th e 2 0 0 00 se ri e s i n te n ti o n a l l y a l l o ws fl e xi b i l i ty o f a p p ro a ch to
i n te g ra ti o n fo r th e wi d e ra n g e o f ci rcu m sta n ce s fa ce d b y s e rvi ce
p ro vi d e rs. E a ch se rvi ce p ro vi d e r s h o u l d i d e n ti fy th e b e st wa y to i n te g ra te
p ro ce ss e s fo r i ts p a rti cu l a r ci rcu m s ta n ce s. Th i s ca n be d i ffe re n t fo r
a n o th e r s e rvi ce p ro vi d e r. I t m a y a l so ch a n g e o ve r ti m e , b u t sh o u l d do so
u n d e r th e co n tro l o f ch a n g e m a n a g e m e n t.
Th e i n te g ra ti o n o f p ro ce s se s h a s to ta ke i n to a cco u n t n o t o n l y th e
i n d i vi d u a l p ro ce s se s a n d th e i r i n te rfa ce s, b u t a l so th e peopl e and
te ch n o l o g y re q u i re d fo r e ffe cti ve se rvi ce m a n a g e m e n t. Pa rt 1 re q u i re s

Chapter 5 Integrating processes
m a n a g e m e n t to be a cti ve l y i n vo l ve d in th e d e ve l o p m e n t o f co m p e te n ce ,
a wa re n e ss a n d tra i n i n g in se rvi ce m a n a g e m e n t.
Wh a te ve r d e ci si o n s a re made on i n te g ra ti o n , th e se rvi ce p ro vi d e r i s
re q u i re d to d o cu m e n t th e i n te rfa ce s a n d to e n su re th e i n te g ra ti o n is
u n d e rs to o d and a g re e d by a l l th o s e i n vo l ve d . E a ch p ro ce ss a n d i ts
i n te rfa ce s s h o u l d be d e fi n e d in a wa y th a t m a ke s i t cl e a r wh i ch p ro ce ss
co l l e cts wh a t i n fo rm a ti o n and wh e n i t sh o u l d be co l l e cte d . Al th o u g h
m a n y o p ti o n s fo r i n te rfa ce s e xi st, th o se e xp l i ci tl y re q u i re d b y Pa rt 1
i n cl u d e th o se g i ve n b e l o w. I n te rfa ce s re fe re n ce s i n Pa rt 1 a re l i ste d in th e
ta b l e b e l o w.
Ta bl e 4 – I n terfa ces referen ced i n Pa rt 1
Cl a u s e 4, m a n a g e m e n t re sp o n si b i l i ti e s to e n su re th a t th e SM S and
p ro ce ss e s i n Cl a u se s 5 to 9, d e l i ve r se rvi ce s th a t fu l fi l th e s e rvi ce
re q u i re m e n ts.
Cl a u s e 4. 2 , on g o ve rn a n ce o f p ro ce sse s re q u i re s th e i d e n ti fi ca ti o n of
all p ro ce s se s, o r p a rts o f p ro ce ss e s th a t a re o p e ra te d b y o th e r p a rti e s.
Pro ce s se s i n Cl a u se 4. 3 on co n tro l o f d o cu m e n ts a n d re co rd s fro m all
o th e r p ro ce s se s.
Cl a u s e 5, d esi g n and tra n si ti o n of n ew a n d ch a n g e d se rvi ce s a n d
p ro ce ss e s i n all o th e r cl a u se s fo r th e d e si g n and tra n s i ti o n a cti vi ti e s.
Th e re a re sp e ci fi c i n te rfa ce s wi th :
• Cl a u s e 4, PD CA cycl e ;
• Cl a u s e 9. 2, ch a n g e m a n a g e m e n t;
• Cl a u s e s 9 . 1 and 9. 3 , co n fi g u ra ti o n m a n a g em en t a n d re l e a se and
d e p l o ym e n t m a n a g e m e n t, o p ti o n a l l y vi a ch a n g e m a n a g e m e n t.
Cl a u s e 6. 1 , S LM and Cl a u s e 9. 2 ch a n g e m a n a g e m e n t.
Cl a u s e 6. 2 , se rvi ce re p o rti n g u se s i n fo rm a ti o n fro m o th e r p ro ce sse s
s u ch a s p e rfo rm a n ce a g a i n st s e rvi ce l e ve l ta rg e ts, d e te cte d
n o n co n fo rm i ti e s, wo rkl o a d ch a ra cte ri s ti cs . S p e ci fi c i n te rfa ce s a re :
• Cl a u s e 6. 3 , se rvi ce co n ti n u i ty fo r p l a n s th a t we re i n vo ke d ;
• Cl a u s e 7.1 , B RM fo r co m p l a i n ts a n d cu sto m e r sa ti s fa cti o n re su l ts ;
• Cl a u s e 8. 1 , i n ci d e n t m a n a g e m e n t fo r m a j o r i n ci d e n ts;
• Cl a u s e 9. 2, ch a n g e m a n a g e m e n t fo r i n fo rm a ti o n on th e
d e p l o ym e n t o f n e w o r ch a n g e d se rvi ce s.
Cl a u s e 6. 3 , se rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t i n te rfa ce s
wi th o th e r p ro ce sse s i n pl a n n i n g and te sti n g th e pl a n s.
Cl a u s e 6 . 4, b u d g e ti n g and a cco u n ti n g fo r I T se rvi ce s i n te rfa ce s to all
o th e r p ro ce s se s a n d p ro vi d e s i n fo rm a ti o n on th e co sti n g o f re q u e sts
for ch a n g e wi th Cl a u se 9. 2 ch a n g e m a n a g e m e n t.
Cl a u s e 6. 5, ca p a ci ty m a n a g e m e n t to d e fi n e th e ca p a ci ty a n d
p e rfo rm a n ce re q u i re m e n ts fo r e a ch p ro ce s s a s we l l a s m o n i to ri n g
ca p a ci ty a n d p e rfo rm a n ce .

Understanding integrated processes
Cl a u se 6. 6, i n fo rm a ti o n se cu ri ty m a n a g e m e n t a n d Cl a u se 9. 2 ch a n g e
Cl a u se 7. 1 , B RM and:
• Cl a u se 6. 1 , S LM ;
• Cl a u se 9. 2, ch a n g e m a n a g e m e n t.
Cl a u se 7. 2, su p p l i e r m a n a g e m e n t th a t wo rks wi th o th e r p ro ce s se s to
d e fi n e th e co n tra ctu a l re q u i re m e n ts a n d o b l i g a ti o n s.
Cl a u se 8. 1 , i n ci d e n t a n d s e rvi ce re q u e st m a n a g e m e n t a n d :
• Cl a u se 6. 6, i n fo rm a ti o n se cu ri ty;
• Cl a u se 8. 2 , p ro b l e m m a n a g e m e n t;
• Cl a u se 9. 1 , co n fi g u ra ti o n m a n a g e m e n t;
• Cl a u se 9. 2, ch a n g e m a n a g e m e n t;
• Cl a u se 9. 3 , re l e a se m a n a g e m e n t.
Cl a u se 8. 2 , p ro b l e m m a n a g em en t a n d :
• Cl a u se 8. 1 , i n ci d e n t m a n a g e m e n t;
• Cl a u se 9. 1 , co n fi g u ra ti o n m a n a g e m e n t;
• Cl a u se 9. 3 , re l e a se m a n a g e m e n t.
Cl a u se 9. 1 , co n fi g u ra ti o n m a n a g e m e n t re ce i ve s u p d a te s to th e CM D B
o r p ro vi d e s i n fo rm a ti o n in th e CM D B to :
• Cl a u se 6. 3 , se rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t;
• Cl a u se 8. 1 , i n ci d e n t a n d s e rvi ce re q u e st m a n a g e m e n t;
• Cl a u se 9. 3 , re l e a se and d e p l o ym e n t m a n a g e m e n t.
Cl a u se 9. 2, ch a n g e m a n a g e m e n t, u se s i n fo rm a ti o n fro m ch a n g e
m a n a g em en t a n d o th e r p ro ce sse s to a s se ss re q u e sts fo r ch a n g e .
M o st se rvi ce m a n a g e m e n t p ro ce sse s p a s s i n fo rm a ti o n to ch a n g e
m a n a g e m e n t, a s i s sh o wn a g a i n st th e o th e r cl a u se s.
Th e re a re re q u i re m e n ts fo r i n te rfa ce s b e twe e n th e s e rvi ce p ro vi d e r’s
SM S and p ro ce sse s o p e ra te d b y o th e r p a rti e s, sp e ci fi ca l l y:
• Cl a u se 6 . 4, b u d g e ti n g and a cco u n ti n g fo r I T s e rvi ce s a n d th e o th e r
fi n a n ci a l m a n a g e m e n t p ro ce s se s;
• Cl a u se 9. 1 , co n fi g u ra ti o n m a n a g em en t a n d th e o th e r p a rty’s
fi n a n ci a l a s se t m a n a g e m e n t.
Understanding integrated processes

For a fu l l y i n te g ra te d se t o f p ro ce sse s , d a ta fro m on e p ro ce ss p a sse s to
o th e rs i n an a g re e d se q u e n ce . Th i s h a p p e n s a t a g re e d ti m e s, e. g . d a i l y, on
re q u e st, wh e n tri g g e re d by a sp e ci fi c e ve n t. Th e d e fi n i ti o n o f i n te rfa ce s
s p e ci fi e s wh a t i n fo rm a ti o n i s p a sse d fro m on e p ro ce ss to a n o th e r, wh y
and wh e n i t i s p a ss e d to a n o th e r p ro ce ss.

Pro ce ss i n p u ts a n d o u tp u ts i n cl u d e i n fo rm a ti o n re q u i re d fo r th e
o p e ra ti o n o f th e p ro ce ss. O u tco m e s i n cl u d e th e re su l ts o f th e p ro ce ss,
e. g . i n ci d e n t re so l u ti o n ta rg e ts a re m et a n d ca p a ci ty i s a va i l a b l e as and
wh e n re q u i re d .
I n te g ra te d se rvi ce m a n a g e m e n t re su l ts fro m th e u se of m a n y best
p ra cti ce s, wh i ch i n cl u d e :
• a g re e d p o l i ci e s a n d se rvi ce m a n a g e m e n t o b j e cti ve s ;
• e ffe cti ve s e rvi ce m a n a g em en t pl a n n i n g ;
• a u th o ri ty a n d re sp o n si b i l i ty fo r th e se rvi ce m a n a g em en t pl a n ;
• p ro ce sse s th a t re fl e ct b u si n e ss n e e d s;
• cl a ri ty o n th e sco p e and o wn e rsh i p o f e a ch p ro ce s s;
• p ro ce sse s th a t u n d e rp i n p o l i ci e s a n d d e l i ve r a g a i n s t o b j e cti ve s;
• u n d e rs ta n d i n g o f p ro ce ss i n te rfa ce s ;
• i n fo rm a ti o n fl o ws b e twe e n p ro ce s se s, a s m e tri cs a n d se rvi ce re p o rts;
• p o l i ci e s, p ro ce sse s a n d p ro ce d u re s th a t ca n be m e a s u re d ;
• d o cu m e n ts a n d re co rd s th a t a re cu rre n t a n d co n tro l l e d ;
• sta ff wi th cl e a r ro l e s a n d re s p o n si b i l i ti e s a n d th e co rre ct ski l l s;
• e ffe cti ve u se o f se rvi ce m a n a g e m e n t to o l s;
• o ve ra l l co n tro l b y th e SM S.
I n te g ra ti n g p ro ce sse s a l so a vo i d s e a ch p ro ce ss b e co m i n g an i so l a te d
a cti vi ty, so th a t th o se i n vo l ve d in e a ch p ro ce s s wo rk to g e th e r, n ot a s
d i sco n n e cte d and p o te n ti a l l y co m p e ti n g o rg a n i z a ti o n a l u n i ts.
Process changes
Ch a n g i n g on e p ro ce ss ca n a ffe ct d a ta th a t fl o ws a cro ss th e i n te rfa ce
b e twe e n p ro ce sse s a n d th e re fo re a ffe ct o th e r p ro ce sse s. Th i s e ffe ct i s
so m e ti m e s u n i n te n d e d and ca n p ro d u ce se ri o u s d i ffi cu l ti e s i n o p e ra ti n g
p ro ce sse s a n d d e l i ve ri n g th e se rvi ce . Th i s i s wh y u n d e rs ta n d i n g i n te g ra te d
p ro ce sse s o ve ra l l i s so i m p o rta n t.
In so m e re g re tta b l e re a l l i fe e xa m p l e s a te a m o r m a n a g e r i n vo l ve d in a
p ro ce ss ca n a ctu a l l y b e co m e co m p e ti ti ve a b o u t ‘ th e i r p ro ce ss’ , b e l i e vi n g it
i s m o re i m p o rta n t th a n a n y o th e r. As a co n se q u e n ce th e y ca n
i n te n ti o n a l l y o r u n i n te n ti o n a l l y sa cri fi ce th e b e n e fi ts o f o ve ra l l se rvi ce
m a n a g em en t i n o rd e r to gain sh o rt te rm and p a ro ch i a l b e n e fi t fo r ‘ th e i r
p ro ce ss’ .
Typ i ca l l y, th e s e m a n a g e rs a re u n co o p e ra ti ve o u tsi d e th e i r d e p a rtm e n t,
bei n g ve ry co m p e ti ti ve . Th e y ca n h a ve g ood i n te n ti o n s, bu t be o b l i vi o u s
to th e i m p a ct th e i r ch a n g e s to p ro ce ss h a ve on e ve ryo n e e l se and all
o th e r p ro ce ss e s .

Passing control of an activity
Key point
Wo rki n g to g e th e r
A d e ci si o n made in i so l a ti o n b y th e su p p l i e r m a n a g e m e n t
p ro ce ss o wn e r ca n ri p p l e th ro u g h and i m p a ct th e se rvi ce to th e
cu sto m e r. Th i s ca n m ea n th a t th e se rvi ce p ro vi d e r’s
co m m i tm e n ts to th e cu s to m e r ca n n o t b e m e t, th e cu sto m e r’s
b u si n e ss a cti vi ti e s a re p u t a t ri sk, cu sto m e r sa ti sfa cti o n d e g ra d e s
and th e re l a ti o n sh i p b e twe e n th e cu sto m e r a n d se rvi ce p ro vi d e r
i s d a m a g ed .
Th e re ve rse i s a l so a ri sk. A d e ci si o n on a ta rg e t i n an S LA m a d e
b y th e S LM p ro ce ss ca n ri p p l e th ro u g h and i m pose
re q u i re m e n ts o n a s u p p l i e r th a t a re n o t m e t b y th e cu rre n t
co n tra ct. F o r e xa m p l e , u n re a l i s ti c ti m e s fo r a b re a k-fi x se rvi ce
bei n g i m posed on a su p p l i e r.
Th i s typ e o f a d ve rs e e ffe ct i s a vo i d e d wi th an i n te g ra te d SM S
and cl e a r ro l e s , re sp o n si b i l i ti e s a n d a u th o ri ti e s.
A to p - d o wn a p p ro a ch to SM S e sta b l i sh m e n t, d e scri b e d in Ch a p te r 4,
re d u ce s th e ri sk th a t th o se i n vo l ve d a re fo cu s e d on l y on ‘ th e i r p ro ce ss ’ .
Th e y a re m o re l i ke l y to re a l i z e th e y sh o u l d u n d e rsta n d o th e r p ro ce sse s,
wh a t th e o th e r p ro ce sse s n e e d and wh a t th e y co u l d in tu rn gain fro m
o th e r p ro ce sse s . Th i s p ro m o te s u n d e rsta n d i n g o f th e damage th a t ca n be
d on e th ro u g h p a ro ch i a l b e h a vi o u r. Th i s wo rks b e st b e ca u se p ro ce s se s a re
d e ve l o pe d on th e b a s i s o f m e e ti n g wh a t th e SM S sh o u l d a ch i e ve as
d e fi n e d b y se rvi ce m a n a g em en t a n d p o l i ci e s .
Passing control of an activity

I t sh ou l d a l so be u n a m b i g u o u s a t wh a t p o i n t re sp o n si b i l i ty fo r a n d
co n tro l of a n a cti vi ty p a sse s b e twe e n p ro ce sse s a n d a cro ss o rg a n i z a ti o n a l
b o u n d a ri e s. Two p ro ce ss e s ca n n o t b e in co n tro l o f th e sa m e i n fo rm a ti o n
i te m o r fo r th e sa m e a cti vi ty a t th e sa m e ti m e .
F o r e xa m p l e :
1. p ro b l e m m a n a g e m e n t ta ke s i n ci d e n t d a ta to i d e n ti fy ro o t ca u se ;
2. o n ce th e ro o t ca u se i s u n d e rsto o d p ro b l e m m a n a g em en t
i d e n ti fi e s a fi x;
3. co n tro l o f th e p ro p o se d fi x th e n p a ss e s to ch a n g e m a n a g em en t
fo r fu l l a ss e ssm e n t o f th e p ro p o se d fi x a n d sch e d u l i n g .

Th i s u n d e rsta n d i n g i s e ve n m o re i m p o rta n t wh e n th e s e rvi ce p ro vi d e r i s
re l i a n t o n o th e r p a rti e s to d e l i ve r p a rt o f th e i r se rvi ce s, e. g . b y o p e ra ti n g
p ro ce sse s i n Cl a u se s 5 to 9.
Key point
Wi th a sh a re d se rvi ce m od el th e re i s th e ri s k th a t a su p p l i e r
m a ke s a ch a n g e a t th e re q u e st o f a n o th e r o rg a n i z a ti o n . Th e
o th e r p a rty m i g h t n o t re a l i z e th e i m p a ct o f ch a n g i n g th e
p ro ce s s wi th o u t co n su l ti n g all th o se a ffe cte d . Wh e n th i s
h a p p e n s th e se rvi ce p ro vi d e r wi l l n ot on l y be u n a bl e to
d e m o n stra te p ro ce ss i n te g ra ti o n , th e y wi l l a l so be u n a bl e to
d e m o n stra te p ro ce ss g o ve rn a n ce .
Storing information
H o we ve r th e i n fo rm a ti o n th a t p a sse s a cro ss a n i n te rfa ce i s co l l e cte d it
sh o u l d be co n tro l l e d as a va l u a b l e re so u rce . F o r e xa m p l e , S LM and B RM
m a y b o th co l l e ct d a ta th a t s h o u l d be a va i l a b l e fo r u s e as a si n g l e l o g i ca l
d a ta se t. In th i s e xa m p l e , a s l on g a s th e re is a cl e a rl y d e fi n e d , co m p l e te ,
a ccu ra te and s h a re d vi e w o f th e cu sto m e r’s b u si n e ss n e e d s , th e re ca n be
m u l ti p l e vi e ws o r p e rs p e cti ve s d e p e n d i n g on th e co n te xt a n d sco p e of a
p ro ce ss. Pro ce sse s u si n g fra g m e n te d so u rce s o f d a ta q u i ckl y b e co m e
m i sa l i g n e d a s e a ch p ro ce ss i s o p e ra ti n g on a d i ffe re n t b a si s. I t a l so
re p re se n ts a n e xp e n s i ve o ve rh e a d .
PDCA and service management

I t i s p a rti cu l a rl y i m p o rta n t to pl a n th e i n te rfa ce s b e twe e n th e p ro ce sse s
in Pa rt 1 , Cl a u se 4 and th e se rvi ce m a n a g e m e n t p ro ce ss e s i n Cl a u se s 5 to
9. F o r e xa m p l e , th e Cl a u se 4 co n ti n u a l i m p ro ve m e n t o f th e SM S and
se rvi ce s a n d th e i n te rfa ce s to th e p ro a cti ve a s p e cts o f th e se rvi ce
m a n a g e m e n t p ro ce sse s .
Pa rt 1 , Cl a u s e 4. 5 . 4. 3 re q u i re m e n ts a re fo r m a n a g e m e n t re vi e ws o f th e
SM S and se rvi ce s a t p l a n n e d i n te rva l s, to i d e n ti fy i f th e y a re sti l l su i ta b l e
and e ffe cti ve . Th i s a l so re q u i re s o p p o rtu n i ti e s fo r i m p ro ve m e n t to be
i d e n ti fi e d , su ch a s p ro ce s s p e rfo rm a n ce .
So h o w d o e s th i s re l a te to th e re q u i re m e n t fo r se rvi ce m a n a g em en t
p ro ce sse s, su ch a s S LM , i n fo rm a ti o n se cu ri ty, th e re l a ti o n sh i p and
re so l u ti o n p ro ce sse s a n d ch a n g e m a n a g em en t a l l to i d e n ti fy

Changes to business needs
o p p o rtu n i ti e s fo r i m p ro ve m e n t? Wh i ch p ro ce ss co n tro l s i d e n ti fi ca ti o n of
i m p ro ve m e n ts a n d wh i ch p ro ce ss co n tro l s th e i m p l e m e n ta ti o n of
i m p ro ve m e n ts? Th e Pa rt 1 re q u i re m e n ts a l l o w m a n y d i ffe re n t wa ys to
i d e n ti fy a n d i m p l e m e n t i m p ro ve m e n ts.
Th e ke y to th i s wo rki n g e ffe cti ve l y i s fo r th e se rvi ce p ro vi d e r to
u n d e rsta n d th e wa y e a ch p ro ce ss o p e ra te s a n d th e wa y th e y re l a te . It is
a l so n e ce ssa ry to h a ve fi rm o ve ra l l co n tro l b y ch a n g e m a n a g em en t of
ch a n g e s m a d e to th e SM S and s e rvi ce s . Th i s a l so re q u i re s a se rvi ce
m a n a g em en t pl a n . Th e pl a n d o e s n o t h a ve to be b a se d on on e si n g l e
l a rg e p ro j e ct; i n ste a d i t ca n be a p ro g ra m m e o f se p a ra te co -o rd i n a te d
p ro j e cts.
Pro j e cts co -o rd i n a te d b y th e o ve ra l l p ro g ra m m e co u l d i n cl u d e l o ca l pl a n s
fo r i n d i vi d u a l p ro ce ss e s, l o ca ti o n s o r o rg a n i z a ti o n a l u n i ts. Wh e re th e
s e rvi ce p ro vi d e r re l i e s o n l o ca l , p ro ce ss -sp e ci fi c p l a n s , th e s e sh o u l d be
co m p a ti b l e wi th and u n d e r th e co n tro l o f th e o ve ra l l se rvi ce
m a n a g em en t pl a n .
Th e re sh o u l d be no co n fl i cts o ve r th e l o ca l p l a n s, o th e r p ro ce ss -sp e ci fi c
p l a n s o r th e a cti vi ti e s o f th e PD CA cycl e . H o we ve r p ro ce ss ch a n g e s a re
pl a n n ed , e a ch ch a n g e sh ou l d n o t h a ve a d e tri m e n ta l i m p a ct o n o th e r
p ro ce s se s. Th i s re q u i re s i n fo rm a ti o n to fl o w b e twe e n l o ca l ,
p ro ce s s-sp e ci fi c p l a n s a n d th e PD CA cycl e . M a n y se rvi ce p ro vi d e rs m a n a g e
th e i r p ro ce s s-sp e ci fi c p l a n s u n d e r th e u m b re l l a o f co n ti n u a l s e rvi ce
i m p ro ve m e n t p ro g ra m m e m a n a g e m e n t.
Wh e re th e re is a h o l i sti c vi e w o f th e se rvi ce re q u i re m e n ts, th e SM S and
wh a t se rvi ce s a re to be d e l i ve re d , i t i s e a si e r to h a ve an o ve ra l l vi e w a n d
co n tro l o f ch a n g e s. Th i s i s b e ca u se th e m o st vi ta l i n fo rm a ti o n fo r th e SM S
i s h el d , and i t i s p o ssi b l e to a sse ss h o w o n e ch a n g e to a p ro ce ss wi l l
i m p a ct th e re st o f th e SM S.
On e m e th o d i s to p i l o t ch a n g e s wh e re and wh e n p o s si b l e , so th a t
e xp e ri e n ce ca n be g a i n ed and fe d i n to th e n e xt s ta g e of pl a n n i n g as
‘ l e s so n s l e a rn e d ’ .
Changes to business needs

I n fo rm a ti o n on b u si n e s s n e e d s a n d vi e ws o n th e e xi sti n g se rvi ce m a y be
o b ta i n e d fro m a n u m b e r o f so u rce s. F o r e xa m p l e , i n fo rm a ti o n ca n be
o b ta i n e d b y d i scu ssi o n s wi th th e cu sto m e r a n d fro m sa ti sfa cti o n su rve ys.
Th e s e rvi ce p ro vi d e r m a y a l so do m a rke t re s e a rch . Th i s i s p a rti cu l a rl y
re l e va n t wh e re th e se rvi ce p ro vi d e r i s d e l i ve ri n g co n su m e r se rvi ce s .
E xa m p l e s i n cl u d e an I n te rn e t o r a te l e co m m u n i ca ti o n s s e rvi ce , wi th many
i n d i vi d u a l cu s to m e rs.

Al th o u g h th e re a re m a n y so u rce s o f i n fo rm a ti o n on b u si n e ss n e e d s,
co l l e cti o n o f th e i n fo rm a ti o n sh o u l d be b a se d on i n fo rm a ti o n fl o wi n g
a cro ss we l l d e fi n e d and m a n a g ed i n te rfa ce s b e twe e n th e p ro ce sse s . La ck
o f co n tro l and co n si ste n cy i n th e wa y th e i n fo rm a ti o n i s co l l e cte d
i n tro d u ce s i n cre a se d e rro rs a n d g a ps i n kn o wl e d g e . Co l l e cti n g
i n fo rm a ti o n wo rks b e st wh e n i t i s l i n ke d to a sp e ci fi c n e e d , su ch a s th e
d e ve l o p m e n t o f p o l i ci e s a n d p ro ce sse s. For som e, s u ch a s ca p a ci ty, se rvi ce
co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t, an u n d e rs ta n d i n g o f th e
cu sto m e r’s b u si n e ss n e e d s i s u se d fo r th e m a n a g e m e n t o f ri sk to th e
se rvi ce s.
Th e i n fo rm a ti o n on th e cu sto m e r’s b u si n e ss n e e d s m a y b e co l l e cte d by
m o re th a n on e p ro ce ss a n d u sed b y m o re th a n on e p ro ce ss.
Wh e re th e cu sto m e r’s b u si n e ss n e e d s a re n o t a rti cu l a te d , s e rvi ce p ro vi d e rs
n eed to u n d e rs ta n d th e n a tu re and d yn a m i cs o f th e b u si n e ss
e n vi ro n m e n t, ch a l l e n g e s, and o p p o rtu n i ti e s fa ce d b y th e cu sto m e rs. Th i s
i s m o st co m m o n wi th co n su m e r s e rvi ce s wi th m a n y i n d i vi d u a l cu s to m e rs.
Ch a n g e s to b u s i n e ss n e e d s ca n h a ve a wi d e - re a ch i n g e ffe ct, e. g . a
pl a n n ed o r e xp e cte d m a j o r ch a n g e to a cu sto m e r’s b u s i n e ss a cti vi ti e s ca n
re q u i re m a n y ch a n g e s to se rvi ce re q u i re m e n ts.
Th e ch a n g e to se rvi ce re q u i re m e n ts ri p p l e s th ro u g h th e SM S. It is
i m po rta n t to u n d e rsta n d th e wa y th i s i n fo rm a ti o n i s p a sse d fro m on e
p ro ce ss to a n o th e r.
Key point
O th e r q u e sti o n s th a t n e e d to be a n swe re d i n cl u d e :
• Wh a t a re th e i n te rfa ce s i n vo l ve d wh e n S LM i s th e fi rst
p ro ce s s to b e co m e a wa re of a ch a n g e to se rvi ce
re q u i re m e n ts ?
• H o w a re th e ca ta l o g u e o f se rvi ce s, S LAs a n d fo rm a l
a g re e m e n ts a ffe cte d ?
• Wh o co n tro l s wh a t d e ci si o n s o n S LA ta rg e ts sh o u l d th e y
n eed to ch a n g e ?
• Wh a t i m p a ct wi l l th i s h a ve on th e i n fo rm a ti o n se cu ri ty
p o l i cy?
• Do th o se re sp o n s i b l e fo r su p p l i e r m a n a g e m e n t u n d e rsta n d
S LAs a n d o th e r fo rm a l a g re e m e n ts?

Financial considerations
O n e o f th e co m m o n e ffe cts o f a ch a n g e to b u si n e ss n e e d s a n d se rvi ce
re q u i re m e n ts i s th a t th e n eed fo r a n e w se rvi ce i s re co g n i z e d , o r th a t a n
e xi s ti n g se rvi ce h a s to be su b sta n ti a l l y ch a n g e d . Th e i n te rfa ce
i m pl i ca ti o n s o f th i s a re d e scri b e d b e l o w.
Processes operated by other parties

Th e re sh o u l d be e vi d e n ce th a t th e i n te rfa ce s to p ro ce s se s o p e ra te d by
o th e r p a rti e s a re d e fi n e d and co n tro l l e d . Th i s typ e o f se rvi ce m od el has
m a n y n a m e s i n cl u d i n g o u tso u rci n g and o u t-ta ski n g . Vi rtu a l l y a l l ta s ks
o p e ra te d by a su p p l i e r i n cl u d e o p e ra ti o n of a p ro ce ss i n th e sco p e o f th e
2 0000 se ri e s , so th i s i s o b vi o u s l y s i g n i fi ca n t. A se rvi ce p ro vi d e r ca n n o t
e xcl u d e re q u i re m e n ts b e ca u s e th e y re l a te to a p ro ce ss o p e ra te d by
a n o th e r p a rty.
F o r p ro ce s se s o p e ra te d b y o th e r p a rti e s i t i s p a rti cu l a rl y i m p o rta n t to
h a ve cl e a rl y d e fi n e d i n te rfa ce s. N o t o n l y i s th i s h o w th e co n tri b u ti o n
made b y th e o th e r p a rti e s i s m a n a g e d , i t i s n e ce ssa ry fo r a u d i t e vi d e n ce .
New or changed services

Pa rt 1 , Cl a u se 5 i n cl u d e s re q u i re m e n ts fo r n e w o r ch a n g e d s e rvi ce s. Th e
s e rvi ce p ro vi d e r d o e s n o t h a ve to pl a n , d e si g n , d o cu m e n t o r d e ve l o p n ew
o r ch a n g e d se rvi ce s. H o we ve r, th e re sh ou l d be an a u d i t tra i l o f su ch
a cti vi ti e s h a vi n g been p e rfo rm e d , wi th th e se rvi ce p ro vi d e r a b l e to e i th e r
a cce p t o r re j e ct th e o u tp u t i f i t d o e s n o t m e e t th e a g re e d a cce p ta n ce
cri te ri a .
I f s e rvi ce p ro vi d e rs a re u n a wa re o f p ro p o sa l s fo r n e w o r ch a n g e d se rvi ce s
u n ti l l a te in th e p ro ce ss , th e y a re u n a bl e to co n fo rm to th e re q u i re m e n ts
fo r n e w o r ch a n g e d se rvi ce s. Th i s i s b e ca u s e th e re sh ou l d be a link
b e twe e n a n y p ro j e cts d e ve l o p i n g se rvi ce s a n d ch a n g e m a n a g e m e n t. Th i s
e n a b l e s ch a n g e m a n a g e m e n t to h a ve th e o p p o rtu n i ty to u n d e rsta n d th e
p o te n ti a l i m p a ct o f th e ch a n g e (o r ch a n g e s ) and to re a ch a d e ci s i o n on
a cce p ta b i l i ty. I t sh o u l d a l so be cl e a r a t wh i ch ti m e co n tro l o f d e ci s i o n s
p a ss e s fro m th o se re s p o n si b l e fo r n e w a n d ch a n g e s se rvi ce s to th o s e
re sp o n si b l e fo r ch a n g e m a n a g e m e n t u n d e r Cl a u s e 9. 2.
Financial considerations
B u d g e ti n g and a cco u n ti n g a re ve ry d e p e n d e n t o n i n fo rm a ti o n fro m
o th e r p ro ce s se s. No p ro ce s s i s fre e , so all o th e r p ro ce ss e s a re in tu rn a l so
d epen d en t on th e i n fo rm a ti o n fro m fi n a n ci a l m a n a g e m e n t, e ve n th o u g h
som e a sp e cts o f fi n a n ci a l m a n a g e m e n t a re o u t o f th e sco p e o f th e 2 0000
s e ri e s , fo r e xa m p l e ch a rg i n g fo r s e rvi ce s.

Som e o f th e g re a te st ri s ks a ri se fro m a l a ck o f u n d e rsta n d i n g th a t
fi n a n ci a l m a n a g e m e n t p l a ys a ke y ro l e in en a bl i n g a se rvi ce p ro vi d e r to
m e a su re va l u e fo r m o n e y o f o ve ra l l se rvi ce m a n a g em en t a n d of
i n d i vi d u a l p ro ce sse s .
M o st s e rvi ce m a n a g e m e n t b u d g e ts re l y h e a vi l y o n a sse t a n d i n ve n to ry
re co rd s b e i n g a ccu ra te and up to d a te . F o r e xa m p l e , th e n u m b e r o f PCs i s
re l a te d to th e co st o f s u p p o rt s o i f th e re co rd s a re o u t o f d a te th e
b u d g e t fo r th e co st o f su p p o rt wi l l be wro n g . Th i s i s a l s o a
n o n co n fo rm i ty u n d e r th e Pa rt 1 , Cl a u se 4 re q u i re m e n t fo r co n tro l of
a sse ts, i n cl u d i n g so ftwa re l i ce n ce s. Th i s ca n a l so h a ve l eg a l i m p l i ca ti o n s.
Key point
An e xa m p l e of ba d p ra cti ce i s se rvi ce o r wo rkl o a d i n fo rm a ti o n
bei n g p ro vi d e d to o l a te fo r a b u d g e t cycl e , m ea n i n g th e
b u d g e t i s u n re a l i sti c. Th i s ca n i m p a ct th e a b i l i ty to p ro vi d e th e
se rvi ce fo r th e wh o l e o f th e n e xt b u d g e t ye a r. I t ca n h a ve s u ch
a d e tri m e n ta l e ffe ct th a t i t ca n n o t b e re s o l ve d in a si n g l e ye a r
and co n ti n u e s to i m p a ct th e fi n a n ce s fo r m u ch l o n g e r. Th e
PD CA cycl e co u l d a l so a cce p t o r re j e ct p ro p o se d o p ti o n s fo r
co n ti n u a l i m p ro ve m e n ts b a se d on i n co rre ct fi n a n ci a l
i n fo rm a ti o n . Pl a n s fo r n e w se rvi ce s n o ti fi e d to o l a te m i g h t n ot
be a ch i e va b l e wi th th e a va i l a b l e fu n d s, or i n o rd e r to p ro te ct
th e cu sto m e r’s b u s i n e ss, fu n d s m i g h t h a ve to be tra n sfe rre d
fro m on e a cti vi ty to a n o th e r.
Capacity and performance

Co m m o n fa i l i n g s i n cl u d e i n fo rm a ti o n n ot bei n g p ro vi d e d to o r fro m
ca p a ci ty m a n a g e m e n t o n n o n -te ch n i ca l re so u rce re q u i re m e n ts. O ffi ce
a cco m m o d a ti o n , d e sks, b a s i c fa ci l i ti e s a n d th e peopl e th a t u se th e m , a re
all re s o u rce s th a t sh o u l d be co n si d e re d b y ca p a ci ty m a n a g e m e n t. Lo s s o f
p e rfo rm a n ce fro m i n a d e q u a te s ta ffi n g of a s e rvi ce d e sk ca n be j u st a s
damaging to a cu s to m e r’s b u si n e s s a s a sl o w co n n e cti o n b e ca u s e of
i n su ffi ci e n t b a n d wi d th . Th e re is a cl o se l i n k b e twe e n re so u rce
m a n a g em en t i n Pa rt 1 , Cl a u se 4. 4 a n d ca p a ci ty a n d p e rfo rm a n ce

Availability management
M a j or l oss of servi ce
F o r se rvi ce co n ti n u i ty a d e ci s i o n made fo r o n e p ro ce s s ca n h a ve a se ri o u s
i m p a ct o n th e se rvi ce p ro vi d e r’s a b i l i ty to m e e t co m m i tm e n ts i n th e e ve n t
of a m a j o r l o ss o f s e rvi ce . Wh e n ch a n g e s a re bei n g co n si d e re d i t sh o u l d
be cl e a r wh i ch p ro ce ss h a s re sp o n si b i l i ty fo r a n d co n tro l o f th e
d e ci si o n -m a ki n g ste p .
A wi d e ra n g e o f i n fo rm a ti o n i s re q u i re d fo r th e pl a n n i n g o f s e rvi ce
co n ti n u i ty a n d th e n th e s u b se q u e n t te s ti n g o f p l a n s. I f th e se rvi ce
co n ti n u i ty p l a n s a re i n vo ke d and i t i s e sta b l i s h e d th e y h a ve been b a se d
on i n co m p l e te and th e re fo re u n re l i a b l e i n fo rm a ti o n , th e re su l t co u l d be
th e i n a b i l i ty to o ffe r a wo rka b l e se rvi ce fo r m a n y we e ks a fte r a m a j or
l o ss o f se rvi ce .
Ava i l a bi l i ty m a n a g em en t
In a ve ry si m i l a r wa y to p ro b l e m m a n a g e m e n t, a va i l a b i l i ty m a n a g e m e n t
ca n cre a te th e n eed fo r ch a n g e o r ca n be i m p a cte d by a ch a n g e ,
e s p e ci a l l y a ch a n g e th a t h a s fa i l e d . Ta b l e 5, sh o wi n g i n te rfa ce d e fi n i ti o n s ,
i l l u stra te s th e te ch n i q u e fo r d o cu m e n ti n g a p ro ce ss a n d i ts i n te rfa ce s.
E xa m p l e s o f ta b l e s sh o wi n g i n p u ts a n d o u tp u ts to a p ro ce ss a re g i ve n fo r
a va i l a b i l i ty m a n a g e m e n t i n Ta b l e s 6 a n d 7.
Ta bl e 5 – E xa m pl e i n terfa ce d efi n i ti on
I n pu t S ou rce of Process O u tpu t O u tpu t to
i n form a - i n pu t i n form a ti on
ti on
Su ppl i er Su ppl i er S LM I m p a ct Cu sto m e r,
se rvi ce and th e sta te m e n t o n B RM and
re p o rt o n se rvi ce se rvi ce S LM
m a j or p ro vi d e r’s
Re co m m e n d a - Su ppl i er
i n ci d e n t su p p l i e r
ti o n s o n m a n a g e-
m a n a g e-
i m p l i ca ti o n s fo r m en t
m en t
th e co n tra ct
Cu s to m e r’s Cu sto m e r B RM I m p l i ca ti o n s o f S LM
b u s i n e ss a n d /o r m a j o r ch a n g e s
pl a n s sta ke h o l d - on se rvi ce and
e rs se rvi ce l e ve l s
I m p l i ca - B RM S LM D i scu ssi o n B RM ,
ti o n s o f d o cu m e n t o n cu sto m e rs,
m a j or p ro p o se d i n te re ste d
ch a n g e s o n ch a n g e s to th e p a rti e s
se rvi ce and se rvi ce s, S LAs

s e rvi ce and se rvi ce
l e ve l s ca ta l o g u e
Cu sto m e r Cu sto m e r, B RM An a l ysi s o f th e S LM
s a ti s fa cti o n sta ke h o l d - s tre n g th s a n d
fe e d b a ck e rs, we a kn e ss e s o f
e n d -u se rs th e se rvi ce
Re co m m e n d a - PD CA
ti o n s fo r i m p ro ve -
i m p ro ve m e n ts m en t
p l a n s /se rvi ce
i m p ro ve -
m en t
Ta bl e 6 – E xa m pl e i n pu ts for a va i l a bi l i ty m a n a g em en t
I n pu t from I n form a ti on I S O /I E C 2 0000
req u i rem en t
S LM Ava i l a b i l i ty re q u i re m e n ts Th e a g re e d
re q u i re m e n ts s h a l l ta ke
i n to co n s i d e ra ti o n
a p p l i ca b l e b u si n e ss
p l a n s, se rvi ce
re q u i re m e n ts, S LAs a n d
ri sks.
S LM Ava i l a b i l i ty re q u i re m e n ts Th e se rvi ce p ro vi d e r
sh a l l cre a te , i m pl em en t
and m a i n ta i n an
a va i l a b i l i ty p l a n (s) .
Ch a n g e Re q u e st fo r i m p a ct Th e se rvi ce p ro vi d e r
m a n a g em en t a sse ssm e n t o n sh a l l a s se ss th e i m p a ct
a va i l a b i l i ty m a n a g e m e n t o f re q u e sts fo r ch a n g e
and a va i l a b i l i ty p l a n on th e s e rvi ce co n ti n u i ty
p l a n (s ) and th e
I n ci d e n t I n ci d e n t d a ta , m a j or U n pl a n n ed
m a n a g em en t i n ci d e n ts a n d o u ta g e s n o n - a va i l a b i l i ty s h a l l be
i n ve s ti g a te d and
Pro b l e m Ca u se o f i n ci d e n ts
n e ce ssa ry a cti o n s ta ke n .
m a n a g em en t ca u s i n g l o st a va i l a b i l i ty

Configuration management
Ta bl e 7 – E xa m pl e ou tpu ts from a va i l a bi l i ty m a n a g em en t
O u tpu t to I n form a ti on I S O /I E C 2 0000 req u i rem en t
S e rvi ce Ava i l a b i l i ty Ava i l a b i l i ty o f se rvi ce s sh a l l be
re p o rti n g m e tri cs m o n i to re d , th e re su l ts
re co rd e d and co m p a re d wi th
a g re e d ta rg e ts.
Ch a n g e I m p a ct a s se ssm e n t Th e se rvi ce p ro vi d e r sh a l l
m a n a g em en t o f p ro p o se d a ss e ss th e i m p a ct o f re q u e sts
ch a n g e s o n th e fo r ch a n g e on th e s e rvi ce
a va i l a b i l i ty p l a n co n ti n u i ty p l a n (s ) and th e
A pl a n fo r Ch a n g e s to U n pl a n n ed n o n -a va i l a b i l i ty
i m p ro vi n g th e i m p ro ve sh a l l be i n ve sti g a te d and
se rvi ce a va i l a b i l i ty n e ce ssa ry a cti o n s ta ke n .
Ch a n g e Pro p o se d ch a n g e s U n pl a n n ed n o n -a va i l a b i l i ty
m a n a g em en t re q u i re d fo r sh a l l be i n ve sti g a te d and
a va i l a b i l i ty n e ce ssa ry a cti o n s ta ke n .
m a n a g em en t
Resol u ti on processes
A co m m o n e xa m p l e of ba d p ra cti ce i s th e re so l u ti o n p ro ce s se s n o t
re co rd i n g i n fo rm a ti o n o r re co rd i n g i t i n co n si ste n tl y. Th i s ca n p ro vi d e a
fa l se b a s i s fo r p re d i cti n g th e i m p a ct o f a ch a n g e to th e se rvi ce o r th e
a b i l i ty o f p ro b l e m m a n a g e m e n t to i d e n ti fy a ro o t ca u se . Th e wo rkl o a d
i n fo rm a ti o n re q u i re d fo r ca p a ci ty m a n a g e m e n t wi l l be an u n d e re s ti m a te
and th e p e rfo rm a n ce o f th o se fo l l o wi n g a p ro ce ss ca n fa l l bel ow
a cce p ta b l e l e ve l s.
Con fi g u ra ti on m a n a g em en t
Th e s e rvi ce p ro vi d e r n e e d s to d e fi n e th e i n te rfa ce b e twe e n co n fi g u ra ti o n
m a n a g em en t a n d fi n a n ci a l a sse t a cco u n ti n g b e ca u se fi n a n ci a l
m a n a g e m e n t re q u i re s a sse t a n d co st i n fo rm a ti o n m a n a g ed by
co n fi g u ra ti o n m a n a g e m e n t.
Co n fi g u ra ti o n m a n a g em en t i s a p ri m a ry i n te rfa ce to u p d a te i n fo rm a ti o n
a b o u t re l e a se s. Wh e n a re l e a se i s d e p l o ye d co n fi g u ra ti o n i n fo rm a ti o n is
u p d a te d . Re l e a se and d e p l o ym e n t d o cu m e n ta ti o n i n cl u d e s i n fo rm a ti o n
on e n h a n ce m e n ts a n d kn o wn e rro rs , fi xe d o r sti l l p re se n t, in a re l e a se .

Change management
U n l i ke som e o f th e o th e r p ro ce sse s, ch a n g e m a n a g e m e n t h a s se ve ra l
co m p u l so ry i n te rfa ce s to o th e r p ro ce s se s. Th i s i s b e ca u se th e i n fo rm a ti o n
p a ssi n g to and fro m th e p ro ce ss i s e s se n ti a l fo r th e e ffe cti ve m a n a g em en t
o f ch a n g e s. In m o st ca se s th i s i s i n fo rm a ti o n fl o wi n g to ch a n g e
m a n a g e m e n t. Th e o u tco m e is a d e ci s i o n on a cce p ta n ce o r re j e cti o n of
th e re q u e st fo r a ch a n g e . Pro ce sse s su ch a s p ro b l e m m a n a g e m e n t a re
l i ke l y to se e k i n fo rm a ti o n on re ce n t ch a n g e s a s p a rt o f th e p ro b l e m
a n a l ysi s.
Release and deployment management

Ch a n g e s su b j e ct to Pa rt 1 , Cl a u se 5 u se th e re l e a se and d e p l o ym e n t
m a n a g e m e n t p ro ce ss. Th e re l e a se and d e p l o ym e n t p ro ce ss wo rks cl o se l y
wi th ch a n g e m a n a g em en t on pl a n n i n g re l e a s e s a n d d e p l o ym e n ts.
E xa m p l e s i n cl u d e : a re l e a se ca n co n ta i n m a n y ch a n g e s , e a ch d e p l o ym e n t
of a re l e a se wi l l be a p p ro ve d and co n tro l l e d b y th e ch a n g e m a n a g em en t
p ro ce ss, sch e d u l e d re l e a se and d e p l o ym e n t d a te s wi l l be on th e ch a n g e
sch e d u l e .
Example – incident management by a supplier
Th e m a n a g e m e n t o f Co m p a n y A’s I T se rvi ce s d e p a rtm e n t h a d
o u tso u rce d th e se rvi ce d e sk fu n cti o n to a su p p l i e r, Co m p a n y B . Th e
su p p l i e r o p e ra te s p a rt o f th e i n ci d e n t a n d se rvi ce re q u e st p ro ce ss.
Th e se rvi ce p ro vi d e r, Co m p a n y A’s I T se rvi ce s d e p a rtm e n t, n eed ed
i n ci d e n t m a n a g e m e n t to be d on e to an e xce p ti o n a l l y h i g h sta n d a rd .
As a re su l t th e p ro ce ss a n d i n te rfa ce s h a d to be d e fi n e d so th a t:
• all i n ci d e n ts fo r th e se rvi ce s a n d i n fra stru ctu re a re re co rd e d ;
• i n ci d e n t i n fo rm a ti o n i s a va i l a b l e fo r u se by a l l th o s e th a t re q u i re
i t, n o t j u st th o s e i n vo l ve d in i n ci d e n t m a n a g e m e n t;
• p ro ce d u re s to manage th e i m p a ct o f i n ci d e n ts a re co - o rd i n a te d
b e twe e n th e se rvi ce d e sk su p p l i e r, Co m p a n y B , and th e se rvi ce
p ro vi d e r, Co m p a n y A;
• th e p ro ce d u re s th a t d e fi n e th e re co rd i n g , p ri o ri ti z a ti o n , b u si n e ss
i m p a ct, cl a ssi fi ca ti o n , u p d a ti n g , e sca l a ti o n , re so l u ti o n and cl o su re
o f i n ci d e n ts a re a l i g n ed a cro s s o rg a n i z a ti o n a l b o u n d a ri e s;
• p e rso n n e l o p e ra ti n g th e p ro ce ss a re h i g h l y tra i n e d in th e wa y to
handle i n ci d e n ts ;
• all a cti o n s a re re co rd e d on th e i n ci d e n t re co rd ;
• all p e rso n n e l i n vo l ve d (fi rs t-, se co n d - a n d th i rd - l i n e su p p o rt
g ro u p s ) h a ve a cce ss to i n fo rm a ti o n su ch a s kn o wn e rro rs,
p ro b l e m re so l u ti o n s a n d th e CM D B ;

Release and deployment management
• Co m p a n y A’s cu sto m e rs a re ke p t i n fo rm e d o f th e p ro g re ss o f
th e i r re p o rte d i n ci d e n t, by a n a g re e d and u n d e rs to o d p ro ce s s.
I n fo rm a ti o n and m a n a g e m e n t re p o rts fro m th e se rvi ce d e sk p ro vi d e d
b y Co m p a n y B n eed to be a va i l a b l e to th e s e co n d - a n d th i rd -l i n e
s u p p o rt g ro u p s a s se rvi ce m a n a g e m e n t ca n n o t b e e ffe cti ve wi th o u t
th i s. Th e co n tra ct b e twe e n Co m p a n y A a n d B wa s ch a n g e d to a l l ow
Co m p a n y A to h a ve g re a te r co n tro l o ve r Co m p a n y B ’s o p e ra ti o n of
i n ci d e n t m a n a g e m e n t.

Ch a p te r 6 ‘ Wh a t d o e s i t m e a n fo r
m e?’
I n trod u cti on
Wh e n e sta b l i sh i n g o r ch a n g i n g th e SM S, a se rvi ce p ro vi d e r s h o u l d ta ke
i n to a cco u n t th a t p e o p l e h a ve a s tro n g d e s i re to kn o w ‘ wh a t d o e s i t
m ea n fo r m e ? ’ Th i s ch a p te r d e scri b e s m a n a g i n g th i s ci rcu m sta n ce .
For som e peopl e a n y ch a n g e is a p o te n ti a l th re a t. Th e y wa n t re a ssu ra n ce
th a t th e y wi l l sti l l h a ve a ro l e a fte r th e SM S h a s d e l i ve re d th e p ro m i se d
e ffi ci e n cy b e n e fi ts. E a ch ‘m e’ co u l d p o te n ti a l l y m a ke o r b re a k th e p ro j e ct
th a t e s ta b l i sh e s th e SM S i f th e i r n e e d to kn o w th e wa y th e y wi l l be
a ffe cte d i s i g n o re d . Th e ‘m e’ in q u e sti o n i n cl u d e s e ve ryo n e fro m to p
m a n a g e m e n t to th e m o st j u n i o r m e m b e r o f s ta ff. E a ch ‘m e’ wi l l be
a ffe cte d d i ffe re n tl y b y th e SM S. To p m a n a g e m e n t co u l d be wo rri e d ,
a l th o u g h p o s si b l y th e y wi l l hide i t m o re e ffe cti ve l y th a n j u n i o r p e rso n n e l .
To p m a n a g e m e n t wi l l wa n t to kn o w th e b e n e fi ts i n fi n a n ci a l and s e rvi ce
te rm s a n d wi l l n eed re a ss u ra n ce th a t ‘ g e tti n g 2 0000’ i sn ’t j u st a g i m m i ck.
An a m b i ti o u s m a n a g e r wi l l wo n d e r i f i t wi l l h el p wi th a p ro m o ti o n , or
wo rry th a t i n vo l ve m e n t wi l l ri sk th e i r cre d i b i l i ty. I t i s i m p o rta n t to
q u a n ti fy th e b e n e fi ts, in o rd e r to re a ssu re peopl e th a t th e ch a n g e s a re
n o t i n tro d u ci n g a b u re a u cra ti c o ve rh e a d b u t a re i m p l e m e n ti n g b e tte r
wa ys o f wo rki n g and d e l i ve ri n g a se rvi ce .
Lea d ersh i p
M a j o r ch a n g e , su ch a s e s ta b l i sh i n g an SM S, i s so m e ti m e s a tte m p te d
wi th o u t a n u n d e rs ta n d i n g o f h o w i m p o rta n t i t i s th a t m a n a g e rs a n d
p e rso n n e l fe e l p o si ti ve a b o u t th e p ro p o sa l s. Pro p o sa l s n e e d to i d e n ti fy
th e wa y th e ch a n g e s a ffe ct wh a t p e o p l e do on a d a y- to -d a y b a si s . Ve ry
fe w p e o p l e se e ch a n g e s a s a p o s i ti ve e xp e ri e n ce , u n l e ss th e y th e m s e l ve s
d e ci d e wh a t th e ch a n g e s sh o u l d be.
Pl a n s fa i l wh e n m a n a g e m e n t n e i th e r co m m u n i ca te th e b e n e fi ts o f
ch a n g i n g n o r re co g n i z e th e n eed to te l l i n d i vi d u a l s h o w th e y wi l l be
a ffe cte d . Th e s h o rt-, m ed i u m - a n d l o n g - te rm b e n e fi ts fo r e a ch i n vo l ve d
o r a ffe cte d g ro u p o r i n d i vi d u a l sh ou l d be a s ta n g i b l e a s p o ssi b l e .

Agents of change
On e co m m o n fa i l i n g i s fo r te ch n i ca l tra i n i n g to be p ro vi d e d b u t p ro ce ss
and p ro ce d u re tra i n i n g to be n e g l e cte d . I f peopl e do n o t kn o w wh a t to
do and wh e n to do i t, p ro ce sse s a n d p ro ce d u re s wi l l be fo l l o we d
i n co n s i ste n tl y. An e xa m p l e m i g h t be so m e th i n g a s si m p l e a s cl a ssi fyi n g
i n ci d e n ts a cco rd i n g to typ e u n d er a n i n ci d e n t m a n a g e m e n t p ro ce ss a n d
p ro ce d u re . I f p e rso n n e l a re n o t tra i n e d to do th i s p ro p e rl y th e
cl a ssi fi ca ti o n wi l l be va ri a b l e and th e re su l ti n g i n fo rm a ti o n u n re l i a b l e fo r
s e rvi ce re p o rti n g o r p ro b l e m m a n a g e m e n t. B e fo re l a u n ch i n g a p ro j e ct i t
i s th e re fo re a d vi s a b l e to e n s u re th o se i n vo l ve d u n d e rsta n d wh a t i s to be
d on e and wh y i t i s to be d on e. Pl a n s sh o u l d i n cl u d e d e ve l o p m e n t o f
s u i ta b l e d o cu m e n ts fo r tra i n i n g and l o n g -te rm re fe re n ce .
Wh e re a se rvi ce p ro vi d e r i s a l a rg e o rg a n i z a ti o n , wi th a d eep h i e ra rch y o f
s ta ff, b a se d in a l a rg e n u m b e r o f s e p a ra te l o ca ti o n s , co m m u n i ca ti o n s a re
d i ffi cu l t. I n te n ti o n s a t se n i o r m a n a g e m e n t l e ve l s d i s si p a te a s th e y ca s ca d e
d o wn th e h i e ra rch y, so th a t j u n i o r p e rso n n e l do n o t h e a r a n yth i n g at all
or g et a co n fu se d m e s sa g e .
Wh e n th i s i s th e ca se i t i s e ve n m o re i m p o rta n t th a t co m m u n i ca ti o n and
ca s ca d i n g o f m a n a g e m e n t i n te n ti o n s a re d on e we l l . Th i s n o rm a l l y
re q u i re s m o re p o si ti ve a cti o n and re so u rce s th a n i s n o rm a l l y re q u i re d fo r
a sm a l l o rg a n i z a ti o n wh e re e ve ryo n e kn o ws e a ch o th e r a n d th e y a l l a re
l o ca te d cl o s e to g e th e r.
For a l l o rg a n i z a ti o n s th e p e rso n n e l sh ou l d be we l l o rg a n i z e d and
co - o rd i n a te d and a b o ve all, m o ti va te d .
Agents of change
Th e re a re m a n y a d va n ta g e s to a to p -d o wn a p p ro a ch co m b i n e d wi th a
s a fe ty n e t o f b o tto m -u p su p p o rt fro m l o ca l e n th u si a sts a cti n g a s a g e n ts
o f ch a n g e . I t i s i m p o rta n t a n d p a rt o f g o o d m a n a g e m e n t p ra cti ce to
re co g n i z e th e e n e rg y a n d i n fl u e n ce o f m o re j u n i or m a n a g em en t a n d
p ra cti ti o n e rs.
S tro n g co m m u n i ti e s o f e n th u si a sts ca n n o t o ffse t th e e ffe cts o f b a d or
n o n -e xi s te n t l e a d e rsh i p , b u t th e y ca n do m u ch to re d e e m so m e o f th e
fa i l i n g s o f we a k l e a d e rs h i p . I t i s o fte n j u n i o r e n th u si a sts th a t i n i ti a te n ew
i d ea s a n d i d e n ti fy p ra cti ca l a p p ro a ch e s b e ca u se o f th e i r d e ta i l e d
u n d e rsta n d i n g o f d a y-to -d a y se rvi ce . O n ce a si zea bl e co m m u n i ty o f b e st
p ra cti ce e n th u si a sts i s e sta b l i sh e d , m a n a g e m e n t ca n no l on g er be va g u e
o r te n ta ti ve wi th th e i r sta te m e n ts a n d p o l i ci e s. On l y a n a i ve m a n a g er
a tte m p ts to manage th e sca l e o f ch a n g e re q u i re d wi th o u t th e su p p o rt
and co o p e ra ti o n o f m o re j u n i o r co l l e a g u e s.

Chapter 6 ‘What does it mean for me?’
Table 8 – Needs and characteristics of motivated staff
Needs Characteristics
• To have a challenging job • Energetic and full of initiative
that gives a sense of • Think for themselves
achievement, responsibility, • Appreciate recognition and
growth, enjoyment and challenges
promising prospects for • Seek opportunities to
promotion improve their capabilities
• To have efforts recognized • Take proactive and positive
and appreciated by actions to solve problems
management, peers and • Believe that their
customers contribution can make a
• To have the trust and difference
support of managers • Set their own challenging
• To be able to use initiative and achievable work targets
and be allowed to complete
tasks without being
constantly supervised
• To work in a team of people
who are also motivated
Providing the right people

The SMS, including the service management processes, will require the
service provider to have personnel with appropriate education, training,
skills and experience. The SMS will not be effective unless personnel are
suitably skilled and motivated.
Action should be taken if the current practices are defective because

there has been too little training in the past or because practices are
currently acceptable, but should substantially change, for example to
improve interfaces to other processes.
Setting objectives for individuals that will be involved or affected by

change is important, e.g. increasing customer satisfaction, reducing
downtime and risk.

Changing the organization
Example – Setting the right objectives
Th e re we re m a n y co m p l a i n ts a b o u t th e ti m e i t to o k to g e t th ro u g h
to th e se rvi ce d e sk. M a n y u se rs tri e d to co n ta ct o th e r su p p o rt g ro u p s
d i re ctl y. I t wa s fo u n d th a t o n l y 3 0 % o f ca l l s we re a n swe re d in si x
ri n g s. No o th e r m e a su re s we re p ro d u ce d . To i m p ro ve th e ca l l a n swe r
ti m e s , th e se rvi ce d e sk m a n a g e r g a ve e a ch m e m b e r o f th e se rvi ce
d e sk a ta rg e t o f a n swe ri n g ca l l s wi th i n si x ri n g s. Th i s wa s su p p o rte d
by a b o n u s fo r e a ch m e m b e r o f sta ff a n d l ed to 95% o f ca l l s
a n swe re d in si x ri n g s, b u t th e u se rs co n ti n u e d to co m p l a i n .
A re vi e w i d e n ti fi e d th a t th e re had been a ch a n g e in wo rki n g
p ra cti ce s. In o rd e r to a n swe r ca l l s wi th i n si x ri n g s th e s ta ff we re n ot
l og g i n g all th e ca l l s. Al so m o re ca l l s we re re fe rre d to o th e r g ro u p s,
i n ste a d of bei n g re so l ve d b y th e se rvi ce d e sk. An a l ys i s sh o we d th a t i f
a ca l l wa s n o t a n swe re d wi th i n th e ta rg e t o f si x ri n g s i t wa s n o t
u s u a l l y a n swe re d at all b e ca u s e p i cki n g up a n y ca l l th a t h a d ru n g si x
ti m e s d i d n ot h el p a ch i e ve th e b o n u s. Th e ta rg e t a n d bon u s h a d
ch a n g e d th e se rvi ce d e sk p ra cti ce s i n a wa y th a t h a d been
u n i n te n d e d .
Th e se rvi ce d e sk sta ff a n d m a n a g er h el d a se ri e s o f wo rksh o p s. Th e
re su l t wa s a se t o f n e w ta rg e ts s u g g e ste d b y th e se rvi ce d e sk sta ff
th e m se l ve s . Th e se n e w ta rg e ts i n cl u d e d th e o ri g i n a l ca l l a n swe r ti m e s
b u t we re e xte n d e d to co ve r m a xi m u m ca l l p i ck u p ti m e s a s we l l . Th e
n e w ta rg e ts i n cl u d e d m e a s u re s o n ca l l fi x ra te s a n d i n cre a se d
cu s to m e r s a ti sfa cti o n wi th th e se rvi ce d e sk.
A b o n u s wa s sp l i t a cro s s i n d i vi d u a l p e rfo rm a n ce , o ve ra l l se rvi ce d e sk
p e rfo rm a n ce and wa s ti e d to th e n e w ta rg e ts, i n cl u d i n g cu s to m e r
s a ti s fa cti o n . Wi th i n th re e m o n th s o f th e n e w ta rg e ts b e i n g pu t i n
p l a ce th e a ve ra g e ca l l p i ck, a n swe r a n d fi x ra te s i m p ro ve d . No
cu s to m e r co m p l a i n ts we re re ce i ve d at all and cu sto m e r sa ti s fa cti o n
wa s re p o rte d to be m u ch h i g h e r.
Changing the organization

I t ca n so m e ti m e s b e n e ce ssa ry to ch a n g e an o rg a n i z a ti o n a l stru ctu re or
co rre ct a m i sm a tch o f ro l e s, ski l l s a n d p e rso n a l i ty typ e s, in o rd e r to h a ve
a h i g h l y e ffe cti ve SM S. Th i s i s n o t b e ca u se an SM S re q u i re s a ce rta i n typ e
o f o rg a n i z a ti o n a l stru ctu re , b u t th a t a n i n e ffe cti ve stru ctu re wi l l m a ke it
ve ry d i ffi cu l t to i m p ro ve p ro ce sse s to an a cce p ta b l e l e ve l .
Th e p e rs o n a l i ty o f i n d i vi d u a l s ca n m a ke a d i ffe re n ce , e. g . an e ffe cti ve
m em ber of a u se r fa ci n g g ro u p e n j o ys d e a l i n g wi th peopl e and has an
e n th u si a sm fo r cu sto m e r se rvi ce . A p e rs o n wh o i s o n l y i n te re ste d in
te ch n o l o g y ca n be ve ry u n h a p p y i n a p ro ce ss m a n a g e m e n t ro l e and

Chapter 6 ‘What does it mean for me?’
fu n cti o n m u ch m o re e ffe cti ve l y i n a b a ck o ffi ce ro l e wi th m u ch l e ss
i n te ra cti o n wi th u se rs , and p o ssi b l y e ve n wi th th e i r co l l e a g u e s.
Rol es a n d respon si bi l i ti es
S e rvi ce m a n a g e m e n t ro l e s, re sp o n s i b i l i ti e s a n d co m p e te n ce s sh o u l d be
re d e fi n e d and m a i n ta i n e d a s j ob re q u i re m e n ts ch a n g e . I f th i s i s d o n e ,
sta ff wi l l u n d e rsta n d th e i r ro l e and th e wa y th e y co n tri b u te to th e o ve ra l l
se rvi ce and se rvi ce m a n a g e m e n t p ro ce ss e s. Th e y a re m o re l i ke l y to be
m o ti va te d and e ffe cti ve th a n an i n d i vi d u a l wh o i s l e ft to o p e ra te in
i s o l a ti o n , wi th o u t u n d e rs ta n d i n g th e wa y th e i r ro l e fi ts i n wi th s e rvi ce
m a n a g em en t a s a wh o l e .
A si m p l e m e th o d o f ke e p i n g tra ck o f wh o d o e s wh a t i s p ro vi d e d by a
RACI m a tri x. RACI is an a cro n ym fo r re sp o n s i b l e , a cco u n ta b l e , co n su l te d
and i n fo rm e d . An e xa m p l e i s g i ve n in Ta b l e 9. Th i s a l so s h o ws wh o is
re sp o n si b l e and h a s th e a u th o ri ty a n d o b l i g a ti o n to m a ke d e ci si o n s.
Ta bl e 9 – RACI m a tri x exa m pl e (Level 1 )
Ta sk Accou n t- Respon si - Con su l ted In-
a bl e bl e form ed
1 . Lo g Ch a n g e Ch a n g e
re q u e st i n i ti a to r i n i ti a to r
fo r ch a n g e
(RF C)
2. Ch a n g e Ch a n g e Co n fi g u ra ti o n
Ca te g o ri z e m a n a g er m a n a g er m a n a g er
RF C
3. Asse s s, Ch a n g e Ch a n g e Co n fi g u ra ti o n
a p p ra i se m a n a g er m a n a g er m a n a g er
and
sch e d u l e
RF C
4. Build, I m pl em en - I m pl em en - Ch a n g e Co n fi g u -
te st a n d ta ti o n ta ti o n m a n a g er ra ti o n
i m pl em en t m a n a g er m a n a g er man-
ch a n g e a g er
5. Ve ri fy Ch a n g e Ch a n g e Co n fi g u ra ti o n
and cl o se m a n a g er m a n a g er m a n a g er

Who talks to whom?
Who talks to whom?

Th e re is a cl o se l i n k b e twe e n u n d e rsta n d i n g and d o cu m e n ti n g ro l e s a n d
re sp o n si b i l i ti e s a n d ke e p i n g tra ck o f i n te rfa ce s b e twe e n peopl e. Th i s i s
p a rti cu l a rl y u se fu l wh e n th e i n te rfa ce s a re a cro ss o rg a n i z a ti o n a l
b o u n d a ri e s.
Ta b l e 1 0 p ro vi d e s a n i l l u stra ti o n of on e a p p ro a ch , o fte n ca l l e d co n ta ct
m a ps. Th e ro w a n d co l u m n h e a d i n g s s h o w wh i ch peopl e (o r ro l e s )
i n te rfa ce and th e ce l l wh e re th e ro w a n d co l u m n m e e t s h o ws th e
p u rp o se o f th e i n te ra cti o n .
Th i s i l l u s tra ti o n i s ba sed on an a ctu a l e xa m p l e in u se in a l a rg e
o rg a n i z a ti o n . I t i s n o t i n te n d e d as a m od el fo r o th e r o rg a n i z a ti o n s b u t
s i m p l y to d e m o n stra te th e u se o f th e te ch n i q u e of m a ppi n g i n te rfa ce s
b e twe e n p ro ce sse s or peopl e.

Ch a p te r 7 D o cu m e n ta ti o n and
a u d i t e vi d e n ce
I n trod u cti on
Th i s ch a p te r d e scri b e s th e u se o f d o cu m e n ts i n managing th e SM S, a d vi ce
on th e i r co n tro l and wh a t th e a u d i to r wi l l e xp e ct to see. E xa m p l e audit
e vi d e n ce i s i n cl u d e d in An n e x C.
D o cu m e n ts, i n cl u d i n g re co rd s, a re u se d to e n su re e ffe cti ve pl a n n i n g ,
o p e ra ti o n and co n tro l o f th e SM S. D o cu m e n ts a re a l so a ve ry i m p o rta n t
p a rt o f p ro vi d i n g e vi d e n ce d u ri n g an i n te rn a l a u d i t o r ce rti fi ca ti o n a u d i t,
e ve n th o u g h th e 2 0 0 0 0 se ri e s i s i n te n d e d to be a bou t ‘d oi n g n ot
d o cu m e n ti n g ’ .
Th e 2 0 0 0 0 se ri e s tre a ts re co rd s a s a sp e ci a l typ e o f d o cu m e n t. Re co rd s
sh o w wh a t h a s b e e n d on e, n o t i n te n ti o n s. Co n tro l o f re co rd s i s si m i l a r to
co n tro l o f o th e r typ e s o f d o cu m e n ts a n d th e Pa rt 1 re q u i re m e n ts a re
b a se d on I SO 9001 .
E xa m pl e d ocu m en ts
Al l cl a u se s i n Pa rt 1 i n vo l ve so m e d o cu m e n ts. Th e fo l l o wi n g e xa m p l e s
n eed to be d o cu m e n te d to m e e t th e re q u i re m e n ts o f Pa rt 1 , Cl a u se 4. 3 :
• p o l i cy a n d o b j e cti ve s fo r s e rvi ce m a n a g e m e n t;
• se rvi ce m a n a g em en t pl a n ;
• p o l i ci e s a n d p l a n s cre a te d fo r sp e ci fi c p ro ce ss e s re q u i re d b y Pa rt 1 ;
• ca ta l o g u e o f se rvi ce s ;
• S LAs ;
• se rvi ce m a n a g e m e n t p ro ce ss e s;
• p ro ce d u re s a n d re co rd s re q u i re d b y Pa rt 1 .
O th e r d o cu m e n ts a re a l wa ys n e ce ssa ry fo r e ffe cti ve o p e ra ti o n o f th e SM S
and d e l i ve ry o f th e se rvi ce s. E xa m p l e s i n cl u d e d o cu m e n ts a n d re co rd s
fro m su p p l i e rs , i n cl u d i n g se rvi ce re p o rts, i m p ro ve m e n t p l a n s a n d any
co n tra ctu a l o b l i g a ti o n s. O th e r e xa m p l e s ca n be fro m th e cu s to m e r,
i n cl u d i n g b u si n e ss p l a n s a n d re q u e s ts fo r n e w s e rvi ce s .

Example documents
Table 1 0 – An example of interface mapping

Chapter 7 Documentation and audit evidence
Authorities and responsibilities

D o cu m e n ts a n d re co rd s sh o u l d be a u th o ri z e d a t e a ch s ta g e , i n cl u d i n g
p ro d u cti o n , re vi e w a n d a g re e m e n t fo r th e m to be i ssu e d . I t i s ba d
p ra cti ce fo r th e p e rso n wh o cre a te s a d o cu m e n t to a l so re vi e w i t a n d th e
p e rso n wh o re vi e ws i t i s n o t n o rm a l l y th e p e rs o n wh o a u th o ri z e s i t.
Document control
Co n tro l o f d o cu m e n ts i s vi a a se t o f co n tro l s d o cu m e n te d in a p ro ce d u re .
Th i s co ve rs e a ch s ta g e o f d o cu m e n t p ro d u cti o n , i ssu e , re vi e w a n d
wi th d ra wa l :
• cre a ti o n and a p p ro va l o f d o cu m e n ts, b e fo re th e y a re i s su e d ;
• a n n o u n ce m e n ts wh e n n e w d o cu m e n ts a re a va i l a b l e and wh a t
p u rp o se th e y se rve o r wh e n d o cu m e n ts a re wi th d ra wn a s o b so l e te ;
• re vi e w o f d o cu m e n ts a t su i ta b l e i n te rva l s to i d e n ti fy n e ce s sa ry
ch a n g e s;
• wi th d ra wa l o r a d d i ti o n of a n e w d o cu m e n t fo l l o wi n g th e re vi e w;
• e a sy-to - u s e ve rsi o n co n tro l i n fo rm a ti o n : sta tu s, ch a n g e h i s to ry, ro l e s
su ch a s d o cu m e n t a u th o r a n d wh o a u th o ri z e d th e d o cu m e n t fo r
i s su e ;
• d o cu m e n t co n tro l so th a t o n l y th e co rre ct ve rsi o n is made a va i l a b l e
fo r u s e , ol d d o cu m e n ts a re re m o ve d o r a rch i ve d and d ra ft d o cu m e n ts
a re ke p t se p a ra te fro m th e cu rre n t d o cu m e n t i n u se;
• fo rm a ts, te m p l a te s a n d so ftwa re u se d to p ro d u ce and co n tro l th e
d o cu m e n ts so th a t th e y a re u sa bl e a fte r ch a n g e s i n so ftwa re ;
• d o cu m e n t co n tro l i n fo rm a ti o n fo r d o cu m e n ts o f e xte rn a l o ri g i n .
D o cu m e n ts th a t a re co n fi g u ra ti o n i te m s (CI s ) a re a l so m a n a g ed by
ch a n g e m a n a g e m e n t. D o cu m e n t re vi e w i s e ss e n ti a l to e n su re th a t
d o cu m e n ts a re fi t fo r p u rp o se , e sp e ci a l l y b e fo re th e y a re a g re e d .
Te ch n i q u e s su ch a s p e e r g ro u p re vi e w ca n be ve ry e ffe cti ve .
Record control
M o st o f th e co n tro l s fo r d o cu m e n ts a p p l y to re co rd co n tro l b e ca u se
re co rd s a re a s p e ci a l typ e o f d o cu m e n t. Re co rd s, wh i ch a re e vi d e n ce of
wh a t h a s a ctu a l l y h a p p e n e d , ca n be su b j e ct to stri cte r se cu ri ty co n tro l s
th a n o th e r typ e s o f d o cu m e n t, wh i ch d e scri b e i n te n t. Th e se rvi ce p ro vi d e r
fo l l o ws a p ro ce d u re th a t e n su re s re co rd i d e n ti fi ca ti o n , sto ra g e ,
p ro te cti o n , l e g i b i l i ty, i d e n ti fi ca ti o n , re tri e va l , re te n ti o n and d i sp o sa l .

Document libraries
Retention and disposal

Re co rd s s h o w wh a t h a p p e n e d at a poi n t i n ti m e , so wh e n o th e r re co rd s
a re p ro d u ce d l a te r, th e e a rl i e r re co rd s m i g h t n e e d to be re ta i n e d and n ot
re p l a ce d . Th e re ca n be a l eg a l re q u i re m e n t to re ta i n re co rd s , b e ca u se
th e y sh o w wh a t h a p p e n e d . Th e l e n g th o f ti m e i s o fte n d e te rm i n e d by
re g u l a to ry a n d sta tu to ry o b l i g a ti o n s , e. g . fi n a n ci a l re co rd s, re co rd s o n
ch a n g e s fo r S a rb a n e s -O xl e y e tc.
Th e re ca n a l so be co n tra ctu a l re q u i re m e n ts fo r re te n ti o n o f re co rd s, in
som e ca se s b e ca u se th e cu sto m e r n e e d s a cce ss to ol d re co rd s fo r th e i r
o wn sta tu to ry a n d re g u l a to ry o b l i g a ti o n s. Th e se rvi ce p ro vi d e r’s o wn
o rg a n i z a ti o n sh o u l d a g re e h ow l on g a re co rd sh o u l d be re ta i n e d and
bu i l d th e re te n ti o n p e ri o d i n to a p ro ce d u re . Th e p ro ce d u re s sh o u l d
i n cl u d e d e ta i l s o f re co rd s th a t a re d i sp o s e d o f, e s p e ci a l l y re co rd s th a t
i n cl u d e i n fo rm a ti o n th a t sh o u l d be ke p t co n fi d e n ti a l . Th e p ro ce d u re
sh ou l d a l so s ta te wh a t i s d o n e to th e re co rd a fte r th e re te n ti o n p e ri o d .
Links to information security

I t i s s o m e ti m e s a p p ro p ri a te to d e ve l o p a p o l i cy o n d o cu m e n t a n d re co rd
co n tro l , to re i n fo rce th e i m p o rta n ce of h a n d l i n g re co rd s o f se n si ti ve
i n fo rm a ti o n . Th i s l i n ks stro n g l y to th e re q u i re m e n ts i n Pa rt 1 , Cl a u se 6. 6,
on i n fo rm a ti o n se cu ri ty. An i n fo rm a ti o n s e cu ri ty p o l i cy ca n d ri ve th e
Pa rt 1 , Cl a u se 4. 3 d o cu m e n t a n d re co rd m a n a g e m e n t p ro ce d u re s.
Ease of use
Th e 2 0000 se ri e s m a ke s n o re fe re n ce to a n y typ e o f p re fe rre d fo rm a t o r
m ed i a fo r d o cu m e n ts. H o we ve r, m a n y s e rvi ce p ro vi d e rs fi n d th a t so ftwa re
fo r d o cu m e n t co n tro l m a ke s i t m u ch e a si e r to m e e t th e re q u i re m e n ts i n
Pa rt 1 , Cl a u se 4. 3 . Th e re i s l e s s ri sk o f l o si n g o r a cci d e n ta l l y o ve rwri ti n g a
d o cu m e n t a n d m a n y o f th e p ro ce d u re s ca n be a u to m a te d .
Al th o u g h an a u d i to r i s u n l i ke l y to cri ti q u e th e styl e of a d o cu m e n t, th e
d o cu m e n t wi l l p ro vi d e no va l u e i f i t i s d i ffi cu l t to u n d e rsta n d , e. g . o ve rl y
te ch n i ca l language fo r a n o n - te ch n i ca l re a d e r.
Document libraries
Co n tro l i s e a si e r i f th e re is a l i b ra ry fo r th e d o cu m e n ts a n d re co rd s.
D e fi n i n g th e re l a ti o n sh i p s b e twe e n d o cu m e n ts i s si m p l i fi e d b y:
• g ro u p i n g re l a te d d o cu m e n ts i n to a l o g i ca l se t, e. g . fo l d e rs;
• re fe re n ci n g d e p e n d e n t d o cu m e n ts i n a d o cu m e n t;

• d e fi n i n g th e re l a ti o n sh i p s b e twe e n d o cu m e n ts;
• ch a n g e re co rd s u si n g th e co n fi g u ra ti o n m a n a g e m e n t re co rd s .
Som e se rvi ce p ro vi d e rs i n cl u d e a ta b l e in th e d o cu m e n t co n tro l p ro ce d u re
th a t s h o ws wh e re e a ch typ e o f d o cu m e n t a n d re co rd i s h el d p h ysi ca l l y o r
e l e ctro n i ca l l y.
Al te rn a ti ve l y, or a s a s u p p l e m e n t, a g ra p h i ca l re p re se n ta ti o n m a y be
u se d , s u ch a s th e e xa m p l e in F i g u re 5. Th i s i s a re p re s e n ta ti o n o f th e
h i e ra rch i ca l re l a ti o n s h i p s, wi th su p p o rti n g d e ta i l s. In th i s e xa m p l e , th e
l i n ks j o i n i n g th e b o xe s re p re s e n t h yp e rl i n ks i f th e d o cu m e n ts a re on an
i n tra n e t, or m a n u a l cro ss re fe re n ce s i f n o t.
Checklist for documents and records
1 . U se te m p l a te s fo r d o cu m e n ts
2. U se sta n d a rd fo rm a ts fo r e a ch typ e o f d o cu m e n t
3. I d e n ti fy, re g i ste r a n d co n tro l e xte rn a l d o cu m e n ts
4. U se unique d o cu m e n t i d e n ti fi ca ti o n , re g i s tra ti o n and ve rsi o n
co n tro l
5. Cre a te d o cu m e n ts fo r e ffe cti ve u se b y ta rg e t a u d i e n ce
6. Tra ck d o cu m e n t s ta tu s a n d ch a n g e s to s ta tu s
7. U se ch a n g e m a n a g e m e n t fo r d o cu m e n ts
8. Ve ri fy d o cu m e n t to ch e ck th a t i t h a s th e ri g h t sco p e and i s fi t fo r
p u rp o se
9. Re vi e w a n d a p p ro ve d o cu m e n ts b e fo re i ss u e o r re -i ssu e
1 0. Pro vi d e s e cu re b a cku p fo r d o cu m e n ts a n d p ro te ct a g a i n s t
damage
1 1 . Ap p l y a p p ro p ri a te se cu ri ty to p ro te ct a g a i n s t u n a u th o ri z e d u se
1 2. S e l e ct su i ta b l e m ed i a and fo rm a t fo r th e ta rg e t a u d i e n ce
1 3. Ag re e p o l i cy, p ro ce ss a n d p ro ce d u re on wi th d ra wa l and a rch i vi n g
1 4. Ag re e p o l i cy, p ro ce ss a n d p ro ce d u re fo r re tu rn o f e xte rn a l
d o cu m e n ts
1 5. Ag re e p o l i cy, p ro ce ss a n d p ro ce d u re fo r se cu re d i sp o sa l
What will the auditor want to see?

Th e a n swe r, a t l ea st i n p a rt, i s ‘I t d epen d s’. M o st o f th e a u d i t e vi d e n ce of
th e e ffe cti ve n e ss o f th e SM S, i n cl u d i n g th e s e rvi ce m a n a g em en t
p ro ce sse s, i s b a se d on d o cu m e n ts, i n cl u d i n g re co rd s . H o we ve r, th e re is no
l i st o f a u d i t e vi d e n ce in Pa rt 1 .
An a u d i to r wi l l a sk to se e d o cu m e n ts a n d re co rd s a p p ro p ri a te to
wh i ch e ve r Pa rt 1 cl a u se i s bei n g a u d i te d . I f th e a u d i t fo l l o ws a p re vi o u s
a u d i t i t i s l i ke l y th a t th e a u d i to r wi l l a sk to se e d o cu m e n ts th a t re l a te to
a p re vi o u sl y n o te d n o n - co n fo rm i ty. F o r e xa m p l e , an a u d i to r ca n sta rt wi th
th e d o cu m e n ts o n a ch a n g e to th e cu sto m e r’s b u si n e s s th a t l e d to a

What will the auditor want to see?
Figure 5 – Example hierarchical document library
change to the service and the service provider’s SMS. The auditor can
then ask for the evidence that tracks this change rippling through the
processes involved. This includes those in the supply chain of BRM, SLM
and supplier management.
Other documents that the auditor can check are the change management
records providing evidence that the technical, resource and personnel
changes were considered. For higher risk changes, the planning for new
or changed services from design onwards could be audited.

Key point
Au d i to rs wi l l e xp e ct d o cu m e n ts a n d re co rd s to be g ro u p e d in
an o rd e rl y stru ctu re , p ro vi d i n g e vi d e n ce of a l o g i ca l a p p ro a ch
to d o cu m e n t a n d re co rd m a n a g e m e n t. Au d i to rs wi l l a l so e xp e ct
peopl e to be a bl e to fi n d d o cu m e n ts e a si l y. Au d i to rs wi l l e xp e ct
peopl e to be a bl e to i d e n ti fy a n d e xp l a i n th e d o cu m e n ts a n d
re co rd s th a t th e y u se to su p p o rt th e i r se rvi ce m a n a g em en t
a cti vi ti e s.
D o cu m e n ts, i n cl u d i n g re co rd s , a re u se d to e n su re e ffe cti ve pl a n n i n g ,
o p e ra ti o n and co n tro l o f th e SM S. D o cu m e n ta ti o n n e e d s to be d e si g n e d
and wri tte n to fu l fi l th e p u rp o se o f th e d o cu m e n t a n d th e ta rg e t
a u d i e n ce . I t i s re l a ti ve l y e a sy fo r a n a u d i to r to se e i f peopl e h a ve
d i ffi cu l ty fi n d i n g and u si n g d o cu m e n ta ti o n .
Example – Documenting not doing – too much of a good thing
A se rvi ce p ro vi d e r wa s co n fi d e n t th a t th e se rvi ce d e l i ve re d wa s g o o d ,
b u t to p m a n a g e m e n t we re co n ce rn e d th a t i t wo u l d n ot be p o ssi b l e
to p ro ve th i s to an a u d i to r b e ca u se th e re we re fe w d o cu m e n ts a s
e vi d e n ce . A p ro j e ct to fi l l in all th e g a p s p ro d u ce d m a n y d o cu m e n ts.
H o we ve r, d e sp i te all th e e ffo rt, th e re we re p ro b l e m s wi th th e q u a l i ty
and q u a n ti ty o f d o cu m e n ts.
• M a n y n e w d o cu m e n ts h a d no i d e n ti fi ca ti o n and ve rsi o n i n g .
• D o cu m e n ts we re ve ry l o n g and e xtre m e l y d e ta i l e d .
• Th e d o cu m e n ts ti tl e d ‘ Po l i cy’ i n cl u d e d co ve re d p ro ce ss e s a n d
p ro ce d u re s.
• Pe rso n n e l co u l d n o t u n d e rsta n d th e l o g i c o f th e d o cu m e n t i n d e x.
• Th e s e a rch fa ci l i ty p ro d u ce d u n e xp e cte d d o cu m e n ts.
A n e w m a n a g e r e sta b l i sh e d a d o cu m e n t l i b ra ry stru ctu re , d o cu m e n t
m a n a g e m e n t p o l i ci e s , and te m p l a te s. Som e d o cu m e n ts we re re u s e d
b u t re d u ce d in l e n g th . Po l i ci e s we re l e ss th a n on e pa g e and p ro ce sse s
a m a xi m u m o f two pa g es. Th e d o cu m e n t co n tro l i n fo rm a ti o n wa s a
si n g l e pa g e a t th e en d . Al l d o cu m e n ts we re u n d e r th e co n tro l of a
we b - e n a b l e d d o cu m e n t i n d e xi n g and se a rch fa ci l i ty. Pe rso n n e l we re
a bl e to l o ca te u se fu l i n fo rm a ti o n q u i ckl y.
Th i s e n co u ra g e d th e m to a d opt a co n si ste n t a p p ro a ch to th e i r wo rk,
i m p ro vi n g se rvi ce m a n a g em en t a n d re d u ce d th e ri s k o f th e wro n g
d o cu m e n t b e i n g u se d .

Chapter 8 Service reports
I n trod u cti on
This chapter describes the principles of good service reports, the way the
Part 1 requirements can be met and advice on good practices.
Part 1 , Clause 6.2, service reporting, is one of the shortest in Part 1 .

Despite its brevity it is important to an effective SMS. Clause 6.2 covers all
service reports, and is not limited to those produced for the customers
and users. Service reports are a mechanism for integrating processes, the
basis for reviews and internal audits and are a high proportion of the
evidence for an audit.
Wh a t i s a servi ce report?
A service report can be a list, table or chart. Although a picture is said to

paint a thousand words, most charts require supporting text, so that the
combination of the two is more effective. For some organizations, tables
will be preferred to charts and for some, the reverse. Each service
provider should decide what is most appropriate for each target audience
and the information being reported.
Th e pri n ci pl es of g ood servi ce reports
Key poi n t
A common fault in service management is reports that contain

simply what has been historically available, produced by habit,
and never stopped, no longer relevant or not what is needed.
The 20000 series provides requirements and advice on making
service reports an effective part of an SMS.
A good service report is one that illustrates the speed, effectiveness and
predictability of processes or services. A good service report therefore

sh o ws h o w we l l an SM S h a s been d e si g n e d and i m p l e m e n te d and p o l i ci e s
o r o b j e cti ve s a ch i e ve d . A g ood se rvi ce re p o rt i s ti m e l y, cl e a r, re l i a b l e ,
co n ci s e and a p p ro p ri a te to th e re ci p i e n t’s n e e d s . I t i s su ffi ci e n tl y a ccu ra te
fo r d e ci si o n - m a ki n g . G ood se rvi ce re p o rts co n ta i n i n fo rm a ti o n th a t i s e a sy
to a ssi m i l a te and a l l o w th e re a d e r to i d e n ti fy wh a t a cti o n s to ta ke .
Co n ve rse l y, a ba d se rvi ce re p o rt i s b a se d on i n a ccu ra te d a ta , d i ffi cu l t to
u n d e rsta n d , i m p l i e s g re a te r a ccu ra cy th a n i s p o ss i b l e , co ve rs u n i m p o rta n t
to p i cs o r th o se th a t ca n n o t b e ch a n g e d .
G ood s e rvi ce re p o rts a re n ot a n a cci d e n t. Th e se rvi ce re p o rti n g p ro ce ss
h a s to be d e si g n e d j u st l i ke a n y o th e r i n th e SM S. Th e d e si g n sta rts wi th
an u n d e rsta n d i n g o f th e se rvi ce m a n a g e m e n t p o l i ci e s, o b j e cti ve s a n d th e
re l a ti o n sh i p o f se rvi ce re p o rti n g to th e re st o f th e SM S. Re p o rts su i ta b l e
wh e n an SM S wa s i m p l e m e n te d ca n b e co m e u n s u i ta b l e a s ch a n g e s a re
made to th e SM S, th e s e rvi ce o r i f th e re is a ch a n g e in th e cu sto m e r’s
b u si n e ss a cti vi ti e s.
S e rvi ce re p o rts sh o u l d fo cu s o n th o se th i n g s th a t m a tte r a n d th o se th a t
ca n be ch a n g e d b y th e se rvi ce p ro vi d e r. S e rvi ce re p o rti n g a l so h a s to ta ke
i n to a cco u n t l i m i ts o n wh a t ca n be re p o rte d , e. g . a ccu ra cy o f th e d a ta or
manual e ffo rt to p ro d u ce th e se rvi ce re p o rts. Th e a va i l a b i l i ty o f to o l s ca n
be a l i m i ta ti o n .
Key point
Accuracy and precision – don’t let the numbers fool you
S e rvi ce m a n a g e m e n t m e a su re s, s u ch a s a va i l a b i l i ty, a re o fte n
re p o rte d to s e ve ra l d e ci m a l p l a ce s, bu t i n m a n y ca se s th e va l u e
i s ba sed on manual e n try o f sta rt a n d en d ti m e s fo r i n ci d e n ts ,
o fte n ro u n d e d to th e n e a re st fi ve m i n u te s. Th e re s o l u ti o n ti m e
ca n be wro n g b y m u ch m o re th a n fi ve m i n u te s e ve n i f th e sta rt
ti m e i s co rre ct. For a sh o rt i n ci d e n t th i s ca n re p re se n t a si zea bl e
p e rce n ta g e e rro r. Ch a n g e s o ve r ti m e ca n be due to e rro rs i n th e
u n d e rl yi n g d a ta o r ch a n g e s i n h o w th e d a ta i s co l l e cte d . Th i s i s
o fte n an u n i n te n d e d co n se q u e n ce o f a ss u m i n g a u to m a ti n g
re p o rt p ro d u cti o n m e a n s re p o rts a re a ccu ra te .
S e rvi ce re p o rts a re u sed a s i n fo rm a ti o n fl o ws b e twe e n p ro ce sse s a n d a re
th e re fo re p a rt o f p ro ce ss i n te g ra ti o n . E xa m p l e s i n cl u d e i n fo rm a ti o n on
l o st a va i l a b i l i ty o r ca p a ci ty i ssu e s u se d b y B RM d u ri n g m e e ti n g s wi th
cu sto m e rs.

Minimum requirements
Th e i n fo rm a ti o n in se rvi ce re p o rts th a t p a ss e s b e twe e n p ro ce ss e s a n d
a cro ss a su p p l y ch a i n ca n be u se d to a ss e ss h o w we l l th e i n te rfa ce s a re
m a n a g ed . F o r e xa m p l e , se rvi ce re p o rts o n ch a n g e s p a ss i n g to p ro b l e m
m a n a g e m e n t, and vi ce ve rs a ca n be ch e cke d d u ri n g an a u d i t.
A ch e ckl i s t i s a l so g i ve n b e l o w.
Checklist for service report design
1 . Wh o sh o u l d re ce i ve a re p o rt a n d wh y?
2. Wh a t d o e s th e ta rg e t a u d i e n ce n eed to kn o w a n d wh y?
3. Wh a t fo rm a t wo u l d th e a u d i e n ce p re fe r to re ce i ve ?
4. Wi l l th e fre q u e n cy o f th e re p o rt b e a p p ro p ri a te ?
5. I s th e co st o f th e m e tri c p ro d u cti o n j u sti fi e d ?
6. Are su p p o rti n g m e tri cs a va i l a b l e i f re q u i re d ?
7. I s i t cl e a r wh a t p ro ce s s(e s) u n d e rp i n s e a ch re p o rt?
8. I s th e re l a ti o n sh i p to o th e r m e tri cs u n d e rsto o d ?
9. I s th e so u rce o f th e d a ta and i ts a ccu ra cy u n d e rs to o d ?
1 0. Are th e a l g o ri th m s u n d e rsto o d and d o cu m e n te d ?
1 1 . I s th e d a ta a ccu ra te en ou g h fo r th e i n te n d e d u se ?
1 2. Are th e re p o rts g i ve n g re a te r p re ci s i o n th a n th e a ccu ra cy
j u sti fi e s?
1 3. I s th e l i n k b e twe e n o b j e cti ve s a n d cri ti ca l su cce ss fa cto rs cl e a r?
1 4. Wh a t a cti o n wi l l be tri g g e re d b y th e re p o rts?
1 5. Are th e co n te n ts su i ta b l e fo r i n fo rm e d d e ci s i o n -m a ki n g ?
1 6. D o e s th i s m e tri c re p o rt o n so m e th i n g wh e re no a cti o n is
p o s si b l e ?
1 7. Wh o i n te rp re ts th e m e tri c a n d wi l l th e y b e a bl e to do th i s
a ccu ra te l y?
1 8. I s th e i n te rp re ta ti o n o b j e cti ve ?
1 9. Wi l l th e i n fo rm a ti o n be u n d e rsta n d a b l e to th e re ci p i e n t?
2 0. H o w wi l l th e m e tri c a n d s e rvi ce re p o rts b e te ste d ?
21 . H a ve yo u sch e d u l e d p e ri o d i c re vi e ws to m a ke su re th e re p o rts
a re s ti l l re q u i re d ?
22. I s re p o rt d e si g n u n d e r th e co n tro l o f ch a n g e m a n a g e m e n t?
Minimum requirements
Pa rt 1 re q u i re s th e fo l l o wi n g minimum re p o rts to be p ro d u ce d :
• p e rfo rm a n ce a g a i n st se rvi ce ta rg e ts /fa i l u re to m e e t se rvi ce
• i n fo rm a ti o n on m a j o r i n ci d e n ts,
• re p o rts o n d e p l o ym e n t o f n e w o r ch a n g e d se rvi ce s;
• i n vo ca ti o n o f th e se rvi ce co n ti n u i ty p l a n ;
• wo rkl o a d ch a ra cte ri sti cs i n cl u d i n g vo l u m e s a n d p e ri o d i c ch a n g e s;
• n o n co n fo rm i ti e s a g a i n s t Pa rt 1 , i . e. th e re q u i re m e n ts fo r th e SM S;

• trend information;
• customer satisfaction measurements;
• number of complaints and analysis of the reasons for complaints.
The service provider is also required to use the reports for

decision-making. This could include use in a service review as part of SLM,
or a management review as part of Part 1 , Clause 4 requirements.
Evidence of actions taken can be checked by the auditor. This may also be
checked during the management review under the PDCA cycle. Agreed
actions should be communicated to interested parties.
Other parties and service reports

Part 1 includes requirements for information about the service provided
by other parties. Under the requirements of Part 1 , Clause 4.2 service
reports are essential for demonstrating governance of processes operated
by suppliers, lead suppliers, internal groups and customers acting as
suppliers.
Service reports should reflect the relationships between the service

provider and other parties. For example, if several sub-contracted
suppliers are managed by a single lead supplier, the lead supplier should
report on the whole of the service they provide, including any services or
service components provided by sub-contracted suppliers.
Types of service report

Reactive
Reactive reports show what has happened, particularly from the
predominantly reactive processes, such as incident management. They
include:
• service desk telephone call volumes per month;

• numbers of problems and incidents;
• security incidents;
• number of changes;
• response times.
Value is added to these basic reports listed by producing them for each
service, customer or location etc. They can also be subdivided or ordered
by categories such as type of incident, problem or change, scale of impact
or priority.

Types of service report
Th e se a re th e e a s i e st re p o rts to p ro d u ce in th e e a rl y sta g e s o f a n SM S.
H o we ve r, th e y ca n be se e n a s o n l y re p o rti n g ba d n e ws , i . e. wh a t we n t
wro n g , wi th o u t a n y i n fo rm a ti o n on wh a t we n t ri g h t o r co rre cti ve a cti o n
to p re ve n t re p e a t fa i l u re s.
Proactive
Pro a cti ve re p o rts g i ve a d va n ce wa rn i n g o f e ve n ts th a t co u l d i m p a ct th e
s e rvi ce . Th i s typ e o f re p o rt i s fre q u e n tl y b a se d on th e e xtra p o l a ti o n of
h i sto ri c i n fo rm a ti o n . Pro a cti ve re p o rts ca n be p re d i cti o n s b a s e d on th e
e s ti m a te d i m p a ct o f e xp e cte d e ve n ts, su ch a s wo rkl o a d i n cre a se s fro m a
n e w p ro d u ct l a u n ch . I f a cte d u pon wi th i n th e ri g h t ti m e s ca l e , th e y wi l l
en a bl e p re ve n ti ve a cti o n to be i d e n ti fi e d and ta ke n b e fo re th e s e rvi ce
h a s been i m p a cte d . As a re s u l t th e y ca n be h a rd e r to p ro d u ce b u t wi l l be
m o re co n s tru cti ve to u se .
An e xa m p l e of a p ro a cti ve se rvi ce re p o rt i s g i ve n in F i g u re 6. Th i s sh o ws a
co m b i n a ti o n o f a ctu a l d a ta m o n i to re d m o n th b y m o n th fo r 1 3 m o n th s,
tre n d s a n d th e m a xi m u m n u m b e r o f we b pa g e i m p re s si o n s p re d i cte d fo r
th e a va i l a b l e ca p a ci ty.
Figure 6 – A sample proactive report on website hits

Forward schedule reports

F o rwa rd sch e d u l e re p o rts sh o w p l a n n e d a cti vi ti e s, i . e. th o se a cti vi ti e s th a t
a re p re d i cta b l e , i n te n ti o n a l and u su a l l y d e si ra b l e . M o s t a re p a rt o f a
ch a n g e l i fe cycl e and m a n y a re th e re su l t o f p ro j e cts. E xa m p l e s i n cl u d e
G a n tt ch a rts , ch a n g e o r ca p a ci ty m a n a g e m e n t re p o rts . G i vi n g n o ti ce of
i n te n ti o n s vi a th i s typ e o f re p o rt a l l o ws o th e r p e o p l e and p ro ce s se s to
a d a p t d a y-to -d a y a cti vi ti e s, i f n e ce ss a ry.
Key point
Al l th re e typ e s o f re p o rt ca n be e xce p ti o n re p o rts, i . e. on l y
p ro d u ce d u n d e r sp e ci fi c co n d i ti o n s, e. g . a se rvi ce o u tsi d e
a g re e d l i m i ts. An e xce p ti o n re p o rt i s o fte n a p p ro p ri a te to
e xp l a i n an u n u su a l e ve n t th a t h a s e i th e r i m p a cte d th e
cu s to m e r’s s e rvi ce o r p u t i t a t ri s k, s u ch as a s e ri o u s i n fo rm a ti o n
se cu ri ty i n ci d e n t. E xce p ti o n re p o rts a l so re d u ce th e n u m ber of
re p o rts ro u ti n e l y i ssu e d th a t a ctu a l l y re p o rt n o th i n g o f i n te re s t
to th e ta rg e t a u d i e n ce . Th e d e fi n i ti o n o f ‘ e xce p ti o n ’ sh ou l d be
a g re e d b y th e ta rg e t a u d i e n ce .
Target audience
Re p o rts s h o u l d be d e si g n e d fo r a s p e ci fi c ta rg e t a u d i e n ce and n o t i ss u e d
i n d i s cri m i n a te l y to a n yo n e and e ve ryo n e . A se rvi ce re p o rt fro m on e
p ro ce ss sh o u l d be d esi g n ed on th e b a si s th a t th e ta rg e t a u d i e n ce m a y be
a n o th e r p ro ce ss a s we l l a s th o se th a t a re o p e ra ti n g th e p ro ce ss.
U n d e r so m e ci rcu m sta n ce s th e sa m e typ e o f re p o rt ca n be u se d b y b o th
cu sto m e r a n d se rvi ce p ro vi d e r, b u t wi th d i ffe re n t o b j e cti ve s . F o r e xa m p l e ,
a re p o rt ca n be b a se d on th e n u m ber of ‘H ow d o I … ?’ q u e ri e s, and be
u se d to i d e n ti fy tra i n i n g n e e d s, d e ve l o p ‘ fre q u e n tl y a s ke d q u e sti o n s’ or
u se d to a s se ss th e e ffe cti ve n e ss o f re l e a se and d e p l o ym e n t.
Customer and user reports

S e rvi ce re p o rts fo r cu sto m e rs a n d u se rs h a ve an e xte rn a l b u si n e ss fo cu s
and sh o u l d u se th e cu s to m e r’s te rm s a n d l a n g u a g e, n o t th e se rvi ce
p ro vi d e r’s te ch n i ca l language o r j a rg o n .

Target audience
Key point
Re p o rts fo r cu sto m e rs sh o u l d h el p th e re a d e r a n swe r th e
fo l l o wi n g m a j o r s e rvi ce - re l a te d q u e sti o n s.
• I s th e s e rvi ce d e l i ve ri n g wh a t th e cu sto m e r e xp e cts?
• I s th e s e rvi ce m e e ti n g th e cu sto m e r’s b u si n e s s n e e d s?
• I s th e s e rvi ce va l u e fo r m o n e y?
• H a s th e s e rvi ce g o t b e tte r o r wo rse ?
• Wh a t ca n be d on e to i m p ro ve wh a t th e cu sto m e r se e s?
• Wh a t ca n be d on e to i m p ro ve th e se rvi ce d e l i ve re d to th e
cu sto m e r?
Cu s to m e rs sh o u l d h a ve re p o rts th a t sta te th e b u si n e ss i m p a ct/co st, n ot on
th e se rvi ce p ro vi d e r’s i n te rn a l i s su e s, e. g . tre n d s i n u rg e n t p ro b l e m s th a t
h a ve b ee n fi xe d b y i n d i vi d u a l su p p o rt te a m s. Cu sto m e r re p o rts a re o fte n
l i n ke d to an S LA a n d wi l l typ i ca l l y i n cl u d e i n fo rm a ti o n s u ch a s p ro b l e m s
wi th syste m x, d e l a ye d bi l l i n g fo r y d a ys , wi th l o ss o f z .
Service provider’s reports

Th e s e rvi ce p ro vi d e r’s o wn re p o rts a re i n te n ti o n a l l y i n te rn a l l y fo cu se d
and u su a l l y m o re n u m e ro u s th a n th o se fo r th e cu sto m e r. Th e se rvi ce
p ro vi d e r’s re p o rts sh o u l d co ve r th e re q u i re m e n ts o f Pa rt 1 , Cl a u s e 4 fo r
m a n a g e m e n t re sp o n s i b i l i ti e s, co n ti n u a l i m p ro ve m e n ts a n d p ro ce s s
i n te g ra ti o n . Th e se i n cl u d e :
• p ro g re ss i n e s ta b l i sh i n g th e s e rvi ce m a n a g e m e n t p o l i ci e s;
• p ro g re ss wi th co m m u n i ca ti n g o b j e cti ve s;
• s ta tu s a n d p l a n s fo r s e rvi ce m a n a g e m e n t d o cu m e n ta ti o n ;
• p ro g re ss wi th th e d e fi n i ti o n o f ro l e s a n d re sp o n s i b i l i ti e s;
• tra i n i n g re co rd s a g a i n st p l a n n e d and b u d g e te d ta rg e ts;
• e ffi ci e n cy o f th e p ro ce s s, e. g . u n i t co st o f a ta sk;
• s u cce s s o f p l a n s fo r i m p ro ve m e n ts to th e SM S.
Re p o rti n g on a p o l i cy i s i l l u stra te d in th e e xa m p l e b e l o w.
Example – Service improvement policy implementation
If a se rvi ce p ro vi d e r’s p o l i cy i n cl u d e s ‘ se rvi ce i m p ro ve m e n ts wi l l be
ta rg e te d a t d e l i ve ri n g a fa ste r a n d ch e a p e r re so l u ti o n se rvi ce ’ , th e n a
s u i ta b l e se rvi ce re p o rt co u l d co ve r:
• tre n d s i n i n ci d e n t a n d p ro b l e m vo l u m e s fo r p ro b l e m a vo i d a n ce ;

• tre n d s i n a ve ra g e re s o l u ti o n ti m e s fo r fa s te r m e th o d s o f
re so l u ti o n ;
• tre n d s i n u n i t co s t o f i n ci d e n t re s o l u ti o n to ta rg e t ch e a p e r u n i t
co sts.
Th e se se rvi ce re p o rts a re fro m s e ve ra l p ro ce s se s. In th i s e xa m p l e , th e
p ro ce sse s a re i n ci d e n t a n d p ro b l e m , I T b u d g e ti n g and a cco u n ti n g .
A se rvi ce p ro vi d e r h a s re sp o n si b i l i ty fo r th e wh o l e s e rvi ce th a t i s
d e l i ve re d to th e cu sto m e r, and th e re fo re n e e d s re p o rts th a t co ve r th e
wh o l e s e rvi ce . Th e se rvi ce p ro vi d e r sh o u l d i n cl u d e se rvi ce re p o rti n g
n e e d s wh e n sp e ci fyi n g th e s e rvi ce th e y re q u i re fro m th e i r s u p p l i e rs.
S e rvi ce p ro vi d e rs wi l l fi n d i t b e n e fi ci a l i f th e i r su p p l i e rs a d h e re to th e
sa m e d esi g n p ri n ci p l e s wh e n d e ve l o p i n g re p o rts. Th i s wi l l e n s u re th a t
th e su p p l i e r’s se rvi ce re p o rts, wh i ch a re re q u i re d to manage th e
i n te rfa ce s b e twe e n p ro ce s se s (a n d th e wh o l e s u p p l y ch a i n ) , a re
co m p a ti b l e wi th th o se o f th e se rvi ce p ro vi d e r.
Th e se rvi ce re p o rts sh o u l d a l so co ve r co m p o n e n ts o f th e se rvi ce and th e
se rvi ce m a n a g e m e n t p ro ce ss e s . Th e y typ i ca l l y co ve r th e i d e n ti fi ca ti o n of
u n d e rl yi n g fa u l ts a n d wo rkl o a d o r p e rfo rm a n ce d a ta . Th e y re fl e ct th e
co m p o n e n ts o f th e s e rvi ce , e. g . co m p o n e n ts su ch a s se rve rs , ro u te rs, h u bs
and ca b l i n g . Th e y ca n i n cl u d e a l o w l e ve l o f d e ta i l .
Th e te rm i n o l o g y u se d and th e o ve ra l l vi e w o f th e se rvi ce wi l l be fro m th e
se rvi ce p ro vi d e r’s p e rsp e cti ve and ca n be m u ch m o re te ch n i ca l th a n th e
re p o rts p ro d u ce d fo r cu s to m e rs.
Th e re p o rts sh o u l d h el p to i d e n ti fy:
• se rvi ce tre n d s;
• u n re l i a b l e co m p o n e n ts o f th e i n fra stru ctu re ;
• re so u rce /co s t i n te n s i ve ta sks;
• p o te n ti a l i m p ro ve m e n ts .
Managing service reports

I t i s n e ce ssa ry to a p p l y th e p ri n ci p l e s o f b e s t p ra cti ce d o cu m e n t
m a n a g e m e n t to s e rvi ce re p o rts, a s d e scri b e d in Ch a p te r 7 .

Key point
The minimum information for each report is:
• identity, usually as reference for coding;

• purpose, what it shows and why it is produced;
• target audience, who should receive it and the way they
will use it;
• frequency and timetable – when is it issued;
• data sources and any limits on or risks to accuracy;
• algorithms used.
This is expanded on in Table 1 1 .

78

Ta bl e 1 1 – i n form a ti on a bou t servi ce reports
I tem Pu rpose/d escri pti on E xa m pl e
Referen ce: Co d e so th a t e a ch re p o rt ca n be re fe re n ce d S LM -M -S LA-0 0 6
u n a m b i g u o u sl y a n d e a s i l y co n tro l l e d . • S LM – p ro ce s s
Co d i n g th a t g ro u p s si m i l a r typ e s i s u s e fu l , i . e. b y p o l i cy • M – m o n th l y
o r p ro ce ss. • S LA - re p o rt fo r cu sto m e rs
Th e co d i n g sh o u l d re fl e ct h i e ra rch i ca l re l a ti o n sh i p s • 006 – u n i q u e re fe re n ce wi th i n th i s
b e twe e n re p o rts. ca te g o ry
N a m e: S i m p l i fi e s d i scu ssi o n s d u ri n g th e d e si g n and p ro d u cti o n S LA re p o rt fo r [ se rvi ce n a m e] , MM YY
o f re p o rts.
Ta rg et a u d i en ce: Ro l e , fu n cti o n , d e p a rtm e n t, o rg a n i z a ti o n l e ve l . • Cu s to m e r

Introduction to the ISO/IEC 20000 Series
• Pro ce ss o wn e r fo r S LM
• Pro ce ss o wn e r fo r B RM
• S e rvi ce m a n a g er
N o te : n a m e s o f i n d i vi d u a l s g o ou t of
d a te to o q u i ckl y a n d sh o u l d n ot be
u se d .
O bj ecti ve/ Wh y th i s re p o rt i s p ro d u ce d , b ri e fl y d e fi n e d . Co m p a ri so n wi th S LA ta rg e ts , p a rt o f
pu rpose: th e co m m i tm e n t to th e cu sto m e r.
Li n ks/cross I d e n ti fi ca ti o n o f re l a ti o n sh i p b e twe e n th e re p o rt a n d S e rvi ce ca ta l o g u e re fe re n ce
referen ces: th e co m p o n e n t of th e SM S to wh i ch i t re l a te s . Som e
re p o rts wi l l h a ve m o re th a n on e cro ss re fe re n ce .
Th e s e l i n ka g e s/cro ss re fe re n ce s a re si m i l a r to th o se in
co n fi g u ra ti o n m a n a g em en t a n d a re wh y se rvi ce re p o rts
ca n b e n e fi t fro m bei n g cl a sse d a s CI s.

Introduction to the ISO/IEC 20000 Series
Process i n terfa ces: Wh a t p ro ce sse s p ro vi d e i n p u t i n fo rm a ti o n re q u i re d by I n fo rm a ti o n fro m p ro b l e m
th i s re p o rt a n d wh a t p ro ce ss u se s th i s re p o rt. m a n a g e m e n t u se d to l i n k to ch a n g e
m a n a g e m e n t, and vi ce ve rsa .
Al g ori th m s: Th e wa y th e re p o rt d a ta a re ca l cu l a te d . Sh ou l d be
p u b l i sh e d in an a cce s si b l e g l o ssa ry, o r a s p a rt o f th e
re p o rt.
D a ta sou rce(s): F o r e xa m p l e , an a u to m a te d m o n i to ri n g sys te m or Th e XYZ s yste m , [ fi e l d n a m e1 ] , [ fi e l d
manual l og g i n g . I t i s a d vi sa b l e to i n cl u d e th e fi e l d n a m e2 ] , [ fi e l d n a m e3 ]
n a m es a n d a d e scri p ti o n o f th e d a ta in e a ch fi e l d u se d
and n o t j u st th e name o f th e syste m fro m wh i ch th e
d a ta i s re tri e ve d . Th i s e n su re s co n ti n u i ty i n wh a t i s i n th e
re p o rt.
Ta rg et/con trol Th i s i s a tre n d o r b e n ch m a rk va l u e : th e se rvi ce p ro vi d e r A ta rg e t, su ch as a ‘95% fi x ti m e in
l i m i ts: m a y ch o o s e to bu i l d in co n tro l l i m i ts, tre n d s o r a n e i g h t h o u rs’ , i s co m m o n fo r se rvi ce
e s ta b l i sh e d i n d u s try b e n ch m a rk. I t sh o u l d a l so be n o te d re p o rts fo r S LAs.
if a re p o rt i s o n l y tri g g e re d fo r i ssu e wh e n th e a ctu a l
va l u e i s o u tsi d e a g re e d l i m i ts .
Li m i ts on U se d to g i ve co n te xt to th e u se o f th e i n fo rm a ti o n , i . e. Ra n g e s, su ch a s + /-X% .

a ccu ra cy: a vo i d a cti o n s b a s e d on tre n d s th a t a re ch a n g e s to Accu ra cy i s l i m i te d b y e rro rs fro m
l og g i n g p ra cti ce s e tc. N o te s o n re a so n s fo r e rro rs a re manual d a ta e n try o f th e sta rt a n d en d
u se fu l . o f e ve n ts.
I ssu e d a te: I ssu e d a te s d o n ot n eed to be a ctu a l d a te s, b u t re l a ti ve ‘ x d a ys a fte r m o n th en d ’
ti m i n g s .
Ch eck d a te: Co u l d be u se d to e sta b l i sh wh e n th e co n ti n u i n g End o f fi n a n ci a l ye a r
p ro d u cti o n o f th e re p o rt sh o u l d be re vi e we d .
79
Ch a p te r 9 S e rvi ce su p p l y ch a i n s
I n trod u cti on
Th i s ch a p te r e xp l a i n s th e th re e p ro ce sse s: su p p l i e r m a n a g e m e n t, se rvi ce
l e ve l m a n a g e m e n t (S LM ) and b u si n e ss re l a ti o n sh i p m a n a g e m e n t (B RM ) . It
e xp l a i n s th e wa y th e y e a ch a ct a s p a rt o f a s u p p l y ch a i n fo r d e l i ve ri n g
se rvi ce s.
A se rvi ce su p p l y ch a i n a ffe cts th e d e fi n i ti o n o f sco p e and th e
e sta b l i sh m e n t o f a n SM S. I t a l so a l wa ys sp a n s th e th re e p ro ce sse s : B RM ,
S LM and su p p l i e r m a n a g e m e n t. Du e to th e n a tu re o f se rvi ce su p p l y
ch a i n s th e th re e p ro ce ss e s a re p a rti cu l a rl y cl o se l y re l a te d and a re stro n g l y
i n te rd e p e n d e n t. H o we ve r, e a ch p ro ce ss h a s d i ffe re n t o b j e cti ve s, and a
d i ffe re n t fo cu s.
E xa m pl e su ppl y ch a i n
Th e th re e p ro ce ss e s a l wa ys cro ss o rg a n i z a ti o n a l b o u n d a ri e s. Th e
b o u n d a ri e s a re :
• su p p l i e r m a n a g e m e n t i n te rfa ce s to su p p l i e rs a n d l ea d su p p l i e rs;
• S LM i n te rfa ce s to th e cu sto m e r, B RM and su p p l i e r m a n a g e m e n t;
• B RM i n te rfa ce s to th e cu sto m e r;
An e xa m p l e of a si m p l e s e rvi ce su p p l y ch a i n i s g i ve n in Pa rt 1 , Cl a u se 7. 2.
Th i s Pa rt 1 fi g u re i s u sed a s th e b a si s o f th e fi g u re b e l o w.
S LM i s u se d to manage ca ta l o g u e s, S LAs , s e rvi ce s e tc. F i g u re 7 sh o ws th a t
B RM m a n a g e s th e re l a ti o n s h i p wi th cu sto m e rs . Cu sto m e rs i n te rfa ce to
o th e r s e rvi ce m a n a g e m e n t p ro ce s se s, e sp e ci a l l y S LM . S u p p l i e rs a re
m a n a g ed b y su p p l i e r m a n a g e m e n t. Al l th re e p ro ce sse s a re in th e sco p e
o f th e SM S.
Th e se rvi ce p ro vi d e r d o e s n o t m a n a g e th e su b -co n tra cte d su p p l i e rs . Le a d
su p p l i e rs a re re sp o n s i b l e fo r th e m a n a g e m e n t o f su b -co n tra cte d
su p p l i e rs, so th e p ro ce ss fo r m a n a g i n g su b - co n tra cte d su p p l i e rs i s o u tsi d e
th e s co p e o f th e SM S. Th i s i s th e ca se , d e sp i te th e Pa rt 1 re q u i re m e n t
th a t se rvi ce p ro vi d e rs ve ri fy th a t l e a d su p p l i e rs a re managing th e i r
su b -co n tra cte d s u p p l i e rs to fu l fi l co n tra ctu a l o b l i g a ti o n s.

Example supply chain
Th e se rvi ce p ro vi d e r ca n be a s ke d fo r e vi d e n ce th a t th e y e n su re th e l ea d
s u p p l i e rs a re managing s u b -co n tra cte d su p p l i e rs , a l th o u g h th e l ea d
s u p p l i e r wi l l n ot be a u d i te d .
Figure 7 – A service supply chain
In F i g u re 7, two g ro u p s h a ve been a d d ed : i n te rn a l g ro u p s a n d cu s to m e rs
a cti n g a s su p p l i e rs . Pa rt 1 , Cl a u se 4. 2 re q u i re s th a t b o th typ e s o f g ro u p
a re m a n a g ed u si n g S LM wh e n th e g ro u p s a re p ro vi d i n g p a rt o f th e
s e rvi ce b y o p e ra ti n g a p ro ce ss i n Cl a u se s 5 to 9.
Th e i n te rn a l g ro u p s a n d cu sto m e rs a cti n g a s su p p l i e rs a re o u tsi d e th e
d i re ct co n tro l o f th e se rvi ce p ro vi d e r a n d s co p e o f th e SM S, b u t th e i r
contribution i s wi th i n th e sco p e o f th e SM S. Th i s re q u i re s ca re fu l
co - o rd i n a ti o n and, a t ti m e s, a g re a t d e a l o f d i p l o m a cy.
Th e th re e p ro ce sse s a re all su b j e ct to co n tro l and i m p ro ve m e n t u n d e r th e
PD CA cycl e . H o we ve r, u n d e r Pa rt 1 , Cl a u se 4. 2 , p ro ce sse s i n Pa rt 1 ,
Cl a u s e s 5 to 9 m a y be o p e ra te d b y o th e r p a rti e s. Th e i n vo l ve m e n t o f
o th e r p a rti e s h a s a p a rti cu l a r re l e va n ce fo r th i s s e rvi ce su p p l y ch a i n .
No m a tte r h o w co m p l e x a s e rvi ce su p p l y ch a i n , th e se rvi ce p ro vi d e r i s
a l wa ys re sp o n s i b l e to th e i r cu sto m e r fo r th e q u a l i ty a n d co s t-e ffe cti ve n e ss
o f th e wh o l e se rvi ce . Th i s i s i rre sp e cti ve o f wh i ch p a rts o f th e se rvi ce th e y
d e l i ve r d i re ctl y a n d wh i ch th e y re ce i ve fro m a su p p l i e r.

Chapter 9 Service supply chains
Table 1 2 shows a comparison of who is involved in each process and gives

example reports and key measures for each party.
Table 1 2 – Comparison of the three processes
Part 1 , Clause 6.1 , SLM

Who is involved? Example Example
documentation measures/controls
Customer SLAs Number and
Service provider’s Formal agreements percentage of services
service level with internal groups that meet service level
manager or customers acting as targets
suppliers. Variation of actual
Service catalogue spend against budget
Service performance for each service (link
reports to financial
management)
Part 1 , Clause 7.1 , BRM
Customer and Business strategy (if Customer satisfaction
interested parties available) that the services are
Service provider’s Service provider aligned with the
business strategy and plans service requirements
relationship Customer approval of
manager strategic changes
Part 1 , Clause 7.2, supplier management
Service provider’s Supplier contract Sign off by the service
supplier manager SLA(s), possibly as provider that the
and contract contract schedules supplier’s services are
manager (may be aligned with the
same person) business needs
Supplier’s Number and
representative percentage of
contracts renewed
Reviews
Reviews are a feature common to all three processes described in this
chapter. These reviews have some features in common but all three have
differences.

Business relationship management
• BRM i s fo cu s e d on cu sto m e r sa ti sfa cti o n and fu tu re se rvi ce
re q u i re m e n ts a ri s i n g fro m ch a n g e s to cu sto m e r a cti vi ti e s o r p ri o ri ti e s,
i n cl u d i n g managing a n y co m p l a i n ts.
• SLM i s fo cu se d m o re on d a y-to - d a y o p e ra ti o n a l s e rvi ce i ss u e s ,
i n cl u d i n g th e to ta l i ty o f th e e n d - to -e n d se rvi ce , b u t a l so co n si d e rs
se rvi ce tre n d s, p a rti cu l a rl y wh e re a se rvi ce ta rg e t i s a t ri sk. S LM a l so
i n cl u d e s re vi e ws o f th e p e rfo rm a n ce o f i n te rn a l g ro u p s a n d
cu s to m e rs a cti n g a s su p p l i e rs th a t p ro vi d e p a rt o f th e se rvi ce .
• Supplier management i s fo cu s e d on co n tra ct/p e rfo rm a n ce
m a n a g e m e n t to e n su re th e su p p l i e r d e l i ve rs th e re q u i re d se rvi ce .
Th e PD CA cycl e m a y a l so i d e n ti fy a d e fe ct i n a n y on e o f th e p ro ce sse s
e i th e r a s p a rt o f a n i n te rn a l a u d i t o r m a n a g e m e n t re vi e w.
A s e rvi ce p ro vi d e r, p a rti cu l a rl y sm a l l e r i n -h o u se o rg a n i z a ti o n s , m a y h ol d
th e re vi e w re q u i re d fo r S LM and B RM as a si n g l e m e e ti n g b e twe e n th e
s e rvi ce p ro vi d e r a n d cu sto m e r. S m a l l e r o rg a n i z a ti o n s o fte n h a ve th e sa m e
i n d i vi d u a l re sp o n s i b l e fo r b o th S LM and B RM .
I t i s l e ss co m m o n fo r su p p l i e r m a n a g e m e n t re vi e w m e e ti n g s to i n cl u d e
th e se rvi ce p ro vi d e r’s cu s to m e r. Th i s i s b e ca u s e th e s e rvi ce p ro vi d e r i s
re sp o n si b l e fo r th e s u p p l i e r’s s e rvi ce s a n d sh o u l d be a bl e to d ea l wi th any
co n ce rn s, p l a n s o r q u e ri e s re l a ti n g to th e su p p l i e r’s se rvi ce s .

B RM h a s th e o b j e cti ve o f e sta b l i s h i n g and m a i n ta i n i n g a g ood
re l a ti o n s h i p b e twe e n th e s e rvi ce p ro vi d e r a n d th e cu sto m e r, b a se d on
u n d e rsta n d i n g th e cu s to m e r, i ts b u si n e s s d ri ve rs, pl a n s a n d l i ke l y fu tu re
s e rvi ce re q u i re m e n ts. Th e cu sto m e r’s se rvi ce re q u i re m e n ts a re sh a p e d by
th e i r cu rre n t a n d fu tu re b u si n e s s a cti vi ti e s a n d th e se rvi ce re q u i re m e n ts
in tu rn sh a pe th e se rvi ce m a n a g em en t pl a n , vi a B RM .
Th e fe a tu re s o f B RM a re su m m a ri z e d in Ta b l e 1 3.
Table 1 3 – Key features of BRM
What to do? Why do it?

U n d e rsta n d th e D e ve l o p a g ood re l a ti o n sh i p , a n ti ci p a te
cu sto m e r’s o rg a n i z a ti o n wh a t i s re q u i re d , wh o to ta l k to wh e n
i n cl u d i n g u s e rs a n d o th e r
sta ke h o l d e rs
U n d e rsta n d th e Pl a n a h ea d fo r ch a n g e s to re q u i re m e n ts,
cu sto m e r’s b u si n e ss, pl a n s pl a n s, co n tra cts a n d th e re st o f th e SM S
and ch a n g e s to b u s i n e ss
o r s e rvi ce n eed s

E n su re th e re i s e ffe cti ve See th e fu l l p i ctu re fo r th e SM S, e n su re
m a n a g e m e n t o f th e th e su p p l y ch a i n i s o p ti m i z e d , g e t va l u e
co n tra ct o r s i m i l a r fo rm a l fo r m o n e y fro m s u p p l i e rs a n d be a bl e to
d o cu m e n te d a g re e m e n t p u t p ro ce ss g o ve rn a n ce in p l a ce
Pro vi d e i n p u t to S LM on U p d a te th e se rvi ce ca ta l o g u e , S LAs ,
ch a n g e s to b u si n e ss a ffe cte d fo rm a l a g re e m e n ts o r co n tra cts
a cti vi ty a n d se rvi ce s th a t and se rvi ce re p o rts. Co n tra cts ca n ta ke a
re q u i re ch a n g e s to S LAs p a rti cu l a rl y l o n g ti m e to ch a n g e
E n su re co m p l a i n ts a re Avo i d a cri si s b u i l d i n g fro m a fa i l u re to
h a n d l ed e ffe cti ve l y ta ke co m p l a i n ts se ri o u sl y. Le a rn h o w to
do th i n g s b e tte r i n th e fu tu re and
p ro vi d e i n p u t to th e PD CA cycl e fo r
co n ti n u a l i m p ro ve m e n t
E n su re cu s to m e r U n d e rsta n d wh a t th e cu sto m e r ca re s
s a ti s fa cti o n i s m e a su re d a b o u t m o st, th e s tre n g th s a n d
and m a n a g ed and th a t a we a kn e sse s o f th e s e rvi ce , th e wa y to
n a m ed i n d i vi d u a l is bu i l d on s tre n g th s a n d to p re ve n t a
re sp o n si b l e m i n o r i ss u e b e co m i n g a co m p l a i n t
Pro vi d e i n p u t to a pl a n H el p e n su re th a t ch a n g e s a re pl a n n ed
for i m p ro vi n g th e se rvi ce and o rd e rl y, m i n i m i zi n g th e ri sk a n d co s ts
o f ch a n g e s
B RM p l a ys a ro l e in aligning th e cu sto m e r’s b u si n e ss stra te g y a n d th e IT
stra te g y a n d , in tu rn , al igning th e se rvi ce s d e l i ve re d b y th e s e rvi ce
p ro vi d e r to th e b u si n e ss a n d I T s tra te g y. E ffe cti ve B RM re q u i re s a g ood
u n d e rs ta n d i n g o f th e cu sto m e r’s b u si n e ss, th e cu s to m e r’s co n ce rn s a n d
th e wa y th e se rvi ce a ffe cts th e cu sto m e r’s b u si n e ss a cti vi ti e s . Th e
d e ve l o p m e n t o f a g ood re l a ti o n sh i p sh o u l d n ot be l e ft to ch a n ce bu t
sh o u l d be pl a n n ed . Al th o u g h th e se rvi ce p ro vi d e r m a y o p e ra te
co m m e rci a l l y th e re a re no re q u i re m e n ts fo r i d e n ti fyi n g l e a d s, q u a l i fyi n g a
p ro sp e cti ve sa l e o r n e g o ti a ti o n o f ch a rg e s .
Formal agreements or contracts?

S LAs m a y fo rm p a rt o f a co n tra ct b e twe e n th e se rvi ce p ro vi d e r a n d
cu sto m e r, u su a l l y a s a s ch e d u l e (a n n e x) o r p o ssi b l y o u tsi d e th e co n tra ct
b u t re fe re n ce d fro m i t. Th e main bod y of a co n tra ct n o rm a l l y ta ke s l e g a l
p re ce d e n ce o ve r S LAs. D e sp i te th e p re ce d e n ce o f th e main b o d y, an audit
wi l l n o rm a l l y d i sre g a rd a n y p a rt o f th e co n tra ct th a t d o e s n o t h a ve a
d i re ct b e a ri n g on th e S LA.
Pa rt 1 d o e s n o t re q u i re a l eg a l l y bi n d i n g co n tra ct to be in p l a ce b e twe e n
th e s e rvi ce p ro vi d e r a n d cu sto m e r, a l th o u g h th e re sh o u l d be a t l e a st o n e
S LA. F o r e xa m p l e , wh e re th e se rvi ce p ro vi d e r a n d cu sto m e r a re p a rt o f

th e sa m e l eg a l e n ti ty a l eg a l l y bi n d i n g co n tra ct i s n o t p o ssi b l e . In th e se
ci rcu m s ta n ce s a n S LA i s e ss e n ti a l and ca n be tre a te d a s i f i t we re
co n tra ctu a l .
Understanding the customer’s needs

B RM i n cl u d e s a re q u i re m e n t th a t th e se rvi ce p ro vi d e r re m a i n s a wa re of
th e b u si n e ss n e e d s a n d m a j o r ch a n g e s th a t a re bei n g pl a n n ed b y th e
cu sto m e r. Th e i n fo rm a ti o n o b ta i n e d a l so fo rm s i m p o rta n t i n p u t to S LM .
U n d e rsta n d i n g th e cu sto m e r i n cl u d e s m e a su ri n g th e cu sto m e r’s
s a ti s fa cti o n wi th th e se rvi ce . Pe rce p ti o n s ca n be sh a ped b y wh e th e r o r
n o t th e se rvi ce m e e ts th e cu sto m e r’s b u si n e ss n e e d s a n d i s co n s i d e re d to
be g ood va l u e fo r m o n e y. Th e wa y th e se rvi ce p ro vi d e r re a cts wh e n th e
cu sto m e r n e e d s d i ffe re n t se rvi ce s ca n a l so h a ve an i m p a ct.
On e o f th e ch a l l e n g e s th a t se rvi ce p ro vi d e rs fa ce i s u n d e rsta n d i n g th e
cu sto m e r’s se rvi ce re q u i re m e n ts. O th e r ch a l l e n g e s i n cl u d e u n d e rsta n d i n g
th e ro l e s, re s p o n si b i l i ti e s, a cco u n ta b i l i ti e s a n d a u th o ri ty l e ve l s o f
i n d i vi d u a l s i n th e cu sto m e r’s o rg a n i z a ti o n . Co m m o n m e th o d s o f
d o cu m e n ti n g i n te re ste d p a rti e s i n cl u d e co n ta ct m a p s. Th e s e sh o w th e
wa y th e m a n a g e m e n t s tru ctu re o f th e se rvi ce p ro vi d e r a n d th e cu sto m e rs
align, i . e. h o w e a ch m a n a g e r re l a te s to th e i r co u n te rp a rt i n th e o th e r
o rg a n i z a ti o n s. Re s p o n si b i l i ty m a tri ce s m a y a l so be u se d .
B RM a l so i d e n ti fi e s th e i n te re ste d p a rti e s wh o a re l i ke l y to i n fl u e n ce th e
s e rvi ce s re q u e ste d . F o r e xa m p l e , fi n a l d e ci si o n s b y a cu sto m e r ca n be
made b y th e i r p ro cu re m e n t o r fi n a n ce d e p a rtm e n t fo l l o wi n g co n s u l ta ti o n
wi th i n te re ste d p a rti e s .
New or changed services

N e w o r ch a n g e d se rvi ce re q u i re m e n ts a re n o rm a l l y i n i ti a l l y i d e n ti fi e d by
B RM . B RM co - o rd i n a te s wi th S LM fo r ch a n g e s to S LAs.
N e w o r ch a n g e d se rvi ce s a re m a n a g ed b y th e p ro ce ss i n Pa rt 1 , Cl a u se 5
i f th e y re p re se n t a su b s ta n ti a l ch a n g e o r ri sk to th e se rvi ce . Th i s p ro ce ss
i n te rfa ce s to ch a n g e m a n a g em en t a n d vi a ch a n g e m a n a g e m e n t to
re l e a se and d e p l o ym e n t m a n a g e m e n t. Th i s ki n d o f ch a n g e ca n a l so
ca s ca d e th ro u g h and a ffe ct m a n y o th e r p ro ce sse s, i n cl u d i n g se rvi ce
re p o rti n g , s e rvi ce co n ti n u i ty a n d e ve n th e sco p e o f th e SM S.
Th i s ki n d o f ch a n g e o fte n tri g g e rs u p d a te s to th e se rvi ce re p o rts,
ca ta l o g u e o f se rvi ce , S LAs, fo rm a l a g re e m e n ts wi th o th e r p a rti e s,
co n tra cts wi th s u p p l i e rs, a s we l l a s th e a g re e m e n t b e twe e n th e se rvi ce
p ro vi d e r a n d cu sto m e r.

Complaints and customer satisfaction

Cu s to m e r sa ti s fa cti o n i s ce n tra l to B RM . S a ti sfa cti o n m e a su re m e n t i s
l i n ke d to th e cu sto m e r’s p e rce p ti o n of a se rvi ce , th e te ch n o l o g y u se d and
i ts p e rce p ti o n o f th e peopl e th a t d e l i ve r th a t s e rvi ce . S a ti sfa cti o n
m e a su re m e n ts a re a l so on e o f th e l i n ks b e twe e n B RM and S LM .
Pa rt 1 d o e s n o t sp e ci fy th e wa y cu sto m e r sa ti sfa cti o n sh o u l d be
m e a su re d . F e e d b a ck m a y b e q u a l i ta ti ve o r q u a n ti ta ti ve , o b ta i n e d fro m
on l y sen i or m a n a g em en t i n th e cu sto m e r’s o rg a n i z a ti o n o r fro m many
u se rs. An a u d i to r wi l l e xp e ct to se e e vi d e n ce th a t th e a p p ro a ch u se d is
su i ta b l e to d e l i ve r th e i n fo rm a ti o n n eed ed fo r i m p ro ve m e n t to be
i d e n ti fi e d .
Pa rt 1 , Cl a u s e 7.1 re q u i re m e n ts i n cl u d e a co m p l a i n ts p ro ce d u re . It is
i m p o rta n t to be re a l i sti c a n d e xp e ct th a t a t so m e ti m e a cu sto m e r wi l l
wi sh to m a ke a se ri o u s co m p l a i n t. Th i s ca n be b e ca u se e sca l a ti o n of a
co n ce rn h a s fa i l e d , b e ca u s e a p ro b l e m a p p e a rs o ve rwh e l m i n g to th e
cu sto m e r o r th e re is a cri si s re q u i ri n g e xce p ti o n a l a cti o n .
Th i s re q u i re s a se rvi ce co m p l a i n t to be d e fi n e d in a d va n ce o f th e
p ro ce d u re bei n g i n vo ke d . Th e p ro ce d u re sh o u l d e n su re th a t a l l
co m p l a i n ts a re re co rd e d and m a n a g ed u n ti l cl o se d . Th e re sh o u l d be a
m e ch a n i sm fo r h a n d l i n g co m p l a i n ts th a t a re n o t re s o l ve d .
M e a su ri n g sa ti s fa cti o n and managing co m p l a i n ts ca n i d e n ti fy ri sks to th e
re l a ti o n sh i p in ti m e fo r th e ri sks to be m a n a g ed b e fo re se ri o u s d a m a g e
h a s been d on e. F o r e xa m p l e , a gap open i n g b e twe e n th e S LA a n d th e
se rvi ce th e cu s to m e r’ s n e e d s wi l l tri g g e r l o w sa ti sfa cti o n ra ti n g s .
Checklist: Complaints
What constitutes a formal service complaint?
I s th e re a m b i g u i ty o n wh a t i s a n d i s n ot a fo rm a l se rvi ce co m p l a i n t?
I s th e d e fi n i ti o n of a co m p l a i n t s o b ro a d m i n o r i ssu e s wi l l be ra i s e d
u si n g th e co m p l a i n ts p ro ce ss, u n d e rm i n i n g i ts e ffe cti ve n e ss?
Who may raise a complaint?
Pa rt 1 re q u i re s th a t i t i s cl e a r wh o ca n and wh o ca n n o t ra i s e a
co m p l a i n t. Le s s s e ri o u s i ssu e s a re h a n d l ed b y e sca l a ti o n . I t i s co m m o n
fo r th e a u th o ri ty to ra i se fo rm a l co m p l a i n ts to be re s tri cte d to m o re
se n i o r m a n a g e m e n t i n th e cu sto m e r’s o rg a n i z a ti o n , p re ve n ti n g a bu se
o f th e p ro ce d u re .

Wh o sh ou l d recei ve th e com pl a i n t?
I t i s n o t n o rm a l l y a d vi sa b l e to re l y o n a si n g l e n a m ed i n d i vi d u a l
bei n g p re se n t to re ce i ve and a ct o n a co m p l a i n t, a s th e i n d i vi d u a l
wi l l n o t a l wa ys b e a va i l a b l e .
M a n a g e rs wh o re ce i ve co m p l a i n ts sh o u l d be a wa re o f th e p ro ce s s s o
th a t th e y ca n e n su re th e p ro ce ss i s fo l l o we d and th a t th e co m p l a i n t
i s p ro p e rl y re s o l ve d .
H ow i s th e com pl a i n t ra i sed a n d record ed ?
Th e m e th o d o f ra i si n g a co m p l a i n t sh o u l d be si m p l e and e ffe cti ve .
B a si c i n fo rm a ti o n on th e p e rso n m a ki n g th e co m p l a i n t i s re q u i re d , in
a d d i ti o n to th e d e ta i l s o f th e co m p l a i n t. Re co rd i n g sh o u l d s u p p o rt
a n a l ysi s o f th e re a so n s fo r th e co m p l a i n t, tra cki n g p ro g re ss to
re so l u ti o n and cl o su re .
If it is a re cu rre n ce of a p re vi o u s co m p l a i n t o r i s a re p e a ti n g p ro b l e m
th i s i n fo rm a ti o n sh o u l d a l so be co l l e cte d , i f p o ssi b l e .
S u ccess cri teri a for resol vi n g a com pl a i n t
Th e se rvi ce p ro vi d e r s h o u l d m a ke su re th e p e rso n co m p l a i n i n g
u n d e rsta n d s th e n e xt ste p s a n d th e ti m e ta b l e o f e ve n ts. Th e se rvi ce
p ro vi d e r n e e d s a p ro ce ss b y wh i ch i t ca n be a g re e d th a t th e
co m p l a i n t h a s b e e n re so l ve d and th e re co rd ca n be cl o s e d . Th e re
sh ou l d be u n a m b i g u o u s cri te ri a fo r re so l vi n g th e co m p l a i n t, e. g . th a t
a p ro b l e m wi l l be re so l ve d by a n a g re e d d a te .
E sca l a ti on of th e com pl a i n t
Th e re sh o u l d be a cl e a r ro u te fo r co m p l a i n t e sca l a ti o n .
I n pu t to th e PD CA/i m provem en t cycl e
At i n te rva l s, o r a fte r a ve ry se ri o u s co m p l a i n t, th e n a tu re o f th e
co m p l a i n ts re ce i ve d sh o u l d be a n a l yse d (u n d e r th e PD CA cycl e of
i m p ro ve m e n ts a n d i n p u t to se rvi ce i m p ro ve m e n t p l a n s ) .
Th e se rvi ce p ro vi d e r s h o u l d a ppoi n t a n i n d i vi d u a l wh o i s re sp o n si b l e fo r
managing th e cu sto m e r re l a ti o n sh i p and m e a su ri n g and managing
cu s to m e r s a ti sfa cti o n . Som eon e sh o u l d a l so h a ve re sp o n si b i l i ty fo r th e
q u a l i ty o f B RM . Som e se rvi ce p ro vi d e rs a l l o ca te b o th re sp o n s i b i l i ti e s to
th e sa m e i n d i vi d u a l . Th i s ro l e wi l l va ry d e p e n d i n g on th e n a tu re o f th e
s e rvi ce and th e cu sto m e r’s o rg a n i z a ti o n . F o r e xa m p l e , se rvi ce s d e l i ve re d
to a si n g l e o rg a n i z a ti o n , e ve n a ve ry l a rg e on e, wi l l i n vo l ve a high l e ve l
o f co n ta ct b e twe e n th e m a n a g e r re sp o n si b l e fo r B RM and th e cu s to m e rs.

Wh e re th e se rvi ce p ro vi d e r i s d e l i ve ri n g a se rvi ce sh a re d by m a n y
cu sto m e rs , e. g . cl o u d co m p u ti n g and a cce ss to th e I n te rn e t a t h o u se h o l d
l e ve l , th e B RM m a n a g e r i s u n l i ke l y to h a ve m u ch co n ta ct wi th th e
cu sto m e rs , b u t i s sti l l re sp o n si b l e fo r th e i r s a ti s fa cti o n and any
co m p l a i n ts.
Service level management

S LM i s th e l i n k b e twe e n th e m a n a g e m e n t o f su p p l i e rs a n d th e
m a n a g e m e n t o f th e b u s i n e ss re l a ti o n s h i p wi th cu sto m e rs. B e ca u se o f th i s,
S LM ca n be a su p p l y ch a i n ’s g re a te st s tre n g th o r g re a te s t we a kn e ss .
S LM i s a l so th e ve h i cl e fo r h o w i n te rn a l g ro u p s a n d cu sto m e rs a cti n g as
su p p l i e rs a re m a n a g ed b y th e se rvi ce p ro vi d e r, u n d e r Pa rt 1 , Cl a u se 4. 2 .
S LM i s fo cu se d on fu l fi l l i n g se rvi ce re q u i re m e n ts b a se d on re co rd s o f
se rvi ce s, se rvi ce l e ve l ta rg e ts a n d th e ch a ra cte ri s ti cs o f th e wo rkl o a d . S LM
i s fu n d a m e n ta l to a ch i e vi n g a b a l a n ce b e twe e n co st, q u a l i ty a n d
wo rkl o a d s. I t e sta b l i s h e s a n u n d e rs ta n d i n g o f th e re sp o n si b i l i ti e s o f th e
se rvi ce p ro vi d e r a n d o f th e cu sto m e rs, so m e ti m e s b y n e g o ti a ti o n and
th e n fo rm a l a g re e m e n t o f a n S LA.
Key point
B o th B RM and S LM a re re q u i re d to h ol d re vi e ws wi th th e
cu s to m e r, fo r S LM th i s i s fo cu se d on re vi e w o f se rvi ce s a n d
S LAs. Ch a n g e s to th e s e rvi ce re q u i re m e n ts , ca ta l o g u e of
se rvi ce s, S LAs a n d o th e r d o cu m e n te d a g re e m e n ts sh o u l d be
co n tro l l e d b y ch a n g e m a n a g e m e n t.
I f th e cu sto m e r d e ve l o p s i d e a s o n n e w o r ch a n g e d se rvi ce s th a t
a re i m p ra cti ca l o r p e rh a p s te ch n i ca l l y i m p o ssi b l e , S LM ca n
i d e n ti fy a l te rn a ti ve wa ys o f h e l p i n g th e cu sto m e r m e e t th e i r
b u si n e ss n e e d s. Th i s re q u i re s a cce ss to a b ro a d b a se o f te ch n i ca l
e xp e rts a n d i n fo rm a ti o n , i n cl u d i n g th e l i ke l y co s ts o f th e n ew
o r ch a n g e d s e rvi ce .
Service level management documentation

Th e re l a ti o n sh i p b e twe e n S LAs, a ca ta l o g u e o f se rvi ce s, fo rm a l
a g re e m e n ts b e twe e n th e se rvi ce p ro vi d e r a n d o th e r g ro u p s , co n tra cts
wi th su p p l i e rs, se rvi ce m a n a g e m e n t p l a n s, se rvi ce re p o rts a n d tra i n i n g
p l a n s i s sh o wn in F i g u re 8.

Service level management
Pa rt 1 i n cl u d e s a re q u i re m e n t th a t th e fu l l ra n g e o f se rvi ce s p ro vi d e d ,
p l u s th e co rre sp o n d i n g ta rg e ts a n d wo rkl o a d ch a ra cte ri s ti cs a re a g re e d
and d o cu m e n te d b y th e s e rvi ce p ro vi d e r a n d cu sto m e r i n a ca ta l o g u e of
s e rvi ce s .
Figure 8 – Relationship between documents in the supply chain
Th e ca ta l o g u e o f se rvi ce s h o l d s i n fo rm a ti o n th a t d e fi n e s th e a va i l a b l e
s e rvi ce s i n cl u d i n g i n fo rm a ti o n co m m o n to all S LAs, su ch a s:
• th e S LA ch a n g e co n tro l m e ch a n i sm ;
• g l o ssa ry o f te rm s;
• ta rg e ts co m m o n to m a n y S LAs.
A we l l -d e si g n e d ca ta l o g u e o f s e rvi ce s cre a te s a sh a re d u n d e rsta n d i n g of
th e se rvi ce s. U si n g a ca ta l o g u e m e a n s th a t S LAs d o n o t h a ve to be
re p e ti ti ve wi th th e sa m e te xt i n e a ch S LA. Th e S LA ca n re fe r o u t to a
ca ta l o g u e wh e re th e te xt i s h e l d o n l y o n ce . Th i s h a s th e b e n e fi t o f
s i m p l i fyi n g ve rsi o n co n tro l o f th e S LAs a s s ta n d a rd te xt n e e d s o n l y to be
u p d a te d o n ce , re d u ci n g th e ri sk o f S LAs b e i n g a cci d e n ta l l y o u t o f s te p .
I f ca ta l o g u e s a n d S LAs a re h el d on l i n e th e i n fo rm a ti o n i s re a d i l y a va i l a b l e
to th e se rvi ce p ro vi d e r, th e cu sto m e rs, u s e rs a n d th e a u d i to r, a l th o u g h
Pa rt 1 d o e s n o t sp e ci fy th e m ed i u m to be u se d fo r th e se d o cu m e n ts.

I t i s b e st to b a se th e ca ta l o g u e on th e cu sto m e r’s vi e w o f th e s e rvi ce s . An
a u d i to r ca n ch e ck th a t a re p o si to ry su ch as a ca ta l o g u e e xi sts. Th e a u d i to r
wi l l a l so ch e ck th a t th e se rvi ce s a re d e fi n e d in a we l l -d e si g n e d , a cce ssi b l e
m a n n e r, wi th th e re p o si to ry ke p t u p to d a te and wri tte n fro m th e
cu sto m e r’s vi e wp o i n t.
Service level agreements

A se rvi ce l e ve l a g re e m e n t (S LA) is a wri tte n a g re e m e n t b e twe e n a se rvi ce
p ro vi d e r a n d a cu s to m e r th a t d o cu m e n ts se rvi ce s a n d a g re e d s e rvi ce
l e ve l s. Th e S LA sh o u l d be b a se d on se rvi ce re q u i re m e n ts, wh i ch in tu rn
sh o u l d be b a se d on b u si n e ss n e e d s a n d b u d g e t.
To o m a n y ta rg e ts i n an S LA ca n cre a te co n fu si o n and l ea d to e xce s si ve
o ve rh e a d s b u t a n y ta rg e ts th a t a re i n cl u d e d sh ou l d be d e fi n e d fro m a
cu sto m e r p e rsp e cti ve . Som e se rvi ce p ro vi d e rs se t a l i m i t of n o m o re th a n
fi ve ta rg e ts p e r se rvi ce . B e fo re th e S LA i s a g re e d th e se rvi ce p ro vi d e r
sh o u l d be co n fi d e n t th a t i t i s p o ssi b l e to re p o rt o n th e se rvi ce s i n th e S LA
fro m th e cu sto m e r’s p e rsp e cti ve , u si n g te rm s th a t th e cu sto m e r
u n d e rs ta n d s .
B e st p ra cti ce S LAs a re b a se d on u n d e rsta n d i n g n o t o n l y th e se rvi ce
p ro vi d e r’s co m m i tm e n ts, b u t a l so th e ro l e o f th e s u p p l i e rs, cu sto m e rs a n d
u se rs. Th i s sh o u l d i n cl u d e th e i m p a ct th e y e a ch ca n h a ve on th e se rvi ce
and th e se rvi ce p ro vi d e r’s a b i l i ty to m e e t th e i r co m m i tm e n ts.
S LM wo rks ve ry cl o se l y wi th B RM on ch a n g e s to S LAs m a d e b y S LM . S LM
sh o u l d se e k i n fo rm a ti o n fro m B RM on th e cu sto m e rs, th e i r o rg a n i z a ti o n a l
stru ctu re , cu l tu re and l e ve l s o f cu sto m e r sa ti sfa cti o n (a n d ca u se s o f
d i ss a ti s fa cti o n ) and a n y ch a n g e s to se rvi ce re q u i re m e n ts th a t e m e rg e .
Th e S LAs a re u s u a l l y su p p o rte d b y co n tra cts b e twe e n th e se rvi ce p ro vi d e r
and su p p l i e rs . O th e r su p p o rti n g d o cu m e n ts a re fo rm a l a g re e m e n ts
b e twe e n se rvi ce p ro vi d e r a n d i n te rn a l g ro u p s wi th i n th e sa m e
o rg a n i z a ti o n a s th e s e rvi ce p ro vi d e r. In som e ca se s th i s i s th e ‘ cu s to m e r
wi l l a ct a s a s u p p l i e r’ .
Reviews of services and SLAs

Pa rt 1 sp e ci fi e s th a t re vi e ws sh o u l d o ccu r ‘ a t p l a n n e d i n te rva l s’ . Th e
ch o i ce of a n a cce p ta b l e pl a n n ed i n te rva l sh ou l d be i n fl u e n ce d b y th e ra te
o f ch a n g e to th e cu s to m e r’s se rvi ce re q u i re m e n ts, and a n y ch a n g e s th e
se rvi ce p ro vi d e r p l a n s th a t co u l d a ffe ct th e s e rvi ce . Th e p h ra se ‘pl a n n ed
i n te rva l s’ l e a ve s m o re o f th e b u rd e n on th e se rvi ce p ro vi d e r to p ro ve th e
i n te rva l s a re su i ta b l e th a n ‘ a t l e a st a n n u a l l y’ .

Supplier management
A re vi e w sh o u l d be e ffe cti ve and e ffi ci e n t a n d an a u d i to r wi l l e xp e ct to
see an u n d e rsta n d i n g o f:
• th e cu sto m e r’s se rvi ce re q u i re m e n ts ;
• th e i m p o rta n ce o f p re p a ra ti o n b y th e se rvi ce p ro vi d e r;
• th e e ffe cti ve u se o f se rvi ce re p o rts ;
• th e n eed fo r i n fo rm a ti o n on pl a n n ed ch a n g e s ;
• fe e d b a ck o n i m p l e m e n te d ch a n g e s;
• th e p u rp o se and i m p o rta n ce o f ta ki n g m i n u te s a n d d o cu m e n ti n g
a cti o n s.
Th e a u d i to r wi l l e xp e ct to se e th a t m i n u te s a re sen t ou t i n a ti m e l y
m a n n er a n d a cti o n s a re fo l l o we d th ro u g h .
Supplier management
S u p p l i e r m a n a g e m e n t e n su re s th a t th e re is a se a m l e ss se rvi ce , wh e re th e
s e rvi ce p ro vi d e r ta ke s o ve ra l l re s p o n si b i l i ty fo r th e se rvi ce . U n d e r th i s
m od el th e cu sto m e rs d o n o t h a ve to be co n ce rn e d a b o u t wh o d o e s wh a t.
A l ea d su p p l i e r i s re q u i re d to a ct a s th e i n te rfa ce b e twe e n su b - co n tra cte d
s u p p l i e rs a n d th e se rvi ce p ro vi d e r, p ro vi d i n g a se a m l e ss se rvi ce . Le a d
s u p p l i e rs sh o u l d be a bl e to d e m o n stra te th a t su b -co n tra cto rs a l so m eet
co n tra ctu a l re q u i re m e n ts.
Th e s e l e cti o n o f su p p l i e rs o r p ro cu re m e n t o f se rvi ce s i s e xcl u d e d fro m
Pa rt 1 re q u i re m e n ts. H o we ve r, th e re a re b e n e fi ts fro m B RM , S LM and
su ppl i er m a n a g em en t bei n g i n vo l ve d in p ro cu re m e n t, i f o n l y to a vo i d an
u n a cce p ta b l e re su l t fro m th e p ro cu re m e n t p ro ce ss.
Key point
F o r co n tra ct m a n a g e m e n t: ‘ … th e se rvi ce p ro vi d e r s h a l l h a ve a
d e si g n a te d i n d i vi d u a l wh o i s re sp o n si b l e fo r m a n a g i n g th e
re l a ti o n sh i p , th e co n tra ct a n d p e rfo rm a n ce o f th e su p p l i e r’ . Th i s
co u l d be re fl e cte d in a p o l i cy th a t re q u i re s th e re to be a
co n tra ct m a n a g e r, sp e ci fi e s wh a t typ e o f p e rso n sh o u l d be
a p p o i n te d as a co n tra ct m a n a g e r, and i n cl u d e s a h i g h -l e ve l
vi e w o f wh a t th e ro l e sh o u l d a ch i e ve .
S u p p l i e r m a n a g e m e n t e n s u re s th a t a p p ro p ri a te se rvi ce s a re a g re e d wi th
su p p l i e rs a n d th a t th e su p p l i e rs d e l i ve r th e s e rvi ce th e y h a ve been a ske d
to d e l i ve r i n th e wa y th e y h a ve been a ske d to d e l i ve r i t. I f th e se rvi ce s

are out of alignment the service provider is unlikely to be able to deliver

the service agreed with their customer, or do so only at an unacceptable
cost. For example, agreeing service commitments with a supplier, such as
the time taken to respond to requests, that is slower than the time
agreed with the customer will mean the service provider is unlikely to
meet their targets.
Key point
Alignment of service commitments: ‘The service provider shall

agree with the supplier service levels to support and align with
the SLAs between the service provider and the customer.’ This
could be reflected as a policy on SLAs covering both supplier
management and SLM. The policy could state that there should
be alignment of services along the supply chain of ‘supplier –
service provider – customer’, and the way that alignment
should operate. As organizations can have signed long-term
contracts with suppliers that are not aligned with the
customer’s needs, the policy could also extend to cover interim
arrangements or a transition to new and more appropriate
arrangements.
Policy, process and procedure are not normally included in contracts, but
may be referred to as part of a quality manual, service management plan
or similar document set that is referenced from the service requirements.
During an audit, service providers should demonstrate they are able to

control the processes. As supplier management crosses boundaries to
external organizations, it can play a particularly important part in the
way the service provider demonstrates this control. This includes
demonstrating that the governance of processes is included in the
contract between the service provider and supplier. For example, the
contract should define the way improvements to the processes and
services will be prioritized and managed.
Service providers should behave as responsible customers towards their

suppliers, if they themselves are to meet the requirements for supplier
management, e.g. by attending reviews with the supplier.
The supplier is not required to fulfil the requirements of Part 1 in order

for the service provider to do so, but the full benefits will only be
obtained if the supplier and the service provider follow processes that are
aligned. Service catalogues, SLAs, service reporting and the PDCA cycle
are as beneficial to the supplier as they are to the service provider. The

Supplier management
supplier’s performance against service targets should be monitored and

reviewed, with any required improvements being input to a plan for
improving the service.
The following is a summary of the requirements for supplier

management.
• Ensure there is a contract and contract manager for each supplier.

• Agree business, service and communications requirements to be
provided by each supplier as SLAs or other documents.
• Ensure the roles, responsibilities and interfaces for each supplier, and
for all processes that involve suppliers, are documented, including
any issues.
• Ensure contracts are reviewed as required, with changes to SLAs
following under change control.
• Ensure contracts include a change control clause for revisions of the
SLAs, managing disputes and an agreed process for termination of
the contract.
• Ensure performance is monitored against each supplier’s
commitments.
• Ensure information is provided for a plan for improving the service.
• Ensure the contract does not prevent the service provider
demonstrating control of processes.
Contracts and formal agreements

Supplier management has much in common with SLM, in that it involves
agreements on what is to be delivered, but for supplier management this
is normally in the form of contracts.
Contracts do not have to be long or complex, but supplier management

should recognize the legal status of the formal agreement. For example,
disputes and dissatisfaction with the service can have legal implications.
A named individual should be given responsibility for contract

management. This gives clarity on roles and responsibilities, particularly
when changes are made to the agreed service or terms of service delivery.
Contract precedence will not normally be considered during a Part 1

audit. However, the contract manager and supplier manager (who may
be the same individual) need to understand the precedence of the main
body of the contract and the schedules. They also need to understand
the legal status of any documents that are outside the contract but
referred to in the contract. Several documents that exist outside the
contract itself, but which may have contractual implications, include
service catalogues, service requirements documentation, policies,
processes, procedures, glossaries of terms and cost or charging
information.

Contractual disputes
Part 1 requires a process for management of contractual disputes
between the service provider and suppliers. There should also be
agreement on what constitutes a dispute, who will handle the dispute,
the way it will be handled and agreed success criteria for dispute
resolution.
Service termination
The service termination process should cover the management of risks to
both the service provider and customer. For example, protection against
loss of key skills as the service approaches termination, ownership of
assets involved in delivering the service, confidential information, and the
transition of services to a replacement service provider, if this is relevant.
This applies to all types of termination (including transfer to an

alternative supplier) but early termination can occur over a much shorter
timescale than the expected and planned end of service.
The auditor will not assess the legality of clauses on service termination,
but will require evidence that there is a process in place to handle all
types of termination, including transfer to another organization.
Trust
Good relationships are based on trust, but trust is not an automatic right
in a relationship between suppliers, service providers or customers. Trust
is built up over time through each party being honest and respecting the
interests and views of the others. Trust, as the basis of a good working
relationship, will be undermined if any of the parties involved treats the
relationship as a competition, scoring points at the expense of the other.
Risks to a good relationship arise from features such as:
• poor service;
• incompetence, laziness or lack of care;
• using technical jargon at inappropriate times;
• not communicating, ‘hiding behind email’;
• perceived or actual lack of commitment;
• aggression, dishonesty, evasiveness or visible lack of respect.
The service provider can assess the scale of these risks through
satisfaction surveys (collecting both ratings and comments), meetings and
the analysis of complaints.

Trust
B a si c ru l e s fo r b u i l d i n g a g ood re l a ti o n sh i p i n cl u d e :
• ro l e s a n d re sp o n si b i l i ti e s a g re e d in a d va n ce – ‘ wh o d o e s wh a t wh e n ’ ;
• co m m o n i n te re s ts a n d g o a l s i d e n ti fi e d ;
• be h o n e st a b o u t wh a t ca n be a ch i e ve d ;
• d o n ’t o ve r-co m m i t e ve n i f yo u a re u n d e r p re ssu re ;
• o n ce a co m m i tm e n t i s m a d e , m eet i t on ti m e and to b u d g e t;
• a cce p t th e re sh ou l d be som e g i ve and ta ke – d o n ’t b e u n re a s o n a b l e ;
• re m a i n ca l m d u ri n g d i scu ssi o n s ;
• be p o si ti ve and co n stru cti ve e ve n wh e n so m e th i n g i s wro n g ;
• a g re e m e e ti n g ti m e s a n d a g en d a s i n a d va n ce and sti ck to wh a t i s
a g re e d .
Relationship plan
A g ood re l a ti o n sh i p d oes n ot h a ppen b y a cci d e n t h o we ve r
we l l -i n te n ti o n e d th e se rvi ce p ro vi d e r a n d co m m i tte d th e cu sto m e r a re to
m a ki n g th e re l a ti o n sh i p p ro d u cti ve . Building, i m p ro vi n g o r re p a i ri n g a
re l a ti o n s h i p sh o u l d be pl a n n ed , j u st l i ke a n y o th e r a sp e ct o f se rvi ce
m a n a g e m e n t, re g a rd l e s s o f h o w i n ta n g i b l e th e re su l ts.
Pl a n s sh o u l d be d e ve l o p e d j o i n tl y b y th e se rvi ce p ro vi d e r a n d cu s to m e r,
a s we l l a s th e s e rvi ce p ro vi d e r a n d e a ch su p p l i e r. I f j o i n t p l a n s a re n ot
p o ssi b l e b e ca u se th e o th e r p a rti e s a re u n wi l l i n g to co l l a b o ra te wi th th e
s e rvi ce p ro vi d e r, th e se rvi ce p ro vi d e r sh o u l d wo rk o n th i s a l o n e u n ti l th e
re l a ti o n s h i p h a s i m p ro ve d and th e o th e rs p a rti e s se e th e b e n e fi t o f
h a vi n g a pl a n .
Key point
A re q u i re m e n t i n Pa rt 1 , Cl a u se 7. 1 : ’… Th e [ B RM ]
co m m u n i ca ti o n m e ch a n i sm sh a l l p ro m o te u n d e rsta n d i n g o f th e
b u si n e ss e n vi ro n m e n t i n wh i ch th e se rvi ce s o p e ra te and
re q u i re m e n ts fo r n e w o r ch a n g e d se rvi ce s. ’ Th i s co u l d be
re fl e cte d in a p o l i cy o n h ol d i n g b u si n e ss stra te g y m e e ti n g s,
d e ve l o p i n g (o r co n tri b u ti n g to ) an I T stra te g y a n d managing
cu sto m e r sa ti sfa cti o n u si n g i n fo rm a ti o n fro m s u rve ys a n d
o n e -to -o n e m e e ti n g s wi th ke y cu sto m e rs.

Terminology across a service supply chain

I t i s co m m o n th a t te rm i n o l o g y u se d in on e o rg a n i z a ti o n d oes n ot
co rre sp o n d to te rm i n o l o g y u se d in a n o th e r. Th i s m a ke s co m m u n i ca ti o n
b e twe e n th e o rg a n i z a ti o n s h a rd e r.
A cu sto m e r m i g h t h a ve no i n te re st i n th e te rm i n o l o g y a d o p te d b y th e i r
se rvi ce p ro vi d e r a n d ca n h a ve a stro n g d i sl i ke o f a n y te rm i n o l o g y o th e r
th a n th e i r o wn . A cu s to m e r s h o u l d n ot be fo rce d to a d o p t th e i r se rvi ce
p ro vi d e r’s te rm s. S i m i l a rl y, a su p p l i e r a n d se rvi ce p ro vi d e r m i g h t n o t u se
th e sa m e te rm s i n th e sa m e wa y, fo r h i sto ri c o r cu l tu ra l re a so n s, e ve n if
th e y h a ve a d o p te d th e sa m e b e st p ra cti ce s.
S ta n d a rd i z i n g te rm i n o l o g y a cro ss a l on g o r co m p l e x su p p l y ch a i n ca n be
a m a j o r u n d e rta ki n g . D i ffe re n ce s i n te rm i n o l o g y s h o u l d be re co g n i z e d
and m a n a g ed a s th e y h a ve i m p l i ca ti o n s fo r th e d e si g n o f se rvi ce re p o rts,
d i scu ss i o n s i n re vi e ws, se rvi ce ca ta l o g u e s a n d S LAs.
I t i s u su a l l y p ro d u cti ve to map te rm i n o l o g y u se d in e a ch o rg a n i z a ti o n .
B RM and S LM ca n p ro vi d e i n p u t i n to th i s, a s th e re sh o u l d be an
u n d e rs ta n d i n g o f th e d i ffe re n ce s i n te rm i n o l o g y u se d b y th e cu sto m e rs
and th e se rvi ce p ro vi d e r. F o r e xa m p l e , th e s e rvi ce p ro vi d e r m a y d ra w a
d i sti n cti o n b e twe e n an i n ci d e n t, p ro b l e m , m a j o r i n ci d e n t, kn o wn e rro r o r
se rvi ce re q u e st. In co n tra st, cu sto m e rs ca n o b j e ct fo rce fu l l y i f e xp e cte d to
do th e sa m e . S u p p l i e r m a n a g e m e n t ca n do l i ke wi se fo r th e su ppl i er a n d
se rvi ce p ro vi d e r.
O th e r e xa m p l e s o f d i ffe re n t te rm i n o l o g y ca n i n cl u d e ch a n g e
m a n a g e m e n t, a sse ts , d em a n d m a n a g e m e n t, e tc. Th e a sp e ct th a t n e e d s
m o st ca re fu l co n s i d e ra ti o n i s wh e n e a ch p a rty i s u n kn o wi n g l y u si n g th e
sa m e te rm to m ea n s o m e th i n g d i ffe re n t, e. g . ‘ a ss e t’ . Cl a ri ty o n
te rm i n o l o g y e a rl y i n bu i l d i n g a re l a ti o n s h i p ca n a vo i d m a n y o f th e m o st
damaging m i su n d e rs ta n d i n g s .
Th e m a ppi n g o f te rm i n o l o g y u se d by a l l th re e typ e s o f o rg a n i z a ti o n ca n
b e co m e th e re sp o n si b i l i ty o f S LM and h el d in a ce n tra l re p o si to ry, su ch as
a ca ta l o g u e o f se rvi ce s, so th a t th e m a ppi n g i s a va i l a b l e and u n d e rsto o d
by a l l .
Wh e re te rm s u se d b y th e se rvi ce p ro vi d e r d i ffe r fro m th o se in th e 2 0000
se ri e s, an a u d i to r wi l l fi n d i t u se fu l to be p ro vi d e d wi th a m a ppi n g o f th e
two se ts o f te rm s. Al th o u g h th i s i s n o t a ctu a l l y a re q u i re m e n t, i t wi l l s a ve
ti m e and m a ke th e a u d i t s i m p l e r.

Chapter 1 0 Service continuity and
availability
I n trod u cti on
This chapter describes service continuity and availability management.
Major service failures occur for many reasons including denial of service
attack, major virus outbreak, access to premises prevented or a natural
disaster. Failures can arise from technology, the people who support it
and those that use it. The objective of service continuity and availability
management is to ensure that commitments to customers can be met in
all circumstances. This ranges from localized loss of service through to a
widespread disaster.
Requirements have been grouped together in Part 1 , Clause 6.3 because

the requirements are closely linked and similar. A service provider can
choose to implement them as two separate processes or as a single
combined process, as long as all requirements are met.
Req u i rem en ts
The relationship between service continuity and availability management

and the customer’s service requirements is particularly strong. For
example, the following should be understood:
• business priorities for systems and services;

• potential expansion or contraction of business scope;
• changes to locations of customer areas and assets;
• aspects of the service essential to business activities;
• responsibility for decisions after a major loss of service;
• limits to the decision makers’ authority.
BRM provides information on the customer’s business needs. SLM

provides SLAs and a catalogue of services; both are useful sources of
information. They normally include availability targets or lists of the most
critical systems and services for service continuity planning.
Other processes also provide information. For example, the limits to

technology performance, costed options for continuity, information on
review results and plans for the PDCA cycle.

Chapter 1 0 Service continuity and availability
Th e se rvi ce p ro vi d e r i s d e p e n d e n t o n th e cu sto m e r fo r i n fo rm a ti o n on
b u si n e ss p l a n s, e ve n if a cu sto m e r d o e s n o t h a ve a d o cu m e n t ti tl e d
‘ b u si n e s s p l a n ’ . E xa m p l e s o f th i s i n cl u d e o rg a n i z a ti o n s th a t, ri g h tl y o r
wro n g l y, o p e ra te on a s h o rt-te rm b a si s a n d wi th l i ttl e pl a n n i n g .
E ve n i f th i s i s th e ca s e , a se rvi ce p ro vi d e r i s n o t a l l o we d to a b d i ca te th e i r
re sp o n si b i l i ti e s fo r u n d e rsta n d i n g th e i r cu sto m e r’s b u s i n e ss a n d b u si n e s s
pl a n .
U n d e r th e s e ci rcu m sta n ce s th e se rvi ce p ro vi d e r sh o u l d d e ve l o p and
d o cu m e n t th e i r u n d e rsta n d i n g b a se d on o th e r so u rce s o f i n fo rm a ti o n .
Th i s i n cl u d e s s e rvi ce re vi e ws, m a rke t re se a rch , cu sto m e r sa ti sfa cti o n ,
co m p l a i n ts a n d se cto r kn o wl e d g e . Th i s sh o u l d th e n be d i scu sse d wi th th e
cu sto m e r to g e t a g re e m e n t fo r i t to be u se d fo r s e rvi ce co n ti n u i ty a n d
a va i l a b i l i ty m a n a g e m e n t p l a n n i n g . Th e cu sto m e rs wi l l th e n be a wa re th a t
i f th e y h a ve wi th h e l d b u si n e ss p l a n s, th e y h a ve d on e so a t th e i r o wn ri sk.
S e rvi ce p ro vi d e rs m a y h a ve cu sto m e rs th a t a re i n d i vi d u a l u s e rs o f a n
I n te rn e t-b a se d se rvi ce , o fte n re fe rre d to a s cl o u d co m p u ti n g . Th e 2 0000
se ri e s a p p l i e s to th i s typ e o f s e rvi ce . H o we ve r, i t i s u n re a l i sti c fo r e a ch
‘ cu sto m e r’ to be a p p ro a ch e d a b o u t th e i r se rvi ce re q u i re m e n ts. I n s te a d ,
th e se rvi ce p ro vi d e r sh o u l d d e m o n stra te an u n d e rs ta n d i n g o f typ i ca l
se rvi ce u se and re q u i re m e n ts, and co n ve rt th i s i n to e ffe cti ve se rvi ce
co n ti n u i ty a n d a va i l a b i l i ty p l a n s.
In so m e ca se s a se rvi ce p ro vi d e r d o e s n o t co n fo rm to th e se rvi ce
co n ti n u i ty re q u i re m e n ts . Th i s fa i l u re ca n be due to i n a d e q u a te B RM or
S LM , and n o t d i re ctl y to se rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t.
Th i s p a rti cu l a r ci rcu m sta n ce h i g h l i g h ts th a t th e b e n e fi ts o f se rvi ce
m a n a g e m e n t o ve ra l l i s g re a te r th a n th e su m o f i n d i vi d u a l p ro ce s se s.
I t i s a cce p ta b l e i f th e cu sto m e r co n sci o u s l y d e ci d e s to a cce p t m i n i m a l
se rvi ce co n ti n u i ty, a s l on g a s th e re i s e vi d e n ce th a t th e cu s to m e r h a s
u n d e rs to o d and a cce p te d th e ri s k.
Assessing risks
An u n u su a l l y wi d e ra n g e o f ri sks i s co n s i d e re d fo r th e se p ro ce sse s . Th i s i s
wh y th e 2 0 0 00 se ri e s e m p h a si z e s u n d e rsta n d i n g th e se rvi ce , se rvi ce
co m p o n e n ts, ri sks to th e s e rvi ce and th e wa y ri sks ca n be m a n a g ed .
Th e a b i l i ty to re co ve r se rvi ce s q u i ckl y sh o u l d be b a l a n ce d a g a i n st th e
co sts. I t m a y be i m p o ss i b l e o r n o t co st- j u sti fi e d fo r a se rvi ce to be highly
re si l i e n t to fa i l u re . Th e cu sto m e r m a y p re fe r to re l y o n re co ve ri n g a
se rvi ce in a ti m e l y m a n n e r a t a l o we r co st.

Developing plans
Key point
M a n y o f th e fe a tu re s o f th e 2 0000 se ri e s a re va ri a ti o n s o n ri sk
a ss e s sm e n t a n d m a n a g e m e n t. F o r e xa m p l e , ‘… th e se rvi ce
p ro vi d e r sh a l l a sse s s a n d d o cu m e n t th e ri sks to a va i l a b i l i ty a n d
co n ti n u i ty o f s e rvi ce s’ .
Th i s co u l d be d i re cte d by a p o l i cy o n th e n eed fo r ri s k
m a n a g e m e n t o f se rvi ce s, n o t o n l y a s p a rt o f s e rvi ce co n ti n u i ty
and a va i l a b i l i ty m a n a g e m e n t, b u t a l so a cro ss o th e r p ro ce sse s ,
i n cl u d i n g th e PD CA cycl e .
Timescales and funding

Ava i l a b i l i ty m a n a g e m e n t a n a l yse s, re vi e ws a n d a cts o n l o s t a va i l a b i l i ty,
o ve r m i n u te s, d a ys, we e ks a n d m o n th s . A l o n g -te rm a sp e ct i s p l a n n i n g
fo r h i g h a va i l a b i l i ty, e. g . bu i l d i n g re si l i e n ce i n to an i n fra stru ctu re d u ri n g
i ts d e s i g n . S e rvi ce co n ti n u i ty p l a n n i n g i s a l so l on g te rm . Pl a n s ca n ta ke
m o n th s to d e ve l o p . Th e y a re re vi e we d a t re l a ti ve l y l o n g i n te rva l s, bu t a t
l e a st o n ce a ye a r.
S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t p l a n s n o rm a l l y re q u i re
a d d i ti o n a l fu n d i n g fo r i m p l e m e n ta ti o n and i n cre a se s th e to ta l co st o f th e
s e rvi ce . Th i s e xte n d s th e e l a p se d ti m e fo r a g re e m e n t o f th e p l a n s a s to p
m a n a g e m e n t co n si d e r th e co sts a n d b e n e fi ts o f i n ve sti n g in th e
p ro p o sa l s . Wi th o u t m a n a g e m e n t co m m i tm e n t, a va i l a b i l i ty m a n a g e m e n t
and se rvi ce co n ti n u i ty a re u su a l l y u n d e r- fu n d e d and d on e ba d l y or n ot a t
all. I n s te a d th e se rvi ce p ro vi d e r g a m b l e s th a t a m a j o r l o ss o f se rvi ce wi l l
n ot h a ppen .
Developing plans
It is a re q u i re m e n t o f Pa rt 1 th a t p l a n s a re d e ve l o p e d and th e n ke p t
cu rre n t fo r b o th s e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t. Th e
pl a n n i n g a p p ro a ch a d o p te d n e e d s to ca te r fo r a wi d e ra n g e of
ci rcu m sta n ce s , i n cl u d i n g l o s s o f s e rvi ce fo r re a s o n s o u tsi d e th e d i re ct
co n tro l o f th e se rvi ce p ro vi d e r.
Pl a n s re q u i re d fo r se rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t ca n be
p a rti cu l a rl y ti m e - co n su m i n g to pu t i n p l a ce fo r th e fi rst ti m e . Th i s i s
b e ca u se th e re l a ti o n sh i p s b e twe e n co m p o n e n ts su ch a s so ftwa re ,
h a rd wa re , to o l s, co m m u n i ca ti o n s, a cco m m o d a ti o n , se rvi ce p ro vi d e r
p e rs o n n e l and u se rs a re n o rm a l l y ve ry co m p l e x a n d d i ffi cu l t to a rti cu l a te ,
so th a t p l a n n i n g i s a l so d i ffi cu l t. A si n g l e i te m or a l i n k b e twe e n two

items that is missing from the plans could be the weak link that makes
the whole plan fail. Because the relationships between components are
complex, planning is also very reliant on effective configuration
management. The need for effective service continuity and high levels of
availability can trigger recognition of the benefits of configuration
management.
The active involvement of a manager with responsibility for the process is

most likely to be necessary when requirements are being identified and
plans are being made for the first time.
The approach for planning should include:
• customer’s business plans;

• service requirements;
• effective changes to requirements affecting the plan;
• service catalogue and SLAs, including:
– access rights to the services;
– service response times;
– end-to-end availability of services;
• procedures to be implemented in the event of a major loss of service,
or reference to them;
• availability targets when the plan is invoked;
• recovery requirements;
• approach for the return to normal working conditions.
The availability plan(s) should contain availability requirements/targets.

Other useful considerations include:
• service hours;
• critical business periods and maximum acceptable period of lost
service;
• maximum acceptable periods of degraded service;
• acceptable degraded levels of service after loss of service;
• dependencies between service and system components;
• role of suppliers;
• a review to check the plans are still appropriate.
Locations
The location selected for storage of data, software, documentation,
hardware or office space for use by the service provider’s and the
customer’s own personnel should be physically separate from normal
locations and also have separate communication links. Supplier
management and configuration management normally play a role in
establishing alternative locations.

Developing plans
Th e se rvi ce co n ti n u i ty p l a n (s) , a n y re l e va n t co n ta ct l i sts a n d th e CM D B
sh ou l d be a rra n g e d so th a t th e y a re a cce s si b l e i f th e l o s s o f se rvi ce a l so
p re ve n ts a cce ss to n o rm a l se rvi ce l o ca ti o n s.
Activity levels
Th e p l a n s sh o u l d a cco m m o d a te ch a n g e s i n th e si z e and sca l e o f th e
wo rkl o a d su p p o rte d b y th e se rvi ce . Th i s i n cl u d e s ch a n g e s to b u si n e ss
a cti vi ty a n d wo rkl o a d p e a ks, tro u g h s a n d a ve ra g e s.
In e xtre m e ca se s, n o t ta ki n g ch a n g e s i n to a cco u n t ca n m ea n th e ca p a ci ty
i s i n a d e q u a te i f th e se rvi ce h a s to be p ro vi d e d fro m a b a cku p s i te .
Co n ve rse l y, a d e cre a se in n o rm a l wo rkl o a d s ca n m a ke th e p l a n s fo r a
b a cku p si te fa r m o re e xp e n si ve th a n wa s p re vi o u sl y n e ce ssa ry, b e ca u se
e xce s si ve ca p a ci ty h a s b e e n p ro vi d e d .
Th e re a re a d va n ta g e s to pl a n n i n g b o th s e rvi ce co n ti n u i ty a n d a va i l a b i l i ty
a t th e sa m e ti m e , a s g a ps a n d o ve rl a p s a re m o re re a d i l y i d e n ti fi e d and
re so l ve d . Wh e n m u l ti p l e p l a n s a re u se d , i t i s a d vi sa b l e fo r th e se p a ra te
p l a n s to be cl o se l y l i n ke d . Typ i ca l l y, th i s i s e a si e st to do i f th e y fo rm p a rt
of a p ro g ra m m e and a re m a n a g ed b y p ro g ra m m e m a n a g e m e n t. Th i s i s
a l so an e xa m p l e o f i n te g ra ti o n b e twe e n co m p o n e n ts o f th e SM S.
Return to normal working

E ffe cti ve se rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t a re d epen d en t
on h a rd wa re , so ftwa re , d a ta , d o cu m e n ta ti o n , a cco m m o d a ti o n , fa ci l i ti e s
and peopl e wh o a re re q u i re d to re tu rn th e se rvi ce to n o rm a l . Th e a u d i to r
wi l l e xp e ct to se e e vi d e n ce th a t th e re q u i re m e n ts a n d p l a n s ca te r n o t
o n l y fo r h a n d l i n g a cri s i s a n d th e i m m e d i a te a fte rm a th of a s e rvi ce l o ss,
b u t a l so l o n g e r te rm re tu rn to s e rvi ce d e l i ve ry.
Re q u i re m e n ts a n d pl a n s sh ou l d co ve r e a ch o f th e ste p s fo r ch a n g i n g th e
e m e rg e n cy a rra n g e m e n ts b a ck to n o rm a l s e rvi ce s . D epen d i n g on th e
n a tu re o f th e u n d e rl yi n g ca u s e and th e sca l e o f th e se rvi ce l o ss , th i s co u l d
be a m a j o r p ro j e ct, ta ki n g m a n y m o n th s.
Th e p l a n s sh o u l d re fl e ct e xp e cte d ch a n g e s to b u si n e ss-cri ti ca l a cti vi ti e s
o ve r ti m e . F o r e xa m p l e , e n d - o f-ye a r a cti vi ti e s a re n o t i m p o rta n t i f th e
s e rvi ce i s l o st a t th e sta rt o f th e n e w b u s i n e ss ye a r. Th e sa m e l o ss co u l d
e ve n h a ve l eg a l i m p l i ca ti o n s i n th e p e ri o d i m m e d i a te l y b e fo re th e ye a r
en d . E m e rg e n cy a rra n g e m e n ts fo r b e fo re and a fte r th e en d o f th e ye a r
m a y be ve ry d i ffe re n t to th o se re q u i re d fo r th e re st o f th e ye a r.

Typ i ca l l y, re tu rn to n o rm a l se rvi ce i n cl u d e s ta sks su ch a s re tri e va l of
b a cku p d a ta , so ftwa re and d o cu m e n ta ti o n fro m sto ra g e . Th i s ca n a l so
i n vo l ve d a ta p ro b l e m s a n d re l o a d i n g o f d a ta , a s we l l a s co n si ste n cy i ssu e s
a cro ss syste m s.
I t a l so typ i ca l l y i n cl u d e s e n su ri n g th e re i s e q u i p m e n t fo r:
• se rvi ce re s to ra ti o n ;
• se rvi ce su p p o rt a n d d e l i ve ry;
• u se rs o f th e se rvi ce .
I t ca n a l so be a d vi sa b l e to pl a n fo r re l o ca ti o n o f th e se rvi ce p ro vi d e r a n d
th e cu sto m e rs/u se rs, i n cl u d i n g co n si d e ra ti o n o f wa ys fo r a ch i e vi n g
re l oca ti o n q u i ckl y, in ca se n o rm a l l o ca ti o n s h a ve b e co m e p e rm a n e n tl y
u n u sa b l e .
Change management
Th e i n te rfa ce b e twe e n s e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t
and ch a n g e m a n a g e m e n t i s p a rti cu l a rl y i m p o rta n t b e ca u se ch a n g e s ca n
e a si l y h a ve an u n i n te n d e d e ffe ct o n th e a b i l i ty o f s e rvi ce p ro vi d e r to
fu n cti o n a fte r a m a j o r l o ss o f se rvi ce . As fo r o th e r p ro ce s se s, ch a n g e s to
th e d o cu m e n ts, i n cl u d i n g pl a n s, p ro d u ce d o r u se d b y s e rvi ce co n ti n u i ty
and a va i l a b i l i ty m a n a g e m e n t a re u n d e r th e co n tro l o f ch a n g e
Documentation
Accu ra te , d e ta i l e d b u t e a s i l y u se d pl a n s a n d s u p p o rti n g d o cu m e n ts a re an
i m p o rta n t p a rt o f se rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t. N ot
o n l y wi l l th e pl a n s a n d d o cu m e n ts b e e a si e r to u n d e rsta n d and u se , bu t
th e y wi l l a l so be e a si e r to m a i n ta i n .
At l e a s t o n e co p y o f a l l ke y d o cu m e n ts , wh i ch a re e a s i l y i d e n ti fi e d a s th e
cu rre n t ve rsi o n , sh o u l d be sto re d a wa y fro m th e se rvi ce p ro vi d e r’s n o rm a l
p re m i se s, b u t sh o u l d sti l l be e a s i l y a cce ssi b l e . E q u i p m e n t to d u p l i ca te ,
d i stri b u te and u se d o cu m e n ta ti o n i s a l so n e ce ss a ry a s n o rm a l m e th o d s
m i g h t n o t wo rk.
Example – After the flood
D u ri n g se ve re we a th e r, a d i stri b u ti o n d e p o t wa s fl o o d e d wh e n a
l o ca l ri ve r b u rst i ts b a n ks. Al l eq u i pm en t on th e g ro u n d fl o o r wa s
d a m a g ed b e yo n d re p a i r. U n fo rtu n a te l y, wh e n th e se rvi ce co n ti n u i ty
pl a n wa s d e ve l o p e d , th e ri s k o f fl o o d i n g wa s n o t co n si d e re d . Th e
ri ve r wa s o u t o f s i g h t a n d ou t of m i n d .

Developing plans
Th e fl o o d wa te r wa s s o d eep p e rs o n n e l we re u n a bl e to re a ch th e
bu i l d i n g to e xe cu te th e co n ti n u i ty p l a n s. Afte r a d a y’s d e l a y, th e y
we re a bl e to e sta b l i sh th a t e q u i p m e n t o n th e u p p e r fl o o rs wa s sti l l in
wo rki n g o rd e r. H o we ve r, b e ca u se se ve ra l co m p o n e n ts o f th e
i n fra stru ctu re we re l o ca te d in th e b a se m e n t a n d g ro u n d fl o o r n o n e
o f th e e q u i p m e n t co u l d be co n n e cte d to h ea d o ffi ce . F o r e xa m p l e ,
p o we r wa s i n te rru p te d and so m e n e two rk h a rd wa re wa s d a m a g e d .
Afte r th e s e rvi ce wa s re tu rn e d to n e a r n o rm a l sta tu s , a re vi e w
re co m m e n d e d re l o ca ti o n o f vi ta l e q u i p m e n t to th e u p p e r fl o o rs, wi th
d u p l i ca te s to be a va i l a b l e a t sh o rt n o ti ce fro m a d i ffe re n t l o ca ti o n . In
th e e ve n t o f a re p e a t fl o o d , th e o ffi ce co u l d be fu n cti o n i n g n o rm a l l y
again a s soon a s sta ff h a d a cce ss to th e bu i l d i n g .
Th e o p ti o n o f h a vi n g an a l te rn a ti ve b a cku p s i te a wa y fro m th e ri sk
o f fl o o d i n g wa s co n si d e re d . Th i s wa s re j e cte d b e ca u se a d el a y i n
g e tti n g a cce ss wa s a cce p ta b l e i f, o n ce th e sta ff we re on si te , th e y
co u l d re su m e wo rki n g q u i ckl y.
I t wa s re co g n i z e d th a t th e o ri g i n a l ri sk a sse ss m e n t h a d n ot been
d on e p ro p e rl y a n d th a t te sti n g o f th e pl a n s h a d n ot been ri g o ro u s
en ou g h o r fre q u e n t e n o u g h . Th e ri sk o f fl o o d i n g wa s i n co rp o ra te d
i n to th e re vi se d p l a n s b u t, m o re si g n i fi ca n tl y, o th e r ri sks we re
re co n s i d e re d and ta ke n i n to a cco u n t i n a n e w ve rsi o n o f th e
co n ti n u i ty p l a n .
Roles and responsibilities

I m m e d i a te l y a fte r a se ri o u s l o ss o f se rvi ce i t i s e a s y fo r th e re to be
u n ce rta i n ty a b o u t ‘ wh o d o e s wh a t a n d wh e n ’ . E ffo rt ca n be d u p l i ca te d or
ta sks ca n be o m i tte d b e ca u se e a ch p e rso n th o u g h t s o m e o n e e l se wa s
re sp o n si b l e . Pl a n n i n g i n cl u d e s d o cu m e n ti n g i n d i vi d u a l re s p o n si b i l i ti e s fo r
‘ wh o d o e s wh a t a n d wh e n ’ . Th i s ca n be d on e u si n g m a tri ce s su ch a s th e
RACI m a tri x sh o wn in Ch a p te r 6 .
A ke y i n d i vi d u a l bei n g on l e a ve o r h a vi n g l e ft th e o rg a n i z a ti o n wi th o u t a
s u b sti tu te ca n b e co m e a we a kn e ss i n th e pl a n . I t i s u s u a l l y a p p ro p ri a te to
h a ve n o m i n a te d su b s ti tu te s fo r e a ch p e rso n wi th a sp e ci fi c ro l e and
re sp o n si b i l i ty.
On e ke y ro l e in p l a n s i s th e d e ci si o n to e xe cu te th e se rvi ce co n ti n u i ty a n d
a va i l a b i l i ty p l a n s. Th a t ro l e sh o u l d h a ve th e a u th o ri ty to m a ke th e
d e ci si o n , e. g . to p m a n a g e m e n t o r th e p ro ce s s o wn e r fo r se rvi ce
co n ti n u i ty.
Wh o e ve r h a s th i s re sp o n s i b i l i ty n e e d s to be g i ve n cri te ri a a g a i n st wh i ch a
d e ci si o n ca n be m a d e. F o r e xa m p l e , th e sca l e o f th e se rvi ce l o ss , th e ti m e
i t wi l l ta ke to re s o l ve and th e i m p a ct o n th e cu s to m e rs a t th e ti m e th e
s e rvi ce i s l o st.

Testing service continuity plans

Th e se rvi ce co n ti n u i ty p l a n i s e xe cu te d o n l y wh e n th e re is a m a j o r se rvi ce
l o ss , a t th e ve ry ti m e wh e n a d e fe ct i n th e pl a n i s h a rd to co p e wi th . It is
p a rti cu l a rl y i m p o rta n t fo r se rvi ce co n ti n u i ty p l a n s to be te ste d and
re -te ste d b e ca u se th e y a re n o rm a l l y co m p l e x a n d su b j e ct to fre q u e n t
ch a n g e s. Th e m o re fre q u e n t th e ch a n g e s th e m o re fre q u e n t s h o u l d be
th e te s ti n g .
Th e fre q u e n cy sh o u l d a l so re fl e ct a n y l e g a l l i a b i l i ty, re g u l a ti o n s, d e l i ve ry
o f l i fe - p ro te cti n g s e rvi ce s o r o th e r h i g h p ri o ri ty se rvi ce bei n g d e l i ve re d .
Co n ve rs e l y, a s e rvi ce th a t i s s ta b l e and u se d fo r a cti vi ti e s th a t a re n ot
b u s i n e ss cri ti ca l m a y n eed te sti n g l e ss fre q u e n tl y, wi th l e ss ri g o u r a n d
th e re fo re l o we r co st.
I t i s a d vi s a b l e fo r te sti n g to be d on e wi th th e i n vo l ve m e n t o f th e
cu sto m e r, a g a i n st a se t o f o b j e cti ve s a g re e d b y th e cu sto m e r a n d se rvi ce
p ro vi d e r i n a d va n ce . Th i s i s n o t a Pa rt 1 re q u i re m e n t b u t b e n e fi ts th e
q u a l i ty o f th e te st a n d pl a n .
E ffe cti ve te sti n g o f p l a n s ca n be ti m e -co n s u m i n g , e xp e n si ve and a
d i stra cti o n fro m d a y-to - d a y d e l i ve ry o f th e se rvi ce . H o we ve r, gaining
sh o rt-te rm sa vi n g s fro m d e l a yi n g o r ca n ce l l i n g te sts i s s h o rt-si g h te d . Th e
sca l e and co m p l e xi ty o f e ffo rt o f i m p ro vi n g th e pl a n a fte r i t i s e ve n tu a l l y
te ste d typ i ca l l y o u twe i g h th e b e n e fi ts o f a vo i d i n g th e e a rl i e r te st co s ts.
Th e pl a n ca n h a ve b e co m e so o u t o f d a te th a t i t h a s to be a ba n d on ed
and co m p l e te l y re d o n e . O u t-o f-d a te p l a n s a l so ca rry ri s ks to th e se rvi ce ,
wh i ch a re a h i d d en co st.
Al l te sts sh o u l d be d on e fo rm a l l y, wi th te s ts re co rd e d and i n fo rm a ti o n on
te st fa i l u re s u s e d to d e ve l o p a cti o n p l a n s to co rre ct th e pl a n . Typ i ca l l y,
th i s i s i n p u t to th e co n ti n u a l se rvi ce i m p ro ve m e n t p l a n a s p a rt o f PD CA.
H a p p i l y, th e se rvi ce p ro vi d e r d o e s n o t h a ve to a rra n g e fo r a m a j o r l o ss o f
se rvi ce to p ro ve th e y m e e t th e a u d i t re q u i re m e n ts. Th e a u d i to r a sse ss e s
th e d e ve l o p m e n t, m a n a g em en t a n d te sti n g o f th e se rvi ce co n ti n u i ty
p l a n s, n o t th e i r e xe cu ti o n .
Keeping the initiative going

S e rvi ce co n ti n u i ty p l a n s s h o u l d be re vi e we d a t l e a s t a n n u a l l y. E ve n th e
pl a n fo r a se rvi ce th a t i s n o t b u si n e ss cri ti ca l sh o u l d be re vi e we d to
e n su re th a t th e re h a ve been no m a j o r ch a n g e s i n re q u i re m e n ts a n d th a t
th e co sts o f co n ti n g e n cy a rra n g e m e n ts a ri si n g fro m th e pl a n a re sti l l
co st- j u sti fi e d .

Keeping the initiative going
Th e re ve rse i s a l so th e ca se , i . e. a co n ti n u i ty p l a n co u l d h a ve been
d e ve l o p e d fo r a se rvi ce o n ce o f l o w i m p o rta n ce b u t n o t ch a n g e d wh e n
th e se rvi ce b e ca m e b u si n e s s cri ti ca l . F o r e xa m p l e , em a i l .
Th i s ca n be a fa i l u re in a n o th e r p ro ce ss, e. g . B RM fa i l i n g to pa ss on
i n fo rm a ti o n on th e cu sto m e r’s b u si n e ss a cti vi ti e s to se rvi ce co n ti n u i ty a n d
a va i l a b i l i ty m a n a g e m e n t. In th i s ca s e , B RM sh ou l d a l so be i m p ro ve d o n ce
th e fa i l u re i s i d e n ti fi e d b y th e re vi e w o f th e se rvi ce co n ti n u i ty p l a n .
I t i s a l so a d vi sa b l e to re vi e w u si n g te s t re s u l ts a n d a fte r si g n i fi ca n t
ch a n g e s i n :
• th e cu sto m e r’s b u si n e ss a cti vi ty a n d b u s i n e ss n e e d s;
• se rvi ce s ;
• th e wa y th e se rvi ce i s d e l i ve re d (e . g . a fte r p ro ce ss re -e n g i n e e ri n g ) ;
• su p p l i e rs a n d su p p l i e r co n tra cts;
• o rg a n i z a ti o n a l s tru ctu re o f th e se rvi ce p ro vi d e r a n d cu sto m e r;
• a cco m m o d a ti o n (e . g . o ffi ce m o ve s ) .
An y ch a n g e th a t m e e ts th e cri te ri a fo r a h i g h -ri sk ch a n g e , wi th th e
p o te n ti a l fo r a m a j o r i m p a ct s h o u l d a l so tri g g e r a re vi e w. Th e se a re
ch a n g e s th a t th e ch a n g e m a n a g e m e n t p o l i cy co n s i d e rs n e e d th e a d d ed
p ro te cti o n o f th e re q u i re m e n ts i n Pa rt 1 , Cl a u se 5, fo r n e w a n d ch a n g e d
s e rvi ce s .
Ch a n g e m a n a g e m e n t sh o u l d a l so a sse s s th e i m p a ct o f a n y ch a n g e on th e
a va i l a b i l i ty a n d se rvi ce co n ti n u i ty p l a n . H o we ve r, i t i s a l so a d vi sa b l e to
co n si d e r th e i m p a ct o n th e wh o l e su p p l y ch a i n o f se rvi ce s, i n cl u d i n g
s u p p l i e rs o r o th e r g ro u p s. Th i s a p p l i e s to all su p p l i e rs, n o t j u st th o se th a t
a re sp e ci a l i s t su p p l i e rs o f se rvi ce co n ti n u i ty o r a va i l a b i l i ty se rvi ce s.
Ava i l a b i l i ty a n d u n pl a n n ed n o n -a va i l a b i l i ty sh o u l d be re co rd e d and
co m p a re d to ta rg e ts . U n pl a n n ed n o n -a va i l a b i l i ty sh o u l d be i n ve sti g a te d
and a p p ro p ri a te a cti o n s ta ke n . Th e se a re th e o n l y re q u i re m e n ts fo r
a va i l a b i l i ty m a n a g e m e n t th a t a re n o t m a tch e d b y si m i l a r re q u i re m e n ts
fo r se rvi ce co n ti n u i ty.
As l o st a va i l a b i l i ty n o rm a l l y h a s a n i m p a ct o n th e cu sto m e rs a n d u se rs,
th e re i s u su a l l y a n i n te rfa ce to S LM , B RM and m a n y o th e r p ro ce sse s i n
th e SM S.

Ch a p te r 1 1 M o n e y m a tte rs:
b u d g e ti n g and a cco u n ti n g
I n trod u cti on
Th i s ch a p te r d e scri b e s th o se a s p e cts o f b u d g e ti n g and a cco u n ti n g n eed ed
fo r a se rvi ce p ro vi d e r to fu l fi l th e re q u i re m e n ts o f Pa rt 1 . Th i s ch a p te r i s
n o t l i m i te d to th e re q u i re m e n ts o f Pa rt 1 , Cl a u se 6 . 4. I t a l so co ve rs to p i cs
u se fu l fo r a b ro a d e r u n d e rsta n d i n g o f fi n a n ci a l m a n a g em en t a n d
te rm i n o l o g y. Th i s wi l l h el p, fo r e xa m p l e , to i d e n ti fy wa ys to u n d e rsta n d
th e co st o f th e SM S and se rvi ce s a n d th e re fo re h o w to i m p ro ve
co st- e ffe cti ve n e ss.
Th e con text
S e rvi ce p ro vi d e rs o fte n p ro vi d e o r re l y o n sh a re d se rvi ce s, sh a re d
re so u rce s a n d a m i x o f ca p i ta l and re ve n u e fu n d s. Som e se rvi ce p ro vi d e rs
ch a rg e fo r th e i r se rvi ce s, o th e rs p ro vi d e s u ffi ci e n t d e ta i l to a l l o w co sts to
be u n d e rsto o d fo r se rvi ce p ro vi si o n and fo r se rvi ce u sa g e b y i n d i vi d u a l
d e p a rtm e n ts. M o st se rvi ce p ro vi d e rs o p e ra te in a co m p l e x e n vi ro n m e n t
managing fi n a n ci a l a s se ts, se rvi ce a s se ts a n d i n fo rm a ti o n a sse ts . Th i s
co m b i n e s to m a ke b u d g e ti n g and a cco u n ti n g fo r se rvi ce s a d a u n ti n g
p ro sp e ct fo r th o se wi th a se rvi ce o r te ch n i ca l b a ckg ro u n d . F o r e xa m p l e ,
se rvi ce a ss e ts a n d i n fo rm a ti o n a s se ts a re o fte n n o t a sse ts a t a l l in
a cco u n ti n g te rm s b e ca u se th e y h a ve no re sa l e va l u e .
Wh y d oes i t m a tter?
F i n a n ci a l p o l i ci e s, p ro ce sse s , p ro ce d u re s a n d co n tro l s a re u se d to manage
fi n a n ci a l ri sk, to e n s u re co n tro l p ro ce ss e s a re e ffe cti ve , and to m i n i m i ze
fra u d .
I t i s a l so n o w re co g n i z e d th a t th e p ro fe ssi o n a l m a n a g em en t of a se rvi ce
i s o n l y e ffe cti ve i f th e fi n a n ci a l a sp e cts o f se rvi ce s a re u n d e rs to o d . For
e xa m p l e , m o st se rvi ce p ro vi d e rs se e k to m i n i m i ze co sts wh i l e i m p ro vi n g
se rvi ce s, e i th e r wi l l i n g l y o r b e ca u s e th e y a re fo rce d to do so . To do th i s
we l l , se rvi ce p ro vi d e rs n e e d to u n d e rsta n d th e wa y b u d g e ts a re p ro d u ce d
and th e wa y a ctu a l co sts a re tra cke d a g a i n st a b u d g e t. S e rvi ce p ro vi d e rs

Local knowledge and financial rules
should also have information at a sufficient level of detail to understand

costs at service component level. Costs should be understood even when
services are not charged for.
The PDCA cycle of improvements relies on the use of financial

information for informed decision-making on service improvements,
increasing value for money and other changes. Understanding costs
means that decisions are based on better information, not just on the
nature and quality of the service or based only on technical reasons.
Budgeting and accounting are also part of an overall system of controls

that ensure the service provider’s organization is operating with financial
probity. This should be included when the SMS is planned, operated or
improved.
There are parallels between budgeting and accounting and other

processes. For example, a budget, which is a set of financial targets, plays
the same part in budgeting and accounting as service targets in SLM.
Local knowledge and financial rules

A manager new to working with budgets and accounts should seek
guidance from their finance department. Terms differ across countries,
even those that nominally speak the same language, e.g. the UK uses the
term ‘depreciation’ and the USA uses ‘amortization’ for the same thing.
Other differences can occur within a single country due to company
policies and if alternatives are allowed under national law. This includes
rules on the difference between capital and revenue expenditure, what
constitutes an asset in accounting terms, rules on depreciation (or
amortization) etc.
Advice from the finance department is important for building a budget,

developing cost models for services, reporting actual cost against a
budget, reviewing financial forecasts and improving cost-effectiveness.
Many service providers will find that financial policies are already
established. The financial policies are part of the SMS, even if they are
not developed for the SMS, by the service provider. This type of ‘ready
made’ policy avoids the need to develop them for the SMS. They are
simply incorporated in the SMS.
Revenue and capital

The rules on the difference between revenue and capital expenditure are
important to the operation of an SMS. The rules are influenced by
government fiscal policies, accounting regulations and a service provider’s
own organization-wide policies. There is little flexibility within any one

Chapter 1 1 Money matters: budgeting and accounting
o rg a n i z a ti o n o n ce th e p o l i cy h a s b e e n e s ta b l i sh e d . F o r e xa m p l e , o n ce a
co st h a s b e e n cl a sse d a s re ve n u e e xp e n d i tu re i t i s n o t n o rm a l l y
re cl a ssi fi e d a s ca p i ta l e xp e n d i tu re and vi ce ve rsa . In so m e ca se s d e vi a ti n g
fro m th e n o rm a l ru l e s i s a ctu a l l y i l l e g a l .
Revenue expenditure i s th e a cco u n ti n g te rm fo r re cu rri n g ru n n i n g co sts
fo r a n o rg a n i z a ti o n . Th e se a re so m e ti m e s re fe rre d to a s ‘ o p e ra ti n g co sts’ .
Th e se ra n g e fro m th e co sts o f e m p l o yi n g p e rso n n e l th ro u g h to sm a l l
i te m s o f sta ti o n e ry. Th e y ca n be a m a j o r e xp e n d i tu re b u t a re n ot
a va i l a b l e fo r re sa l e , e. g . l e a si n g h a rd wa re , a su b s cri p ti o n se rvi ce to an
on l i n e s yste m , te l e p h o n e line re n ta l . Th e se co sts sh o u l d be fu l l y co ve re d
in a si n g l e fi n a n ci a l ye a r.
Capital expenditure i s th e a cco u n ti n g te rm fo r th e co st o f a n i n ve stm e n t
in (fi n a n ci a l ) a s se ts th a t ca n be s p re a d (d e p re ci a te d ) o ve r th e e xp e cte d
wo rki n g l i fe o f th e i n ve stm e n t. Ca p i ta l e xp e n d i tu re , o fte n re fe rre d to as
ca p i ta l co sts , a re m a i n l y o n e -o ff fi xe d co sts s p re a d (d e p re ci a te d ) o ve r
m o re th a n on e a cco u n ti n g p e ri o d . Ca p i ta l e xp e n d i tu re i s re co rd e d as
a sse ts th a t co u l d be so l d .
Depreciation i s sp re a d i n g th e co st o f a n i n ve s tm e n t fu n d e d fro m ca p i ta l
o ve r th e wo rki n g l i fe o f th e i n ve s tm e n t. Th i s typ e o f i n ve s tm e n t i s
re fe rre d to as an (fi n a n ci a l ) a sse t. E a ch ye a r th e re m a i n i n g va l u e o f th e
i n ve stm e n t i s sm a l l e r, i . e. i t d e p re ci a te s i n va l u e . O p ti o n s i n cl u d e
‘ s tra i g h t- l i n e d e p re ci a ti o n ’ , u n d e r wh i ch th e re is an eq u a l re d u cti o n in
va l u e fo r e a ch ye a r o f th e a ss e t’s e xp e cte d u se fu l l i fe . A PC ‘ d e p re ci a te d
o ve r th re e ye a rs’ wo u l d be re co rd e d in th e a cco u n ts a s l o si n g a th i rd of
i ts i n i ti a l va l u e e a ch ye a r.
To be d e p re ci a te d an a sse t sh o u l d :
• we a r o u t, d e ca y, be u se d u p, b e co m e o b so l e te o r l o se va l u e ;
• h a ve an e xp e cte d u se fu l l i fe o f m o re th a n on e fi n a n ci a l ye a r;
• h a ve a l i fe th a t ca n be re co rd e d .
Expected working life i s se t fo r a cco u n ti n g and b u d g e ta ry p u rp o se s a n d
m i g h t n o t m a tch th e a ctu a l wo rki n g l i fe . Th e co st i s sp re a d (d e p re ci a te d )
o ve r th e e xp e cte d wo rki n g l i fe , e. g . a PC e xp e cte d to h a ve a wo rki n g l i fe
of 3 ye a rs, a se rve r 5 ye a rs , o ffi ce fu rn i tu re m u ch l o n g e r. E xp e cte d
wo rki n g l i fe i s n o rm a l l y se t fo r e a ch typ e o f i n ve s tm e n t b y so m e fo rm of
fi n a n ci a l p o l i cy. In som e ca se s th e u se fu l wo rki n g l i fe i s i n fl u e n ce d by
a cco u n ti n g p ra cti ce s , re g u l a to ry o r sta tu to ry re q u i re m e n ts. Th e se
d e ci si o n s a re o fte n o u ts i d e th e se rvi ce p ro vi d e r’s co n tro l , b u t a re
a cce p ta b l e e vi d e n ce of a p o l i cy fo r th e SM S.
Afte r a n a s se t i s ‘ fu l l y d e p re ci a te d ’ i t ca n s ti l l be in u se , wi th a n om i n a l
a sse t va l u e o f z e ro .

Categories of costs
This is a no cost item for the accounts and the investment is fully paid
for. Less happily, an asset might have to be replaced before it is fully
depreciated. The cost still appears in the accounts and the service
provider might also have to pay for a replacement. Alternatively, an
accounting adjustment can be made, depending on the organization’s
financial policies and, in some cases, legislation or regulations on
accounting practices.
Depreciation can be a serious issue when seeking support for projects

where (financial) assets, such as technology, are to be replaced.
Assets are paid for using capital and are ‘things that have been bought’,
or ‘things that have been built’. A common category of asset is fixed
assets, which are tangible and can be buildings, PCs, printers or furniture.
Assets may be things used in service management or produced by service
management. Some service providers also have intellectual property
assets, e.g. specialist software developed by the service provider or a
trade mark.
Consumables are assets that wear out relatively rapidly or are of such
low cost so that depreciation is not worth tracking, i.e. those items that
are effectively used in a single financial year.
Categories of costs
Both revenue and capital costs are categorized so they can be identified
and shared out across departments, projects, services etc. in an
appropriate and predictable way. This is relevant even if the costs are not
used for charging. Accounting manages these categories of costs
differently.
The cost categories for both revenue and capital are:
1 a) fixed or 1 b) variable;
2a) direct or 2b) indirect.
1 a) Fixed costs: These do not vary with usage or throughput of work. An

example is basic salaries for permanent members of personnel. A basic
salary is fixed however many hours the person works. Even if someone is
on holiday, the basic salary cost is incurred. Another example is the rent
for an office.
1 b) Variable costs : These are incurred each time a service is used or a

product produced. Examples include overtime because in accounting
terms it is optional and ad hoc. Other variable costs include stationery
and telephone calls (i.e. if you don’t use it much, the cost is less, if you
use it a lot, the cost is more).

These are measurable, predictable and attributable to a

2 a ) D i rect costs:
single product, service, customer, cost centre or activity. There is no

ambiguity about what creates and influences direct costs and the way the
costs are .
a l l oca ted
These are less easily handled than direct costs. They are
2 b) I n d i rect costs:
overheads shared out ( ), according to rules defined in

a pporti on ed
advance, e.g. the cost of a service desk used by several customers. The
rules for sharing ( costs can create considerable discussion,
a pporti on i n g )
especially if an apportioned cost is more than expected.
Key poi n t
By effective use of coding for costs and sensible rules for

allocation and apportionment of costs, a service provider can
identify the cost of service, overall or by department, business
activity or location. This can have many benefits, even if the
service provider does not charge for services. For example, the
cost of a service can be compared before and after a service
improvement programme; the cost of different services can be
compared or the cost of services during normal office hours,
compared to 24x7.
Com bi n i n g ca teg ori es
Both fixed and variable costs may be direct or indirect, i.e. fixed costs can
be as direct costs or
a l l oca ted as indirect costs. Variable costs
a pporti on ed
may also be allocated as direct costs or apportioned as indirect costs.
For example, the basic salary cost of a support team member is fixed. The
fixed cost may be allocated to a single department or apportioned across
several departments according to how much time the person spent
helping each department. Also, costs such as stationery are variable but
may be allocated to one department irrespective of how much stationery
is used, or it could be apportioned (shared) across several departments
according to what each department has used.
Even if a service provider uses only notional charging or does not charge
at all, apportioning and allocating costs helps identify the way costs can
be reduced.

Identifying and managing variance
Ba l a n ce sh eet
In th e wa y th a t a CM D B is a d a ta sto re u se d to re co rd a ttri b u te s o f CI s,
and th e re l a ti o n s h i p s b e twe e n CI s, th ro u g h o u t th e i r l i fe cycl e , a b a l a n ce
sh eet i s a re co rd o f fi n a n ci a l s ta tu s. A b a l a n ce sh e e t sh o ws th e fi n a n ci a l
s tre n g th and ca p a b i l i ti e s o f th e se rvi ce p ro vi d e r’s o rg a n i z a ti o n .
Pro fi t a n d l o ss a cco u n ts a re p a rt o f th e b a l a n ce sh e e t. Th e y re p o rt o n th e
s e rvi ce p ro vi d e r’s p ro fi t o n sa l e s a n d th e co sts o f th e i r se rvi ce .
I d en ti fyi n g a n d m a n a g i n g va ri a n ce
In fi n a n ci a l te rm s th e d i ffe re n ce b e twe e n a bu d g et a n d a ctu a l fi g u re is a
va ri a n ce . Va ri a n ce s s h o u l d be i n ve sti g a te d and m a n a g ed b e fo re th e
u n d e rl yi n g i ss u e s b e co m e si g n i fi ca n t. U si n g th e i n fo rm a ti o n in th i s wa y
sh ou l d m ea n th a t fu n d s a re a va i l a b l e fo r th e a g re e d se rvi ce s th ro u g h o u t
th e ye a r a n d th a t th e b u d g e t i s n o t o ve rs p e n t o r sp e n t i n co rre ctl y.
Ru l e s a re n e ce ss a ry to d e fi n e a cce p ta b l e va ri a n ce s a n d a cti o n s to be
ta ke n wh e n an u n a cce p ta b l e va ri a n ce i s o b se rve d . Acti o n s wi l l d epen d on
th e re a so n s fo r th e va ri a n ce .
Th e re a so n s fo r va ri a n ce i n cl u d e :
• ch a n g e s i n th e l e ve l o f cu s to m e r a cti vi ty o r si z e o f b u s i n e ss;
• ch a n g e s i n th e n u m b e r o f u se rs o r u s e r p ro fi l e s;
• co sts o f a re sp o n se to a m a j o r d i sa ste r;
• ch a n g e s i n te ch n o l o g y;
• th e i n tro d u cti o n o f e ffi ci e n ci e s (o r i n e ffi ci e n ci e s) i n to p ro ce sse s;
• p o o r i d e n ti fi ca ti o n o f a ctu a l co sts d u ri n g th e b u d g e ti n g e xe rci se .
On e ke y re a s o n fo r va ri a n ce i s th a t m o s t b u d g e ts wo rk o n th e b a s i s th a t
e ve ry m o n th i s i d e n ti ca l . A b u d g e t b a se d on 1 /1 2 th o f th e annual fi g u re
fo r e a ch m o n th ca n be o ve rl y si m p l i sti c co m p a re d to th e ch a n g e s i n
s e rvi ce d e l i ve ry co sts. M a n y b u si n e ss e s a re se a so n a l o r su b j e ct to ch a n g e s,
e. g . te l e p h o n y co sts ca n s h o w va ri a n ce s d u e to th e se rvi ce d e sk ch a n g i n g
fro m bei n g ph on e-ba sed to re m o te e n try o f re q u e sts b y u se rs.
Va ri a n ce s ca n be due to u n u su a l e ve n ts, su ch as a m a j o r vi ru s o u tb re a k
m i d -ye a r, re q u i ri n g u n u su a l l y h i g h l e ve l s o f o ve rti m e . Th i s ca n m ea n th e
s e rvi ce p ro vi d e r i s o ve r b u d g e t a t th e en d o f th e ye a r b e ca u s e th e
u n u su a l l y h i g h co sts ca n n o t b e re d e e m e d in l a te r m o n th s.
Va ri a n ce s ca n a l so i n d i ca te th a t b u d g e ti n g wa s d o n e wi th i n a d e q u a te
i n fo rm a ti o n a bou t pl a n s.
Introduction to the ISO/IEC 20000 Series 1 1 1

Key point
B ei n g u n d e r- b u d g e t i s n o t n e ce ss a ri l y g o o d n e ws a s i t ca n be
an i n d i ca to r o f l a ck o f co n tro l o r l a ck o f a ccu ra te p re d i cti o n s o f
wh a t i s l i ke l y to h a ppen . F o r e xa m p l e , i f th e a ctu a l b a s i c sa l a ry
co s ts a re l e s s th a n th e b u d g e te d co sts, th i s co u l d be due to
p e rso n n e l l o ss e s. Th e re m a i n i n g p e rso n n e l m i g h t be u n a bl e to
d e l i ve r th e se rvi ce l e ve l s , co m p o u n d e d b y th e re m a i n i n g
p e rso n n e l fe e l i n g u n d e r p re ssu re and th e re fo re m o re l i ke l y to
se e k a n e w ro l e . In th i s ca se a cti o n s ca n i n cl u d e m a n a g em en t
a d d re s si n g th e re a so n s fo r e xce ssi ve tu rn o ve r, to ste m fu tu re
l o sse s .
I f sa l a ry co sts a re h i g h e r th a n b u d g e te d th i s ca n be due to an
u n e xp e cte d and u n pl a n n ed i n cre a se in th e su p p o rt wo rkl o a d ,
re q u i ri n g m o re p e rso n n e l . Th i s n e e d s a n i n ve sti g a ti o n i n to wh y
th e wo rkl o a d s h a ve i n cre a se d , so th a t a cti o n ca n be ta ke n to
re tu rn th e wo rkl o a d s to th e i r p re vi o u s l e ve l s. I f th e ca u se is due
to a p ro j e ct cre a ti n g i n cre a s e d su p p o rt wo rkl o a d , ch a n g e
m a n a g e m e n t ca n be u se d to g e t th e p ro j e ct-re l a te d su p p o rt
wo rkl o a d b a ck u n d e r co n tro l .
Co sts m i g h t n e e d to be re -fo re ca st i f ci rcu m sta n ce s ch a n g e . Th i s d o e s n o t
ch a n g e th e a ctu a l o ve ra l l fu n d s b u d g e te d , b u t m a ke s va ri a n ce s e a si e r to
u n d e rsta n d and co n tro l , m o n th b y m o n th , o n ce i d e n ti fi e d . H o we ve r,
fi n a n ce d e p a rtm e n ts a re u su a l l y re l u cta n t to ta ke th i s ste p .
Va ri a n ce s ca n be due to ch a n g e s i n i n co m e . E xa m p l e s i n cl u d e i n co m e
b a se d on a p e r-u se r ch a rg e wh e n th e n u m b e r o f u se rs ch a n g e s
u n e xp e cte d l y. I n co m e wi l l ch a n g e bu t i t m i g h t n ot be p o ssi b l e to ch a n g e
co sts i n th e sa m e ti m e sca l e s .
Va ri a n ce s ca n be u n p re d i cta b l e , e. g . a m e rg e r ke p t co n fi d e n ti a l u n ti l j u st
b e fo re i t wa s a g re e d . U n p re d i cta b l e va ri a n ce s ca n a l so be ca u se d by a
fa i l u re to u n d e rsta n d th e cu sto m e r’s b u s i n e ss p l a n s b y B RM o r to re a ct to
i t, b y S LM . E i th e r ci rcu m sta n ce i n d i ca te s th a t th e PD CA cycl e sh o u l d
re vi e w th e o th e r se rvi ce m a n a g e m e n t p ro ce s se s, i n cl u d i n g b u d g e ti n g and
a cco u n ti n g .
Regulatory and statutory obligations

Pa rt 1 re q u i re s th e s e rvi ce p ro vi d e r to be co m p l i a n t wi th th e re l e va n t
sta tu to ry a n d re g u l a to ry re q u i re m e n ts. Th i s i s to an e xte n t a sta te m e n t o f
th e o b vi o u s. Pa rt 1 ca n n o t a ffe ct th e n eed to be co m p l i a n t to o th e r
1 1 2 Introduction to the ISO/IEC 20000 Series

Audits
requirements. However, it is important to take the statutory and

regulatory requirements into consideration when developing an SMS, to
avoid an implementation that is later found to be inadequate for
meeting these statutory or regulatory requirements.
Audits
An audit against Part 1 is completely separate from a financial audit. The
former seeks evidence of the quality and effectiveness of the SMS, whilst
the latter is defined by regulatory and legal requirements. The Part 1 ,
Clause 6.4 requirements differ from the requirements to produce a true
and fair set of accounts for external purposes, such as filing financial
reports under national legislation. However, many of the requirements
are linked, overlap or are identical.

Ch a p te r 1 2 Ca p a ci ty m a n a g e m e n t
I n trod u cti on
Th i s ch a p te r d e scri b e s ca p a ci ty m a n a g e m e n t a n d th e ro l e i t p l a ys i n th e
2 0 0 0 0 se ri e s, in p a rti cu l a r th e wa y th e re q u i re m e n ts i n Pa rt 1 , Cl a u se 6. 5
a ffe ct th e s e rvi ce p ro vi d e r’s S M S .
Th e o b j e cti ve o f ca p a ci ty m a n a g e m e n t i s to e n s u re th a t th e se rvi ce
p ro vi d e r h a s, at all ti m e s, su ffi ci e n t ca p a ci ty to m e e t th e cu rre n t a n d
fu tu re d e m a n d s o f th e cu sto m e r’s se rvi ce re q u i re m e n ts a n d b u si n e ss
n eed s.
M a n y ch a n g e s to th e SM S ca n a ffe ct ca p a ci ty re q u i re m e n ts a n d in tu rn
ca p a ci ty ch a n g e s ca n m ea n ca p a ci ty i s n o l o n g e r a p p ro p ri a te to th e
wo rkl o a d and th i s ca n a ffe ct p e rfo rm a n ce . Th i s i s n o t l i m i te d to te ch n i ca l
i s su e s, su ch a s s to ra g e sp a ce o r b a n d wi d th . I t i n cl u d e s a n y a sp e ct o f th e
SM S wh e re vo l u m e s o r n u m b e rs ca n i n cre a se o r d e cre a se and wh e re a
m i sm a tch b e twe e n a va i l a b l e re s o u rce s a n d re q u i re d re s o u rce s a ffe ct th e
SM S and se rvi ce .
S cope of ca pa ci ty m a n a g em en t
Som e o f th e g re a te st ri sks to ca p a ci ty a n d p e rfo rm a n ce a ri s e fro m th e
a p p l i ca ti o n o f ca p a ci ty m a n a g e m e n t o n l y to te ch n i ca l re s o u rce s . For
e xa m p l e , peopl e a re ve ry i m p o rta n t re s o u rce s th a t sh o u l d be pl a n n ed .
Th e 2 0 0 0 0 se ri e s co ve rs a sp e cts o f ca p a ci ty m a n a g e m e n t n e g l e cte d wh e n
th e p ro ce ss i s se e n as ‘something the technical people do ’.
Th e wh o l e o f se rvi ce m a n a g e m e n t, th e se rvi ce and th e cu s to m e r’s
b u s i n e ss a cti vi ti e s wi l l su ffe r i f ca p a ci ty m a n a g e m e n t i s re stri cte d to
te ch n i ca l re so u rce s. Bad d e ci s i o n s wi l l be m a d e, b a se d on i n a d e q u a te
i n fo rm a ti o n . In co n tra s t, co rre ctl y a p p l i e d ca p a ci ty m a n a g e m e n t wi l l
i n te rfa ce d i re ctl y o r i n d i re ctl y wi th all p ro ce sse s i n th e SM S, i n cl u d i n g th e
PD CA cycl e fo r i m p ro ve m e n ts a s we l l a s th e se rvi ce m a n a g em en t
p ro ce sse s.

Agreeing requirements
Characteristics
Ca p a ci ty m a n a g e m e n t i s fu n d a m e n ta l l y p ro a cti ve , wi th pl a n n i n g and
p re d i cti o n s co re to th e re q u i re m e n ts o f Pa rt 1 . Th i s i s a l so wh y th e
p ro ce ss i s so cl o se l y l i n ke d to cu rre n t a n d p ro j e cte d se rvi ce re q u i re m e n ts,
wh i ch a re in tu rn b a se d on an u n d e rsta n d i n g o f th e cu sto m e r’s b u si n e ss
n e e d s. Th i s ca n sp a n se ve ra l cu sto m e rs a n d se rvi ce s. I t ca n be re l a ti ve l y
co m p l e x u n d e r a sh a re d s e rvi ce m od el wh e re d i ffe re n t g ro u p s o p e ra te
co m p l e te l y i n d e p e n d e n tl y o f e a ch o th e r. Asp e cts o f ca p a ci ty m a n a g e m e n t
a re cl o se l y l i n ke d to re s o u rce m a n a g em en t i n Pa rt 1 , Cl a u se 4. 4.
Agreeing requirements
U n d e r Pa rt 1 , Cl a u s e 6. 5 a se rvi ce p ro vi d e r i s re q u i re d to i d e n ti fy a n d
a g re e ca p a ci ty a n d p e rfo rm a n ce re q u i re m e n ts wi th cu sto m e rs a n d
i n te re ste d p a rti e s. To do th i s m a n y o th e r p ro ce sse s p l a y a p a rt a n d many
peopl e ca n be i n vo l ve d . An e xa m p l e o f ca p a ci ty i n fo rm a ti o n fl o wi n g
b e twe e n o rg a n i z a ti o n a l g ro u p s i s g i ve n in F i g u re 9 b e l o w.
Ca p a ci ty m a n a g e m e n t h a s s tro n g l i n ks to S LM and B RM . Ca p a ci ty a n d
p e rfo rm a n ce re q u i re m e n ts m a y a ctu a l l y b e a g re e d wi th th e cu sto m e r vi a
th e s e p ro ce sse s, wi th no d i re ct co n ta ct b e twe e n th o se re s p o n si b l e fo r
ca p a ci ty m a n a g e m e n t a n d th e cu s to m e r.
A cu sto m e r sh o u l d n ot be re q u i re d to u n d e rsta n d a h i g h l y te ch n i ca l
s p e ci fi ca ti o n fo r th e i r ca p a ci ty a n d p e rfo rm a n ce re q u i re m e n ts. I n ste a d ,
th e cu s to m e r s h o u l d be a ske d to h el p d e ve l o p and th e n a g re e a
d o cu m e n t th a t d e fi n e s th e en d re su l t o f th e p ro ce s s i n te rm s a p p ro p ri a te
to th e i r b u s i n e ss a cti vi ti e s , e. g . re sp o n se ti m e s a n d se rvi ce h o u rs.
Key point
M a n y a sp e cts o f ca p a ci ty m a n a g e m e n t a n d p e rfo rm a n ce ca n be
ti e d to p e a k h o u rs o f a cti vi ty, on th e b a si s th a t i f th e
p e rfo rm a n ce i s a cce p ta b l e a t p e a k p e ri o d s, i t wi l l be e ve n
b e tte r a t p e ri o d s o f l o w a cti vi ty.
I n te re s te d p a rti e s i n vo l ve d ca n be se ve ra l d i ffe re n t g ro u p s, a s d e scri b e d
in Ch a p te r 2 . F o r e xa m p l e , a su p p l i e r n e e d s to kn o w wh a t th e y a re
re q u i re d to do to co n tri b u te to th e o ve ra l l ca p a ci ty a n d p e rfo rm a n ce
m a n a g e m e n t. O th e r g ro u p s co u l d be th o s e i n vo l ve d in a g re e m e n t o f

Chapter 1 2 Capacity management
b u d g e ts , se rvi ce and b u si n e ss co n ti n u i ty, a s we l l a s m a n a g e rs re sp o n si b l e
fo r e n su ri n g th e s e rvi ce p ro vi d e r m e e ts re g u l a to ry a n d sta tu to ry
o b l i g a ti o n s.
Planning
Th e ca p a ci ty m a n a g e m e n t p l a n is an i m p o rta n t re q u i re m e n t. Many
se rvi ce p ro vi d e rs h a ve a ca p a ci ty p l a n n i n g o r m a n a g e m e n t te a m th a t
fo cu se s o n pl a n n i n g fo r te ch n i ca l i ssu e s s u ch a s i n fra stru ctu re . A sp e ci a l i st
te a m o f th i s typ e i s n o t o fte n i n vo l ve d in p re d i cti n g , pl a n n i n g or
managing th e ca p a ci ty o f o th e r re so u rce s. F o r e xa m p l e , th e n u m ber of
peopl e re q u i re d by a se rvi ce d e sk o r th e re so u rce s a sso ci a te d wi th th e
p e rfo rm a n ce of a n a p p l i ca ti o n .
In p ra cti ce , m a n y s e rvi ce p ro vi d e rs a l l o ca te re sp o n s i b i l i ty fo r m a n a g i n g
ca p a ci ty o f d i ffe re n t typ e s to d i ffe re n t te a m s. A se rvi ce p ro vi d e r m a y d o
th i s wi th o u t a ctu a l l y a l l o ca ti n g th e name ‘ Ca p a ci ty M a n a g e m e n t’ to any
o f th e te a m s. Th i s a sp e ct o f ca p a ci ty p l a n n i n g ca n be a l l o ca te d to
m a n a g e rs re sp o n si b l e fo r a p ro ce ss o r to o p e ra ti o n a l m a n a g e rs. For
e xa m p l e , a s p e ci a l i st su p p o rt g ro u p wi l l pl a n fo r th e n u m b e r o f su p p o rt
sta ff a n d th e h o u rs th e y wi l l n eed to wo rk a fte r a n e w sys te m is made
o p e ra ti o n a l . Som e o f th i s p l a n n i n g m a y be d on e a s p a rt o f p ro j e cts, su ch
a s th e d e si g n o f n e w o r ch a n g e d s e rvi ce s .
Th e re a re m a n y a d va n ta g e s i f th e s ki l l s u se d fo r te ch n i ca l ca p a ci ty
m a n a g e m e n t a re a l so bei n g a ppl i ed to n o n -te ch n i ca l ca p a ci ty, e. g .
wo rkl o a d m od el l i n g and p re d i cti o n o f fu tu re ca p a ci ty a n d p e rfo rm a n ce .
Pe e r g ro u p re vi e w o f wo rkl o a d and p e rfo rm a n ce p ro j e cti o n s a n d ca p a ci ty
p l a n s ca n a l so i m p ro ve th e q u a l i ty a n d re d u ce ri sks to th e s e rvi ce .
Typ i ca l l y, th i s a l so m e a n s th a t i n fo rm a ti o n wi l l fl o w b e twe e n many
d i ffe re n t o rg a n i z a ti o n a l g ro u p s.
Pa rt 1 i n cl u d e s a n u m b e r o f to p i cs fo r th e pl a n :
• cu rre n t a n d fo re ca st d e m a n d fo r se rvi ce s;
• e xp e cte d i m p a ct o f re q u i re m e n ts fo r a va i l a b i l i ty, s e rvi ce co n ti n u i ty
and se rvi ce l e ve l s;
• ti m e sca l e s, th re sh o l d s a n d co sts fo r u p g ra d e s to se rvi ce ca p a ci ty;
• p o te n ti a l i m p a ct o f ch a n g e s d u e to s ta tu to ry o r re g u l a to ry
• p o te n ti a l i m p a ct o f ch a n g e s to co n tra ctu a l o b l i g a ti o n s;
• ch a n g e s fro m a n y pl a n n ed re o rg a n i z a ti o n s i n a n y o f th e g ro u p s
i n vo l ve d in d e l i ve ri n g s e rvi ce ;
• p o te n ti a l i m p a ct o f n e w te ch n o l o g i e s a n d n e w te ch n i q u e s;
• p ro ce d u re s to en a bl e p re d i cti ve a n a l ysi s, o r re fe re n ce to th e m .

Planning
Figure 9 – Example data flow between organizational groups

Chapter 1 2 Capacity management
Providing the capacity

A high p ro p o rti o n o f th e co s t o f d e l i ve ri n g a se rvi ce is due to p ro vi d i n g
ca p a ci ty. I f th i s i s b a s e d on ‘ j u st i n ti m e ’ p u rch a se o f re so u rce s th e re a re
ri sks to th e SM S due to u n e xp e cte d d e l a ys i n o b ta i n i n g a d d i ti o n a l
re so u rce s. Th e re i s a l so l i m i te d o p p o rtu n i ty to n e g o ti a te on th e p ri ce .
B e tte r p l a n n i n g and p re d i cti o n a l so a l l o w e xi sti n g re so u rce s to be u se d
m o re e ffe cti ve l y, a vo i d i n g th e n eed fo r n e w re so u rce s. Li ke al l p ro a cti ve
a sp e cts o f se rvi ce m a n a g e m e n t th i s i s l i n ke d to th e i d e n ti fi ca ti o n of
i m p ro ve m e n ts fro m th e a p p l i ca ti o n o f th e PD CA cycl e .
M o st a sp e cts o f ca p a ci ty m a n a g e m e n t i n vo l ve fi n a n ci a l u n d e rs ta n d i n g
and d e ci si o n s . At th e m o st b a si c l e ve l , fu n d s h a ve to be a va i l a b l e to pa y
fo r th e ca p a ci ty re q u i re d . Th i s i n cl u d e s b o th ca p i ta l u se d fo r p u rch a s e of
(fi n a n ci a l ) a sse ts a n d re ve n u e fo r th e d a y-to -d a y o p e ra ti o n a l ru n n i n g of
th e ca p a ci ty. Th i s i n tu rn h a s to be m a n a g ed in a wa y th a t m e e ts th e
re q u i re m e n ts o f Pa rt 1 , Cl a u se 6 . 4, fo r b u d g e ti n g and a cco u n ti n g , as
d e scri b e d in Ch a p te r 1 1 .
I f th e ca p a ci ty p l a n n i n g , b u d g e ti n g and a cco u n ti n g fo r se rvi ce s h a ve
been d on e co rre ctl y, th e fu n d s sh o u l d be a va i l a b l e , wh e n re q u i re d , to
p ro cu re n e w re so u rce s. H o we ve r we l l ca p a ci ty p l a n n i n g i s d on e, th i s i s
n o t a l wa ys a n e a s y sta g e and fu n d s a re so m e ti m e s d i ve rte d to a n o th e r
i n i ti a ti ve . As p i ra ti o n s a n d e n th u si a sm fo r i n cre a se d re so u rce s a n d th e
p e rfo rm a n ce i m p ro ve m e n ts th e y b ri n g a re o fte n re d u ce d wh e n th e co st
i m p l i ca ti o n s a re fi n a l l y u n d e rsto o d .
Afte r su ch an o ccu rre n ce ca p a ci ty m a n a g e m e n t o fte n h a s to re tu rn and
do ‘ wh a t i f? ’ typ e m od el l i n g . Wh a t i s th e minimum a cce p ta b l e
p e rfo rm a n ce and h o w m u ch wi l l th a t co st? Wh a t ca n be d on e wi th th e
fu n d s a va i l a b l e ? Afte r i m p l e m e n ta ti o n o f th e n e w re so u rce s, ca n a m o re
a cce p ta b l e wa y o f a l l o ca ti n g and a p p o rti o n i n g th e co sts b e i d e n ti fi e d ?
O p ti o n s fo r m a ki n g th e b e st b a l a n ce o f fu n d s i n ve ste d and th e
p e rfo rm a n ce to be g a i n ed wi l l be re q u i re d .
Updating the capacity plan

Wh a te ve r th e fi n a l d e ci si o n , th e a d d i ti o n a l re so u rce s a re th e n p ro vi d e d
a s a g re e d and th e ca p a ci ty p l a n i s u p d a te d . Th e a cco u n ts sh o u l d be
u p d a te d and a l so th e b u d g e ts p l a n n e d fo r th e fo l l o wi n g ye a r co u l d n eed
to be a d j u s te d . Pl a n u p d a te s n e e d to co ve r a l l a sp e cts o f th e re so u rce s
a ffe cte d : p e rs o n n e l , te ch n i ca l , i n fo rm a ti o n and fa ci l i ti e s, e tc. F o r e xa m p l e ,
i n cre a s i n g th e n u m b e r o f PCs wh e n a n e w cu sto m e r l o ca ti o n i s set u p
a l so m e a n s m o re p e rso n n e l a re re q u i re d fo r su p p o rt. Th e se peopl e in
tu rn wi l l n eed a cco m m o d a ti o n and fa ci l i ti e s.

Providing the capacity
Controlling the changes

Th e ca p a ci ty p l a n m a y p h ysi ca l l y b e a se ri e s o f co n n e cte d p l a n s co ve ri n g
m a n y d i ffe re n t i n i ti a ti ve s a n d typ e s o f re so u rce .
Ch a n g i n g th e ca p a ci ty o f o n e typ e o f re so u rce ca n be seen as a l o ca l i z e d
i ssu e of n o i n te re st e xce p t to th o s e wh o u se th a t re so u rce o r th o se wh o
s u p p o rt i t. H o we ve r, b y i ts n a tu re , a re s o u rce ra re l y a cts i n i so l a ti o n .
Ch a n g i n g on e re so u rce u su a l l y i m p a cts a n o th e r. Th e ri sk o f fa i l u re is
re d u ce d b y a p p l yi n g ch a n g e m a n a g e m e n t. Pa rt 1 , Cl a u s e 6 . 4 re q u i re s a l l
s u ch ch a n g e s to be co n tro l l e d b y ch a n g e m a n a g em en t a s a d i re ct
co n se q u e n ce o f th e n eed to u n d e rsta n d and re d u ce ri sks.
Example – Why following the process is important
A se rvi ce p ro vi d e r e n co u n te re d d i ffi cu l ti e s b e ca u se an ol d se rve r h a d
to o l i ttl e sp a ce , p re ve n ti n g a cce ss a n d u se . Th e se rve r wa s u p g ra d e d
wi th a d d i ti o n a l m e m o ry a n d i n i ti a l l y th i s wa s se e n as a su cce ss.
H o we ve r, i t wa s re a l i z e d a fte r th e se rve r fa i l e d th a t th e b a cku p had
n o t wo rke d a fte r th e u p g ra d e . Th e cu sto m e r’s b u s i n e ss- cri ti ca l d a ta
wa s l o s t a s a co n se q u e n ce .
Th e p e rs o n re sp o n si b l e fo r th e ch a n g e had n o t p u t th e u p g ra d e
th ro u g h th e ch a n g e m a n a g e m e n t p ro ce ss b e ca u se ‘ i t wa s su ch a
si m pl e ch a n g e ’ .
I f th e co rre ct p ro ce s s h a d been fo l l o we d th i s wo u l d h a ve been
a vo i d e d b e ca u se i t wo u l d h a ve been cl e a r th a t th e re wa s a l i m i ta ti o n
fro m th e CM D B .

Ch a p te r 1 3 I n fo rm a ti o n se cu ri ty
What is information security?

Th e o b j e cti ve o f Pa rt 1 , Cl a u se 6 . 6 i s to p re s e rve co n fi d e n ti a l i ty, i n te g ri ty
and a cce ssi b i l i ty o f i n fo rm a ti o n a ss e ts. Th i s ch a p te r d e scri b e s i n fo rm a ti o n
se cu ri ty a s p a rt o f se rvi ce m a n a g e m e n t.
Du e to th e ra p i d g ro wth in u se o f te ch n o l o g y, co m b i n e d wi th
i n cre a s i n g l y co m m o n a tte m p ts a t e l e ctro n i c fra u d th e re i s n o w g re a te r
ri sk o f i n fo rm a ti o n se cu ri ty i n ci d e n ts. Pa rt 1 , Cl a u se 6. 6 i s a se t o f
re q u i re m e n ts wh i ch , i f i m p l e m e n te d co rre ctl y, wi l l re d u ce th e se ri sks.
Pa rt 1 , Cl a u s e 6. 6 a l so re fe rs to th e 2 7 0 0 0 s e ri e s o f sta n d a rd s. Th e se co ve r
i n fo rm a ti o n se cu ri ty a n d th o se i n te re s te d in s e rvi ce m a n a g e m e n t wi l l a l so
fi n d th e 2 7 0 0 0 se ri e s h e l p fu l .
Policies and objectives

I n fo rm a ti o n se cu ri ty i s th e re su l t o f p o l i ci e s , o b j e cti ve s, co n tro l s, p ro ce s se s
and p ro ce d u re s th a t to g e th e r m i n i m i z e ri s ks to i n fo rm a ti o n a sse ts u se d
b y o r p ro d u ce d by a n SM S.
Th e p o l i cy a n d o b j e cti ve s a l s o ta ke i n to co n s i d e ra ti o n sta tu to ry a n d
re g u l a to ry re q u i re m e n ts . Co n tra ctu a l o b l i g a ti o n s o n i n fo rm a ti o n se cu ri ty
sh o u l d a l so be ta ke n i n to a cco u n t wh e re th e y a re a p p l i ca b l e .
As wi th o th e r p o l i ci e s a n d o b j e cti ve s re q u i re d b y Pa rt 1 , th e i n fo rm a ti o n
se cu ri ty p o l i cy sh o u l d be a p p ro ve d b y th e se rvi ce p ro vi d e r’s m a n a g e m e n t.
A b re a ch of a se cu ri ty p o l i cy ca n h a ve se ri o u s i m p l i ca ti o n s , i n cl u d i n g l eg a l
a cti o n and e ve n i m p ri so n m e n t. ‘I d i d n ’t kn o w’ i s n ot a n a cce p ta b l e
e xcu se .
E xa m p l e s i n cl u d e s e cu ri ty p o l i ci e s re l a ti n g to :
• p ro te cti o n o f p e rso n a l d a ta ;
• a bu se of em a i l o r u si n g th e I n te rn e t fo r p u rp o se s th a t a re fo rb i d d e n ;
• th e a u d i t tra i l o f h o w fi n a n ci a l d e ci si o n s we re m a d e.
I t i s th e re fo re p a rti cu l a rl y i m p o rta n t th a t th e i n fo rm a ti o n se cu ri ty p o l i cy
i s co m m u n i ca te d to all th o se i n vo l ve d , i n cl u d i n g su p p l i e rs, th e se rvi ce

Risk assessments and security audits
p ro vi d e r’s m a n a g e rs a n d p e rso n n e l , cu sto m e rs a n d u se rs. I f n e ce ssa ry,
co m m u n i ca ti o n sh ou l d be su p p o rte d b y tra i n i n g .
Co n tro l s, d e s cri b e d b e l o w, a re e sse n ti a l to fu l fi l l i n g th e p o l i cy, m e e ti n g
o b j e cti ve s a n d managing ri s ks.
Risks
Pa rt 1 , Cl a u se 6 . 6 re q u i re s th e s e rvi ce p ro vi d e r to d e fi n e th e wa y th e y wi l l
manage and m i ti g a te i n fo rm a ti o n se cu ri ty ri sks . Th i s i n vo l ve s th e l i n ki n g
o f p o l i ci e s a n d o b j e cti ve s to p ro ce s se s a n d p ro ce d u re s. As so m e ri sks a re
i n e vi ta b l e , th e m a n a g e m e n t o f i n fo rm a ti o n s e cu ri ty ri s ks ta ke s i n to
co n si d e ra ti o n th e n a tu re o f e a ch ri sk, th e wa y th e y wi l l be d e fi n e d and if
p o ssi b l e q u a n ti fi e d . D e ci si o n s s h o u l d be made on wh a t ri sks a re
a cce p ta b l e ri sks. Th e se rvi ce p ro vi d e r sh o u l d d e ve l o p cri te ri a fo r
u n a m b i g u o u s i d e n ti fi ca ti o n o f ri sks, b a se d on p a ra m e te rs su ch as
l i ke l i h o o d o r p o te n ti a l i m p a ct o f th e ri s k a n d th e i m p l i ca ti o n s fo r
co m p l i a n ce wi th re g u l a to ry o r s ta tu to ry o b l i g a ti o n s.
I t i s p a rti cu l a rl y i m p o rta n t fo r su cce ss fu l m a n a g e m e n t o f ri sks th a t l e ve l s
o f a u th o ri ty, re s p o n si b i l i ti e s a n d ro l e s a re u n d e rsto o d fo r i n fo rm a ti o n
s e cu ri ty. Th i s u n d e rsta n d i n g sp a n s n o t o n l y th e se rvi ce p ro vi d e r’s
p e rs o n n e l , b u t a l so th e va ri o u s o th e r g ro u p s i n vo l ve d , i n cl u d i n g
cu sto m e rs a n d su p p l i e rs.
Risk assessments and security audits

Re vi e ws, i n te rn a l a u d i ts a n d o th e r a sse s sm e n ts a re a cti vi ti e s i n cl u d e d in
m a n y cl a u se s i n th e 2 00 0 0 se ri e s. I n fo rm a ti o n se cu ri ty i s n o e xce p ti o n .
Pa rt 1 , Cl a u se 6 . 6 i n cl u d e s re q u i re m e n ts fo r ri s k a sse s sm e n ts a n d
i n fo rm a ti o n se cu ri ty a u d i ts. Ri s k a sse s sm e n ts a re a l so re l e va n t to o th e r
p a rts o f th e SM S, fo r e xa m p l e , th e d esi g n and i n tro d u cti o n of n ew
s e rvi ce s , m a n y a sp e cts o f se rvi ce m a n a g em en t a n d th e co n ti n u a l
i m p ro ve m e n ts fro m th e PD CA cycl e .
Th e fre q u e n cy a n d n a tu re o f ri sk a ss e ssm e n ts a n d se cu ri ty a u d i ts sh o u l d
re fl e ct th e se cu ri ty p o l i cy a n d o b j e cti ve s a s we l l a s th e typ e o f ri sk b e i n g
a s se sse d . Th e a u d i to r wi l l e xp e ct to se e th a t ri sk a s se ssm e n ts a re d on e at
a fre q u e n cy a p p ro p ri a te to th e n a tu re o f th e ri s k, th e n a tu re o f th e
i n fo rm a ti o n a sse t a n d th e i m p l i ca ti o n s fo r th e cu sto m e r’s b u si n e ss
a cti vi ti e s .
Th e ri sks a sse s se d o r a u d i te d sh ou l d co ve r co m p l i a n ce wi th th e co n tro l s ,
ri sks to th e co n tro l s a n d ri sks to th e re st o f th e SM S.
We a kn e ss e s i d e n ti fi e d in co n tro l s sh o u l d be re p o rte d . Som e o f th e
we a kn e s se s ca n be s e n s i ti ve fo r p ro te cti o n o f i n fo rm a ti o n . I f th i s i s th e

Chapter 1 3 Information security
ca se , th e re p o rt n e e d s to be re s tri cte d to peopl e wi th s u i ta b l e se cu ri ty
cl e a ra n ce . A we a kn e ss, i f wi d e l y kn o wn a b o u t, co u l d be e xp l o i te d , e. g . a
re p o rte d we a kn e ss i n th e p o l i cy o n p a ss wo rd s ca n m a ke i t e a sy to gain
i l l i ci t a cce ss to cre d i t ca rd d e ta i l s . Wh e n a we a kn e s s i s i d e n ti fi e d a co n tro l
sh o u l d be ch a n g e d , a d d ed o r re m o ve d to re d u ce th e ri s k. Th i s m a y b e
d i re ctl y co n tro l l e d b y th e PD CA cycl e o f i m p ro ve m e n ts, o r co n tro l l e d
ce n tra l l y b u t i m p l e m e n te d l o ca l l y, d epen d i n g on th e n a tu re o f th e
ch a n g e . Th e ch a n g e s to co n tro l s sh o u l d be su b j e ct to ch a n g e
m a n a g e m e n t, re g a rd l e ss o f th e wa y th e y a re a ctu a l l y i m p l e m e n te d .
N ot a l l ri sks a re e q u a l l y se ri o u s, e. g . a ri sk ca n be l i fe -th re a te n i n g , so
a cti o n sh ou l d be ta ke n q u i ckl y. In co n tra st, if a se cu ri ty b re a ch i s on l y a n
i n co n ve n i e n ce , a cti o n ca n be l o w p ri o ri ty.
Au d i t re su l ts s h o u l d be re vi e we d to i d e n ti fy o p p o rtu n i ti e s fo r
i m pro ve m e n t.
I n form a ti on secu ri ty con trol s
I S O /I E C 2 7 0 0 1 is a b a se d on a se t o f co n tro l s a n d co n tro l o b j e cti ve s. As a
co n se q u e n ce Pa rt 1 , Cl a u se 6. 6 a l so re fe rs to th e i m p l e m e n ta ti o n of
co n tro l s a n d co n tro l o b j e cti ve s. Th o s e m e n ti o n e d in Pa rt 1 a re p h ysi ca l ,
a d m i n i stra ti ve and te ch n i ca l se cu ri ty co n tro l s. Th e 2 0 0 0 0 se ri e s d o e s n o t
i n cl u d e d e ta i l s o f wh i ch co n tro l s a re to be u sed wi th i n th e se ca te g o ri e s.
H o we ve r, so m e co n tro l s fro m I S O /I E C 2 7 0 0 1 , An n e x A, th a t a re re l e va n t
to th e 2 0 0 00 se ri e s a re i n cl u d e d a s i l l u stra ti o n s, in Ta b l e 1 4.
Th e co n tro l s i n An n e x A o f I S O /I E C 2 7 0 0 1 u se th e ve rb ‘sh a l l ’ . Th i s ve rb is
u se d fo r th e re q u i re m e n ts i n I n te rn a ti o n a l S ta n d a rd s, i n cl u d i n g Pa rt 1 .
An n e x A o f I S O /I E C 2 7 0 0 1 d e s cri b e s th e ri sks th a t e a ch co n tro l i s u sed to
p re ve n t. Th e wa y th e co n tro l s a re o p e ra te d and h o w th e y wi l l be
m a i n ta i n e d and i m p ro ve d i s a l so i n cl u d e d . Th e se rvi ce p ro vi d e r sh o u l d
m a ke i t cl e a r h o w th e SM S s u p p o rts th e i n fo rm a ti o n se cu ri ty co n tro l s
re q u i re d b y cu s to m e rs a n d s u p p l i e rs.
Co n tro l s m a y n e e d to ch a n g e o ve r ti m e , e. g . i f th e re is a ch a n g e to th e
cu sto m e r’s b u si n e ss a cti vi ti e s , s e rvi ce re q u i re m e n ts , g e o g ra p h i ca l l o ca ti o n s
o r s u p p l y ch a i n a rra n g e m e n ts e tc. Ch a n g e s wi l l o fte n be ca sca d e d d o wn
vi a ch a n g e s to p o l i ci e s a n d o b j e cti ve s.

Information security controls
Ta bl e 1 4 – Con trol s a n d obj ecti ves from I S O /I E C 2 7 001
O bj ecti ve: To a ch i eve a n d m a i n ta i n a ppropri a te protecti on of
org a n i za ti on a l a ssets.
I n ve n to ry o f Co n tro l : Al l a s se ts sh a l l be cl e a rl y i d e n ti fi e d and an
a sse ts i n ve n to ry o f a l l i m p o rta n t a sse ts d ra wn up and
m a i n ta i n e d .
O bj ecti ve: To en su re th a t i n form a ti on recei ves a n a ppropri a te l evel of
protecti on .
I n fo rm a ti o n Co n tro l : I n fo rm a ti o n sh a l l b e cl a s si fi e d i n te rm s o f i ts
cl a ssi fi ca ti o n va l u e , l eg a l re q u i re m e n ts , s e n s i ti vi ty a n d cri ti ca l i ty to
g u i d el i n es th e o rg a n i z a ti o n .
O bj ecti ve: To m a i n ta i n th e i n teg ri ty a n d a va i l a bi l i ty of i n form a ti on
a n d i n form a ti on processi n g fa ci l i ti es.
I n fo rm a ti o n Co n tro l : B a cku p co p i e s o f i n fo rm a ti o n and so ftwa re
b a cku p sh a l l b e ta ke n a n d te ste d re g u l a rl y i n a cco rd a n ce
wi th th e a g re e d b a cku p p o l i cy.
O bj ecti ve: To preven t u n a u th ori zed u ser a ccess, a n d com prom i se or
th eft of i n form a ti on a n d i n form a ti on processi n g fa ci l i ti es.
Pa sswo rd u se Co n tro l : U se rs sh a l l be re q u i re d to fo l l o w g o o d
se cu ri ty p ra cti ce s i n th e se l e cti o n and u se of
p a s swo rd s.
O bj ecti ve: To preven t u n a u th ori zed a ccess to n etworked servi ces.
Po l i cy o n u se Co n tro l : U se rs sh a l l on l y be p ro vi d e d wi th a cce ss to
o f n e two rk th e se rvi ce s th a t th e y h a ve been sp e ci fi ca l l y
se rvi ce s a u th o ri z e d to u se .
O bj ecti ve: To en su re th a t secu ri ty i s a n i n teg ra l pa rt of i n form a ti on
system s.
S e cu ri ty Co n tro l : S ta te m e n ts o f b u si n e ss re q u i re m e n ts fo r n e w
re q u i re m e n ts, i n fo rm a ti o n syste m s, o r e n h a n ce m e n ts to e xi sti n g
a n a l ysi s a n d i n fo rm a ti o n syste m s sh a l l sp e ci fy th e re q u i re m e n ts fo r
sp e ci fi ca ti o n se cu ri ty co n tro l s .
O bj ecti ve: To a voi d brea ch es of a n y l a w, sta tu tory, reg u l a tory or
con tra ctu a l obl i g a ti on s, a n d of a n y secu ri ty req u i rem en ts.
I d e n ti fi ca ti o n Co n tro l : Al l re l e va n t s ta tu to ry, re g u l a to ry a n d
o f a p p l i ca b l e co n tra ctu a l re q u i re m e n ts a n d th e o rg a n i z a ti o n ’s
l e g i sl a ti o n a p p ro a ch to m e e t th e s e re q u i re m e n ts sh a l l be
e xp l i ci tl y d e fi n e d , d o cu m e n te d , and ke p t u p to d a te
fo r e a ch i n fo rm a ti o n syste m and th e o rg a n i z a ti o n .

Chapter 1 3 Information security
Access rights
Th e Pa rt 1 , Cl a u s e 6. 6 re q u i re m e n ts i n cl u d e managing ri sks fro m a cce ss to
i n fo rm a ti o n o r se rvi ce s b y e xte rn a l o rg a n i z a ti o n s . Th i s i n cl u d e s a
re q u i re m e n t to i d e n ti fy e xte rn a l o rg a n i z a ti o n s th a t n e e d a cce s s to
i n fo rm a ti o n o r se rvi ce s . O n ce th e y h a ve been i d e n ti fi e d , co n tro l s sh o u l d
be d e ve l o p e d , a g re e d and i m p l e m e n te d fo r m a n a g e m e n t o f th e ri s ks
fro m a cce ss b y e xte rn a l o rg a n i z a ti o n s. E xte rn a l o rg a n i z a ti o n s a re
n o rm a l l y th e ‘ o th e r p a rti e s’ m a n a g ed u n d e r Pa rt 1 , Cl a u se 4. 2 ,
g o ve rn a n ce o f p ro ce sse s o p e ra te d b y o th e r p a rti e s.
S u i ta b l e co n tro l s a n d re q u i re m e n ts fo r i n fo rm a ti o n se cu ri ty i n cl u d e :
• d e m o n s tra ti n g a cco u n ta b i l i ty fo r th e p ro ce sse s a n d a u th o ri ty to
re q u i re a d h e re n ce to th e p ro ce sse s ;
• co n tro l l i n g th e d e fi n i ti o n o f th e p ro ce ss e s , and i n te rfa ce s to o th e r
p ro ce sse s, in Cl a u se s 5 to 9;
• d e te rm i n i n g p ro ce ss p e rfo rm a n ce and co m p l i a n ce wi th p ro ce ss
• co n tro l l i n g th e pl a n n i n g and p ri o ri ti z i n g o f p ro ce s s i m p ro ve m e n ts.
Changes
I n fo rm a ti o n se cu ri ty b re a ch e s a re n o rm a l l y a m i n o ri ty o f th e e ve n ts
m a n a g ed by a se rvi ce p ro vi d e r. Ri sks ca n be m i n i m i zed b y ca re fu l
a tte n ti o n to i n fo rm a ti o n s e cu ri ty i m p l i ca ti o n s d u ri n g ch a n g e
m a n a g e m e n t. I t i s a l so e q u a l l y n e ce ssa ry to co n si d e r th e p o te n ti a l i m p a ct
on th e i n fo rm a ti o n s e cu ri ty p o l i cy a n d co n tro l s o f o th e r ch a n g e s. Th e se
ca n ra n g e fro m a si m p l e ch a n g e to an i n ci d e n t re co rd th ro u g h to a
ch a n g e to th e o ve ra l l s e rvi ce m a n a g e m e n t p o l i cy.
When something goes wrong

Th e wo rd ‘ i n ci d e n t’ i s u se d wi th a b ro a d m ea n i n g in th e 2 7 0 00 se ri e s, to
i n d i ca te th a t ‘ so m e th i n g i s wro n g wi th th e se rvi ce ’ . Th e 2 0 0 0 0 s e ri e s
d ra ws a d i s ti n cti o n b e twe e n i n ci d e n t, p ro b l e m , kn o wn e rro r a n d m a j or
i n ci d e n t, fo r d i ffe re n t a sp e cts o f ‘ so m e th i n g i s wro n g wi th th e se rvi ce ’ .
U n d e r th e re q u i re m e n ts o f Pa rt 1 , Cl a u se 6. 6 a s e cu ri ty i n ci d e n t i s
m a n a g ed b y i n ci d e n t m a n a g e m e n t p ro ce d u re s i n Pa rt 1 , Cl a u se 8. 1 .
H o we ve r, o n ce re co rd e d b y i n ci d e n t m a n a g e m e n t th e se rvi ce p ro vi d e r’s
p e rso n n e l co u l d th e n re a l i z e th e i n fo rm a ti o n s e cu ri ty i n ci d e n t i s a ctu a l l y
a p ro b l e m , m a j o r i n ci d e n t o r kn o wn e rro r. Th i s d e ci si o n sh ou l d be ba sed
on re vi e w o f th e i n ci d e n t m a n a g e m e n t re co rd .
Th e i n fo rm a ti o n se cu ri ty i n ci d e n t co u l d re q u i re a d i ffe re n t p ro ce ss o r
p ro ce d u re to be a ppl i ed and o th e r a sp e cts o f re so l u ti o n to ta ke e ffe ct, as

When something goes wrong
d e scri b e d in Ch a p te r 1 4. I t ca n a l so be p o ssi b l e th a t se rvi ce co n ti n u i ty a n d
a va i l a b i l i ty m a n a g e m e n t i n Ch a p te r 1 0 wi l l be re q u i re d fo r th e n e xt sta g e
of m a n a g i n g th e se cu ri ty i n ci d e n t. F o r e xa m p l e , a si n g l e u s e r ca n re p o rt a
vi ru s th a t i s a kn o wn vi ru s, wi th a kn o wn re s o l u ti o n and wh i ch is a l ow
ri sk to se cu ri ty a n d se rvi ce s. F o r i n fo rm a ti o n se cu ri ty th i s wo u l d be a
l o we r p ri o ri ty th a n an i n fo rm a ti o n s e cu ri ty b re a ch o f th e p a ym e n t se rvi ce
in a cu sto m e r’s m a i n we b si te to s te a l cre d i t ca rd d e ta i l s.
B e ca u se o f th e i n te rfa ce s b e twe e n th e p ro ce sse s , Pa rt 1 , Cl a u se 6. 6
i m p o se s sp e ci a l i st re q u i re m e n t o n Cl a u s e 7 re so l u ti o n p ro ce ss e s. Th e
p ri o ri ty a l l o ca te d to th e i n ci d e n t s h o u l d be a p p ro p ri a te fo r th e sca l e of
ri sk re su l ti n g fro m an i n ci d e n t a ffe cti n g i n fo rm a ti o n se cu ri ty. S i m i l a rl y,
th e p e rso n o r g ro u p th e i n ci d e n t i s re fe rre d to ca n a l so be a ffe cte d . Th i s
i s p a rti cu l a rl y th e ca se i f th e se cu ri ty i n ci d e n t re co rd i n cl u d e s d a ta th a t
sh ou l d be ke p t co n fi d e n ti a l , su ch as a u se p ro fi l e , d e ta i l s o f a cri m i n a l a ct
e tc.
Th e re so l u ti o n p ro ce s se s a re a l so re q u i re d fo r su p p o rt o f a n a l ysi s o f th e
typ e s , vo l u m e s a n d i m p a cts o f i n fo rm a ti o n se cu ri ty i n ci d e n ts. Th e re su l ts
a re re p o rte d so th a t th e y ca n be u sed to i d e n ti fy i m p ro ve m e n ts to any
a s p e ct o f th e SM S and se rvi ce .

Ch a p te r 1 4 Re so l u ti o n p ro ce sse s
I n trod u cti on
Th e re so l u ti o n p ro ce sse s a re i n ci d e n t a n d se rvi ce re q u e st m a n a g e m e n t
and p ro b l e m m a n a g e m e n t. Th e re so l u ti o n p ro ce sse s a l l h a ve th e
o b j e cti ve o f a l l o wi n g th e u se r to co n ti n u e wi th th e i r n o rm a l a cti vi ti e s a s
q u i ckl y a s p o ssi b l e . Th e re so l u ti o n p ro ce sse s a re o fte n th e fi rst to be
i m p l e m e n te d by a se rvi ce p ro vi d e r. I n ci d e n t m a n a g e m e n t h a s a re l a ti ve l y
fa st p a y-b a ck p e ri o d and i t i s u su a l l y e a sy to p e rsu a d e peopl e th a t i t i s
se n si b l e .
To a u s e r, an i n ci d e n t ca n be i n d i s ti n g u i sh a b l e fro m a se rvi ce re q u e st o r a
p ro b l e m . F o r m a n y u s e rs, e a ch o f th e th re e i s si m p l y so m e th i n g th a t
p re ve n ts th e m ca rryi n g o u t th e i r n o rm a l d u ti e s. Th e 2 0 0 0 0 se ri e s d ra ws a
d i sti n cti o n b e twe e n th e p ro ce sse s b e ca u s e e a ch i s m a n a g ed d i ffe re n tl y.
I n ci d en ts a n d servi ce req u ests
An i n ci d e n t i s u su a l l y a n i n te rru p ti o n to a se rvi ce b u t ca n be a l ow
q u a l i ty se rvi ce o r th e th re a t o f a se rvi ce i n te rru p ti o n . A se rvi ce re q u e st i s
e i th e r a si m p l e re q u e s t fo r i n fo rm a ti o n or a si m p l e ch a n g e su ch a s a cce s s
to a se rvi ce . Al th o u g h i n ci d e n t a n d s e rvi ce re q u e s t m a n a g e m e n t fo l l o w
two se p a ra te p ro ce d u re s th e sa m e s ta g e s a re u s u a l l y su i ta b l e fo r b o th :
• re co rd i n g ;
• a l l o ca ti o n o f p ri o ri ty;
• cl a s si fi ca ti o n ;
• u p d a ti n g re co rd s;
• e sca l a ti o n ;
• re so l u ti o n ;
• cl o su re .
O th e r re co m m e n d e d a cti o n s i n cl u d e co n si d e ra ti o n o f se cu ri ty i s su e s a n d
fi rst- l i n e cu sto m e r l i a i so n .
M a n y i n ci d e n ts a re e ve n ts th a t a re an a n n o ya n ce to th e u se r, b u t a re
re so l ve d wi th i n m i n u te s b e ca u se th e y d o n o t re q u i re i n ve s ti g a ti o n .
I n ci d e n t re co rd s a re cl o se d wh e n n o rm a l s e rvi ce i s re sto re d , e ve n i f th e
u n d e rl yi n g ca u se i s n o t re so l ve d o r e ve n u n d e rs to o d . S e e ki n g th e

Incidents and service requests
u n d e rl yi n g ca u se is in th e sco p e o f p ro b l e m m a n a g e m e n t. On e typ e of
p ro b l e m re fe rre d to a s ‘ kn o wn e rro r’ i s d e scri b e d in m o re d e ta i l b e l o w.
Major incidents
I t i s i m p o rta n t to re co g n i z e th a t a l th o u g h a high p ro p o rti o n o f i n ci d e n ts
ca n be e a s i l y re so l ve d , i n ci d e n ts ca n va ry wi d e l y a n d so m e ca n h a ve a
s e ri o u s i m p a ct o n th e se rvi ce and on th e cu sto m e r’s a n d u se r’s b u s i n e ss
a cti vi ti e s .
M a j o r i n ci d e n ts ca n ta ke h o u rs o r e ve n d a ys to re so l ve . Th e y h a ve m u ch
g re a te r i m p a ct th a n n o rm a l i n ci d e n ts , re q u i re a d d i ti o n a l re s o u rce s a n d
ca n be co m p l e x to re so l ve . Th e te rm m a j o r i n ci d e n t i s u se d , a l th o u g h
m a n y m a j o r i n ci d e n ts h a ve an u n kn o wn ca u se . M a n y m a j o r i n ci d e n ts
m o re cl o se l y re s e m b l e a m a j o r p ro b l e m a s th e y re q u i re th e sa m e typ e of
i n ve sti g a ti o n o f ro o t ca u s e .
Th e s e rvi ce p ro vi d e r e sta b l i s h e s a g re e d g u i d e l i n e s o r ru l e s fo r i d e n ti fyi n g
and cl a ssi fyi n g a m a j o r i n ci d e n t. Th i s sh o u l d be a g re e d in a d va n ce and
u n d e rsto o d by a l l i n vo l ve d , so th a t th e y a re n ot m a n a g ed on an ad h oc
and va ri a b l e b a si s. Th e se rvi ce p ro vi d e r sh o u l d o n l y d e cl a re a m a j or
i n ci d e n t i f th e re is a cri si s, b e ca u se m a j o r i n ci d e n ts i n vo l ve d e vi a ti o n s
fro m n o rm a l re so l u ti o n p ro ce d u re s. Th e se rvi ce p ro vi d e r s h o u l d be su re
th a t th e ri sk o f d e vi a ti o n fro m n o rm a l p ra cti ce s i s re a l l y n e ce ssa ry.
‘ M a j o r i n ci d e n t m a n a g e r’ is a ro l e i n cl u d e d in th e 2 00 0 0 se ri e s. It is
a d vi sa b l e fo r th i s ro l e to be g i ve n to so m e o n e wi th th e a u th o ri ty to
co n tro l all a cti vi ti e s, so m e o f wh i ch wi l l be u n p re d i cta b l e . Th i s i n cl u d e s
th e a u th o ri ty to i n vo ke e sca l a ti o n p ro ce d u re s, co m m u n i ca ti n g d i re ctl y
wi th th e cu sto m e r a n d wi th to p m a n a g e m e n t. I t i s n ot m a n a g ed in th e
sa m e wa y a s a n o rm a l i n ci d e n t.
I t i s re g re tta b l y co m m o n fo r th e m a j o r i n ci d e n t m a n a g e r to be
u n d e rm i n e d b y m i sg u i d e d co l l e a g u e s . Th i s ca n be b e ca u se th e y a re u n d er
p e rs o n a l stre ss b e ca u se o f th e sca l e o f th e m a j o r i n ci d e n t. Wh a te ve r th e
ca u se , i t i s sti l l ba d p ra cti ce . To p m a n a g e m e n t sh o u l d p re ve n t th i s
h a ppen i n g b y m a ki n g th e a u th o ri ty l e ve l s o f th e m a j o r i n ci d e n t m a n a g e r
cl e a r to e ve ryo n e . F o r e xa m p l e , th e y th e m se l ve s s h o u l d d e fe r to th e
m a j o r i n ci d e n t m a n a g e r o n co m m u n i ca ti o n s wi th th e cu sto m e r a n d o th e r
to p m a n a g e m e n t.
Th e a u th o ri ty o f th e m a j o r i n ci d e n t m a n a g e r i s l i ke l y to be u n d e rm i n e d if
th e p e rso n a l l o ca te d to i t h a s l e ss a u th o ri ty i n th e i r n o rm a l ro l e o r l a cks
s u ffi ci e n t a ss e rti ve n e s s, e ve n i f th e y h a ve th e m o s t a p p ro p ri a te l e ve l s o f
te ch n i ca l s ki l l .

Chapter 1 4 Resolution processes
Re pe a te d p ro b l e m s wi th a u th o ri ty b e i n g u n d e rm i n e d ca n i n d i ca te th a t
th e se l e cti o n cri te ri a fo r th e m a j o r i n ci d e n t m a n a g e r a re u n s u i ta b l e , n ot
u n d e rs to o d or bei n g i g n o re d . Wh a te ve r th e ca u se th i s s h o u l d be
co rre cte d .
Major incident co-ordination and review

Th e i d e n ti fi ca ti o n of a m a j o r i n ci d e n t tri g g e rs a p ro ce ss th a t ca te rs fo r
th e s ca l e o f wo rk (a n d th e n u m ber of peopl e) i n vo l ve d in and a ffe cte d by
th e i n ci d e n t. M a j o r i n ci d e n ts typ i ca l l y i n vo l ve se ve ra l peopl e, o fte n in
d i ffe re n t te a m s a n d l o ca ti o n s, wo rki n g in p a ra l l e l . Th e y a re u su a l l y
co -o rd i n a te d b y th e m a j o r i n ci d e n t m a n a g e r.
Co m m u n i ca ti o n and co -o rd i n a ti o n ca n be d i ffi cu l t b u t i s e xce p ti o n a l l y
i m p o rta n t. A m a j o r i n ci d e n t th a t l a sts fo r m o re th a n a fe w h o u rs a l so
re q u i re s th e h a n d o ve r o f re s p o n si b i l i ty fro m on e i n d i vi d u a l to a n o th e r.
Th e ch a n g e o ve r h a s to be co m m u n i ca te d to th e s e rvi ce p ro vi d e r’s
m a n a g e rs, p e rso n n e l and to th e cu s to m e r. Th i s i s a l s o si m i l a r to h a n d o ve r
of a p ro b l e m .
I t i s i m p o rta n t fo r a re vi e w o f th e wa y th e m a j o r i n ci d e n t wa s m a n a g e d
to be co m p l e te d . Th i s wi l l n o rm a l l y i d e n ti fy co rre cti o n , co rre cti ve a cti o n s
and o p p o rtu n i ti e s fo r i m p ro ve m e n ts i n p u t to th e PD CA cycl e fo r ri sk
re d u cti o n .
Problems
Pro b l e m s typ i ca l l y ta ke l o n g e r to re so l ve th a n i n ci d e n ts . Pro b l e m s a re
d e fi n e d b y Pa rt 1 a s th e ro o t ca u s e of on e o r m o re i n ci d e n ts , wh e re th e
ro o t ca u se i s n o t u su a l l y kn o wn a t th e ti m e a p ro b l e m re co rd i s cre a te d .
Pro b l e m m a n a g e m e n t h a s th e o b j e cti ve of m i n i m i zi n g d i sru p ti o n to th e
se rvi ce b y i d e n ti fyi n g th e ca u se and managing p ro b l e m s to cl o s u re .
Pro b l e m m a n a g em en t a l so p re ve n ts th e re cu rre n ce o r re p l i ca ti o n of
i n ci d e n ts . Th i s i n cl u d e s i d e n ti fyi n g , pl a n n i n g fo r a n d i m p l e m e n ti n g
co rre cti o n , co rre cti ve a cti o n s o r i m p ro ve m e n ts i d e n ti fi e d b y i n ve sti g a ti o n
i n to ro o t ca u se s.
Ro o t ca u se a n a l ys i s b e n e fi ts fro m th e a p p l i ca ti o n o f stru ctu re d te ch n i q u e s
su ch a s Ke p n e r Tre g o e , b ra i n sto rm i n g , I sh i ka wa .
Pro b l e m m a n a g e m e n t h a s m a n y s i m i l a ri ti e s to a va i l a b i l i ty m a n a g e m e n t,
d e scri b e d in Ch a p te r 1 0 . B o th a n a l yse , re vi e w a n d ta ke a cti o n o ve r s i m i l a r
ti m e sca l e s.
On e o f th e o b j e cti ve s o f p ro b l e m m a n a g e m e n t i s to re d u ce th e wo rkl o a d
h a n d l ed b y i n ci d e n t a n d s e rvi ce re q u e s t m a n a g e m e n t. Th i s m a ke s th e

Problems
s e rvi ce m o re re l i a b l e , co st-e ffi ci e n t a n d e ffe cti ve . In tu rn p ro b l e m
m a n a g e m e n t wi l l be se ri o u sl y l i m i te d wi th o u t i n fo rm a ti o n fro m i n ci d e n t
and s e rvi ce re q u e st m a n a g e m e n t.
Minimizing the impact of problems

I t i s n e ce ss a ry to h a ve en ou g h i n fo rm a ti o n to u n d e rsta n d th e a ctu a l or
p o te n ti a l i m p a ct o f a p ro b l e m on th e cu sto m e r a n d th e n m i n i m i ze or
a vo i d th a t i m p a ct.
Th e p ro b l e m m a n a g e m e n t p ro ce d u re sh o u l d d e fi n e th e d a ta re q u i re d to
i d e n ti fy th e sca l e and n a tu re o f th e i m p a ct, n ot on l y i n te ch n i ca l te rm s
b u t a l so in th e cu sto m e r’s a n d u s e r’s b u si n e ss te rm s. Th i s ca n e xte n d to
th e cl a ss i fi ca ti o n m e th o d fo r re fe re n ci n g e xi sti n g p ro b l e m s a n d ch a n g e s,
so th a t th e re l e va n t d a ta on i n ci d e n ts, p ro b l e m s a n d ch a n g e s a re l i n ke d .
Th i s a d d s va l u e to th e i n fo rm a ti o n d e ri ve d fro m th e se p a ra te re co rd s a s
we l l a s re d u ci n g ri s ks .
Acce ss to co n fi g u ra ti o n m a n a g e m e n t d a ta i s i m p o rta n t a n d ca n pl a y a n
i m p o rta n t ro l e . Ad d i ti o n a l l y, a n e cd o ta l e vi d e n ce sh o u l d be co l l e cte d fro m
cu sto m e rs, u se rs, co l l e a g u e s a n d m o n i to ri n g syste m s .
Th e p ro ce d u re sh o u l d co ve r th e u se o f th i s i n fo rm a ti o n to i d e n ti fy
o p ti o n s fo r m i n i m i z i n g th e i m p a ct o f th e p ro b l e m and a n y a sso ci a te d
i n ci d e n ts, e. g . a manual a l te rn a ti ve , re m o va l of a d e fe cti ve fe a tu re or
te m p o ra ry u se o f a l te rn a ti ve h a rd wa re and so ftwa re . M i n i m i zi n g th e
i m p a ct a l so i n cl u d e s co m m u n i ca ti n g e ffe cti ve l y wi th th e cu sto m e rs a n d
u se rs, so th a t th e y u n d e rs ta n d h ow l on g th e se rvi ce i s l i ke l y to be
a ffe cte d and wh a t a l te rn a ti ve s th e y h a ve .
Handover of responsibility
B e ca u se m a n y p ro b l e m s co n ti n u e o ve r se ve ra l h o u rs o r d a ys i t i s a d vi sa b l e
fo r a p ro ce d u re to i n cl u d e th e wa ys th e fo l l o wi n g wi l l be m a n a g ed :
• ch a n g e s to th e i d e n ti ti e s o f th o se re sp o n si b l e fo r p ro b l e m re so l u ti o n
d u ri n g th e l i fe cycl e o f e a ch p ro b l e m ;
• wh e n and wh a t i n fo rm a ti o n i s p ro vi d e d (a n d to wh o m ) ;
• a n y e s ca l a ti o n re q u i re d and wh a t sh o u l d tri g g e r th e e sca l a ti o n ;
• b re a ch e s o f se rvi ce l e ve l ta rg e ts;
• re so u rce s u se d in m a n a g e m e n t o f th e p ro b l e m ;
• a cti o n s ta ke n .
Tra cki n g and u p d a ti n g re co rd s i s p a rti cu l a rl y i m p o rta n t wh e n s e ve ra l
g ro u p s a re i n vo l ve d in i n ve sti g a ti o n and re s o l u ti o n a t th e sa m e ti m e .
M o re co m m o n l y, se ve ra l g ro u p s a re i n vo l ve d b e ca u se th e p ro b l e m re co rd
i s re a ssi g n e d fro m on e g ro u p to a n o th e r d u ri n g i n ve sti g a ti o n .

Th e i n fo rm a ti o n i s a l so re q u i re d fo r su b se q u e n t re vi e w o f th e p ro ce s s
and th e wa y th e p ro b l e m wa s m a n a g e d and re so l ve d , fo r i n p u t to a
d a ta b a se o f kn o wn e rro rs o r fo r d e ve l o p m e n t o f a wo rka ro u n d .
Known errors
A kn o wn e rro r i s d e fi n e d in Pa rt 1 as a p ro b l e m th a t h a s e i th e r a n
i d e n ti fi e d ro o t ca u se o r m e th o d o f re d u ci n g o r e l i m i n a ti n g i ts i m p a ct o n
th e s e rvi ce s b y wo rki n g a ro u n d i t, o r b o th .
Pa rt 1 , Cl a u s e 8. 2 i n cl u d e s a re q u i re m e n t th a t p ro b l e m m a n a g em en t i s
re sp o n si b l e fo r e n su ri n g th a t i n fo rm a ti o n on kn o wn e rro rs a n d co rre cte d
p ro b l e m s i s p ro vi d e d and ke p t u p to d a te . Th e p e rso n n e l re s p o n si b l e fo r
p ro b l e m m a n a g e m e n t a re u su a l l y re s p o n si b l e fo r e n s u ri n g th a t o th e r
p e rso n n e l re s o l vi n g p ro b l e m s p ro vi d e th e co rre ct i n fo rm a ti o n . Th i s ca n
i n vo l ve ch e cks o n th e q u a l i ty o f d a ta l og g ed on i n d i vi d u a l p ro b l e m s a n d
th e q u a l i ty o f th e kn o wn e rro r d e ta i l s .
I t i s i m p o rta n t th a t a l l kn o wn e rro rs a re re co rd e d a g a i n st th e s e rvi ce th a t
h a s been a ffe cte d o r co u l d be a ffe cte d , a s we l l a s th e i d e n ti fi ca ti o n of
th e CI th o u g h t to be a t fa u l t. B ei n g a bl e to l i n k th e kn o wn e rro r to a
se rvi ce o r n u m b e r o f se rvi ce s wi l l h el p p re d i ct th e i m p a ct i f th e re is a
re cu rre n ce .
Th e i n fo rm a ti o n i s a l so u se fu l fo r th e se tti n g o f p ri o ri ti e s a n d ta rg e ts, fo r
sch e d u l i n g o f re so l u ti o n , fo r co m m u n i ca ti o n s wi th cu sto m e rs a n d u se rs
and fo r i d e n ti fi ca ti o n of a p e rm a n e n t fi x. S i m i l a rl y, bei n g a bl e to l i n k th e
kn o wn e rro r to a p a rti cu l a r CI , o r typ e o f CI , h a s th e sa m e u se s. Th i s
re q u i re s a cce ss to th e re l e va n t co n fi g u ra ti o n m a n a g e m e n t d a ta .
Po te n ti a l l y i t a l so re q u i re s a cce s s to o th e r re co rd s, su ch a s th o s e of
ch a n g e m a n a g em en t a n d S LM .
Som e kn o wn e rro rs a re i n tro d u ce d i n to th e l i ve e n vi ro n m e n t a s p a rt o f a
re l e a se o f h a rd wa re o r s o ftwa re . Th i s i s m o st l i ke l y wh e n th e b e n e fi ts o f
th e n e w re l e a se o u twe i g h th e co sts o f th e e rro r. Th i s sh o u l d be
d o cu m e n te d as a kn o wn e rro r a n d co ve re d b y tra i n i n g , wi th a n y kn o wn
wo rka ro u n d s b e i n g i n cl u d e d .
Kn o wn e rro rs a re a l so cl o se d b y p ro b l e m m a n a g e m e n t wh e n a
p e rm a n e n t fi x i s fi n a l l y a p p l i e d o r th e a ffe cte d co m p o n e n t o r se rvi ce is
re m o ve d . Kn o wn e rro rs d e ta i l s sh o u l d n ot be re m o ve d u n ti l it is
e sta b l i sh e d th a t th e p e rm a n e n t fi x h a s b e e n s u cce s sfu l . Th i s i s co m m o n l y
d on e a s p a rt o f ch a n g e m a n a g e m e n t.
Kn o wn e rro rs m a y b e l e ft u n re so l ve d i n d e fi n i te l y. Th i s i s b e ca u se
re so l u ti o n (o r e ve n a wo rka ro u n d ) ca n be to o e xp e n si ve o r n o t ca rry
en ou g h b e n e fi t to th e b u si n e s s. In o rd e r to m i n i m i ze th e i m p a ct o f
p ro b l e m s th e a d va n ta g e s a n d d i sa d va n ta g e s o f l e a vi n g th e kn o wn e rro r

Problems
o r a p p l yi n g a p e rm a n e n t fi x sh o u l d be d o cu m e n te d and co n si d e re d ,
i n cl u d i n g th e co sts a n d ri sks. Th e d e ci s i o n -m a ki n g ca n i n vo l ve th e
cu s to m e r vi a S LM o r B RM .
Workarounds
If a p e rm a n e n t fi x i s n o t to be a ppl i ed o r i s n o t ye t a va i l a b l e , it is
a d vi sa b l e to fi n d a m e th o d o f wo rki n g ro u n d i t. Th i s m i g h t h a ve no
e ffe ct o n th e u n d e rl yi n g ca u se b u t a l l o w th e se rvi ce to be u sed . Typ i ca l
e xa m p l e s i n cl u d e wh e n a p e rm a n e n t fi x i s n o t te ch n i ca l l y p o ssi b l e , ca n n o t
be a ppl i ed in th e sh o rt te rm o r wh e re a p e rm a n e n t fi x i s n o t
co st-e ffe cti ve . F o r e xa m p l e , th e b e n e fi ts o f u p g ra d i n g to th e n e xt ve rsi o n
of a n o ff-th e - sh e l f p a cka g e to a vo i d re cu rri n g i n ci d e n ts m a y b e
o u twe i g h e d b y th e n eed fo r e xp e n si ve a rch i te ctu ra l ch a n g e s.
Th e d e ci si o n on wh e th e r to re p l a ce a wo rka ro u n d wi th a p e rm a n e n t fi x
ca n i n vo l ve m a n y o f th e o th e r s e rvi ce m a n a g e m e n t p ro ce sse s. For
e xa m p l e , th e d e ci si o n m a y i n vo l ve th e cu sto m e rs, u su a l l y vi a S LM a n d /o r
B RM . Al so th e fi n a n ci a l p ro ce sse s ca n co n tri b u te i n fo rm a ti o n fo r a
d e ci si o n on co st- e ffe cti ve n e ss o f a p e rm a n e n t fi x ve rsu s a wo rka ro u n d
bei n g l e ft i n p l a ce .
Pa rt 1 d o e s n o t sp e ci fy wh e n a wo rka ro u n d sh o u l d be re p l a ce d by a
p e rm a n e n t re so l u ti o n o f th e u n d e rl yi n g i n ci d e n t. H o we ve r th i s i s d o n e it
sh ou l d be d on e e ffe cti ve l y a n d d o cu m e n te d .
I n fo rm a ti o n on wo rka ro u n d s i s u s u a l l y h e l d in a kn o wl e d g e b a se su i ta b l e
fo r co n tro l o f th e i n fo rm a ti o n . Th e se rvi ce p ro vi d e r co u l d h ol d
i n fo rm a ti o n su ch a s:
• th e ci rcu m s ta n ce s u n d e r wh i ch th e wo rka ro u n d i s u se d ;
• co m p o n e n ts o f th e se rvi ce th e wo rka ro u n d a p p l i e s to ;
• u n d e rl yi n g ca u s e ;
• s ym p to m s o f th e i n ci d e n t a vo i d e d b y a p p l yi n g th e wo rka ro u n d ;
• b u si n e s s a re a a ffe cte d ;
• th e sca l e and n a tu re o f th e i m p a ct;
• e ffe ct o f th e wo rka ro u n d ;
• re si d u a l i m p a ct a fte r th e a p p l i ca ti o n o f th e wo rka ro u n d .
Th e re a re no re q u i re m e n ts fo r th e n a tu re , fo rm a t o r co n te n ts o f a
kn o wl e d g e b a se u sed fo r th i s p u rp o se , o r th e m e th o d s u s e d to a cce ss th e
i n fo rm a ti o n i t co n ta i n s.
Preventive action
E ffe cti ve p ro b l e m m a n a g e m e n t l e a d s to a re d u cti o n in re p e a t i n ci d e n ts
and p ro b l e m s , n o t j u st th e e ffe cti ve handling o f th o se th a t d o o ccu r.

I n fo rm a ti o n u se d fo r a n a l ysi s o f ca u s e s, i d e n ti fi ca ti o n o f o p ti o n s fo r a
p e rm a n e n t fi x a n d p ro b l e m a vo i d a n ce i n cl u d e s:
• gap b e twe e n se rvi ce l e ve l s a n d ta rg e ts wi d e n i n g ;
• tre n d s, e. g . re cu rri n g p ro b l e m s a n d i n ci d e n ts, kn o wn e rro rs;
• re cu rri n g p ro b l e m s o f a p a rti cu l a r typ e , co m p o n e n t o r l o ca ti o n ;
• co n fi g u ra ti o n m a n a g e m e n t (i n cl u d i n g a s se t m a n a g e m e n t) ;
• ch a n g e m a n a g e m e n t;
• kn o wn e rro rs a n d wo rka ro u n d s (i n cl u d i n g fro m s u p p l i e rs) ;
• h i sto ri ca l i n fo rm a ti o n on si m i l a r p ro b l e m s.
Pro b l e m p re ve n ti o n m a y co ve r a si n g l e i n ci d e n t o r a se ri e s o f re l a te d
i n ci d e n ts , a m a j o r i n ci d e n t o r p ro b l e m s. E xa m p l e s i n cl u d e re p e a te d
d i ffi cu l ti e s wi th a p a rti cu l a r fe a tu re o f th e syste m , su ch as a te n d e n cy fo r
a PC to ‘h a n g ’ re q u i ri n g re b o o ti n g . At th e o th e r e xtre m e , th e re a re
ch a n g e s th a t re q u i re m a j o r i n ve stm e n t, e. g . th e re p l a ce m e n t o f a n
u n re l i a b l e i n fra stru ctu re .
Pro a cti ve p ro b l e m m a n a g e m e n t i d e n ti fi e s we a kn e s se s, su ch as a si n g l e
p o i n t o f fa i l u re (h i g h ri sk a n d p o ssi b l y h i g h i m p a ct) . H a vi n g i d e n ti fi e d th e
we a kn e ss a n d ri sk, o p ti o n s a re p ro p o se d fo r p re ve n ti n g th e ri s k
b e co m i n g re a l i ty.
Advice and guidance

Pro b l e m m a n a g e m e n t p ro vi d e s i n fo rm a ti o n on th e wa ys to a vo i d a
d e fe cti ve fe a tu re o r h o w to u se th e fe a tu re co rre ctl y. Th i s i n fo rm a ti o n is
o fte n re fe rre d to a s fre q u e n tl y a ske d q u e sti o n s (FAQ s) and ca n e xte n d to
tra i n i n g bei n g g i ve n .
Problem reviews
Th e e ffe cti ve n e ss o f p ro b l e m re so l u ti o n sh o u l d a l so be m o n i to re d ,
re vi e we d and re p o rte d . Pro b l e m re vi e ws o f u n re so l ve d , u n u su a l or
h i g h -i m p a ct p ro b l e m s a re l i ke l y to h el p th e re vi e we r i d e n ti fy p ro ce s s
i m p ro ve m e n ts, a s th e y te st th e re so l u ti o n p ro ce sse s u n d e r e xtre m e
co n d i ti o n s so th a t a n y we a kn e s s i s m o re l i ke l y to be i d e n ti fi e d .
Ch a n g e s to th e re s o l u ti o n p ro ce sse s co u l d a l so be re q u i re d as a re s u l t o f
a ch a n g e to th e n a tu re o f th e s e rvi ce o r su p p o rt wo rkl o a d . Re vi e w a n d
i m p ro ve m e n ts i n th e p ro ce ss a re p a rti cu l a rl y a d vi s a b l e wh e n th e p ro ce ss
i s n e wl y i m p l e m e n te d .
An y o p p o rtu n i ti e s fo r i m p ro ve m e n ts i d e n ti fi e d sh o u l d be i n p u t to th e
ch e ck sta g e o f th e PD CA cycl e , sp e ci fi e d in Pa rt 1 , Cl a u se 4. Th i s
m i n i m i z e s th e ri sk th a t a si n g l e p ro ce s s wi l l i d e n ti fy i m p ro ve m e n ts th a t
a re n o t co m p a ti b l e wi th o th e r i m p ro ve m e n ts o r ch a n g e s.

Common features of resolution processes
I f o th e r p ro ce sse s a re ch a n g e d i t i s u s u a l l y n e ce s sa ry to re a l i g n re so l u ti o n
m a n a g e m e n t wi th th e ch a n g e d p ro ce ss e s a n d vi ce ve rsa . S i m i l a rl y,
ch a n g e s to ta rg e ts i n S LAs ca n m ea n ch a n g e s to p ro b l e m m a n a g e m e n t.
Ch a n g e s to th e co m p l a i n t p ro ce d u re in B RM ca n m ea n th a t e sca l a ti o n
m a n a g ed b y p ro b l e m m a n a g e m e n t m i g h t h a ve to be ch a n g e d .
I f i n ci d e n t o r p ro b l e m re s o l u ti o n i n vo l ve s a su p p l i e r, a l i n k to su p p l i e r
m a n a g e m e n t ca n be n eed ed fo r p ro b l e m re vi e ws . Th e s co p e o f th e
p ro b l e m re vi e w i s fa r fro m o n l y te ch n i ca l i ssu e s.
I t i s re co m m e n d e d th a t o th e r d e fi ci e n ci e s a re re vi e we d , i n cl u d i n g :
• d e fi ci e n ci e s ca u se d b y re so u rci n g , tra i n i n g o r d o cu m e n ta ti o n ;
• p e rs o n n e l co m m i tm e n t i n re so l vi n g i n ci d e n ts a n d p ro b l e m s;
• n o n co n fo rm i ti e s, e. g . a g a i n st sta n d a rd s, p o l i ci e s a n d l e g i sl a ti o n .
Th e se n i o ri ty o f th o se i n vo l ve d in th e re vi e w s h o u l d be b a se d on th e
i m p a ct a n d ri sks . Th e m a n a g e r(s) th a t o wn s th e re so l u ti o n p ro ce s se s a n d
to p m a n a g em en t m i g h t n eed to be i n vo l ve d . Th i s i s p a rti cu l a rl y th e ca se
i f p e rso n n e l fe e l th a t th e i r cre d i b i l i ty h a s b e e n u n d e rm i n e d and th a t th e y
wi l l be bl a m ed fo r a se rvi ce l o s s.

The importance of records
I n ci d e n ts, se rvi ce re q u e sts a n d p ro b l e m s ca n be re p o rte d b y te l e p h o n e ,
d u ri n g vi si ts, b y vo i ce m a i l s , l e tte rs, l og g ed d i re ctl y b y u se rs o r b y
m o n i to ri n g to o l s th a t re co rd wh e n ce rta i n fa u l t typ e s a re d e te cte d . Al l
sh ou l d be re co rd e d .
Som e se rvi ce p ro vi d e rs re co rd o n l y e ve n ts th a t a re n o t re so l ve d q u i ckl y,
u n d e r th e i m p re ss i o n th a t i f a n i n ci d e n t i s re so l ve d q u i ckl y i t d o e s n o t
m a tte r i f i t i s n o t re co rd e d . Pa rt 1 d o e s n o t e xp l i ci tl y re q u i re all i n ci d e n ts ,
s e rvi ce re q u e s ts a n d p ro b l e m s to be re co rd e d . H o we ve r, i f th i s i s n o t
d on e th e se rvi ce p ro vi d e r wi l l fi n d i t d i ffi cu l t to fu l fi l o th e r re q u i re m e n ts,
s u ch a s p ro vi d i n g i n fo rm a ti o n on i n ci d e n ts to p ro b l e m m a n a g e m e n t,
p ro b l e m m a n a g e m e n t a n a l ys i n g tre n d s o r th e d e ve l o p m e n t o f kn o wn
e rro r d e ta i l s.
Th e re so l u ti o n p ro ce ss e s a l so p ro vi d e i n fo rm a ti o n to se ve ra l o th e r
p ro ce ss e s, e. g . re co rd s, u su a l l y i n a g g re g a te d fo rm , fl o w to se rvi ce
re p o rti n g , or i f a ch a n g e o r re l e a se h a s fa i l e d i n fo rm a ti o n i s p ro vi d e d fo r
p ro ce ss i m p ro ve m e n t p l a n n i n g .

D e ta i l s o f th e ca u s e o f th e fa i l u re sh o u l d be a d d ed to th e re co rd . For a n
i n ci d e n t, th i s i s kn o wn a t th e ti m e th e re co rd i s ra i se d . For a p ro b l e m , th e
re co rd sh o u l d i n cl u d e th e wa y th e re so l u ti o n wa s h a n d l e d and d e ta i l s o f
th e re s o l u ti o n .
Th e re is no e xp l i ci t re q u i re m e n t i n Pa rt 1 to i n fo rm a u se r wh o re p o rte d
an i n ci d e n t o r p ro b l e m or m a d e a s e rvi ce re q u e s t, wh e n th e re co rd is
cl o se d . H o we ve r, i t i s a d vi sa b l e th a t a re co rd i s cl o s e d o n l y wh e n th e u se r
i s g i ve n th e o p p o rtu n i ty to co n fi rm th a t i t h a s b e e n re so l ve d . Wh e n many
p e op l e a re i m p a cte d i t i s u su a l fo r s e rvi ce p ro vi d e rs to co n ta ct se l e cte d
i n d i vi d u a l s o r to u se a se n i o r-l e ve l cu s to m e r a s a co n ta ct p o i n t.
D epen d i n g on th e n a tu re o f th e i n ci d e n t o r p ro b l e m and th e wa y
re so l u ti o n wa s a ch i e ve d , i t ca n be a p p ro p ri a te d u ri n g re co rd cl o su re to
e n su re th a t th e u se r i s a wa re o f th e wa y th e p ro b l e m wa s re s o l ve d .
I t i s a l so re co m m e n d e d th a t i f re so l u ti o n i s n o t p o ss i b l e th e cu sto m e r i s
i n fo rm e d o f th e ci rcu m sta n ce s i f th e re co rd i s to be cl o se d . Th i s i s
a p pro p ri a te i rre sp e cti ve o f wh e th e r a wo rka ro u n d i s p o ssi b l e .
A re co rd sh o u l d be ch e cke d b e fo re cl o su re to e n su re th a t a l l th e re q u i re d
i n fo rm a ti o n i s p re se n t a n d co rre ct, e. g . i n ci d e n ts a n d p ro b l e m s a re
cl a ssi fi e d co rre ctl y.
Priorities
Pri o ri ty i s u se d th ro u g h o u t se rvi ce m a n a g e m e n t to manage wo rkl o a d s
e ffe cti ve l y b u t i s p i vo ta l fo r th e re so l u ti o n p ro ce sse s . Pri o ri ty n e e d s to
ta ke i n to a cco u n t th e cu sto m e r’s a n d u se rs’ p ri o ri ti e s, so th e se h a ve to be
u n d e rs to o d . F o r e xa m p l e , wh a t i m p a ct i s th e re on th e cu sto m e r’s
b u s i n e ss? An i n ci d e n t ca n seem tri vi a l to th e se rvi ce p ro vi d e r, b u t co u l d
h a ve a huge i m p a ct o n th e cu sto m e r’s b u s i n e ss a cti vi ti e s .
In p ra cti ce i t i s a l so a d vi sa b l e to u n d e rs ta n d p o te n ti a l i m p a ct. I f n o th i n g
i s d on e i m m e d i a te l y b e ca u se th e b u si n e ss i s n o t i m p a cte d a t th a t ti m e ,
wh e n wi l l i t sta rt to m a tte r to th e cu s to m e rs? If a fa u l t o ccu rs o u t o f
se rvi ce h o u rs wh e n th e re is no on e re l yi n g on th e se rvi ce , h ow l on g wi l l
i t be b e fo re th e se rvi ce i s n e e d e d ? S i m i l a rl y, a fa i l u re in th e e n d -o f-m o n th
p ro ce ssi n g h a s l o w i m p a ct a t th e sta rt o f th e m o n th , b u t wi l l b e co m e
high i m p a ct a t th e en d o f th e m o n th .
S ch e d u l i n g b a se d on l y on p ri o ri ty ca n re su l t i n co n fl i cts o ve r wh i ch high
p ri o ri ty p ro b l e m sh o u l d be a l l o ca te d sca rce re so u rce s, o r th e co st–b e n e fi t
o f wo rki n g o u t-o f-h o u rs to p ro vi d e a fa s te r re so l u ti o n .
Pri o ri ty- b a s e d sch e d u l i n g fo r re so l u ti o n p ro ce s se s s h o u l d th e re fo re
i n cl u d e :

• p ri o ri ty;
• ski l l s a va i l a b l e ;
• co m p e ti n g re q u i re m e n ts fo r re so u rce s;
• e ffo rt/co st to p ro vi d e th e m e th o d o f re so l u ti o n ;
• e l a p se d ti m e to p ro vi d e a m e th o d o f re so l u ti o n .
B y sch e d u l i n g and se tti n g a ta rg e t ti m e , i t b e co m e s e a si e r to d e ve l o p
p ro ce d u re s fo r co m m u n i ca ti o n s b e twe e n th e g ro u p s i n vo l ve d and
b e twe e n th e se rvi ce p ro vi d e r a n d th e cu sto m e r o r u se r. I f s e rvi ce ta rg e ts
ca n n o t b e m e t, th e se rvi ce p ro vi d e r sh o u l d i n fo rm th e cu sto m e r a n d
i n te re ste d p a rti e s a n d e sca l a te i f n e ce ssa ry.
Key point
M a n y se rvi ce p ro vi d e rs re l y o n g u i d e l i n e s fo r a sse ss m e n t a n d
a l l o ca ti o n o f ta rg e ts b a s e d on p ri o ri ty, to p ro vi d e a co n si ste n t
a p p ro a ch . In p ra cti ce i t i s a d vi sa b l e to l i n k th e a g re e d p ri o ri ty
to a ti m e ta b l e fo r a cti o n , so th a t h i g h p ri o ri ty i s a cte d on ve ry
q u i ckl y; l o w p ri o ri ty i s sch e d u l e d to be h a n d l ed wh e n e ve r th e
re s o u rce s b e co m e a va i l a b l e .
Th e m o st co m m o n ti m e ta b l e i s to l i n k e a ch ca te g o ry o f p ri o ri ty
to th e m a xi m u m ti m e wi th i n wh i ch th e e ve n t wi l l be re so l ve d
and to p ro vi d e an i n d i ca ti o n o f h o w m a n y a re e xp e cte d to be
in e a ch ca te g o ry. I t i s a d vi sa b l e to ch e ck th a t cl a ss i fi ca ti o n is
bei n g d on e co n s i ste n tl y. Cl a ss i fi ca ti o n ca n b e co m e i n co n s i ste n t
o ve r ti m e a s n ew peopl e g e t i n vo l ve d , p e rh a p s wi th o u t e n o u g h
tra i n i n g .
Managing and minimizing impact

Pa rt 1 re q u i re s th a t re so l u ti o n p ro ce sse s i n cl u d e m a n a g e m e n t o f th e
p o te n ti a l o r a ctu a l i m p a ct o f se rvi ce fa i l u re s. Th i s h a s to be d on e wi th an
u n d e rsta n d i n g o f th e cu sto m e r’s b u si n e ss a n d th e b u si n e s s a re a , u se rs o r
a cti vi ty a ffe cte d . Th i s i n fo rm a ti o n i s re q u i re d so th a t d e ci si o n s o n
m i n i m i zi n g th e i m p a ct ca n be ta ke n on an i n fo rm e d b a si s , a s d e scri b e d in
th e fo l l o wi n g se cti o n . Th i s typ e o f i n fo rm a ti o n i s a l so u se d in e s ta b l i sh i n g
p ri o ri ty, to se t a ta rg e t fo r re so l u ti o n and fo r wo rkl o a d sch e d u l i n g .
I n fo rm a ti o n on th e i m p a ct i s u se fu l fo r p ro b l e m m a n a g e m e n t, e. g .
i n d i vi d u a l l y, tri vi a l i n ci d e n ts re cu rri n g fre q u e n tl y ca n h a ve an o ve ra l l
m a j o r i m p a ct th a t n e e d s a tte n ti o n so th a t re cu rre n ce i s p re ve n te d .

In o rd e r to m e e t th e re q u i re m e n ts fo r m a n a g i n g i m p a ct i t i s a d vi sa b l e fo r
p ro ce d u re s to d e fi n e h o w to g et h el p fro m te ch n i ca l sp e ci a l i sts. Many
o rg a n i z a ti o n s d e ve l o p a kn o wl e d g e b a se o f ski l l s a n d co n ta ct d e ta i l s,
wi th su i ta b l y-ski l l e d peopl e a va i l a b l e d u ri n g th e h o u rs wh e n h el p ca n be
n eed ed . S i m i l a rl y, a cce ss to d o cu m e n ts s u ch a s p ro ce sse s , p ro ce d u re s a n d
wo rk i n stru cti o n s .
I n fo rm a ti o n on si m i l a r i n ci d e n ts ca n q u i ckl y p ro vi d e i n si g h t i n to th e
re a so n an i n ci d e n t o ccu rre d and wa ys i t ca n be re so l ve d . In so m e ca s e s
th e i n fo rm a ti o n on an i n ci d e n t ca n be l i n ke d to a p ro b l e m m a n a g em en t
i n ve sti g a ti o n . I f n on e o f th e i n fo rm a ti o n on p re vi o u s i n ci d e n ts m a tch e s
th e n e w i n ci d e n t, re co g n i ti o n th a t th i s i s a n e w i n ci d e n t wi l l p ro vi d e
u se fu l i n fo rm a ti o n fo r re so l u ti o n sh o u l d th e i n ci d e n t re cu r.
A d e g ra d e d se rvi ce p ro vi d e d q u i ckl y ca n be p re fe ra b l e to a n o rm a l
se rvi ce d e l i ve re d m u ch l a te r a n d e a ch ca s e h a s to be j u d g ed on i ts m e ri ts.
Keeping the customer informed

Th e cu sto m e r sh o u l d be ke p t i n fo rm e d on p ro g re ss. E ve n an a p p a re n tl y
tri vi a l e ve n t ca n be a so u rce o f a n n o ya n ce to a u se r, p a rti cu l a rl y i f th e
u se r i s l e ft wi th o u t i n fo rm a ti o n on wh a t wi l l h a ppen and wh e n i t wi l l
h a ppen .
I t i s i m p o rta n t fo r i n fo rm a ti o n on th e l i ke l y ti m e fo r re so l u ti o n to be
p ro vi d e d , so th a t th e u s e r ca n pl a n a ro u n d th e e xp e cte d ti m e ta b l e . It is
e q u a l l y i m p o rta n t th a t th e cu s to m e r i s a l e rte d i f th e i r e xp e cta ti o n s wi l l
n ot be m e t, e. g . a se rvi ce ta rg e t wi l l n ot be a ch i e ve d . Th i s i s i n ca se
e sca l a ti o n i s a d vi s a b l e .
A d e ci si o n on ‘ wh o sh o u l d be to l d wh a t’ i s b e st a g re e d in a d va n ce , so
th a t i t ca n be d on e q u i ckl y a n d re l i a b l y wh e n re q u i re d . Som e se rvi ce
p ro vi d e rs u se on l i n e b u l l e ti n b o a rd s o r p ro vi d e a cce ss to th e i n ci d e n t
l og g i n g sys te m , so th a t cu s to m e rs a n d u s e rs ca n ch e ck o n th e p ro g re s s o f
an i n ci d e n t o r p ro b l e m .
Escalation
I f th e n o rm a l p ro ce sse s a n d p ro ce d u re s fo r re so l u ti o n a re n ot en ou g h ,
e sca l a ti o n wi l l be n e ce ss a ry. E sca l a ti o n m a y be tri g g e re d by on e o r m o re
o f:
• re co g n i ti o n th a t a d d i ti o n a l kn o wl e d g e i s n eed ed fo r re s o l u ti o n ;
• re so l u ti o n h a s n o t o r wi l l n o t m e e t th e a g re e d ta rg e t ti m e fo r
re so l u ti o n ;
• re so l u ti o n h a s been b a d l y d e a l t wi th o r g i ve n to o l ow a p ri o ri ty;
• to o fe w re so u rce s a re a va i l a b l e o r a l l o ca te d .

E s ca l a ti o n m a y i n vo l ve re fe rra l to m o re se n i o r m a n a g e m e n t i n o rd e r to
a g re e th e p ro vi si o n o f m o re re so u rce s a n d p o ssi b l y e xp e n d i tu re .
E s ca l a ti o n m a y a l so i n vo l ve re fe rra l and i n vo l ve m e n t o f p e o p l e o f th e
sa m e se n i o ri ty, typ i ca l l y i f d i ffe re n t ski l l s o r m o re re so u rce s a re re q u i re d .
E s ca l a ti o n p ro ce d u re s wo rk fa r m o re e ffe cti ve l y i f th e y a re a g re e d in
a d va n ce . I t i s a d vi sa b l e fo r th e e sca l a ti o n p ro ce d u re to i n cl u d e th e
co n d i ti o n s th a t wi l l tri g g e r e sca l a ti o n . F o r e xa m p l e , si z e o f p ro b l e m , ti m e
fo r re s o l u ti o n , and s ca l e o f a ctu a l o r p o te n ti a l i m p a ct o n th e cu sto m e r’s
b u si n e s s a cti vi ti e s. I t i s a l so a d vi s a b l e to i n cl u d e wh a t h a p p e n s d u ri n g
e s ca l a ti o n , and wh o b e co m e s i n vo l ve d a t wh a t ti m e .

Ch a p te r 1 5 Co n fi g u ra ti o n
m a n a g em en t
I n trod u cti on
Th i s ch a p te r d e scri b e s th e ke y fe a tu re s o f co n fi g u ra ti o n m a n a g em en t
re q u i re d to e sta b l i sh and m a i n ta i n th e i n te g ri ty o f i d e n ti fi e d se rvi ce s,
se rvi ce co m p o n e n ts a n d co n fi g u ra ti o n i n fo rm a ti o n .
Th e re q u i re m e n ts fo r co n fi g u ra ti o n m a n a g em en t i n Pa rt 1 co ve r:
• i d e n ti fi ca ti o n : s e l e cti n g and d e fi n i n g CI s ;
• co n tro l : e n su ri n g th a t o n l y a u th o ri z e d CI s a re u se d and m a i n ta i n i n g
th e i n te g ri ty o f sys te m s a n d s e rvi ce s ;
• re co rd i n g : ch a n g e s i n CI s a n d th e i r sta tu s i n th e CM D B ;
• re p o rti n g : p ro vi d i n g a cce s s to co n fi g u ra ti o n i n fo rm a ti o n , wi th
d i ffe re n t vi e ws;
• a u d i ti n g : CI s a n d th e CM D B re co rd s fo r n o n co n fo rm i ti e s.
Wh a t i s effecti ve con fi g u ra ti on m a n a g em en t?
Th e p ro ce ss sh o u l d be ba sed on th e se rvi ce p ro vi d e r’s a n d cu sto m e r’s
b u s i n e ss d ri ve rs a n d su p p o rti n g p o l i ci e s a n d m e e t th e re q u i re m e n ts o f
th e re s t o f th e SM S. Th e d e g re e o f co n tro l sh o u l d be pl a n n ed and ta ke
i n to co n si d e ra ti o n th e se rvi ce re q u i re m e n ts a n d ri sks a s so ci a te d wi th th e
co n fi g u ra ti o n s a n d CI s. F o r e xa m p l e , b u si n e s s-cri ti ca l s e rvi ce s ca n re q u i re
a g re a te r d e g re e o f co n tro l co m p a re d wi th o th e r s e rvi ce s .
An e ffe cti ve p ro ce ss p ro vi d e s th e co n fi g u ra ti o n i n fo rm a ti o n to pl a n ,
m a i n ta i n and tra ck a l l ch a n g e s to CI s . Th e p ro ce s s p ro vi d e s d i ffe re n t
vi e ws o f th e cu rre n t a n d pl a n n ed sta te o f th e se rvi ce s a n d se rvi ce
co m p o n e n ts fo r d i ffe re n t ro l e s.
Th i s h e l p s th o se i n vo l ve d to :
• re l a te te ch n i ca l co m p o n e n ts to s e rvi ce s a n d to b u si n e ss n e e d s ;
• u n d e rs ta n d th e ri sk a n d i m p a ct o f ch a n g e s;
• u n d e rs ta n d th e re l a ti o n sh i p b e twe e n pl a n n ed ch a n g e s;
• i d e n ti fy th e ro o t ca u se o f i n ci d e n ts a n d p ro b l e m s;
• fi n d co n fi g u ra ti o n i n fo rm a ti o n q u i ckl y.

Scope of configuration management and CIs
Ta b l e 1 5 a l l o ws co n fi g u ra ti o n m a n a g e m e n t re q u i re m e n ts to be tra ce d
b a ck to th e o ri g i n a l b u si n e s s re q u i re m e n t. Th i s i s p a rti cu l a rl y u se fu l wh e n
a ch a n g e fa i l s o r a p ro b l e m i s bei n g i n ve sti g a te d . I t a l so h e l p s th e
i d e n ti fi ca ti o n o f n o n co n fo rm i ti e s , s u ch a s:
• CI s th a t d o n o t m e e t re q u i re m e n ts;
• u n a u th o ri z e d CI s, e. g . u s e r-i n tro d u ce d s o ftwa re ;
• co m p o n e n ts th a t n e e d to be re p l a ce d ;
• CI s th a t h a ve been ch a n g e d wi th o u t a u th o ri z a ti o n .
I t i s re co m m e n d e d th a t a u to m a ti o n i s u sed to i m p ro ve e ffi ci e n cy a n d
e ffe cti ve n e s s.
Ta bl e 1 5 – M a ppi n g ba ck to th e bu si n ess req u i rem en t
Bu si n ess Con fi g u ra ti on m a n a g em en t req u i rem en t
req u i rem en t
Ad h e re n ce to l eg a l Al l so ftwa re a ss e ts a n d re l a te d a ss e ts a re
re g u l a ti o n s fo r th e i d e n ti fi e d and m a n a g ed in co u n tri e s wh e re th e
u se o f so ftwa re l eg a l re g u l a ti o n s a p p l y
a sse ts
Re g u l a to ry co n tro l F i n a n ci a l a s se ts a re i d e n ti fi e d and m a n a g ed .
o f b u si n e s s Co m p o n e n ts th a t su p p o rt th e se cu ri ty a n d
p ro ce sse s th a t a re i n te g ri ty o f d a ta fo r fi n a n ci a l p ro ce ss e s wi l l be
fu n d a m e n ta l to th e u n i q u e l y i d e n ti fi e d and wi l l be tra ce a b l e b a ck
fi n a n ci a l s o f th e to th e i r o ri g i n a l re q u i re m e n t
co m p a n y
Re d u cti o n in th e Ch a n g e s wi th th e p o te n ti a l to h a ve a m a j or
o p e ra ti o n a l ri s ks to i m p a ct o n se rvi ce s o r th e cu sto m e r a re d e fi n e d
cri ti ca l s e rvi ce s a cco rd i n g to d e fi n e d cri te ri a . CI s ca n be
cl a ssi fi e d b y ri sk. H i g h -ri sk i te m s i n cl u d e :
• cri ti ca l s e rvi ce s ;
• n e w te ch n o l o g y wi th i n th e o rg a n i z a ti o n ;
• i te m s th a t ca u se m a j o r i n ci d e n ts;
• i te m s th a t ca u se o u ta g e s;
• si n g l e p o i n ts o f fa i l u re ;
• i n te rn a l and e xte rn a l i n te rfa ce s;
• se cu ri ty p e ri m e te r
S cope of con fi g u ra ti on m a n a g em en t a n d CI s
Th e s co p e o f co n fi g u ra ti o n m a n a g e m e n t i s d e fi n e d b y th e s co p e o f th e
SM S. Th e minimum e ffe cti ve s co p e sh o u l d be d o cu m e n te d , i n cl u d i n g :
• s e rvi ce s d e fi n e d in th e se rvi ce ca ta l o g u e ;
• CI s re q u i re d to d e l i ve r th e se rvi ce s , e. g . d e skto p s;
• s o ftwa re and l i ce n ce s, e. g . a p p l i ca ti o n s;

Chapter 1 5 Configuration management
• CI s i n th e u n d e rl yi n g i n fra stru ctu re th a t re q u i re m a i n te n a n ce , e. g .
u p g ra d e s.
In Pa rt 1 , Cl a u se 4. 1 . 4 th e m a n a g e m e n t re p re s e n ta ti ve ’s a u th o ri ti e s a n d
re sp o n si b i l i ti e s i n cl u d e e n su ri n g th a t a ss e ts u se d to d e l i ve r se rvi ce s a re
m a n a g ed a cco rd i n g to sta tu to ry a n d re g u l a to ry re q u i re m e n ts a n d
co n tra ctu a l o b l i g a ti o n s.
Key poi n t
Th e sco p e and l e ve l o f d e ta i l fo r co n fi g u ra ti o n i n fo rm a ti o n a re
b o th i m p o rta n t fo r a n e ffe cti ve p ro ce ss. I f th e sco p e i s to o wi d e
b e ca u se to o m u ch d e ta i l i s h el d a b o u t CI s, e ffo rt wi l l be wa ste d
in m a i n ta i n i n g i n fo rm a ti o n th a t i s o f n o p ra cti ca l u se . I f th e re is
to o l i ttl e d e ta i l th e re wi l l be a l a ck o f co n tro l and l a ck o f
vi si b i l i ty re q u i re d fo r e ffe cti ve u se o f th e i n fo rm a ti o n b y o th e r
se rvi ce m a n a g e m e n t p ro ce sse s .
I n terfa ces
Th e co n tro l p ro ce s se s s h o u l d be i n te g ra te d wi th th e re st o f th e SM S and
th o se o f i ts cu sto m e rs a n d su p p l i e rs . To a ch i e ve th i s re q u i re m e n ts a re
a g re e d wi th th e cu sto m e r vi a B RM and wi th su p p l i e rs vi a th e su p p l i e r
m a n a g e m e n t p ro ce ss. S LM wo u l d n o rm a l l y b e i n vo l ve d a s th i s l i n ks
su p p l i e rs, th e se rvi ce p ro vi d e r a n d cu s to m e rs.
I t i s th e s e rvi ce p ro vi d e r’s re s p o n si b i l i ty to d e fi n e a n y re q u i re m e n ts p l a ce d
on su p p l i e rs. Th e se rvi ce p ro vi d e r s h o u l d re ta i n o ve ra l l g o ve rn a n ce of a n y
p ro ce sse s o p e ra te d b y o th e r p a rti e s, su ch a s s u p p l i e rs. Th i s a p p l i e s e ve n if
th e s e rvi ce p ro vi d e r’s p ro ce sse s a re ta i l o re d to a cco m m o d a te a s u p p l i e r’s
e n vi ro n m e n t.
I t i s re co m m e n d e d th a t th e re is a pl a n n ed a p p ro a ch to managing
su p p l i e rs, l ea d su p p l i e rs a n d a n y o th e r p a rti e s co n tri b u ti n g to th e se rvi ce .
Pa rt 1 , Cl a u s e 4. 2 co ve rs th e va l i d a ti o n of a s u p p l i e r’s p ro ce ss , p ro ce d u re s
and d o cu m e n ta ti o n fo r a l l p ro ce s se s, i n cl u d i n g co n fi g u ra ti o n

Configuration management planning
Financial asset management

F i n a n ci a l a sse t m a n a g e m e n t fa l l s o u ts i d e th e s co p e o f th e 2 0 0 0 0 se ri e s,
a l th o u g h i t i s re co m m e n d e d th a t th e se rvi ce p ro vi d e r sh o u l d d e fi n e th e
i n te rfa ce b e twe e n co n fi g u ra ti o n m a n a g em en t a n d fi n a n ci a l a sse t
Key point
I t i s u se fu l to map th e typ e s o f CI u se d b y co n fi g u ra ti o n
m a n a g e m e n t to th e a sse t typ e s u se d in fi n a n ci a l m a n a g e m e n t.
Th i s h e l p s to align and i n te g ra te th e two p ro ce sse s . N ot a l l CI s
a re fi n a n ci a l a ss e ts b u t a l l a sse ts wi l l be CI s o r co m p o se d o f CI s.
F o r e xa m p l e , a p ro ce ss i s a se rvi ce a ss e t, bu t i s n ot a fi n a n ci a l
a ss e t.
Configuration management planning

Th e co n fi g u ra ti o n m a n a g em en t pl a n i s p a rt o f th e se rvi ce p ro vi d e r’s
o ve ra l l se rvi ce m a n a g em en t pl a n , d e scri b e d in Ch a p te r 4. Th e re sh o u l d be
a cu rre n t co n fi g u ra ti o n m a n a g em en t pl a n fo r th e m a n a g em en t of a l l CI s.
Th e pl a n m a y cro s s-re fe r to o th e r d o cu m e n ts, e. g . co n fi g u ra ti o n
m a n a g e m e n t p ro ce s s a n d p ro ce d u re s .
An a u d i to r ca n re vi e w th e pl a n a s th e fi rs t ste p in a u d i ti n g ch a n g e and
co n fi g u ra ti o n m a n a g e m e n t. Th i s ca n i n vo l ve ch e cks to e n su re th a t th e
two p ro ce sse s a re i n te g ra te d .
Typ i ca l ro l e s i n vo l ve d in co n fi g u ra ti o n m a n a g e m e n t a re :
• m a n a g e r re sp o n s i b l e fo r th e q u a l i ty o f th e p ro ce ss (o fte n th e ‘ p ro ce ss
o wn e r’ ) ;
• CI o wn e r/cu sto d i a n , e. g . fo r a se rvi ce , fo r l o ca l a s se ts;
• co n fi g u ra ti o n m a n a g e m e n t a rch i te ct/d e s i g n e r;
• co n fi g u ra ti o n a n a l yst;
• co n fi g u ra ti o n a d m i n i stra to r/co n fi g u ra ti o n l i b ra ri a n .
G e n e ri c ro l e s a re a l so u se d a s we l l , e. g . d e ve l o p e r, i m p l e m e n te r. E a ch ro l e
i s l i n ke d to a se t o f a cti vi ti e s a n d u su a l l y to a sta g e in th e l i fe cycl e o f CI s.

Con fi g u ra ti on i d en ti fi ca ti on
Co n fi g u ra ti o n i d e n ti fi ca ti o n e n su re s th a t th e re is a co m m o n set of
co n fi g u ra ti o n i n fo rm a ti o n a s th e b a s i s fo r m a n a g i n g , o p e ra ti n g and
su p p o rti n g th e s e rvi ce s . Th e d e fi n i ti o n o f CI s a n d e a ch CI ’s co m p o n e n ts
m a y be d o cu m e n te d in a p o l i cy. CI s a re u su a l l y cl a s si fi e d b y typ e and e a ch
typ e i s l i n ke d to a sta n d a rd l i fe cycl e , a s sh o wn in Ta b l e 1 6.
Ta bl e 1 6 – E xa m pl es of CI l i fecycl es by CI type
CI types E xa m pl e l i fecycl es for CI types
S e rvi ce Acce p t- Pi l o t I n - se rvi ce Re ti re d
a n ce te st
H a rd - O rd e re d Co m m i s- Li ve In sto re Re ti re d
wa re si o n e d
D o cu - D ra ft Ap p ro ve d I ssu e d S u p e r-
m en t se d e d
I d en ti fyi n g , con trol l i n g a n d tra cki n g CI s
Th e se l e cti o n , d e fi n i ti o n and g ro u p i n g o f CI s a i m s to g e t th e b e s t b a l a n ce
b e twe e n th e i n fo rm a ti o n n e e d s o f th e SM S as a wh o l e and th e co st o f
ke e p i n g th e i n fo rm a ti o n a ccu ra te and cu rre n t. I f th e s e l e cti o n o f CI s a n d
th e wa y th e y a re re l a te d and g ro u p e d i s to o co m p l e x, to o si m p l e or
i l l o g i ca l , th e i n fo rm a ti o n wi l l be d i ffi cu l t to u se and n ot be e ffe cti ve . A
p ro ce ss b a s e d on a b a d l y d e si g n e d se t o f CI s i s u n l i ke l y to m e e t th e
re q u i re m e n ts o f Pa rt 1 .
Key poi n t
M a n y m a n a g e rs re s p o n si b l e fo r co n fi g u ra ti o n m a n a g em en t
d e fi n e th e s e rvi ce s a n d se rvi ce co m p o n e n ts a s l o g i ca l l y re l a te d
g ro u p s o f CI s. Th i s h e l p s to d e fi n e th e o wn e rsh i p h i e ra rch y o f
CI s.
Pa rt 1 re q u i re s th e se rvi ce p ro vi d e r to d e fi n e wh a t i n fo rm a ti o n i s to be
re co rd e d fo r e a ch typ e o f CI . Th i s typ i ca l l y i n cl u d e s th e fo l l o wi n g
a ttri b u te s:
• unique i d e n ti fi e r;
• CI typ e ;
• d e scri p ti o n o f th e CI ;

Configuration identification
• o wn e r/cu sto d i a n , e. g . se rvi ce o wn e r, CI o wn e r;
• sta tu s ;
• ve rsi o n , e. g . fi l e , bu i l d , b a se l i n e , re l e a se ;
• l o ca ti o n ;
• su p p l i e r/so u rce ;
• re l a ti o n sh i p (s ) b e twe e n th e CI and o th e r CI s;
• a sso ci a te d re q u e sts fo r ch a n g e ;
• a sso ci a te d p ro b l e m s a n d kn o wn e rro rs;
• re l a te d d o cu m e n t m a ste rs;
• re l a te d so ftwa re m a s te rs;
• a u d i t tra i l .
I t i s re co m m e n d e d th a t th e a ttri b u te s th a t d e scri b e th e sp e ci fi c fu n cti o n a l
and p h ysi ca l ch a ra cte ri sti cs o f e a ch typ e o f CI a re d e fi n e d , e. g . si z e ,
ca p a ci ty.
Relationships
CI s u se d b y th e SM S b u t wh i ch a re o u tsi d e th e co n tro l o f th e s e rvi ce
p ro vi d e r a re u su a l l y i d e n ti fi e d b y i n fo rm a ti o n s u ch a s ‘X i s u sed b y Y’ . It
i s a d vi sa b l e fo r i n fo rm a ti o n h el d on th i s typ e o f CI to m a ke i t e a s y to
i d e n ti fy wh o d o e s co n tro l th e s e CI s.
Co n fi g u ra ti o n m a n a g em en t a l so d e fi n e s th e d o cu m e n ta ti o n fo r CI s,
p ro vi d i n g i n fo rm a ti o n fo r o th e r p ro ce sse s. F o r e xa m p l e , i m p a ct a n a l ysi s
and ro o t ca u s e a n a l ysi s o f p ro b l e m s b y p ro b l e m m a n a g e m e n t.
Typ i ca l re l a ti o n s h i p s u se d in th e i d e n ti fi ca ti o n o f CI s a re :
• p a re n t;
• ch i l d /co m p ri se s;
• u se d /u s e d b y;
• made o f;
• co n n e cte d to ;
• i n sta l l e d in;
• i m p a cts/i m p a cte d b y;
• re q u e st fo r ch a n g e – a ffe cte d CI /ve rsi o n ;
• re q u e st fo r ch a n g e – i m p l e m e n te d CI /ve rs i o n ;
• kn o wn e rro r – CI /ve rs i o n th a t ca u se d a p ro b l e m .
E xa m p l e s i n cl u d e a PC th a t i s th e p a re n t CI and o th e r CI s a re co m p o n e n ts
o f th e PC. Th e co m p o n e n ts wi l l be sh o wn in th e n e xt l e ve l o f th e
h i e ra rch y. S e rvi ce p ro vi d e rs sh o u l d be a wa re th a t m a i n ta i n i n g d e ta i l s o f
to o m a n y re l a ti o n sh i p s wi l l i n cu r co sts wi th o u t b ri n g i n g a d d i ti o n a l
b e n e fi ts fo r co n tro l .

D efi n i n g con fi g u ra ti on d ocu m en ta ti on
Th e ch a ra cte ri sti cs o f a CI ca n be d o cu m e n te d . F o r e xa m p l e , a se rvi ce
re q u i re m e n ts sp e ci fi ca ti o n and an S LA fo r a se rvi ce ca n d e scri b e th e
ch a ra cte ri sti cs o f a CI o f typ e ’ se rvi ce ’ . M a n y o rg a n i z a ti o n s sp e ci fy
m a n d a to ry a n d o p ti o n a l d o cu m e n ts th a t d e scri b e a CI . E xa m p l e s a re
sh o wn in Ta b l e 1 7.
Ta bl e 1 7 – Types of CI a n d exa m pl es of rel a ted d ocu m en ta ti on
CI type E xa m pl es of rel a ted i n form a ti on for a CI
Cu sto m e r co n tra ct S e rvi ce re q u i re m e n ts sp e ci fi ca ti o n
S LA
I T s e rvi ce S e rvi ce sp e ci fi ca ti o n
S LA
I n te rfa ce d e fi n i ti o n
Co n ta ct l i st
E xte rn a l s u p p l i e rs Co n tra ct
se rvi ce S LA (co n tra ct sch e d u l e )
S u p p l i e r’s se rvi ce m a n a g em en t pl a n
Pro ce ss i n te rfa ce d e fi n i ti o n
Co n ta ct l i st
S h a re d d a ta e n vi ro n m e n t
Ap p l i ca ti o n Re l e a se p o l i cy
Re q u i re m e n ts sp e ci fi ca ti o n
D esi g n sp e ci fi ca ti o n
Re l e a se a cce p ta n ce te st p l a n
Te ch n i ca l e n vi ro n m e n t s p e ci fi ca ti o n
Re l e a se a cce p ta n ce te st re p o rt
Re l e a se d o cu m e n ta ti o n
Re l e a se so ftwa re
‘ Re l e a se to p ro d u cti o n ’ b a se l i n e
Li ce n ce m a ste r d o cu m e n ta ti o n
Ap p l i ca ti o n Ap p l i ca ti o n l i ce n ce
i n sta l l a ti o n Ap p l i ca ti o n i n sta l l a ti o n re co rd
Au d i ta bl e m a rki n g s
I t i s re co m m e n d e d th a t co n fi g u ra ti o n i n fo rm a ti o n sh ou l d i n cl u d e
a u d i ta b l e m a rki n g s o r o th e r m e th o d s o f i d e n ti fi ca ti o n fo r CI s. Th i s
i d e n ti fi e r i s th e n re co rd e d in th e CM D B . F o r e a ch typ e o f CI an a u d i to r
ca n se e k e vi d e n ce o f:
• naming co n ve n ti o n s;
• d a ta d e fi n i ti o n s;
• th e wa y th e p h ysi ca l o r e l e ctro n i c co m p o n e n t i s l a b e l l e d ;

The role of the CMDB
• p h ysi ca l l o ca ti o n o f th e CI .
I t i s i m p o rta n t to i d e n ti fy th e i n fo rm a ti o n to be re co rd e d a t e a ch sta te in
a CI ’s l i fe cycl e . O fte n co n fi g u ra ti o n i n fo rm a ti o n i s u p d a te d wh e n a CI is
m o ve d to th e n e xt s ta te . Th e co rre ct l e ve l o f co n fi g u ra ti o n i n fo rm a ti o n
d e ta i l i s i m p o rta n t fo r co n fi g u ra ti o n m a n a g e m e n t to be e ffe cti ve . I f th e
i n fo rm a ti o n i s to o d e ta i l e d th e n re so u rce s wi l l be wa ste d in m a i n ta i n i n g
u n n e ce ssa ry i n fo rm a ti o n .
I f th e l e ve l o f d e ta i l i s n o t su ffi ci e n t th e re wi l l be a l a ck o f co n tro l and a
l a ck o f th e vi s i b i l i ty re q u i re d fo r e ffe cti ve se rvi ce m a n a g e m e n t.
Configuration baselines
Pa rt 1 re q u i re s a ba sel i n e o f CI s to be ta ke n b e fo re a re l e a se o f CI s i s
d e p l o ye d i n to th e l i ve e n vi ro n m e n t. Th e b a se l i n e sh o u l d be u se fu l fo r
ve ri fi ca ti o n a u d i ts o f CI s, e. g . if a co n fi g u ra ti o n ba sel i n e o f th e s o ftwa re
a l re a d y i n s ta l l e d i s re co rd e d b e fo re n e w s o ftwa re i s re l e a s e d , th i s ca n a ct
a s th e b a si s fo r co m p a ri s o n o f th e co n fi g u ra ti o n b e fo re and a fte r th e
re l e a se . Th i s co n fi g u ra ti o n b a se l i n e a l so en a bl es a ch a n g e o r re l e a s e to
be re ve rse d co rre ctl y o r a se rvi ce to be re co ve re d in th e e ve n t o f a
d i sa ste r.
The role of the CMDB

Pa rt 1 i n cl u d e s a re q u i re m e n t th a t e ve ry CI ca n be i d e n ti fi e d and th a t i ts
d e ta i l s a re re co rd e d in a d a ta b a se , co m m o n l y re fe rre d to a s th e
co n fi g u ra ti o n m a n a g e m e n t d a ta b a se (CM D B ) . In sm a l l e r o rg a n i z a ti o n s, a
s e t o f s p re a d s h e e ts m i g h t b e all th a t i s re q u i re d fo r a ‘ fi t fo r p u rp o se ’
CM D B . H o we ve r, e ve n i f sp re a d sh e e ts a re a d e q u a te i t i s n o t a cce p ta b l e
fo r th e re to be d u p l i ca te d o r co n fl i cti n g d a ta in d i ffe re n t s p re a d sh e e ts .
Key point
F i n a n ci a l a s se t m a n a g e m e n t m i g h t o n l y n e e d to kn o w h o w
m a n y o f e a ch typ e o f i te m th e re a re fo r a cco u n ti n g p u rp o s e s.
S e rvi ce m a n a g e m e n t a l so n e e d s to kn o w wh e re th e y a re , h ow
th e y fi t i n wi th e ve ryth i n g el se, wh a t ch a n g e s h a ve been made
to th e m and wh a t ch a n g e s a re pl a n n ed .

At th e o rg a n i z a ti o n l e ve l , th e d a ta fo r CI s u se d a cro ss th e o rg a n i z a ti o n
wi l l o fte n be m a i n ta i n e d in a p ri m a ry d a ta b a s e . Th i s m a y b e
su p p l e m e n te d b y l i n ke d d a ta b a se s th a t h o l d th e d e ta i l s fo r sp e ci fi c typ e s
o f CI s, e. g . so ftwa re , d e s kto p a n d /o r n e two rk. Wh e re d a ta b a se s a re
l i n ke d , a po rta l sh o u l d be p ro vi d e d fo r s ta ff to e a si l y fi n d th e
co n fi g u ra ti o n i n fo rm a ti o n and ca rry o u t u p d a te s.
F i g u re 1 0 sh o ws a n e xa m p l e of a p ri m a ry CM D B and re l a te d d a ta b a se s .
Th e p ri m a ry CM D B h a s th e m a ste r re co rd s fo r se rvi ce s, se rvi ce
co m p o n e n ts a n d h i g h -l e ve l CI s a n d l i n ks to th e l o we r l e ve l d a ta b a se s.
Re co rd s for d e fi n i ti ve co p i e s o f th e se rvi ce and se rvi ce m a n a g em en t
d o cu m e n ta ti o n a re in th e se rvi ce m a n a g e m e n t p ri m a ry d a ta b a se . Th e se
h a ve h yp e rl i n ks to th e o rg a n i z a ti o n ’s d o cu m e n t m a n a g e m e n t s yste m .
Au to m a ti c u p d a te s a re re ce i ve d fro m th e human re so u rce , fi n a n ce and
p ro cu re m e n t a n d d e ve l o p m e n t co n fi g u ra ti o n m a n a g e m e n t s yste m s .
Figure 1 0 – Example CM DB
Th e p o rta l to th e co n fi g u ra ti o n m a n a g e m e n t s yste m wo u l d p ro vi d e
d i ffe re n t vi e ws o f i n fo rm a ti o n in th e CM D B fo r p e o p l e to p e rfo rm
d i ffe re n t se rvi ce m a n a g e m e n t a cti vi ti e s. F o r e xa m p l e , S LM wo u l d u se a
re p o rt o f th e s e rvi ce ca ta l o g u e , ch a n g e m a n a g e m e n t wo u l d u se i m p a ct
a ss e ssm e n t re p o rts a n d sta tu s re p o rts o f ch a n g e s.

Access controls
M a i n ta i n i n g a ccu ra te d a ta and i n fo rm a ti o n th a t i s e a sy to u se is
i m p o rta n t fo r e ffe cti ve co n tro l . An a u d i to r wo u l d n o rm a l l y i n te rp re t
i n a ccu ra te o r co n fl i cti n g d a ta a s e vi d e n ce th a t th e co n fi g u ra ti o n
m a n a g e m e n t p ro ce ss i s i n e ffe cti ve .
Physical and electronic libraries

Pa rt 1 re q u i re s th a t m a ste r co p i e s o f CI s , s u ch a s so ftwa re and
d o cu m e n ta ti o n , wh i ch a re u su a l l y re fe rre d to a s d i g i ta l CI s, a re co n tro l l e d
in se cu re p h ysi ca l o r e l e ctro n i c l i b ra ri e s. Re fe re n ce s to th e l i b ra ri e s a re
i n cl u d e d in th e CM D B .
E l e ctro n i c l i b ra ri e s i n cl u d e b o th s o ftwa re l i b ra ri e s a n d d o cu m e n t l i b ra ri e s.
Ph ysi ca l l i b ra ri e s i n cl u d e h a rd co p y s to ra g e su ch a s fi re p ro o f sa fe s o r
fi l i n g ca b i n e ts.
Al th o u g h p h ys i ca l l y s e p a ra te fro m th e re s t o f th e CM D B , th e se e l e ctro n i c
and p h ysi ca l l i b ra ri e s fo rm p a rt o f a si n g l e l o g i ca l re p o s i to ry o f
co n fi g u ra ti o n i n fo rm a ti o n . I t i s i m p o rta n t th a t s ta ff ca n q u i ckl y l o ca te th e
d e fi n i ti ve ve rs i o n s o f s o ftwa re and d o cu m e n ta ti o n fo r u se in se rvi ce
Th e CM D B re co rd s re fe re n ce s to th e d e fi n i ti ve ve rsi o n o f th e d o cu m e n t
o r so ftwa re o b j e ct i n th e re l e va n t l i b ra ry. A ‘ d o cu m e n t l i b ra ry’ m a y be a
cu p b o a rd th a t co n ta i n s h a rd co p y ve rsi o n s o f m a s te r d o cu m e n ts s u ch as
co n tra cts a n d so ftwa re l i ce n ce s.
Access controls
M a n y o f th e se rvi ce p ro vi d e r’s sta ff re q u i re a cce ss to th e CM D B fo r th e i r
ro l e in se rvi ce m a n a g e m e n t. Th i s i n fo rm a ti o n sh o u l d be p ro te cte d d u ri n g
a cce s s, e. g . fro m u n a u th o ri z e d cre a ti o n o f CI s o r u n a u th o ri z e d ch a n g e s to
CI s. O th e r co n tro l s ca n be re q u i re d , su ch a s p re ve n ti n g a cce ss to p e rso n a l
i n fo rm a ti o n u sed to u p d a te th e CM D B . Acce ss co n tro l s va ry d e p e n d i n g
on th e typ e o f a cti vi ty, e. g . cre a ti n g , ch a n g i n g o r re m o vi n g a CI . For
e xa m p l e , sta ff ca n be g i ve n th e co rre ct l e ve l o f a cce ss to th e CM D B by
co n tro l o f th e h a rd wa re , so ftwa re , m ed i a and d o cu m e n ta ti o n .
An a u d i to r wi l l n o t se e k e vi d e n ce of a sp e ci fi c m e th o d o f a cce ss co n tro l
b u t wi l l e xp e ct to se e th a t th e co n tro l s a re a p p ro p ri a te and th a t th e re
a re no l ooph ol es, su ch a s sta ff th a t h a ve ch a n g e d ro l e s re ta i n i n g th e i r
o ri g i n a l a cce ss ri g h ts.

Key point
I t i s b e st p ra cti ce to sta n d a rd i z e and d e fi n e th e ro l e s th a t a re
re sp o n s i b l e fo r u p d a ti n g i n fo rm a ti o n a t e a ch sta g e of a CI ’s
l i fe cycl e and fo r ch a n g e re co rd s. M a n y co n fi g u ra ti o n
m a n a g e m e n t to o l s u s e th i s m e ch a n i sm to e n su re th a t o n l y
a p p ro p ri a te sta ff ca n u p d a te th e i n fo rm a ti o n a t ce rta i n p o i n ts
in th e p ro ce s s.
Ch e cki n g i n fo rm a ti o n to i d e n ti fy a n d th e n co rre ct e rro rs i n th e CM D B is
d e scri b e d in m o re d e ta i l in th e se cti o n s o n ‘ Co n fi g u ra ti o n co n tro l ’ and
‘ S ta tu s a cco u n ti n g ’ .
Controlled hardware
Al th o u g h n o t s p e ci fi ca l l y re q u i re d b y Pa rt 1 , i t i s u su a l l y a d vi s a b l e fo r
h a rd wa re CI s to be h el d in co n tro l l e d s to ra g e a re a s. S o m e ti m e s th e s e a re
ca l l e d th e d e fi n i ti ve h a rd wa re s to re . Th e y a re typ i ca l l y u se d fo r:
• h a rd wa re to be p ro te cte d fro m damage o r ta m p e ri n g ;
• PCs re q u i re d fo r co n tro l l e d bu i l d s;
• i m p o rta n t sp a re s th a t ca n be n eed ed a t s h o rt n o ti ce , e. g .
b u s i n e ss- cri ti ca l se rve r.
Configuration control
It is a re q u i re m e n t o f Pa rt 1 th a t th e i n te g ri ty o f s yste m s, s e rvi ce s a n d
se rvi ce co m p o n e n ts i s m a i n ta i n e d b y p ro ce d u re s co n tro l l i n g CI s.
Co n fi g u ra ti o n co n tro l e n a b l e s th i s b y e n su ri n g an a u th o ri z e d p e rso n
u p d a te s th e i n fo rm a ti o n in th e CM D B a s ch a n g e s a re made to CI s, e. g .
ch a n g e s i n th e sta tu s, l o ca ti o n , o wn e rs h i p and ve rsi o n .
S ta ff n e e d to be cl e a r o n e xa ctl y wh a t co n tro l p ro ce d u re to a ppl y i n
p a rti cu l a r ci rcu m s ta n ce s . F o r e xa m p l e , th e re ca n be d i ffe re n t i n s ta l l a ti o n
p ro ce d u re s fo r d i ffe re n t co m p u ti n g p l a tfo rm s a n d s ta ff n e e d to se l e ct th e
ri g h t p ro ce d u re to fo l l o w.
O n l y a u th o ri z e d CI s sh o u l d be a cce p te d and re co rd e d fro m re ce i p t to
d i sp o sa l .

Status accounting
Automation
CM D B , ve rs i o n m a n a g e m e n t o r l i b ra ry m a n a g e m e n t so ftwa re is
co m m o n l y u se d to p ro d u ce a u d i t tra i l s o f d o cu m e n t a n d so ftwa re
ch a n g e s.
M a n y s e rvi ce p ro vi d e rs u s e a co n fi g u ra ti o n m a n a g e m e n t syste m th a t
p ro vi d e s fu n cti o n s to :
• m a n u a l l y u p d a te d a ta , typ i ca l l y wi th va l i d a ti o n o f i n p u t d a ta ;
• a u to m a ti ca l l y u p d a te d a ta , e. g . b a se l i n e th e CI s i n a re l e a s e ;
• a u to m a ti ca l l y u p d a te d a ta fro m e xte rn a l to o l s .
O th e r to o l s th a t a re co m m o n l y u se d to a u to m a te th e co n fi g u ra ti o n
m a n a g e m e n t a re :
• bu i l d to o l s;
• b a se l i n e and co m p a ri so n to o l s;
• i n sta l l a ti o n and d e -i n sta l l a ti o n to o l s;
• d i sco ve ry a n d a u d i t to o l s;
• d e te cti o n o f n o n co n fo rm i ti e s a n d re co ve ry to o l s.
I t i s u su a l l y a d vi sa b l e th a t th e se to o l s a n d co n fi g u ra ti o n co n tro l
p ro ce d u re s a u to m a te u p d a te s to CI re co rd s/CM D B wh e re ve r p o ss i b l e . Th i s
g e n e ra l l y i n cre a se s th e a ccu ra cy. F o r e xa m p l e , wh e n a d e skto p re l e a s e is
made to 2 5 , 000 u s e rs, if a d e skto p d i s tri b u ti o n to o l i s u se d i t sh ou l d
a u to m a ti ca l l y u p d a te th e CM D B wh e n i n sta l l a ti o n on e a ch u se r’s d e skto p
h a s been co m p l e te d sa ti sfa cto ri l y.
Status accounting
S ta tu s a cco u n ti n g o f CI s p ro vi d e s th e a u d i t tra i l o f ch a n g e s to a CI as it
p ro g re ss e s th ro u g h i ts l i fe cycl e , e. g . o rd e re d , in sto ck, l i ve , d i sp o s e d . It
a l so e n su re s th a t th e s ta tu s o f CI s i s vi si b l e to all th o se th a t n e e d th e
i n fo rm a ti o n and i s re q u i re d b y Pa rt 1 .
Th e i n fo rm a ti o n fo r sta tu s a cco u n ti n g i n cl u d e s i n fo rm a ti o n a bou t a n y
u n i q u e l y i d e n ti fi a b l e CI th ro u g h o u t th e l i fe cycl e o f th a t CI . I t i n cl u d e s th e
ca p tu re , sto ra g e , re tri e va l and a cce ss o f i n fo rm a ti o n n e ce ssa ry to a cco u n t
fo r th e co n fi g u ra ti o n of a s e rvi ce , th e i n fra stru ctu re o r co n sti tu e n t CI s.
Th e i n fo rm a ti o n i s ca p tu re d in th e CM D B . An a u d i t tra i l i s e s ta b l i sh e d
wh e n a CI i s fi rs t ch a n g e d and th e a u d i t tra i l i s th e n u p d a te d a fte r e a ch
s u b se q u e n t ch a n g e .
Co n fi g u ra ti o n m a n a g e m e n t p ro vi d e s i n fo rm a ti o n to th e s ta tu s
a cco u n ti n g a cti vi ty. I t a l so i n cl u d e s b a se l i n e s su ch a s:
• ‘ a s-s p e ci fi e d ’ co n fi g u ra ti o n ;

• ‘ a s -d e si g n e d ’ co n fi g u ra ti o n ;
• ‘ a s -re l e a s e d ’ co n fi g u ra ti o n ;
• ‘ a s -i n sta l l e d ’ co n fi g u ra ti o n .
I t i s re co m m e n d e d th a t th e se rvi ce p ro vi d e r sh o u l d be a bl e to co l l a te th e
sta tu s o f CI s th a t to g e th e r co n s ti tu te a:
• se rvi ce , co n fi g u ra ti o n o r syste m ;
• ch a n g e , b a se l i n e , bu i l d o r re l e a se ;
• ve rsi o n o r va ri a n t o f a CI .
To a ch i e ve th i s i t i s so m e ti m e s n e ce ss a ry to ba sel i n e th e CI s a n d p l a ce th e
b a se l i n e re p o rt u n d e r th e co n tro l o f th e co n fi g u ra ti o n m a n a g em en t
p ro ce ss.
S ta tu s a cco u n ti n g i n fo rm a ti o n d e m o n s tra te s th a t th e se rvi ce p ro vi d e r i s
in co n tro l o f i ts CI s b y p ro vi d i n g e vi d e n ce su ch a s:
• CI s a re tra ce a b l e ;
• CI s a re a u d i ta b l e b y co n fi g u ra ti o n m a n a g e m e n t;
• i n fo rm a ti o n on CI s i s a va i l a b l e to ch a n g e m a n a g e m e n t;
• a b a se l i n e o f CI d a ta wa s ca p tu re d b e fo re th e d e p l o ym e n t o f a
re l e a s e .
I n form a ti on for oth er processes
Key poi n t
Co n fi g u ra ti o n m a n a g e m e n t re p o rts p l a y a n i m p o rta n t ro l e in
th e se rvi ce p ro vi d e r’s p l a n n i n g , d e ci s i o n -m a ki n g and s u p p o rt
a cti vi ti e s b y th e se rvi ce p ro vi d e r. F o r e xa m p l e , th e i n fo rm a ti o n
in th e re p o rts i s u se d b y p e rso n n e l , cu sto m e rs, p ro j e cts a n d
su p p l i e rs .
An a u d i to r ca n a sk fo r d e ta i l s o f th e wa y i n fo rm a ti o n on re p o rts fro m
co n fi g u ra ti o n m a n a g e m e n t i s u se d b y o th e r se rvi ce m a n a g em en t
p ro ce sse s.
Re p o rts th a t p ro vi d e e vi d e n ce o f th e i n te g ra ti o n o f co n fi g u ra ti o n
m a n a g e m e n t wi th o th e r p ro ce sse s i n cl u d e :
• th e l a te s t sta tu s o f CI s wi th re l a te d d o cu m e n ta ti o n and ve rs i o n
h i sto ry;
• a l i st a n d sta tu s o f CI s a ffe cte d by a ch a n g e ;

Configuration audit
• a l i st a n d sta tu s o f p ro b l e m re p o rts a n d kn o wn e rro rs re l a te d to th e
a ffe cte d CI s;
• th e n u m b e r o f ch a n g e s fo r e a ch se rvi ce , e n vi ro n m e n t o r CI typ e ;
• an a u d i t tra i l o f ch a n g e s m a d e to a CI , e. g . ch a n g e s i n th e sta tu s ,
l o ca ti o n , o wn e r;
• a l i st o f CI s a t a p h ys i ca l l o ca ti o n o r b u si n e ss u n i t, e. g . in p re p a ra ti o n
fo r a n a u d i t;
• a l i st o f s o ftwa re ve rsi o n s i n th e m a ste r so ftwa re l i b ra ry, ve rsi o n s a n d
sta tu s ;
• a b a se l i n e o f th e a p p ro p ri a te CI s b e fo re a re l e a se to th e l i ve
e n vi ro n m e n t;
• a b a se l i n e co m p a ri so n re p o rt, e. g . a cce p ta n ce te st a n d p ro d u cti o n ;
• a re l e a se co m p a ri so n re p o rt, e. g . Ap p l i ca ti o n X re l e a se 2.1 and 2. 2.
Th e se rvi ce re p o rti n g re q u i re m e n ts o f Pa rt 1 , Cl a u se 6. 2 a l so a p p l y to th e
re p o rts th a t a re p ro d u ce d b y th e co n fi g u ra ti o n m a n a g e m e n t p ro ce ss.
Configuration audit
Co n fi g u ra ti o n ve ri fi ca ti o n and a u d i t a cti vi ti e s a re u se d to re vi e w CI s to
ch e ck th a t th e a ctu a l CI s m a tch th e CI s d o cu m e n te d . An o b j e cti ve of a
co n fi g u ra ti o n a u d i t i s to e n su re th a t so ftwa re and i n te l l e ctu a l p ro p e rty
u se d b y th e o rg a n i z a ti o n i s p ro p e rl y l i ce n se d and u se d in a cco rd a n ce wi th
th e te rm s a n d co n d i ti o n s a g re e d wi th th e su p p l i e r.
Th e ve ri fi ca ti o n and a u d i t a cti vi ti e s a l so ch e ck:
• th a t CI s m e e t th e i r re q u i re d a ttri b u te s a n d co n fo rm to th e i r
s p e ci fi ca ti o n ;
• th a t p h ys i ca l co n fi g u ra ti o n s a re p ro te cte d and h a ve n ot been
co rru p te d ;
• th a t p h ys i ca l co n fi g u ra ti o n s m a tch th e d e ta i l s re co rd e d in th e CM D B ;
• th a t th e i n te l l e ctu a l ca p i ta l o f th e o rg a n i z a ti o n i s p ro te cte d ;
• th e co m p l e te n e ss a n d co rre ctn e ss o f th e CM D B a g a i n st th e a ctu a l ;
• th e co m p l e te n e ss o f ch a n g e d CI s;
• th e re h a ve been no u n a u th o ri z e d ch a n g e s.
M a n y s e rvi ce p ro vi d e rs p e rfo rm a u d i ts o n sa m p l e s o f CI s. Th i s i s a
co st-e ffe cti ve a p p ro a ch th a t wi l l be a cce p ta b l e fo r a Pa rt 1 a u d i t i f th e
s e rvi ce p ro vi d e r ca n d e m o n stra te th a t th e sa m p l e i s sta ti sti ca l l y so u n d
and i s th e re fo re re p re se n ta ti ve of a l l th e CI s th a t a re th e s u b j e ct o f th e
a u d i t. N o n co n fo rm i ti e s sh o u l d be re co rd e d and a ss e sse d wi th i n pu t
p ro vi d e d to a pl a n fo r i m p ro vi n g th e se rvi ce .

Configuration audit scheduling

Th e co n fi g u ra ti o n m a n a g e m e n t p ro ce ss o wn e r i s re sp o n s i b l e fo r e n su ri n g
th a t co n fi g u ra ti o n a u d i t a cti vi ti e s a re sch e d u l e d .
An a u d i t pl a n a n d /o r sch e d u l e i s u su a l l y d o cu m e n te d in, o r re fe re n ce d
fro m , th e o ve ra l l co n fi g u ra ti o n m a n a g em en t pl a n . Au d i ts a re typ i ca l l y
ca rri e d o u t to an a g re e d ti m e ta b l e , e. g . b e fo re and a fte r m a j o r ch a n g e
and b y sa m p l i n g a t ra n d o m i n te rva l s.
S ch e d u l i n g o f b o th p h ysi ca l and fu n cti o n a l a u d i ts i s re co m m e n d e d . O fte n
b o th typ e s o f a u d i t a re d on e a t th e sa m e ti m e , e. g . b e fo re an a p p l i ca ti o n
re l e a se .
An e xa m p l e o f th e typ e s o f co n fi g u ra ti o n a u d i ts fo r so ftwa re a sse ts i s
sh o wn in Ta b l e 1 8. In th i s e xa m p l e , th e sch e d u l e o f co n fi g u ra ti o n a u d i ts
a i m s to e n s u re th a t co m m e rci a l so ftwa re a s se ts a n d th e a sso ci a te d
l i ce n ce s a re a ccu ra te . A ro l l i n g a u d i t i s sch e d u l e d fo r th re e l o ca ti o n s th a t
a re g i ve n th e a b b re vi a ti o n s L1 , L2 and L3 , a cro ss e a ch q u a rte r o f th e ye a r,
i . e. Q1 , Q2, Q3 and Q 4.
Table 1 8 – Extract from a configuration audit schedule
Audit and Configuration audit activity Q1 Q2 Q3 Q4

frequency
S o ftwa re Re co n ci l i a ti o n b e twe e n L1 L1 L1 L1
a s se t wh a t i s i n sta l l e d on e a ch L2 L2 L2 L2
ve ri fi ca ti o n – p l a tfo rm and wh a t wa s L3 L3 L3 L3
Q u a rte rl y a u th o ri z e d fo r i n sta l l a ti o n ,
i n cl u d i n g e xce p ti o n s
i d e n ti fi e d
S o ftwa re Re co n ci l i a ti o n b e twe e n L1 L1 L1 L1
l i ce n si n g l i ce n ce s o wn e d and L2 L2 L2 L2
co m p l i a n ce – re q u i re d fo r so ftwa re u se d . L3 L3 L3 L3
Q u a rte rl y Th e b a si s fo r a n d
ca l cu l a ti o n s o f e ffe cti ve
l i ce n ce s
S o ftwa re Ve ri fi ca ti o n o f th e L1 L3 L1 L3
a s se t i n ve n to ry o f so ftwa re L2 L2
ve ri fi ca ti o n – (o ri g i n a l s, d e fi n i ti ve m a ste r
6 m o n th l y ve rsi o n s, bu i l d s a n d
d i stri b u ti o n co p i e s )
H a rd wa re Ve ri fi ca ti o n o f th e L1 L3 L1 L3
and p l a tfo rm h a rd wa re and p l a tfo rm L2 L2
ve ri fi ca ti o n – i n ve n to ry i n cl u d i n g
6 m o n th l y l o ca ti o n s

Ch a p te r 1 6 Ch a n g e m a n a g em en t
I n trod u cti on
Th i s ch a p te r d e scri b e s th e fe a tu re s o f th e ch a n g e m a n a g e m e n t p ro ce ss
th a t e n su re ch a n g e s a re a s se sse d , a p p ro ve d , i m p l e m e n te d and re vi e we d
in a co n tro l l e d m a n n e r.
Th e Pa rt 1 re q u i re m e n ts fo r ch a n g e m a n a g e m e n t ca n be su m m a ri z e d a s:
• CI s to be co n tro l l e d u n d e r th i s p ro ce ss a re d e fi n e d in a p o l i cy;
• all re q u e s ts fo r ch a n g e s a re cl e a rl y d e fi n e d , re co rd e d and cl a ssi fi e d ;
• ch a n g e s a re a sse ss e d fo r th e i r ri sk, i m p a ct a n d b u s i n e ss b e n e fi t;
• ch a n g e s a re a u th o ri z e d , a p p ro ve d , ch e cke d ;
• ch a n g e s a re i m p l e m e n te d in a co n tro l l e d m a n n e r;
• ch a n g e s a re sch e d u l e d and co - o rd i n a te d ;
• e m e rg e n cy ch a n g e s a re m a n a g ed ;
• u n su cce ssfu l ch a n g e s ca n be re ve rse d o r re m e d i e d ;
• all ch a n g e s a re re vi e we d fo r s u cce ss a n d a n y a cti o n s ta ke n a fte r
i m p l e m e n ta ti o n ;
• ch a n g e re co rd s a re a n a l yse d fo r i n p u t to se rvi ce i m p ro ve m e n t
pl a n n i n g .
Wh a t i s effecti ve ch a n g e m a n a g em en t?
Ch a n g e m a n a g e m e n t o ve rse e s a n d co -o rd i n a te s th e i m p a ct a sse ssm e n t,
a p p ro va l , bu i l d , te s t a n d i m p l e m e n ta ti o n of a ch a n g e . Th e ch a ra cte ri s ti cs
o f e ffe cti ve ch a n g e m a n a g e m e n t a re :
• ch a n g e s h a ve a cl e a rl y d e fi n e d s co p e ;
• th e re is a va l u e in d e l i ve ri n g th e ch a n g e ;
• ch a n g e s a re d e l i ve re d su cce ssfu l l y, on ti m e and wi th i n b u d g e t;
• no u n a u th o ri z e d ch a n g e s ;
• ch a n g e s a re g ro u p e d and p a cka g e d fo r e ffi ci e n t i m p l e m e n ta ti o n ;
• ch a n g e s a re pl a n n ed – th e re a re fe w u n p l a n n e d and e m e rg e n cy
ch a n g e s;
• cl o se co -o rd i n a ti o n wi th cu sto m e rs , p ro j e cts, d e ve l o p m e n t a n d
s u p p l i e rs;
• ch a n g e s d o n o t ca u se p ro b l e m s;
• th e p ro ce s s i s e ffi ci e n t a n d so d o e s n o t ca u se u n n e ce ssa ry d e l a ys;
• s ta ff u n d e rsta n d th e p ro ce ss a n d ca n fo l l o w i t e a si l y;

Chapter 1 6 Change management
• o n l y re l e va n t p e o p l e a re i n vo l ve d a t e a ch sta g e o f ch a n g e ;
• cl e a r a u th o ri ti e s a n d re s p o n si b i l i ti e s e xi s t a t e a ch sta g e of m a n a g i n g
a ch a n g e .
E ffe cti ve ch a n g e m a n a g e m e n t i s re s p o n si ve to b u si n e s s n e e d s a n d
p ri o ri ti e s. Th i s ca n be a ch i e ve d b y h a vi n g a si n g l e ch a n g e m a n a g em en t
p ro ce ss co ve ri n g b u s i n e ss a n d I T ch a n g e s , a l th o u g h th i s i s n o t a l wa ys
p o ssi b l e wh e n th e cu sto m e rs a n d se rvi ce p ro vi d e r a re d i ffe re n t
o rg a n i z a ti o n s.
Ch a n g e and co n fi g u ra ti o n m a n a g e m e n t sh o u l d be i n te g ra te d so th a t
wh e n a ch a n g e i s p ro p o se d a ccu ra te i n fo rm a ti o n on co n fi g u ra ti o n s i s
a va i l a b l e . Th i s e n su re s th a t th e co rre ct CI s a n d ve rsi o n s a re d e p l o ye d i n to
th e co rre ct e n vi ro n m e n t. A re q u e st fo r ch a n g e sh ou l d i d e n ti fy th e CI (s)
th a t wi l l be a ffe cte d b y th e ch a n g e . As ch a n g e s a re i m p l e m e n te d th e
co n fi g u ra ti o n m a n a g e m e n t i n fo rm a ti o n i s u p d a te d .
Change management policy

Pa rt 1 , Cl a u s e 9. 2 re q u i re s a ch a n g e m a n a g e m e n t p o l i cy to be e sta b l i sh e d
th a t d e fi n e s:
• CI s th a t a re u n d e r th e co n tro l o f ch a n g e m a n a g e m e n t;
• cri te ri a to d e te rm i n e ch a n g e s wi th p o te n ti a l to h a ve a m a j o r i m p a ct
on se rvi ce s o r th e cu sto m e r i n cl u d i n g th e re m o va l o r tra n sfe r o f a
se rvi ce to a n o th e r p a rty.
Th e d e fi n i ti o n of a n e m e rg e n cy ch a n g e i s o fte n i n cl u d e d in th e ch a n g e
m a n a g e m e n t p o l i cy. M a n y se rvi ce p ro vi d e rs i n cl u d e a cl a u se in th e
ch a n g e m a n a g e m e n t p o l i cy th a t i n vo ke s d i sci p l i n a ry a cti o n if an
u n a u th o ri z e d , u n re co rd e d ch a n g e i s m a d e. M a n y s e rvi ce p ro vi d e rs
i n cl u d e th e re q u i re m e n t to u se a d o cu m e n te d p ro ce d u re to re co rd ,
cl a s si fy, a sse ss a n d a p p ro ve re q u e sts fo r ch a n g e .
M a n y se rvi ce p ro vi d e rs u se cl a ssi fi ca ti o n cri te ri a b a se d on th e p o te n ti a l
ri sk a n d i m p a ct to s e rvi ce . Th i s i s u se fu l fo r co n tro l l i n g sm a l l ch a n g e s th a t
m a y h a ve a high ri sk o f i m p a cti n g se rvi ce . Re q u e sts fo r ch a n g e cl a ss i fi e d
a s h a vi n g th e p o te n ti a l to h a ve a m a j o r i m p a ct o n th e se rvi ce s o r th e
cu sto m e r a re m a n a g ed u si n g th e d esi g n and tra n si ti o n o f th e n ew or
ch a n g e d s e rvi ce s p ro ce ss. Th e re q u i re m e n ts fo r th i s a re in Pa rt 1 ,
Cl a u se 5. Al l o th e r re q u e sts fo r ch a n g e to CI s d e fi n e d in th e ch a n g e
m a n a g e m e n t p o l i cy a re m a n a g ed u si n g ch a n g e m a n a g e m e n t. In p ra cti ce ,
th e se p ro ce ss e s wo rk to g e th e r a n d a se rvi ce p ro vi d e r sh o u l d d e fi n e wh e n
e a ch p ro ce ss sh o u l d be u se d in th e p o l i cy.
Som e re q u i re m e n ts i n Pa rt 1 , Cl a u s e 9. 2 d epen d on th e d e fi n i ti o n of a n
u n s u cce ssfu l ch a n g e . I t i s u se fu l fo r th e ch a n g e m a n a g e m e n t p o l i cy to
i n cl u d e a d e fi n i ti o n o f s u cce s sfu l o r u n su cce ssfu l ch a n g e . Som e s e rvi ce

Classifying different types of change
p ro vi d e rs u se a ca te g o ry o f ‘ p a rti a l l y su cce ssfu l ’ and th i s wo u l d n eed a
cl e a r d e fi n i ti o n . F o r e xa m p l e , a d e p l o ym e n t o r a so ftwa re re l e a se to 99%
ta rg e t u se rs ca n be co n si d e re d s u cce ssfu l i f th e re is a p ro ce d u re to
u p d a te th e re m a i n i n g 1 % o f u se rs .
Recording all changes

Re co rd i n g all ch a n g e s e n su re s th a t:
• th e re is a fu l l a u d i t tra i l o f ch a n g e s ;
• ch a n g e re co rd s ca n be a n a l yse d ;
• th e i m p a ct o f ch a n g e s p l a n n e d a t th e sa m e ti m e ca n be a sse ss e d ;
• re p o rti n g i s u se fu l and co n si ste n t;
• all th e co sts a sso ci a te d wi th ch a n g e s a re u n d e rsto o d , e. g . fo r e a ch
s e rvi ce .
An a u d i to r ca n a sk th e m a n a g e m e n t te a m a b o u t th e i r ro l e in p re ve n ti n g
u n a u th o ri z e d ch a n g e . E vi d e n ce th a t th e re i s m a n a g e m e n t co m m i tm e n t
to p re ve n ti n g u n a u th o ri z e d ch a n g e m a y be in th e fo rm o f re co rd s su ch
a s th o se on d i s ci p l i n a ry a cti o n ta ke n wh e n an u n a u th o ri z e d ch a n g e has
been m a d e.
Th e re ca n be n a ti o n a l l e g i sl a ti o n or a n o rg a n i z a ti o n a l p o l i cy th a t
co n stra i n s th e u se o f p e rs o n a l i n fo rm a ti o n in th i s wa y, in wh i ch ca se an
a u d i to r wo u l d s e e k a l te rn a ti ve e vi d e n ce o f m a n a g e m e n t co m m i tm e n t.
Co n fi g u ra ti o n a u d i ts ca n p ro vi d e e vi d e n ce o f wh e th e r a l l ch a n g e s a re
re co rd e d and co n tro l l e d b y th e ch a n g e m a n a g e m e n t p ro ce ss. Au d i t
a cti vi ti e s p ro d u ce a re p o rt o f e rro rs i n th e co n fi g u ra ti o n d a ta o r th e
a ctu a l CI s a n d ca n h el p to i d e n ti fy p ro ce ss n o n co n fo rm i ti e s.
U n a u th o ri z e d ch a n g e s ca n be i d e n ti fi e d b y u si n g th i s i n fo rm a ti o n . For
e xa m p l e , p ro b l e m m a n a g e m e n t ca n i d e n ti fy a n u n a u th o ri z e d ch a n g e
a fte r re q u e sti n g a co n fi g u ra ti o n a u d i t to i d e n ti fy th e ro o t ca u s e of
fa i l u re fo r:
• d o wn ti m e ;
• a m a j o r i n ci d e n t(s ) ;
• an i n cre a se in i n ci d e n t vo l u m e ;
• p ro b l e m s a n d e rro rs .
Classifying different types of change

Pa rt 1 i n cl u d e s a re q u i re m e n t th a t a l l re q u e sts fo r ch a n g e a re cl a ss i fi e d
(e . g . u rg e n t, e m e rg e n cy, m a j o r, m i n o r) en a bl i n g ch a n g e s to be p ri o ri ti z e d
and m a n a g ed .

Th e cl a s si fi ca ti o n i s u su a l l y ba sed on fe a tu re s o f th e ch a n g e :
• sca l e o f th e ch a n g e ;
• p o te n ti a l i m p a ct i f th e ch a n g e fa i l s;
• ri sk th a t th e ch a n g e wi l l fa i l ;
• b e n e fi ts o f m a ki n g th e ch a n g e ;
• ri sk a n d i m p a ct i f th e ch a n g e i s n ot m a d e;
• ti m e ta b l e fo r th e ch a n g e ;
• p e rso n or peopl e wh o wi l l a g re e th e ch a n g e ;
• th e n eed to m a ke a ch a n g e in an e m e rg e n cy.
Typ i ca l e xa m p l e s a re sh o wn in Ta b l e 1 9.
Table 1 9 – Example classifications for changes
Classification Description Examples

Ch a n g e m od el D e te rm i n e s wo rkfl o w fo r Pre -a p p ro ve d ,
o r ch a n g e d i ffe re n t typ e s o f ch a n g e n o rm a l , e m e rg e n cy
typ e
Ri sk Ri sk to th e b u s i n e ss a n d th e High, m ed i u m , l ow
I T se rvi ce s
B u si n e s s I m p a ct o n th e o rg a n i z a ti o n . High, m ed i u m , l ow
i m p a ct M a y be co m b i n e d wi th G l oba l , re g i o n a l ,
ch a n g e ca te g o ry to co u n try, si te
d e te rm i n e a p p ro va l
Pri o ri ty Pri o ri ty to be u sed in Cri ti ca l , high,
s ch e d u l i n g th e ch a n g e m ed i u m , l ow
Ch a n g e D e te rm i n e s wh i ch peopl e M i n o r, s i g n i fi ca n t,
ca te g o ry/ n eed to be i n vo l ve d wi th m a j or
ch a n g e re vi e wi n g and a p p ro vi n g
a u th o ri ty th e RF C
Change management lifecycles/models

F o r g re a te r e ffi ci e n cy, d i ffe re n t typ e s o f ch a n g e m a y fo l l o w a d i ffe re n t
l i fe cycl e and h a ve d i ffe re n t wo rkfl o ws, i . e. th e cl a ssi fi ca ti o n i s u se d to
d e te rm i n e wh i ch p ro ce d u re i s u se d fo r m a n a g i n g th e ch a n g e . For
e xa m p l e , a l o w ri sk ‘ ro u ti n e ’ ch a n g e has a p ro ve n m e th o d fo r
i m p l e m e n ta ti o n , i s si m p l e and wi l l h a ve l i ttl e i m p a ct i f i t d o e s fa i l .
Typ i ca l l y, b u d g e ta ry a u th o ri ty i s g i ve n in a d va n ce , b a se d on a co st a g re e d
in a d va n ce . Th e ch a n g e m a n a g e r i s u s u a l l y re sp o n s i b l e fo r d e ci d i n g wh i ch
ch a n g e s ca n be i m p l e m e n te d a s ro u ti n e ch a n g e s .
In co n tra st, a n o rm a l ch a n g e has a l o n g e r l i fe cycl e th a n a p re -a p p ro ve d
ch a n g e . Th e ri sks a n d i m p a ct o f th e n o rm a l ch a n g e a re g i ve n m o re
a tte n ti o n th a n a ro u ti n e ch a n g e .

Emergency changes
I t i s g ood p ra cti ce to e n su re th a t th e s ta g e s o f th e ch a n g e l i fe cycl e fo r
e a ch typ e o f ch a n g e a re co n si ste n t a cro s s th e o rg a n i z a ti o n . Th i s a vo i d s
m i su n d e rsta n d i n g s o n wh o d o e s wh a t a n d wh e n i t i s d on e, wh i ch ca n
re su l t i n ch a n g e s fa i l i n g o r co n fl i ct b e twe e n ch a n g e s to be d on e a t th e
sa m e ti m e .
Ta b l e 2 0 s h o ws co m m o n re l a ti o n sh i p s b e twe e n typ e o f ch a n g e and a
l i fe cycl e .
Ta bl e 2 0 – E xa m pl es of l i fecycl es for d i fferen t types of ch a n g e
Ca teg ory/cl a ss E xa m pl e l i fecycl es for CI types
Pre -a p p ro ve d Ra i se d , a ssi g n e d , cl o se d
N o rm a l Ra i se d , i m p a ct a sse ss m e n t, a p p ro ve d , sch e d u l e d ,
i m p l e m e n te d , re vi e we d , cl o se d
E m e rg e n cy Ra i se d , a p p ro ve d , re vi e we d , cl o s e d
N e w se rvi ce Pl a n , d esi g n , d e ve l o p , tra n si ti o n vi a re l e a se and
d e p l o ym e n t, o p e ra ti o n
E m erg en cy ch a n g es
I t i s i m p o rta n t to pl a n th e wa y e m e rg e n cy ch a n g e s wi l l be m a n a g ed
b e fo re th e e m e rg e n cy a ri se s. B y th e i r n a tu re , e m e rg e n cy ch a n g e s a re
h i g h e r ri s k th a n i f th e re we re ti m e fo r co n si d e ra ti o n o f e a ch a s p e ct o f
th e ch a n g e . U n l e s s e m e rg e n cy ch a n g e s a re pl a n n ed fo r, th e p ro ce ss ca n
d e g e n e ra te i n to co n fu s i o n and re su l t i n a wo rse n i n g o f th e si tu a ti o n .
Pa rt 1 re q u i re s th a t th e se rvi ce p ro vi d e r a n d th e cu sto m e r a g re e th e
d e fi n i ti o n of a n e m e rg e n cy ch a n g e . Th i s ca n be a ch i e ve d b y th e cu sto m e r
a g re e i n g to th e e m e rg e n cy ch a n g e d e fi n i ti o n th a t i s re fe re n ce d fro m an
S LA. Pa rt 1 a l so re q u i re s th e se rvi ce p ro vi d e r to u se a d o cu m e n te d
p ro ce d u re fo r m a n a g i n g e m e rg e n cy ch a n g e s .
Key poi n t
I t i s re co m m e n d e d th a t th e u su a l ch a n g e m a n a g e m e n t p ro ce ss
i s fo l l o we d a s fa r a s p o ssi b l e fo r e m e rg e n cy ch a n g e s. Som e
ste p s m a y b e co m p l e te d l a te r o r d o cu m e n te d re tro sp e cti ve l y,
e. g . i n d e p e n d e n t te sti n g . I t i s a l so co m m o n fo r th e sa m e sta g e s
to be fo l l o we d b u t fo r e a ch s ta g e to be a cce l e ra te d .

B e ca u se e m e rg e n cy ch a n g e s p re s e n t a high l e ve l o f ri s k, Pa rt 1 , Cl a u se 9. 2
re q u i re s th e se rvi ce p ro vi d e r to h a ve e m e rg e n cy ch a n g e p o l i ci e s ,
p ro ce sse s a n d p ro ce d u re s to co n tro l th e a u th o ri z a ti o n and
i m p l e m e n ta ti o n o f e m e rg e n cy ch a n g e s. An a u d i to r co u l d ch e ck wh e th e r
th e u se o f th e e m e rg e n cy ch a n g e p ro ce ss co m p l i e s wi th th e d e fi n i ti o n of
an e m e rg e n cy, o r wh e th e r th e e m e rg e n cy ch a n g e p ro ce ss i s u se d fo r
ch a n g e s th a t sh o u l d and co u l d h a ve been s ch e d u l e d in a d va n ce .
Roles in change management

On e o f th e ch a l l e n g e s th a t s e rvi ce p ro vi d e rs fa ce i s u n d e rsta n d i n g th e
cu sto m e r’s a n d su p p l i e r’s o rg a n i z a ti o n wh e n pl a n n i n g ch a n g e s , e. g . ro l e s,
re sp o n si b i l i ti e s , a u th o ri ti e s, a cco u n ta b i l i ti e s a n d a p p ro va l l e ve l s o f
i n d i vi d u a l s fo r ch a n g e s . E ffe cti ve co n tro l o f ch a n g e s re q u i re s cl a ri ty o n
ro l e s a n d re sp o n si b i l i ti e s fo r a l l sta g e s o f th e ch a n g e l i fe cycl e , e. g . wh o
h a s th e a u th o ri ty to a p p ro ve e a ch typ e o f ch a n g e ?
Pa rt 1 d o e s n o t sp e ci fy th e wa y th i s sh o u l d be d o cu m e n te d . On e m e th o d
i s to o b ta i n th i s i n fo rm a ti o n fro m th e co n fi g u ra ti o n m a n a g e m e n t p ro ce ss
a s th e i n fo rm a ti o n a b o u t th e o wn e r/cu s to d i a n o f a ffe cte d CI s sh o u l d be
a va i l a b l e fo r e a ch CI o r CI typ e .
Change initiator
I n i ti a ti n g a re q u e st fo r ch a n g e is a ke y i n te rfa ce b e twe e n ch a n g e
m a n a g em en t a n d cu sto m e rs , p ro j e cts, d e ve l o p e rs, su p p l i e rs a n d th e o th e r
se rvi ce m a n a g e m e n t p ro ce ss e s. I t i s i m p o rta n t th a t th e ch a n g e i n i ti a to r
h a s a p p ro p ri a te a u th o ri ty to ra i se a re q u e st fo r ch a n g e and su ffi ci e n t
i n fo rm a ti o n to cl e a rl y d e fi n e th e p ro p o se d ch a n g e .
Change manager
Th e ch a n g e m a n a g e r u su a l l y h a s o ve ra l l re sp o n si b i l i ty fo r ch a n g e
m a n a g em en t on an o p e ra ti o n a l , d a y-to - d a y b a s i s. Th i s p e rso n has
re sp o n si b i l i ty fo r e n s u ri n g th a t th e p ro ce ss i s e s ta b l i sh e d and th a t th e
a g re e d p ro ce ss i s fo l l o we d , i n cl u d i n g th e co rre ct cl a s si fi ca ti o n bei n g
ch o se n fo r ch a n g e s a n d th e co rre ct p e o p l e a u th o ri z i n g e a ch ch a n g e . Th i s
p e rso n d o e s n o t n o rm a l l y h a ve a n y i n vo l ve m e n t o r re sp o n si b i l i ty fo r
ch a n g e s a ctu a l l y b e i n g m a d e, n o r re sp o n si b i l i ty fo r th e a ctu a l re co rd i n g
o f ch a n g e s.
Th i s p e rso n m a y a l so be th e ch a n g e m a n a g e m e n t p ro ce ss o wn e r, i . e. th e
p e rso n re sp o n si b l e fo r th e q u a l i ty o f th e p ro ce s s i tse l f. Som e se rvi ce
p ro vi d e rs se p a ra te th e re sp o n s i b i l i ty fo r th e p ro ce ss o n a d a y- to -d a y
o p e ra ti o n a l b a s i s fro m p ro ce s s o wn e rsh i p . Th e ch a n g e m a n a g er i n a l a rg e

Roles in change management
service provider or one that is making many changes may have a team,
often combining the change and configuration management processes.
The typical responsibilities for a change manager include:
• ensuring that requests for change are classified correctly;

• approving changes that do not need to be approved by a change
authority;
• chairing a change advisory board;
• scheduling changes with advice from the change authority;
• overseeing building, testing, implementation and back-out of
changes;
• co-ordinating audits and reviews of changes.
Change authority
The authorization for a change is often linked to the classification of the
change, so that for each type a different level of authority applies.
Formal approval is obtained from people often referred to as a change

authority. The change authority may be an individual but commonly the
role is shared by several people. Many service providers link authority
levels for changes to monetary values such as the estimated cost of the
change. For example, large changes that affect several distributed sites
might need to be approved by a higher level change authority such as a
global change board or even, in exceptional circumstances, a board of
directors.
A group of people who have collective authority for approving changes

are often referred to as a change advisory board.
Other change management roles

The change manager is often supported by one or more change
administrators who are actively involved in the process, normally on a
day-to-day operational basis.
Other roles involved in the change management process are typically:
• change developer/builder – supplier of the change, e.g. project or

external supplier;
• independent tester, e.g. a tester who is independent of the change
builder;
• change implementer – person who implements the change into the
environment.

I d en ti fyi n g a n d record i n g req u ests
Pa rt 1 re q u i re s th a t re q u e sts fo r ch a n g e h a ve a d e fi n e d sco p e . Th i s
re q u i re m e n t ca n be fu l fi l l e d b y cl e a rl y sta ti n g i n fo rm a ti o n su ch a s th e
p u rp o se o f th e ch a n g e , th e a ffe cte d se rvi ce , s e rvi ce co m p o n e n ts a n d /o r
CI s, th e i m p a cte d cu sto m e rs, i m p a cte d u s e rs to g e th e r wi th th e i r b u s i n e ss
unit and l o ca ti o n .
G ood q u a l i ty i n fo rm a ti o n sh ou l d be h el d fo r e a ch cl e a rl y d e fi n e d s e rvi ce ,
se rvi ce co m p o n e n t a n d /o r CI . H a vi n g a l i n k b e twe e n th e ch a n g e and
wh a t th e ch a n g e wi l l a ffe ct e n s u re s th a t th e wh o l e p ro ce ss wo rks
e ffi ci e n tl y.
To su p p o rt th e Pa rt 1 re q u i re m e n t th a t re q u e sts fo r ch a n g e a re a s se sse d
fo r th e i r ri s k a n d i m p a ct, ce rta i n typ e s o f ch a n g e sh o u l d i n cl u d e
i n fo rm a ti o n to su p p o rt th e a sse s sm e n t, a s d e scri b e d in th e n e xt se cti o n .
To su p p o rt ri sk a sse ssm e n t, a se rvi ce p ro vi d e r sh o u l d i n cl u d e a pl a n o f th e
a cti vi ti e s re q u i re d to re ve rse o r re m e d y a n u n su cce ssfu l ch a n g e . For
e xa m p l e , th e ri sk a n d i m p a ct o f a ch a n g e th a t ca n be re ve rse d q u i ckl y
wi th no i m p a ct o n th e se rvi ce wi l l be d i ffe re n t to a ch a n g e th a t n e e d s to
be re m e d i e d b y i n vo ki n g a s e rvi ce co n ti n u i ty p l a n .
Key poi n t
Re q u e sts fo r ch a n g e sh o u l d be wri tte n in a p p ro p ri a te language
fo r th e ta rg e t a u d i e n ce to u n d e rsta n d , e. g . b u s i n e ss l a n g u a g e
fo r cu sto m e rs a n d te ch n i ca l language fo r th e se rvi ce p ro vi d e r’s
o wn sta ff.
If a ch a n g e i s b a d l y d o cu m e n te d a re l i a b l e i m p a ct a ss e ssm e n t i s n o t
p o ssi b l e . M i s si n g o r m i sl e a d i n g i n fo rm a ti o n ca n re su l t i n th e i m p a ct
a s se ssm e n t b e i n g b a se d on i n co rre ct a ssu m p ti o n s , l ea d i n g to i n co rre ct
co n cl u si o n s a n d a fa i l e d ch a n g e .
Assessi n g ri sk a n d i m pa ct of proposed ch a n g es
Pa rt 1 re q u i re s th a t a l l re q u e s ts fo r ch a n g e a re a ss e sse d fo r th e i r ri s k,
fi n a n ci a l i m p a ct a n d p o te n ti a l i m p a cts to :
• se rvi ce s a n d th e cu s to m e r;
• se rvi ce re q u i re m e n ts;
• b u s i n e ss b e n e fi ts;
• te ch n i ca l fe a si b i l i ty;

Assessing risk and impact of proposed changes
• o th e r se rvi ce s.
I n fo rm a ti o n fro m ch a n g e m a n a g em en t a n d o th e r p ro ce ss e s su p p o rt th e
a s se ssm e n t. Co n fi g u ra ti o n m a n a g e m e n t p ro vi d e s i n fo rm a ti o n fo r i m p a ct
a s se ssm e n t, s u ch as a l i s t o f th e p o te n ti a l l y a ffe cte d CI s a n d th e o wn e r o r
cu s to d i a n o f th e re l a te d s e rvi ce o r se rvi ce co m p o n e n t. Th i s h e l p s to
u n d e rsta n d d e p e n d e n ci e s a n d to i d e n ti fy i n te re ste d p a rti e s to co n su l t
d u ri n g th e a sse s sm e n t o f p ro p o se d ch a n g e s .
Th e i m p a ct a n a l ysi s wi l l d epen d on th e sca l e and typ e o f ch a n g e . Th e
p e rs o n re sp o n s i b l e fo r th e ch a n g e o r th e CI th a t i s to be ch a n g e d and all
p a rti e s th a t wi l l be a ffe cte d a re i d e n ti fi e d and a ske d to co n tri b u te to an
a s se ssm e n t o f th e ri sk, fi n a n ci a l i m p a ct a n d p o te n ti a l i m p a cts .
As m a n y a ffe cte d p a rti e s ca n be i n vo l ve d , th e ri sk i s o fte n a sse s se d fro m
m u l ti p l e p e rsp e cti ve s a n d a co n se n su s m i g h t n e e d to be re a ch e d on th e
wa y to m i ti g a te ri sk. F o r e xa m p l e , a s se ssi n g ri s k fro m th e b u si n e ss o r
cu s to m e r p e rs p e cti ve ca n re su l t i n a d i ffe re n t se t o f a cti o n s th a n a sse s si n g
ri sk fro m an I T p e rs p e cti ve .
Th e d e ta i l re co rd e d fo r a n i m p a ct a s se ssm e n t d e p e n d s o n th e typ e of
ch a n g e and th e a ss e ssm e n t te ch n i q u e u sed . F o r e xa m p l e , a m a j o r ch a n g e
m a y re q u i re a d e ta i l e d i m p a ct a ss e s sm e n t to be re co rd e d . In co n tra st, a
m i n o r ch a n g e m a y be d o cu m e n te d by a fe w s e n te n ce s i n th e main bod y
o f th e re q u e st fo r ch a n g e .
I f m a n y peopl e a re i n vo l ve d in i m p a ct a s se ssm e n t, i t i s u su a l to
s u m m a ri z e th e o ve ra l l vi e ws i n th e b o d y o f th e re q u e st fo r ch a n g e cl e a rl y
so sta ff ca n u n d e rsta n d th e i m p a ct o f th e p ro p o s e d ch a n g e . Th e d e ta i l e d
i m p a ct a sse ssm e n ts wo u l d sti l l be a va i l a b l e a s we l l .
M a n y se rvi ce p ro vi d e rs i m p l e m e n t a n i m p a ct a ss e ssm e n t p ro ce d u re b a se d
a ro u n d a s ta n d a rd fo rm o r scre e n so th a t a l l a s p e cts o f th e i m p a ct
a s se ssm e n t a re i n cl u d e d .
B u d g e ti n g and a cco u n ti n g p ra cti ce s p ro vi d e th e m e ch a n i sm s fo r
p re d i cti n g and tra cki n g th e co sts o f a ch a n g e to q u a n ti fy th e b u si n e s s
b e n e fi t o f th e ch a n g e .
Th e ch a n g e m a n a g e m e n t p ro ce ss o wn e r i s re s p o n si b l e fo r e n s u ri n g th a t
i m p a ct a sse ssm e n t, i n cl u d i n g a n y fo rm s o r scre e n s, i s su i ta b l e fo r g o o d
m a n a g e m e n t d e ci si o n -m a ki n g on ch a n g e a p p ro va l s .
Assessing changes in relation to each other

Pro p o se d ch a n g e s a l s o n eed to be a sse s se d in re l a ti o n to on e a n o th e r
and a g a i n st th e e xi sti n g pl a n n ed s ch e d u l e o f ch a n g e s. Th i s e n su re s th a t
th e fu l l i m p a ct o f e a ch ch a n g e i s u n d e rsto o d b e fo re th e ch a n g e is

sch e d u l e d a vo i d i n g a cl a sh b e twe e n two se p a ra te ch a n g e s. F o r e xa m p l e ,
b y l o o ki n g a t th e ch a n g e s th a t a re ta rg e te d fo r a we e ke n d th e i m p a ct
a sse s sm e n t ca n i d e n ti fy a cl a s h b e twe e n two ch a n g e s b e ca u se o f th e
o rd e r o r ti m i n g . B a tch i n g ch a n g e s a l so sa ve s e ffo rt a n d co s ts.
A se rvi ce p ro vi d e r sh o u l d i d e n ti fy th e ri sks a sso ci a te d wi th d oi n g to o
m a n y ch a n g e s i n th e sa m e ti m e p e ri o d i f th e re a re d e p e n d e n ci e s o r
l i m i te d re so u rce s.
Scheduling changes
S ch e d u l i n g is an i m p o rta n t a cti vi ty th a t e n a b l e s th e se rvi ce p ro vi d e r to
re sp o n d to re a l b u si n e ss n e e d s a n d d em a n d s by pl a n n i n g th e
i m p l e m e n ta ti o n o f ch a n g e s th a t m a xi m i z e b u si n e ss b e n e fi t a h e a d of
o th e r ch a n g e s.
Key point
Pa rt 1 re q u i re s th a t th e sch e d u l e d i m p l e m e n ta ti o n d a te s o f
ch a n g e s a re u se d a s th e b a si s fo r s ch e d u l i n g ch a n g e s i n cl u d i n g
th e d e p l o ym e n t o f re l e a se s . Th i s m e a n s th a t ch a n g e s th a t a re
a l re a d y s ch e d u l e d fo r sp e ci fi c ti m e sl o ts (o fte n ca l l e d ch a n g e
wi n d o ws) a re n o t m o ve d u n n e ce ssa ri l y. I f i m p l e m e n ta ti o n d a te s
a re ch a n g e d i t i s i m p o rta n t th a t i m p a ct a ss e ssm e n t a n d
a p p ro va l i s re p e a te d .
Th e a p p ro ve d and sch e d u l e d ch a n g e s a re typ i ca l l y d o cu m e n te d in a pl a n ,
s ch e d u l e o r ch a n g e ca l e n d a r th a t i s th e n u sed in pl a n n i n g fu rth e r
ch a n g e s a n d d e p l o ym e n t o f re l e a se s .
Pa rt 1 re q u i re s th a t a sch e d u l e of pl a n n ed ch a n g e i s e sta b l i s h e d and
co m m u n i ca te d to all i n te re ste d p a rti e s . M a n y se rvi ce p ro vi d e rs d o th i s b y
m a ki n g th e pl a n a cce s si b l e vi a th e i n tra n e t. Th e I n te rn e t m a y b e u se d if
s u p p l i e rs a t re m o te l o ca ti o n s a re i n vo l ve d .
Th e a d va n ta g e o f p u b l i sh i n g th e s ch e d u l e of pl a n n ed ch a n g e s i s th a t
th o se re sp o n s i b l e fo r i m p l e m e n ti n g th e ch a n g e ca n try to sch e d u l e th e i r
ch a n g e s a t ti m e s th a t d o n o t a ffe ct o th e r p re vi o u sl y p l a n n e d and
s ch e d u l e d ch a n g e s.
I f th e re a re m a n y ch a n g e s, i t i s u su a l to b re a k d o wn th e s ch e d u l e of
pl a n n ed ch a n g e s b y se rvi ce a n d /o r g e o g ra p h i ca l a re a a ffe cte d .

Assessing risk and impact of proposed changes
Som e se rvi ce p ro vi d e rs a d o p t ch a n g e fre e z e s wh e n th e ri sk o f a ch a n g e ,
h o we ve r we l l m a n a g ed , i s n o t a cce p ta b l e , fo r e xa m p l e , in p e ri o d s o f
u n u su a l l y i m p o rta n t b u si n e s s a cti vi ty, o r i m m e d i a te l y b e fo re a m a j or
se rvi ce o r i n fra stru ctu re ch a n g e .
Decisions on the acceptance of requests for change

Th e cu l tu re of a se rvi ce p ro vi d e r’s o rg a n i z a ti o n wi l l i n fl u e n ce th e m a n n er
in wh i ch d e ci si o n s a re made on th e a cce p ta n ce o f re q u e sts fo r ch a n g e .
H i e ra rch i ca l stru ctu re s fo r a u th o ri z i n g ch a n g e s ca n i m pose m a n y l e ve l s o f
ch a n g e a p p ro va l , wh i l e fl a tte r stru ctu re s ca n a l l ow a m o re stre a m l i n e d
a p p ro a ch .
S i m i l a rl y, th e cu l tu re o f th e cu s to m e r’s o rg a n i z a ti o n i n fl u e n ce s ch a n g e
m a n a g e m e n t, p a rti cu l a rl y fo r o rg a n i z a ti o n s th a t a re n o t p re d i sp o s e d to
fo l l o w sta n d a rd s o r p ro ce s se s u n l e s s fo rce d to do so .
Som e o rg a n i z a ti o n s p re fe r to co n ce n tra te a u th o ri ty o n to a sm a l l n u m ber
of peopl e, wh i l st o th e rs p re fe r a l a rg e co m m i tte e stru ctu re fo r
d e ci si o n -m a ki n g .
Pa rt 1 , Cl a u se 9. 2 re q u i re s th a t th e se rvi ce p ro vi d e r a n d i n te re ste d p a rti e s
m a ke d e ci si o n s o n th e a cce p ta n ce o f re q u e sts fo r ch a n g e .
D e ci s i o n -m a ki n g ta ke s i n to co n si d e ra ti o n th e i n fo rm a ti o n fro m th e
a s se ssm e n t o f ri sks, th e p o te n ti a l i m p a cts to se rvi ce s a n d th e cu s to m e r,
s e rvi ce re q u i re m e n ts, b u si n e s s b e n e fi ts , te ch n i ca l fe a si b i l i ty a n d fi n a n ci a l
i m p a ct, d i scu ss e d in p re vi o u s se cti o n s i n th i s ch a p te r. An i m p o rta n t a sp e ct
i s to e n s u re th a t th e a p p ro p ri a te peopl e and i n te re ste d p a rti e s a re
i n vo l ve d in m a ki n g th e d e ci si o n s.
Key point
Au th o ri ty l e ve l s fo r p ro p o se d ch a n g e s ca n be l i n ke d to va l u e s
su ch a s th e e sti m a te d co s t o f th e ch a n g e o r l e ve l s o f i m p a ct
and ri sk. Th e l e ve l s o f a u th o ri z a ti o n ca n be l i n ke d to th e
cl a ssi fi ca ti o n o f th e ch a n g e , so th a t fo r e a ch typ e a d i ffe re n t
l e ve l o f a u th o ri ty a p p l i e s. F o r e xa m p l e , l a rg e ch a n g e s th a t
a ffe ct se ve ra l d i stri b u te d si te s m i g h t n e e d to be a p p ro ve d by a
h i g h e r l e ve l ch a n g e a u th o ri ty. In e xce p ti o n a l ci rcu m sta n ce s th i s
co u l d be a b o a rd o f d i re cto rs .
Wh a te ve r a p p ro a ch and cri te ri a a re u se d fo r th e a cce p ta n ce o r re j e cti o n
o f re q u e sts fo r ch a n g e , an a u d i to r ca n re q u e st e vi d e n ce o f th e a p p ro va l

p ro ce ss a n d wi l l a sse ss th e e ffe cti ve n e ss o f th i s. E vi d e n ce o f i n te re st to
th e a u d i tor ca n be a sa m pl e o f re q u e s ts fo r ch a n g e re co rd s th a t re co rd
th e d e ci si o n o r m i n u te s o f a m e e ti n g wh e re th e d e ci si o n wa s ta ke n .
Staged approval
M a n y o rg a n i z a ti o n s a p p ro ve ch a n g e s i n sta g e s, wh e re on e sta g e h a s to
be a p p ro ve d b e fo re th e n e xt. Th i s i s th e ca se p a rti cu l a rl y fo r ch a n g e s th a t
wi l l u l ti m a te l y i n cu r si g n i fi ca n t co s ts. E xa m p l e s o f sta g e d a p p ro va l a re th e
fo l l o wi n g s e q u e n ce :
1 . re so u rce s to a ss e ss a n d d e fi n e th e re q u i re m e n ts fo r a ch a n g e ;
2. re so u rce s to d e si g n a ch a n g e and re vi e w (o fte n d on e a s p a rt o f a
p ro j e ct) ;
3. re so u rce s to bu i l d and te st a ch a n g e (o fte n d on e a s p a rt o f a
p ro j e ct) ;
4. i m p l e m e n ta ti o n of a ch a n g e i n to a co n tro l l e d e n vi ro n m e n t (e . g .
a cce p ta n ce te st) ;
5. d e p l o ym e n t o f a re l e a s e in th e l i ve e n vi ro n m e n t;
6. re so u rce s to p ro vi d e e a rl y l i fe su p p o rt u n ti l se rvi ce a cce p ta n ce is
a g re e d .
Th i s m a y b e tra cke d on on e o r m o re re q u e sts fo r ch a n g e .
Change approval or rejection

Th e ch a n g e a u th o ri ty ro l e co n si d e rs th e b u si n e ss b e n e fi ts a n d
re co m m e n d s wh e th e r th e ch a n g e sh o u l d be a p p ro ve d fo r d e ve l o p m e n t
and te sti n g , a p p ro ve d fo r d e p l o ym e n t o r re j e cte d .
Ch a n g e s th a t re q u i re a p p ro va l fo r d e p l o ym e n t i n to th e a cce p ta n ce te st
o r p ro d u cti o n e n vi ro n m e n t n e e d to h a ve a sch e d u l e d i m p l e m e n ta ti o n
d a te and ti m e o th e rwi se th e i m p a ct ca n n o t b e a sse ss e d .
I f ch a n g e s a re re j e cte d i t i s i m p o rta n t th a t th e ch a n g e i n i ti a to r i s n o ti fi e d
o f th e d e ci si o n and th e re a so n fo r th e d e ci si o n so th a t th e y ca n
re co n si d e r a n d re p l a n . Th e ro l e o f th e ch a n g e i n i ti a to r i s d e s cri b e d e a rl i e r
in th i s ch a p te r i n th e se cti o n on ‘ Ro l e s i n ch a n g e m a n a g e m e n t’ .
Developing and testing changes

Pa rt 1 re q u i re s th a t a p p ro ve d ch a n g e s a re d e ve l o p e d and te ste d . Fa i l i n g
to i m pl em en t a n a p p ro ve d ch a n g e ca n ca u se a l a te r ch a n g e to fa i l if
th e re wa s a d e p e n d e n cy. F o r wh a te ve r re a so n , ch a n g e s th a t a re n ot
d e ve l o p e d and te ste d sh ou l d be n o ti fi e d to ch a n g e m a n a g em en t a n d
a n o th e r i m p a ct a sse s sm e n t s h o u l d be p e rfo rm e d .

Verifying completion
Th e cl a ssi fi ca ti o n o f su cce ssfu l and u n s u cce s sfu l ch a n g e i s i m p o rta n t to be
a bl e to d e m o n stra te th a t th e Pa rt 1 re q u i re m e n ts h a ve been m e t. If a
ch a n g e i s d eem ed to be u n su cce ss fu l th e n th e a cti vi ti e s re q u i re d to
re ve rse o r re m e d y th e wi l l be p e rfo rm e d . Th i s s h o u l d be ca rri e d ou t
a cco rd i n g to an a g re e d pl a n th a t h a s, wh e re p o ssi b l e , been te ste d . For
e xa m p l e , if an a p p l i ca ti o n so ftwa re re l e a se h a s to be b a cke d o u t b e ca u s e
a scri p t fa i l e d p a rt wa y th ro u g h d e p l o ym e n t i t i s i m p o rta n t to be a bl e to
b a ck o u t o f th e ch a n g e and l e a ve th e I T s e rvi ce in a kn o wn
co n fi g u ra ti o n . Pa rt 1 re q u i re s th a t CM D B re co rd s a re u p d a te d fo l l o wi n g
th e su cce ssfu l d e p l o ym e n t o f ch a n g e s.
Key point
U n s u cce s sfu l ch a n g e s n e e d to be i n ve sti g a te d and a g re e d
a cti o n s ta ke n . Th e sta tu s o f th e ch a n g e , th e re a so n fo r fa i l u re
and a g re e d a cti o n s i d e n ti fi e d d u ri n g th e i n ve sti g a ti o n sh o u l d
be re co rd e d .
Predeployment test
Pa rt 1 re q u i re s th a t ch a n g e s a re te s te d b e fo re d e p l o ym e n t. Th i s typ i ca l l y
i n cl u d e s:
• te sti n g th a t a u th o ri z e d ch a n g e s a re p ro p e rl y b u i l t a n d co n fo rm to
s p e ci fi ca ti o n ;
• te sti n g th a t ch a n g e s to CI s ca n be ve ri fi e d d u ri n g d e p l o ym e n t;
• te sti n g a n y ch a n g e b a ck-o u t o r re m e d i a ti o n pl a n s i n ca se o f fa i l u re .
Ch a n g e s a re o fte n d e p l o ye d by a p e rso n bel on g i n g to th e g ro u p th a t i s
re sp o n si b l e fo r o r th e cu s to d i a n o f th e CI bei n g ch a n g e d . Ch a n g e
m a n a g e m e n t i s re sp o n s i b l e fo r:
• co -o rd i n a ti n g th e d e p l o ym e n t o f ch a n g e s;
• l i a i si n g wi th co n fi g u ra ti o n and re l e a s e m a n a g e m e n t a s a p p ro p ri a te ;
• e n su ri n g th a t th e re a re re co rd s wi th e vi d e n ce o f ve ri fi ca ti o n o f th e
ch a n g e ;
• co -o rd i n a ti n g th e b a ck-o u t o r re m e d i a ti o n o f fa i l e d ch a n g e s.
Verifying completion
Ch a n g e m a n a g e m e n t sh o u l d ve ri fy th a t th e ch a n g e h a s been d e ve l o p e d
and te s te d in a co n tro l l e d m a n n e r b y ch e cki n g th a t th e ch a n g e re co rd s
and co n fi g u ra ti o n d o cu m e n ta ti o n a re a ccu ra te and co m p l e te . Th i s ca n

i n cl u d e a ch e ck th a t th e ch a n g e re co rd i s co rre ctl y l i n ke d to th e a ffe cte d
CI s, and th e co rre ct ve rs i o n o f th e i m p l e m e n ta ti o n and re l e a se
d o cu m e n ta ti o n i s i s su e d . Th e CM D B re co rd s sh a l l be u p d a te d fo l l o wi n g
th e su cce ss fu l d e p l o ym e n t o f ch a n g e s .
I f re q u i re d , ch a n g e m a n a g e m e n t m a y re q u e st a co n fi g u ra ti o n a u d i t of
th e re l a te d CI s fro m co n fi g u ra ti o n m a n a g e m e n t.
Review and closure

Pa rt 1 re q u i re s th a t a l l ch a n g e s a re re vi e we d , a fte r i m p l e m e n ta ti o n .
D i ffe re n t typ e s o f ch a n g e typ i ca l l y re q u i re d i ffe re n t l e ve l s o f re vi e w.
For som e ch a n g e s, su ch as a m a j o r ch a n g e , a p o st- i m p l e m e n ta ti o n re vi e w
m e e ti n g wi l l be h el d to re vi e w th e o u tco m e s. A p o st-i m p l e m e n ta ti o n
re vi e w a i m s to ch e ck th a t th e ch a n g e m e t i ts o b j e cti ve s, th a t cu s to m e rs
a re h a p p y wi th th e re su l ts a n d th a t th e re h a ve been no u n e xp e cte d si d e
e ffe cts. I t i s g ood p ra cti ce to re co rd l e s so n s l e a rn e d and fe e d any
i m p ro ve m e n ts i n to th e se rvi ce i m p ro ve m e n t p ro g ra m m e . Th e o u tco m e s
and a cti o n s a re re p o rte d in th e m e e ti n g m i n u te s .
F o r o th e r ch a n g e s, a su m m a ry o f a re vi e w m a y b e re co rd e d on th e
ch a n g e re co rd or a re l a te d d o cu m e n t, e. g . sh o wi n g th e i m p a ct o f a
ch a n g e on th e n u m b e r o f i n ci d e n ts a n d p ro b l e m s fo r th e a ffe cte d CI in
th e p e ri o d a fte r th e ch a n g e .
Ch a n g e m a n a g em en t sh ou l d re vi e w a l l co m p l e te d e m e rg e n cy ch a n g e s to :
• ch e ck th a t b yp a ss e d ste p s h a ve been co m p l e te d ;
• ch e ck th a t th e d o cu m e n ta ti o n i s co m p l e te ;
• ve ri fy th a t th e ch a n g e wa s a tru e e m e rg e n cy.
Th e a ctu a l co sts, re s o u rce s a n d ti m e a re u su a l l y re co rd e d a s p a rt o f th e
re vi e w a n d cl o s u re a cti vi ti e s.
Th e ch a n g e re co rd s a re cl o se d wh e n all th e d o cu m e n ta ti o n h a s been
co m p l e te d .
Analysing changes and inputs to improvements

A p ro a cti ve a sp e ct o f ch a n g e m a n a g e m e n t i s th e a n a l ysi s o f ch a n g e s i n
o rd e r to i d e n ti fy tre n d s a n d o p p o rtu n i ti e s fo r p ro ce s s i m p ro ve m e n t.
Pa rt 1 re q u i re s ch a n g e re co rd s to be a n a l yse d re g u l a rl y to d e te ct tre n d s,
e. g . i n cre a s i n g l e ve l s o f ch a n g e s, fre q u e n tl y re cu rri n g typ e s, e m e rg i n g
tre n d s a n d o th e r re l e va n t i n fo rm a ti o n . Th e re su l ts a n d co n cl u s i o n s o f th e
a n a l ysi s n e e d to be re co rd e d to m e e t th e re q u i re m e n ts o f Pa rt 1 .

Analysing changes and inputs to improvements
Th e ch a n g e m a n a g e m e n t p ro ce ss o wn e r i s re s p o n si b l e fo r sch e d u l i n g
re g u l a r a n a l ys e s a n d e n su ri n g th a t th e re s u l ts a n d co n cl u s i o n s a re
re co rd e d .
Typ i ca l e xa m p l e s a re :
• i n cre a se in vo l u m e o f ch a n g e s b y CI typ e a n d /o r o wn e r;
• va ri a ti o n in a ctu a l ve rs u s e sti m a te d co st/re so u rce /ti m e ;
• vo l u m e and fre q u e n cy o f ch a n g e s a g a i n st su cce ss o ve r ti m e ;
• i m p ro vi n g th e l ea d ti m e fro m ra i si n g a ch a n g e re q u e st to
i m p l e m e n ti n g th e ch a n g e ;
• m a xi m u m /a ve ra g e /m i n i m u m ti m e fo r e a ch ste p in th e wo rkfl o w b y
typ e a n d /o r ca te g o ry o f ch a n g e .
Al l p ro ce ss e s i n se rvi ce m a n a g em en t a n d th e PD CA cycl e p l a ce a high
l e ve l o f i m p o rta n ce on co n ti n u a l i m p ro ve m e n ts to th e q u a l i ty o f th e
s e rvi ce . An a u d i to r wi l l e xp e ct to se e e vi d e n ce o f th e i n fo rm a ti o n fro m
th e a n a l yse s, re s u l ts a n d co n cl u s i o n s b e i n g u se d in i d e n ti fyi n g
o p p o rtu n i ti e s fo r i m p ro ve m e n t.

Ch a p te r 1 7 Re l e a se and
d e p l o ym e n t m a n a g e m e n t
I n trod u cti on
Th i s ch a p te r d e scri b e s th e ke y fe a tu re s o f th e re l e a se and d e p l o ym e n t
m a n a g e m e n t p ro ce ss th a t d e l i ve rs, d i s tri b u te s a n d tra cks n e w o r ch a n g e d
se rvi ce co m p o n e n ts i n a re l e a se i n to th e l i ve e n vi ro n m e n t.
Th e re q u i re m e n ts ca n be s u m m a ri z e d a s fo l l o ws:
• a re l e a se p o l i cy i s a g re e d wi th th e b u si n e ss a n d all re l e va n t p a rti e s;
• re l e a se s, p i l o ts a n d d e p l o ym e n ts a re pl a n n ed we l l in a d va n ce ;
• a cce p ta n ce cri te ri a fo r th e re l e a s e a re a g re e d wi th th e cu sto m e r a n d
i n te re ste d p a rti e s;
• re so u rce s a re co -o rd i n a te d d u ri n g re l e a s e and d e p l o ym e n t;
• th e re l e a se and bu i l d m e ch a n i sm s e n su re th e i n te g ri ty o f s e rvi ce
co m p o n e n ts , i n cl u d i n g h a rd wa re and s o ftwa re , d u ri n g d e p l o ym e n t;
• re l e a se s a re bu i l t a n d te ste d in a co n tro l l e d a cce p ta n ce te s t
e n vi ro n m e n t p ri o r to d e p l o ym e n t;
• u n s u cce ssfu l re l e a s e s ca n be b a cke d o u t o r re m e d i e d ;
• th e s u cce s s a n d fa i l u re o f re l e a s e s i s m o n i to re d , m e a s u re d and
a n a l yse d ;
• p ro vi si o n o f i n p u ts to th e ch a n g e m a n a g e m e n t p ro ce ss fo r p l a n n i n g
and i m p a ct a sse ss m e n t;
• p ro vi si o n o f i n p u ts to se rvi ce i m p ro ve m e n t.
Th e rel ea se a n d d epl oym en t process
Th e p ro ce ss i s u s e d to g ro u p a se t o f re l a te d and co m p a ti b l e CI s, kn o wn
as a re l e a s e , and d e p l o y th e m i n to th e l i ve e n vi ro n m e n t. Typ i ca l l y, th i s
m ea n s a g ro u p o f ch a n g e s a re made to a se t o f CI s u si n g a co n si ste n t,
re p e a ta b l e m e th o d .
Typ i ca l ci rcu m sta n ce s wh e re th e re l e a se and d e p l o ym e n t m a n a g e m e n t
p ro ce ss i s th e m o st a d va n ta g e o u s a p p ro a ch a re :
• i n tro d u cti o n of a n e w o r ch a n g e d se rvi ce ;
• ch a n g e s to a d e skto p bu i l d (h a rd wa re and so ftwa re ) ;
• a p p l yi n g a d e s kto p a p p l i ca ti o n a cro ss m a n y PCs ;

What is effective release and deployment?
• re l e a se of a n e w o r ch a n g e d s e rvi ce to m a n y u se rs ;
• d i stri b u ti o n of a m a i n te n a n ce p a cka g e o f fi xe s o r re p a i rs ;
• re l e a se of a n a p p l i ca ti o n ;
• re fre sh of a te ch n o l o g y o r o th e r m a j o r u p g ra d e ;
• ke e p i n g s o ftwa re cu rre n t, e. g . se cu ri ty p a tch e s;
• tra cki n g th e d e p l o ym e n t o f so ftwa re a s se ts a n d l i ce n ce s.
Key point
E a ch re l e a se and d e p l o ym e n t i s g o ve rn e d by a re q u e st fo r
ch a n g e ra i s e d vi a ch a n g e m a n a g e m e n t. Th i s e n su re s th a t th e
g ro u p o f ch a n g e s i n a re l e a s e a re a s se sse d fo r i m p a ct,
a u th o ri z e d , sch e d u l e d and d e p l o ye d co rre ctl y.
Re l e a se a n d d e p l o ym e n t m a n a g e m e n t a l so e n su re s th a t th e ch a n g e s i n
e a ch re l e a s e a re co m p a ti b l e wi th e a ch o th e r a n d th a t n o n e cl a s h wi th
o th e r u n re l a te d ch a n g e s.

Re l e a se and d e p l o ym e n t m a n a g e m e n t s h o u l d be i n te g ra te d wi th
co n fi g u ra ti o n and ch a n g e m a n a g e m e n t. I t i s i m p o rta n t to be cl e a r o n th e
s co p e o f re l e a s e and d e p l o ym e n t m a n a g e m e n t b e ca u se th e p ro ce s s
cro s se s o rg a n i z a ti o n a l b o u n d a ri e s. Re l e a se and d e p l o ym e n t m a n a g e m e n t
sh ou l d a l so h a ve a h o l i sti c vi e w o f ch a n g e s, e n su ri n g all a sp e cts o f a
re l e a se a re co n si d e re d to g e th e r.
Ca re fu l pl a n n i n g e n su re s th a t th e re is no a m b i g u i ty a b o u t wh a t ta sks a re
i n cl u d e d in re l e a se and d e p l o ym e n t m a n a g e m e n t, wh a t i s i n cl u d e d in
o th e r p ro ce s se s a n d th e wa y p ro ce sse s i n te rfa ce to a n y p ro j e cts p ro vi d i n g
a re l e a s e .
Al l ch a n g e s a n d CI s i n a re l e a se a re tra cke d vi a i n te rfa ce s to ch a n g e and
co n fi g u ra ti o n m a n a g e m e n t. Th i s l e ve l o f co n tro l a l so h e l p s th e se rvi ce
p ro vi d e r a ch i e ve co m p l i a n ce wi th s ta tu to ry, re g u l a to ry a n d co n tra ctu a l
re q u i re m e n ts re l a te d to th e m a n a g e m e n t o f i n te l l e ctu a l p ro p e rty ri g h ts,
a s se ts a n d s o ftwa re l i ce n ce s .
F i g u re 1 1 sh o ws th e ke y re l a ti o n sh i p s b e twe e n re l e a se , ch a n g e and
co n fi g u ra ti o n m a n a g e m e n t p ro ce sse s .

Chapter 1 7 Release and deployment management
Figure 1 1 – Relationship between the three processes
Benefits of release and deployment

Re l e a se and d e p l o ym e n t m a n a g e m e n t ca n p ro vi d e b e n e fi ts s u ch as
si g n i fi ca n t co st s a vi n g s a n d b e tte r co n tro l . Th i s i s o fte n a ch i e ve d b y:
• g ro u p i n g re l a te d ch a n g e s i n to a re l e a se fo r e ffi ci e n t i m p l e m e n ta ti o n ;
• sta n d a rd i z i n g th e re l e a se and d e p l o ym e n t a cti vi ti e s;
• a u to m a ti n g re l e a se and d e p l o ym e n t (o n ce th e re is a sta n d a rd
m e th o d ) ;
• re m o vi n g u n n e ce ssa ry a p p ro va l ste p s a n d h a n d o ffs;
• re d u ci n g manual a cti o n s th a t ca u se e rro rs a n d i n co n si ste n ci e s ;
• ch a n g i n g th e fre q u e n cy o f re l e a se s to m a xi m i z e re so u rce u ti l i z a ti o n ;
• ph a si n g d e p l o ym e n t to i m p ro ve th e i m p a ct o n cu s to m e rs a n d u s e rs.
E ffe cti ve re l e a se and d e p l o ym e n t m a n a g e m e n t re su l ts i n :
• h i g h e r s u cce s s ra te in d e l i ve ri n g n ew a n d ch a n g e d se rvi ce s;
• re d u ce d ri sk to th e b u si n e ss;
• no wa i ti n g ti m e o r re wo rk;
• fe w b a ck-o u ts;
• a s u cce s sfu l d e p l o ym e n t a cro ss th e u se r b a se on ti m e and to b u d g e t;
• ch e a p e r a n d stre a m l i n e d p ro ce ss th a t a l l p a rti e s u n d e rsta n d ;
• all CI s i n vo l ve d in a re l e a se a re tra ce a b l e and a u d i ta b l e ;
• i m p ro ve d sta ff, cu sto m e r a n d u se r sa ti s fa cti o n .

Stages of release and deployment

Re l e a se and d e p l o ym e n t m a n a g e m e n t co ve rs th e main a sp e cts o f:
• pl a n n i n g th e re l e a s e ;
• d e ve l o p m e n t o f a re l e a se to m e e t cu sto m e r a n d se rvi ce p ro vi d e r’s
n e e d s;
• d e p l o yi n g th e re l e a s e to ta rg e t l o ca ti o n s , b u si n e s s u n i ts, u s e rs o r
p l a tfo rm s .
Key point
Ca re sh ou l d be ta ke n to e n su re re l e a se m a n a g em en t d oes n ot
wo rk i n i so l a ti o n . Th i s i s b a d p ra cti ce and ca u se s i ssu e s. Pro j e cts
sh o u l d u se re l e a se and d e p l o ym e n t m a n a g e m e n t.
Th e p ro ce ss p ro vi d e s a n i n d epen d en t a n d i n te g ra te d i n te rfa ce wi th th e
re st o f th e SM S. Th i s i s i rre sp e cti ve o f wh e th e r th e te a m i m p l e m e n ti n g
th e re l e a se a l so p ro d u ce s th e re l e a se o r i s a n o th e r te a m .
I t i s re co m m e n d e d th a t a re l e a s e :
• co m p l i e s wi th th e a p p ro p ri a te sta n d a rd s;
• m e e ts th e re q u i re m e n ts o f th e b u s i n e ss a n d cu sto m e r;
• m e e ts th e se rvi ce p ro vi d e r’s re q u i re m e n ts ;
• a d d re s se s o p e ra ti o n a l i ssu e s a n d ri sks;
• i s d e p l o ye d wi th su i ta b l e n o ti ce to th o se i n vo l ve d o r a ffe cte d wi th
co m m u n i ca ti o n and tra i n i n g .
I n fo rm a ti o n on o p e ra ti o n a l i ss u e s, s u ch a s i n ci d e n ts , i s p a s se d to th e te a m
th a t p ro d u ce d th e re l e a se , fo r co rre cti o n o r cl a ssi fi ca ti o n as a kn o wn
e rro r.
Th e re l e a s e p o l i cy d e te rm i n e s th e wa y th e re l e a se i s pl a n n ed and d e fi n e d
a s th e fi rst s ta g e o f th e p ro ce ss . Th i s i s th e n fo l l o we d th ro u g h to th e
a cce p ta n ce te st sta g e . Afte r s u cce s sfu l a cce p ta n ce th e re l e a se i s d e p l o ye d
u n d e r a g re e d p l a n s. Th e fi n a l sta g e is a re vi e w o f th e e ffe cti ve n e ss o f th e
re l e a s e .
At a l l sta g e s th e re i s i n te g ra ti o n wi th th e p ro j e ct, te a m o r e xte rn a l
su p p l i e r th a t i s th e so u rce o f th e re l e a se . U p d a te s a re fe d b a ck to th e
ch a n g e a n d co n fi g u ra ti o n m a n a g e m e n t p ro ce sse s.

Release policy
A re l e a s e p o l i cy h e l p s to se t e xp e cta ti o n s o n th e n a tu re of a re l e a se and
wh e n a re l e a se wi l l be m o re a p p ro p ri a te th a n a se ri e s o f se p a ra te
ch a n g e s. Th e p o l i cy sta te s th e fre q u e n cy a n d typ e o f re l e a se s.
Th e fo l l o wi n g a re re co m m e n d e d a d d i ti o n s:
• d e fi n i ti o n o f e a ch typ e o f re l e a se i n cl u d i n g an e m e rg e n cy re l e a se ;
• i d e n ti fi ca ti o n sch e m e s fo r re l e a se s;
• ro l e s a n d re sp o n si b i l i ti e s fo r re l e a se m a n a g e m e n t;
• a u th o ri ty fo r th e m o ve i n to a cce p ta n ce te st a n d p ro d u cti o n
e n vi ro n m e n ts;
• ru l e s fo r u n i q u e i d e n ti fi ca ti o n and d e scri p ti o n of a l l re l e a s e s;
• a p p ro a ch to g ro u p i n g ch a n g e s i n to a re l e a se ;
• a g re e d a p p ro a ch to a u to m a ti n g to aid re p e a ta b i l i ty a n d e ffi ci e n cy,
e. g . pu l l ve rsu s p u sh d e p l o ym e n t;
• i d e n ti fi ca ti o n o f th e re l e a se and d e p l o ym e n t a p p ro a ch ;
• i d e n ti fi ca ti o n o f th e te sti n g a p p ro a ch ;
• ru l e s o n ve ri fi ca ti o n and a cce p ta n ce of a re l e a se .
The role of release manager
Key point
U n d e rsta n d i n g th e re l e a se p o l i cy m e a n s th a t a l l th o se i n vo l ve d
in th e d e p l o ym e n t o f a re l e a se a re a l so a bl e to pl a n and
b u d g e t fo r re so u rce s we l l in a d va n ce . I t i s th e re fo re e sse n ti a l
th a t so m e o n e wi th s u ffi ci e n t a u th o ri ty a n d re sp o n si b i l i ty fo r
th e re l e a se and d e p l o ym e n t m a n a g e m e n t p ro ce ss wo rks wi th
an e q u i va l e n t m a n a g e r i n vo l ve d in th e se rvi ce l e ve l
m a n a g e m e n t p ro ce ss. Th i s p e rso n i s re q u i re d to d e fi n e th e
a p p ro a ch and a g re e th i s wi th th e re l e va n t p a rti e s , s u ch a s th e
cu s to m e r.
Th e m a n a g e rs wh o n eed to wo rk cl o se l y to g e th e r h a ve ro l e s th a t a re
co m m on l y re fe rre d to a s th e ‘ re l e a se m a n a g e r’ , ‘ d e p l o ym e n t m a n a g e r’
and th e ‘ se rvi ce l e ve l m a n a g e r’ . A typ i ca l re l e a s e m a n a g e r i s i n vo l ve d in
th e p roce s s o n a d a y-to - d a y b a s i s. Th i s i n cl u d e s e n su ri n g th a t th e p ro ce ss
i s fo l l o we d and th a t re co rd s a n d p l a n s a re u p d a te d in th e co rre ct
ti m e s ca l e s a n d wi th th e co rre ct i n fo rm a ti o n . An e xa m p l e i s g i ve n in Ta b l e
21 .

Release policy
Table 21 – Roles and responsibilities for a release

Other roles involved in release management

Th e re a re o th e r ro l e s i n vo l ve d in re l e a se and d e p l o ym e n t m a n a g e m e n t,
so th e a cco u n ta b i l i ti e s a n d re sp o n si b i l i ti e s s h o u l d be cl e a r a s th e re l e a se
m o ve s fro m th e d e ve l o p m e n t a n d te st sta g e s i n to th e p ro d u cti o n
e n vi ro n m e n t. Th e co n fi g u ra ti o n m a n a g e m e n t p ro ce ss a s si sts wi th th i s b y
d o cu m e n ti n g th e sco p e o f th e re l e a s e m a n a g e m e n t ro l e s, a cco u n ta b i l i ti e s
and re sp o n si b i l i ti e s fo r e a ch CI typ e d u ri n g th e re l e a se and d e p l o ym e n t
cycl e . Co n fi g u ra ti o n m a n a g e m e n t i s d e scri b e d in Ch a p te r 1 5 .
Acco u n ta b i l i ti e s a n d re sp o n si b i l i ti e s a l so n eed to be cl e a r fo r ch a n g e s
th a t h a ve th e a d d i ti o n a l p ro te cti o n o f Pa rt 1 , Cl a u se 5. Th e se a re ch a n g e s
th a t h a ve th e p o te n ti a l to h a ve a m a j o r i m p a ct o n th e se rvi ce s o r th e
cu sto m e r. Th e re sh o u l d be no a m b i g u i ty a b o u t ‘ wh o d o e s wh a t a n d
wh e n ’ at all s ta g e s . Th e p e rso n wi th th e ro l e s o f tra n si ti o n m a n a g er or
re l e a se and d e p l o ym e n t m a n a g e r wi l l wo rk cl o s e l y wi th th e p e rso n wi th
th e ro l e o f s e rvi ce o wn e r o r s e rvi ce l e ve l m a n a g e r to e n su re th a t th e
tra n si ti o n co m p l e te s s u cce ssfu l l y.
Frequency of releases and deployments

Re d u ci n g th e fre q u e n cy o f re l e a se s ca n re d u ce d i sru p ti o n to th e l i ve
se rvi ce s s i g n i fi ca n tl y, and a l so re d u ce o ve rh e a d s a sso ci a te d wi th
managing re l e a se s. H o we ve r, th i s m i g h t n o t b e a cce p ta b l e to fa st m o vi n g
b u s i n e sse s wh e re s p e e d -to - m a rke t i s e sse n ti a l and th e b u si n e s s re q u i re s
d a i l y u p d a te s .
D i ffe re n t p a rts o f th e cu s to m e r’s b u si n e ss m a y a l so h a ve d i ffe re n t n e e d s,
e a ch n eed i n g to be m a n a g ed i n d i vi d u a l l y. F o r e xa m p l e , a m a rke ti n g
d e p a rtm e n t ca n re q u i re a re l e a se and d e p l o ym e n t e ve ry d a y wh e re a s a
fi n a n ci a l d e p a rtm e n t m a y p re fe r o n e e ve ry q u a rte r. Th e p o l i cy, p ro ce ss
and p ro ce d u re s a l s o n eed to ca te r fo r e m e rg e n cy re l e a se s.
Key point
Th e re ca n be a s i g n i fi ca n t i m p a ct o n th e cu sto m e r’s b u si n e ss ,
se rvi ce p ro vi d e r a n d s u p p l i e rs i f th e fre q u e n cy o f re l e a se s i s
i n a p p ro p ri a te . Wo rki n g wi th th e S LM p ro ce ss m i n i m i z e s th e ri sk
o f i n a p p ro p ri a te fre q u e n cy b e i n g u se d .

Release definition
Release and deployment approach

Pl a n n i n g wi l l d epen d on th e typ e o f re l e a s e bei n g d e ve l o p e d and th e
d e p l o ym e n t a p p ro a ch .
Typ i ca l e xa m p l e s th a t re q u i re a d i ffe re n t a p p ro a ch a re :
• n e w se rvi ce to ta rg e t b u si n e ss u n i ts, cu sto m e rs, u s e rs, p l a tfo rm s;
• d e skto p re l e a se to ta rg e t co m p u te rs a n d u se rs;
• m a i n fra m e a p p l i ca ti o n to ta rg e t b u s i n e ss u n i ts, cu sto m e rs , u s e rs;
• s e cu ri ty p a tch b y p l a tfo rm .
D i ffe re n t typ e s o f ch a n g e ca n be g ro u p e d i n to on e re l e a s e i f th e a m ou n t
o f ch a n g e i n vo l ve d ca n be h a n d l ed b y th e se rvi ce p ro vi d e r a n d i ts
cu sto m e r’s b u si n e ss . H o we ve r, i f m a n y i n d e p e n d e n t ch a n g e s a re g ro u p e d
i n to a re l e a se i t ca n be d i ffi cu l t to manage th e d e p e n d e n ci e s. I f to o fe w
ch a n g e s a re g ro u p e d i n to a re l e a s e th e n th e o ve rh e a d ca n be e xce s si ve
and i n e ffi ci e n t.
Agreeing an approach
Th e a p p ro a ch fo r th e typ e o f re l e a se n e e d s to be a g re e d wi th th e
cu sto m e rs a n d i n te re ste d p a rti e s. On e o p ti o n m a y be to p e rfo rm
co n se cu ti ve re l e a se s wi th all u s e rs u p g ra d e d . An o th e r o p ti o n m a y be to
p i l o t b e fo re th e fu l l d e p l o ym e n t. Th e l a tte r s ta rts th e pl a n n i n g fo r th e
n e xt re l e a s e o n ce th e p re vi o u s re l e a se is in p i l o t. Th i s p ro vi d e s th e
o p p o rtu n i ty fo r m o re fre q u e n t re l e a s e s.
In d i stri b u te d e n vi ro n m e n ts , i t i s o fte n l o we r ri sk to pi l ot a re l e a s e at a
fe w l o ca ti o n s b e fo re ro l l i n g ou t a n a p p l i ca ti o n , e. g . in on e co u n try
b e fo re d e p l o ym e n t i s d o n e g l o b a l l y. I t i s a l so co m m o n p ra cti ce to fre e z e
th e co n te n ts o f a re l e a se at a fi xe d i n te rva l b e fo re th e re l e a se is
i m p l e m e n te d .
For a l l n ew a n d ch a n g e d s e rvi ce s su b j e ct to Pa rt 1 , Cl a u se 5, th e pl a n
sh ou l d be d e ve l o p e d a s m o re i n fo rm a ti o n i s o b ta i n e d , p ro vi d i n g a b e tte r
u n d e rsta n d i n g o f th e m o st a p p ro p ri a te wa y o f re l e a si n g and d e p l o ym e n t.
F o r e xa m p l e , if a d e ta i l e d d e p l o ym e n t p l a n i s d e ve l o p e d nine m o n th s i n
a d va n ce th e re a re l i ke l y to be d i ffe re n ce s to th e co n te n ts, th e
e n vi ro n m e n t th a t wi l l re ce i ve th e re l e a s e and, in p a rti cu l a r, th e
cu sto m e r’s b u si n e ss n e e d s .
Release definition
Pa rt 1 re q u i re s th e re l e a s e d o cu m e n ta ti o n to re co rd :

• re l e a s e i d e n ti fi ca ti o n , wh i ch fo l l o ws n a m i n g and n u m b e ri n g
co n ve n ti o n s ;
• wh e th e r th e re l e a s e is an e m e rg e n cy re l e a se ;
• th e a ss o ci a te d d e l i ve ra b l e s fo r a re l e a se and d e p l o ym e n t;
• th e d e p l o ym e n t d a te s ;
• m e th o d o f d e p l o ym e n t;
• re l a te d re q u e s ts fo r ch a n g e th a t a re to be i m p l e m e n te d ;
• kn o wn e rro rs th a t a re fi xe d ;
• n e w kn o wn e rro rs o r p ro b l e m s i n th e n e w re l e a se ;
• a cce p ta n ce cri te ri a .
A g ood co n fi g u ra ti o n m a n a g e m e n t syste m wi l l h el p th e se rvi ce p ro vi d e r
to ke e p tra ck o f th e re l a ti o n s h i p s b e twe e n re co rd s. F o r e xa m p l e , th e
re co rd s th a t a re cre a te d to tra ck th e re q u e sts fo r ch a n g e fo r a n ew
re l ea s e and th e re l a te d CI s . Co n fi g u ra ti o n m a n a g e m e n t p ro vi d e s
i n fo rm a ti o n a b o u t th e se d o cu m e n ts, th e re l a ti o n sh i p s b e twe e n th e m and
th e sta tu s o f e a ch ch a n g e and CI .
Re l e a se m a n a g e m e n t m a y ch e ck ke y cri te ri a , fo r e xa m p l e :
• th e re l e a se has a cl e a rl y d e fi n e d sco p e ;
• re l e va n t b u s i n e ss o b j e cti ve s, p o l i ci e s , re q u i re m e n ts a n d p l a n s a re
i d e n ti fi e d ;
• th e se rvi ce re q u i re m e n ts a re u n a m bi g u ou s a n d ca n be
te ste d /m e a su re d ;
• o u tco m e s fro m o p e ra ti n g a n e w se rvi ce a re e xp re sse d in m e a su ra b l e
te rm s.
Release and deployment planning

Pa rt 1 re q u i re s th e s e rvi ce p ro vi d e r to pl a n wi th th e cu sto m e r a n d
i n te re ste d p a rti e s th e d e p l o ym e n t o f n e w o r ch a n g e d s e rvi ce s a n d se rvi ce
co m p o n e n ts i n to th e l i ve e n vi ro n m e n t. Pl a n n i n g sh o u l d be co -o rd i n a te d
wi th th e ch a n g e m a n a g e m e n t p ro ce ss a n d i n cl u d e th e d a te s fo r
d e p l o ym e n t o f e a ch re l e a se , th e a sso ci a te d d e l i ve ra b l e s a n d th e m e th o d s
o f d e p l o ym e n t.
I t i s b e st p ra cti ce fo r th e p l a n s fo r th e sa m e typ e o f re l e a se to co n ta i n
th e sa m e b a si c a cti vi ti e s e a ch ti m e , b e ca u se a co n si ste n t a p p ro a ch is
e a si e r to m a n a g e.
Typ i ca l co n si d e ra ti o n s fo r p l a n n i n g a re :
• sco p e and co n te n t o f th e re l e a se , i n cl u d i n g d e l i ve ra b l e s;
• ti m e and re so u rce s n e e d e d to p a cka g e , bu i l d , te st a n d d epl oy a
re l e a se ;
• se rvi ce s a n d s e rvi ce co m p o n e n ts to tra n sfe r, d e co m m i ss i o n o r re m o ve ,
i n cl u d i n g l i ce n ce s ;

Designing, building and configuring a release
• ti m e ta b l e fo r th e d e p l o ym e n t o f th e re l e a se ;
• ro l e s a n d re sp o n si b i l i ti e s fo r b u i l d i n g , te sti n g and d e p l o yi n g th e
re l e a se ;
• th e re l e a s e and d e p l o ym e n t p ro ce d u re s a n d m e th o d s;
• co m m u n i ca ti o n s p l a n n i n g a cti vi ti e s;
• a p p ro a ch to i d e n ti fy, tra ck a n d manage i s su e s d e te cte d ;
• te st p l a n s ;
• a p p ro a ch to managing co n tro l l e d te s t e n vi ro n m e n ts ;
• a p p ro a ch to managing a s se ts a cco rd i n g to a p p l i ca b l e p o l i ci e s;
• cri te ri a th a t th e re l e a se and d e p l o ym e n t sh o u l d be ve ri fi e d a g a i n st;
• a p p ro a ch to b a ck o u t o f o r re m e d i a ti o n fo r a n u n su cce ssfu l
d e p l o ym e n t a n d te sti n g su ch p l a n s.
Approving and communicating the plans

Pa rt 1 re q u i re s th a t th e d e p l o ym e n t p l a n s a re a g re e d wi th th e cu sto m e r
and all i n te re ste d p a rti e s . Th i s ca n be a ch i e ve d by u si n g a re q u e st fo r
ch a n g e fo r th e d e p l o ym e n t o f a re l e a s e , e n su ri n g th a t a l l re l e va n t p a rti e s
wi l l be i n fo rm e d .
Key point
Re so l u ti o n m a n a g e m e n t sta ff sh o u l d be a wa re o f th e p l a n s fo r
th e re l e a se and d e p l o ym e n t so th a t th e y ca n be p re p a re d , e. g .
tra i n i n g sta ff s o th e y ca n a n swe r q u e ri e s a fte r th e d e p l o ym e n t
of a re l e a s e .
Developing or acquiring software

I t i s re co m m e n d e d th a t so ftwa re re l e a se s sh o u l d be ch e cke d by
co n fi g u ra ti o n a u d i t a cti vi ti e s . An y so ftwa re ve rsi o n s a n d o th e r e l e ctro n i c
fi l e s sh o u l d be s to re d in co n fi g u ra ti o n m a n a g em en t a n d th e re l e va n t
s e cu re l i b ra ry.
Designing, building and configuring a release

Th e re l e a se and d i stri b u ti o n m e ch a n i sm s n e e d to be d e si g n e d to e n s u re
th a t th e i n te g ri ty o f h a rd wa re and s o ftwa re and o th e r se rvi ce
co m p o n e n ts a re p ro te cte d at all sta g e s. I t i s b e st p ra cti ce to :
• u se sta n d a rd re l e a se m a n a g e m e n t p ro ce d u re s a n d to o l s ;

• reduce manual steps that are error prone and costly;

• ensure that software licences can be managed and authorized;
• ensure that software licences will be redeployed where appropriate;
• ensure a release can be backed out of or remedied if unsuccessful;
• manage components using software libraries and related repositories;
• ensure the target platform satisfies prerequisites before installation;
• check a release for completeness when it reaches its destination;
• check that the build complies with the architecture and standards.
Part 1 includes neither requirements nor recommendations for

automation of deployment and distribution tools. However, some form of
automation is normally beneficial as it can reduce costs and the risks of a
mistake being made.
Controlled acceptance test environment

Part 1 requires the service provider to establish a controlled acceptance
test environment to build and test all releases prior to deployment into
production. The type of evidence that an auditor might seek is:
• configuration baseline report of the acceptance test environment;

• configuration baseline report of the production environment prior to
release;
• gap analysis on the acceptance test environment baseline and
production environment;
• configuration baseline report of the production environment after
the release.
Key point
The controlled acceptance test environment does not need to

be a dedicated physical environment. For example, a service
provider might not have an acceptance test environment but
have a maintenance time slot that allows enough time to use
the production server for the acceptance test prior to installing
the release.
This is acceptable as long as there is a well-tested back-out or

remediation plan should there be any issues.

CIs for a release
Rel ea se a ccepta n ce
Th e ch a n g e m a n a g e m e n t p ro ce ss re q u i re m e n ts g i ve n in Pa rt 1 , Cl a u se 9. 2
re q u i re th a t n e w o r ch a n g e d se rvi ce s a re a cce p te d by a l l re l e va n t p a rti e s,
e. g . th e cu s to m e r, s ta ke h o l d e rs, se rvi ce p ro vi d e r s ta ff a n d su p p l i e rs . It is
i m p o rta n t to ba se fo rm a l a p p ro va l on th e re su l ts o f th e a cce p ta n ce te st
u si n g a g re e d a cce p ta n ce cri te ri a b e fo re d e p l o ym e n t. Pro a cti ve se rvi ce
p ro vi d e rs wi l l e n su re th a t th e re l e a se re q u i re m e n ts a re a d d re sse d d u ri n g
th e d esi g n and d e ve l o p m e n t o f th e re l e a se .
I f th e a cce p ta n ce cri te ri a a re n o t m e t, th e se rvi ce p ro vi d e r wi l l n eed to
ta ke a d e ci s i o n on n e ce ssa ry a cti o n s a n d su b se q u e n t d e p l o ym e n t
a cti vi ti e s wi th i n te re ste d p a rti e s.
CI s for a rel ea se
I t i s re co m m e n d e d th a t a l l a s so ci a te d u p d a te s to d o cu m e n ta ti o n sh o u l d
be i n cl u d e d in th e re l e a se , e. g . b u si n e ss p ro ce sse s, s u p p o rt d o cu m e n ts
and S LAs.
Ad d i ti o n a l e xa m p l e s o f CI s a n d d o cu m e n ta ti o n th a t wo u l d be u n d er
co n fi g u ra ti o n m a n a g e m e n t a t th e a cce p ta n ce te st a n d re l e a s e -to -l i ve
s ta g e a re :
• re l e a se d e fi n i ti o n and re q u i re m e n ts so ch a n g e s a re made a g a i n st
th e s e ;
• e n vi ro n m e n t co n fi g u ra ti o n b a se l i n e , e. g . a cce p ta n ce te st;
• a p p l i ca ti o n co n fi g u ra ti o n b a se l i n e and re l e a s e ;
• tra i n i n g pl a n fo r s e rvi ce m a n a g e m e n t, su p p o rt s ta ff a n d cu s to m e rs;
• co m m u n i ca ti o n s p l a n (s) ;
• te st p l a n s ;
• b a ck-o u t/re m e d i a ti o n and co n ti n g e n cy p l a n s ;
• s e rvi ce m a n a g e m e n t d o cu m e n ta ti o n (i f n e w o r ch a n g e d s e rvi ce ) ;
• s u p p o rt d o cu m e n ta ti o n , e. g . su p p o rt p ro ce d u re s a n d a d m i n i stra ti o n
i n stru cti o n s ;
• bu i l d , re l e a se , i n s ta l l a ti o n and d i s tri b u ti o n p ro ce s se s a n d p ro ce d u re s;
• kn o wn e rro r l i st;
• re l e a se n o te (s) ;
• e vi d e n ce o f a cce p ta n ce te sti n g ;
• e vi d e n ce th a t th e re l e a se i s re a d y fo r re l e a se to l i ve .
Th e th re e sta g e s b e l o w p ro vi d e e xa m p l e s o f a cce p ta n ce ch e cks th a t a
s e rvi ce p ro vi d e r ca n p e rfo rm a t th e d e si g n and a cce p ta n ce sta g e s wh e n
i m p l e m e n ti n g a re l e a se (u s i n g co n fi g u ra ti o n m a n a g e m e n t ve ri fi ca ti o n
and a u d i t p ro ce d u re s) .
S ta g e: Rel ea se D esi g n a n d Bu i l d

• S e rvi ce and re l e a s e re q u i re m e n ts ca n be d e l i ve re d b y th e re l e a se
d e si g n
• As se ts i n th e re l e a se a re d e si g n e d to m e e t re g u l a to ry
re q u i re m e n ts a n d co n tra ctu a l o b l i g a ti o n s
• Th e bu i l d and re l e a se m e ch a n i sm s fo r d e p l o ym e n t a re e ffi ci e n t
and e ffe cti ve
• Tra i n i n g pl a n s a n d co m m u n i ca ti o n m e ch a n i sm s a re pl a n n ed
• Th e a cce p ta n ce te st p l a n ca n te st th e re q u i re m e n ts a n d d esi g n
cri te ri a
• Th e a cce p ta n ce cri te ri a ca n be te s te d
Stage: Before testing in the controlled acceptance test environment
• Th e co m m u n i ca ti o n s p l a n e n su re s a l l p a rti e s i n vo l ve d kn o w
a b o u t th e re l e a se
• Tra i n i n g i s pl a n n ed and fo r sta ff a n d u se rs to be i n vo l ve d in
a cce p ta n ce te sti n g
• S e rvi ce and CI d o cu m e n ta ti o n i s u n d e r co n fi g u ra ti o n
m a n a g em en t
• Th e CM D B , su p p o rti n g syste m s a n d to o l s h a ve been u p d a te d
Stage: Before and during deployment into live
• E vi d e n ce th a t te sti n g in th e a cce p ta n ce te st e n vi ro n m e n t i s
co m p l e te d and th e a cce p ta n ce cri te ri a h a ve been m et
• Re l e a se d o cu m e n ta ti o n i s co m p l e te and u n d e r co n fi g u ra ti o n
m a n a g em en t
• D e p l o ym e n t p l a n (s) a re a cce p te d by a l l re l e va n t p a rti e s (i f
a p p l i ca b l e )
• Co m m u n i ca ti o n s p l a n e n su re s a l l p a rti e s kn o w a b o u t th e re l e a se
and d e p l o ym e n t
• S ta ff a n d u se rs a re tra i n e d and re a d y
• S u ffi ci e n t su p p o rt re so u rce s h a ve been pl a n n ed (l i n k to ca p a ci ty
m a n a g e m e n t)
• Al l re l e a s e and d e p l o ym e n t d e l i ve ra b l e s a re u n d e r co n fi g u ra ti o n
m a n a g em en t
• E a ch d e p l o ym e n t i s a cce p te d b y th e re l e va n t p a rti e s b e fo re fi n a l
h a n d o ve r
Deployment of a release
H a vi n g e sta b l i sh e d p l a n s fo r th e re l e a se , th e re l e a se i s d e p l o ye d in a wa y
th a t e n su re s th a t th e i n te g ri ty o f h a rd wa re , so ftwa re and o th e r se rvi ce
co m p o n e n ts i s m a i n ta i n e d at all sta g e s.
Th i s i s d e p e n d e n t o n :

Post-deployment
• th e typ e and si z e o f th e cu s to m e r’s b u si n e s s a cti vi ti e s;
• th e n u m b e r o f u se rs /l o ca ti o n s (a n d ti m e z o n e s) ;
• a s so ci a te d s yste m typ e and si z e ;
• o th e r re l e a s e s o r ch a n g e s th a t a re a l so o ccu rri n g ;
• th e q u a l i ty a n d cu rre n cy o f co n fi g u ra ti o n m a n a g e m e n t i n fo rm a ti o n ;
• th e a va i l a b i l i ty (o r o th e rwi se ) o f to o l s fo r th e a u to m a ti o n o f th e
p ro ce s s.
Unsuccessful deployment
Th e a cti vi ti e s re q u i re d to re ve rse o r re m e d y u n su cce ssfu l d e p l o ym e n t o f a
re l e a se sh o u l d h a ve been pl a n n ed and te ste d . U n su cce ssfu l re l e a s e s n e e d
to be i n ve sti g a te d and a g re e d a cti o n s ta ke n .
Updating information
Th e re l e a se m a n a g e m e n t p ro ce s s s h o u l d i n cl u d e th e u p d a te s to
co n fi g u ra ti o n i n fo rm a ti o n th ro u g h o u t th e d e p l o ym e n t. Th e ch a n g e
m a n a g e m e n t p ro ce s s a ss e sse s th e i m p a ct o f re q u e sts fo r ch a n g e on
re l e a se s a n d p l a n s fo r d e p l o ym e n t. I n fo rm a ti o n a b o u t th e su cce ss o r
fa i l u re o f re l e a se s a n d fu tu re re l e a se d a te s i s re q u i re d b y th e ch a n g e
m a n a g e m e n t, i n ci d e n t a n d se rvi ce re q u e st m a n a g e m e n t p ro ce s se s.
Post-deployment
Pa rt 1 re q u i re s th e se rvi ce p ro vi d e r to m e a su re th e su cce ss o r fa i l u re of
re l e a se s b y m e a su ri n g th e i n ci d e n ts re l a te d to a re l e a se fo l l o wi n g
d e p l o ym e n t. Th i s i n cl u d e s a n a l ysi s o f th e i m p a ct o n th e cu sto m e r,
b u si n e s s, I T o p e ra ti o n s a n d su p p o rt sta ff re s o u rce s . Th i s i s typ i ca l l y i n p u t
i n to th e p o st- i m p l e m e n ta ti o n re vi e w o f th e re l e a se o r a sso ci a te d ch a n g e .
F e e d b a ck sh o u l d be g i ve n to th e p o st- i m p l e m e n ta ti o n re vi e w fo r th e
co rre sp o n d i n g ch a n g e re q u e st. Th e re su l ts a n d co n cl u si o n s d ra wn sh o u l d
be u se d to i d e n ti fy i m p ro ve m e n ts, su ch a s fi xe s fo r th e n e xt re l e a s e .

Chapter 1 8 Design and transition
of services
I n trod u cti on
This chapter describes the requirements in Part 1 , Clause 5 for new and
changed services starting at the design stage, going through the
transition stage and ending once the service is fully operational and
stable.
Organizations are constantly changing. There are many different types of

business change, including major changes such as business improvements,
legal and regulatory changes, mergers, acquisitions and divestitures. A
service provider that is capable of making changes quickly and reliably
for their customers and business provides significant business advantages.
A service provider needs to understand the existing services and the

environment within which existing services operate in order to
understand the risk and impact of changes. All changes carry some risk
and risk assessment and risk management are essential to delivery of
service. The correct and balanced application of the Part 1 SMS will
minimize risk without incurring an excessive overhead either before or
after changes are made.
Ch a n g es th a t cou l d h a ve a m a j or i m pa ct
The need for a new service or a change to a service can originate from
the customer, the service provider, an internal group or a supplier in
order to satisfy business needs or to improve the effectiveness of the
services.
Part 1 includes requirements for managing types of changes that by their

nature are high risk or have a major impact. Examples include changes
that will have a widespread impact, such as the deployment of a new
version of desktop software to thousands of users. Other examples
include changes to a system used by a small number of people that, if it
fails, could be life-threatening.
The three control processes, configuration, change and release and

deployment management, are at the core of managing all changes to the

Role of the control processes
SM S and se rvi ce s. Th e y a re fu n d a m e n ta l l y p ro a cti ve and e sse n ti a l to an
SM S. H o we ve r, so m e ti m e s , e ve n th e s e th re e p ro ce ss e s a re n ot en ou g h .
Ch a n g e s th a t h a ve th e p o te n ti a l to h a ve a m a j o r i m p a ct o n th e se rvi ce s
o r th e cu sto m e r ca n re q u i re th e e xtra p ro te cti o n o f Pa rt 1 , Cl a u se 5.
Th e se typ e s o f ch a n g e a re n o rm a l l y a p ro j e ct o r p ro g ra m m e o f p ro j e cts
th a t i n te rfa ce to th e SM S, wi th Pa rt 1 , Cl a u s e 5 d e fi n i n g th e wa y th a t
i n te rfa ce sh o u l d be m a n a g ed .
N ot a l l ch a n g e s, n o t e ve n all bi g ch a n g e s, re q u i re th e a d d i ti o n a l
p ro te cti o n o f Pa rt 1 , Cl a u se 5. A ch a n g e m a n a g e m e n t p o l i cy, a
re q u i re m e n t i n Pa rt 1 , Cl a u s e 9. 2, sh o u l d i n cl u d e cri te ri a th a t d e fi n e th e
typ e o f ch a n g e s to wh i ch Cl a u se 5 a p p l i e s. E a ch s e rvi ce p ro vi d e r m a y
h a ve d i ffe re n t vi e ws o n th e m o s t a p p ro p ri a te cri te ri a . F o r e xa m p l e , a
ch a n g e a ffe cti n g m o re th a n an a g re e d n u m b e r o f u se rs , o r m o re th a n an
a g re e d p e rce n ta g e o f o ffi ce l o ca ti o n s co u l d be p a rt o f th e cri te ri a . An y
ch a n g e th a t co u l d p u t th e se rvi ce p ro vi d e r a t ri sk o f b e i n g pen a l i zed
u n d e r d a ta p ro te cti o n l e g i sl a ti o n o r re g u l a ti o n s o n p ro o f o f fi n a n ci a l
p ro b i ty co u l d be o th e r fo rm s o f cri te ri a . Pa rt 1 , Cl a u se 5 re q u i re s th a t
re m o va l o r tra n sfe r o f a se rvi ce i s a l wa ys cl a ssi fi e d as a ch a n g e wi th
p o te n ti a l to h a ve a m a j o r i m p a ct a n d th e re fo re sh o u l d a l wa ys h a ve th e
a d d ed p ro te cti o n o f Cl a u se 5.
Key point
Wh e n a se rvi ce p ro vi d e r co n tra cts a n e w s u p p l i e r th e re ca n be
a h i g h e r th a n u su a l ri sk. Th e h i g h e r ri sk ca n co n ti n u e u n ti l th e
su p p l i e r i s fu l l y a wa re o f th e wa y th e se rvi ce p ro vi d e r o p e ra te s
and th e se rvi ce p ro vi d e r’s ro u ti n e e xp e cta ti o n s o f th e i r
su p p l i e rs. Wi th a n e w s u p p l i e r, sm a l l e r, l o we r-ri sk ch a n g e s ca n
be g i ve n th e a d d i ti o n a l p ro te cti o n o f Pa rt 1 , Cl a u se 5. O n ce th e
su p p l i e r h a s a p ro ve n tra ck re co rd i t i s a cce p ta b l e to d i sp e n se
wi th th e a d d i ti o n a l re q u i re m e n ts o f Cl a u se 5. In th i s ca se , th e
su p p l i e r i s m a n a g e d u si n g th e re q u i re m e n ts fo r g o ve rn a n ce in
Pa rt 1 , Cl a u se 4. 2 . Th e s e rvi ce p ro vi d e r wi l l a l so a p p l y th e
re q u i re m e n ts fo r su p p l i e r m a n a g e m e n t i n Pa rt 1 , Cl a u se 7.2.
Th i s wi l l i n cl u d e a p p o i n ti n g an i n d i vi d u a l to be re s p o n si b l e fo r
managing th e re l a ti o n s h i p , th e co n tra ct a n d p e rfo rm a n ce of
th e s u p p l i e r.
Role of the control processes

Th e s e rvi ce p ro vi d e r sh o u l d e n su re th a t th e s e rvi ce re q u i re m e n ts, pl a n s
and d e si g n , o n ce a cce p te d , sh ou l d be p ro g re s se d in a we l l -m a n a g e d and

Chapter 1 8 Design and transition of services
ti m e l y m a n n e r. As we l l a s Cl a u se 5, th e co n tro l p ro ce sse s i n Cl a u s e 9 h a ve
an i m p o rta n t ro l e . F o r e xa m p l e , th e se rvi ce re q u i re m e n ts a n d d e si g n wi l l
be co m p o s e d o f CI s a l re a d y i n u se o r th a t wi l l be a cq u i re d a s p a rt o f th e
d e ve l o p m e n t o f th e se rvi ce .
Th e CI s, wh i ch a re th e bu i l d i n g b l o cks u se d fo r th e d e ve l o p m e n t o f th e
n e w se rvi ce , sh o u l d be u n d e r th e co n tro l o f th e ch a n g e and
co n fi g u ra ti o n m a n a g e m e n t p ro ce s se s, a s we l l a s th e pl a n n i n g ,
d e ve l o p m e n t a n d i m p l e m e n ta ti o n co n tro l p ro vi d e d b y Pa rt 1 , Cl a u se 5.
N e w CI s sh o u l d be a d d ed to th e CM D B a s th e y a re u se d in th e
d e ve l o p m e n t, so th a t th e y ca n a l so be co n tro l l e d .
Key point
M o s t ch a n g e s th a t re q u i re th e a d d i ti o n a l p ro te cti o n o f Pa rt 1 ,
Cl a u se 5 re q u i re m e n ts a re a s e ri e s o f i n te rre l a te d ch a n g e s.
Th e s e sh o u l d be m a n a g ed and d e p l o ye d as a re l e a se , or
p o ss i b l y m o re th a n on e re l e a se .
The first step

Th e se rvi ce p ro vi d e r sh o u l d m a ke th e cri te ri a to m e e t th e re q u i re m e n ts
fo r Pa rt 1 , Cl a u se 5 ch a n g e s cl e a r to p ro g ra m m e and p ro j e ct
m a n a g e m e n t, e sta b l i sh e d su p p l i e rs, p o te n ti a l su p p l i e rs, and th e i r o wn
m a n a g e rs a n d p e rso n n e l . Th i s i s e sse n ti a l b e ca u se Cl a u s e 5 s ta rts wi th th e
ve ry e a rl i e st s ta g e of a n e w o r ch a n g e d se rvi ce and g e tti n g i n vo l ve d l a te r
ca n be to o l a te .
I d e n ti fi ca ti o n o f th e n eed fo r a n e w o r ch a n g e d s e rvi ce ca n o ri g i n a te
fro m m a n y d i ffe re n t g ro u p s a n d fo r m a n y d i ffe re n t re a s o n s. I t ca n s ta rt
as a se rvi ce p ro vi d e r- l e d i n i ti a ti ve , b u t ca n a l so co m e fro m th e cu s to m e r,
an i n te rn a l g ro u p wo rki n g cl o se l y wi th th e se rvi ce p ro vi d e r, or a s u p p l i e r.
Th e re a so n s fo r a n e w o r ch a n g e d s e rvi ce ca n be va ri e d a s we l l , e. g .
b u s i n e ss n e e d s, i m p ro vi n g e ffi ci e n cy, gaining co m p e ti ti ve a d va n ta g e or
e ve n p ro te cti o n fro m th e th re a t o f l e g a l a cti o n .
G e tti n g th e se rvi ce p ro vi d e r i n vo l ve d a fte r th e se rvi ce h a s been pl a n n ed
and d e si g n e d i s to o l a te fo r o p ti m a l ri s k m a n a g e m e n t. B ei n g i n vo l ve d
l a te l e a ve s th e se rvi ce p ro vi d e r wi th l e s s ti m e to pl a n and p re p a re . Th i s i s
e sp e ci a l l y th e ca se i f th e re a re o th e r ch a n g e s p l a n n e d fo r th e sa m e ti m e
th a t co u l d cre a te an u n a cce p ta b l e o ve ra l l ri s k. Th e n a tu re o f o th e r
ch a n g e s co u l d m ea n th a t b o th ch a n g e s ca n n o t b e d on e a t th e sa m e ti m e ,
h o we ve r i m p o rta n t th e y m i g h t b e .

Planning for design and transition
So who plans and designs?

A se rvi ce p ro vi d e r m a y o p t to pl a n and d e si g n all th e i r n e w a n d ch a n g e d
s e rvi ce s th e m se l ve s. Th i s i s p ro b a b l y th e si m p l e st wa y to i n te rfa ce p ro j e cts
to th e SM S, b e ca u s e all m a n a g e rs a n d p e rs o n n e l i n vo l ve d a re u n d e r th e
d i re ct co n tro l o f th e se rvi ce p ro vi d e r. H o we ve r, th e se a re ra re
ci rcu m sta n ce s – l i ke m a n y o th e r a sp e cts o f th e SM S, th e re a re n o rm a l l y
o th e r p a rti e s i n vo l ve d wh o a re o u tsi d e th e d i re ct co n tro l o f th e se rvi ce
p ro vi d e r.
N e w o r ch a n g e d se rvi ce s m a y i n vo l ve se ve ra l d i ffe re n t g ro u p s, p e rh a p s
e a ch wi th a sp e ci a l i sm re q u i re d fo r a l a rg e and co m p l e x se rvi ce .
Fi n a l i zi n g d e ci si o n s o n wh o i s i n vo l ve d re q u i re s ca re fu l co - o rd i n a ti o n and
an a s se ssm e n t o f th e re l a ti ve b e n e fi ts, co s ts a n d ri sks o f d i ffe re n t s u p p l y
m o d e l s.
Example – major change and interfacing with projects
An o rg a n i z a ti o n su ffe re d s i g n i fi ca n t i ssu e s d u ri n g p e ri o d s o f m a j o r
ch a n g e . Th e re su l ts we re p o o r q u a l i ty se rvi ce s th a t co s t m o re to
d e l i ve r a n d u se th a n o ri g i n a l l y e s ti m a te d . Al th o u g h th e se rvi ce
p ro vi d e r h a d e sta b l i sh e d th e Pa rt 1 co n tro l p ro ce sse s, p ro j e ct ch a n g e s
we re n ot i n sco p e o f th e SM S. O fte n , th e se rvi ce p ro vi d e r wa s n o t
en g a g ed e a rl y e n o u g h wi th e a ch p ro j e ct. N o ti fi ca ti o n o f p ro j e ct
ch a n g e s a n d re l e a se s we re u su a l l y l a te , i n cre a si n g th e ri sks o f
ch a n g e .
Th e s e rvi ce p ro vi d e r wo rke d wi th th e p ro j e ct m a n a g e m e n t o ffi ce , an
i n te rn a l g ro u p , to e sta b l i sh cl e a rl y d e fi n e d i n te rfa ce s, re vi e w a n d
h a n d o ve r p o i n ts th ro u g h o u t th e se rvi ce l i fe cycl e . Th e a u th o ri ty,
re sp o n si b i l i ti e s a n d co m m u n i ca ti o n s we re d e fi n e d b e twe e n al l
i n te re ste d p a rti e s, i n cl u d i n g cu sto m e rs a n d e xte rn a l su p p l i e rs . Th e
s e rvi ce p ro vi d e r’s to p m a n a g e m e n t a g re e d th e en g a g em en t a n d
co m m u n i ca ti o n m e ch a n i s m wi th p ro j e cts. To p m a n a g em en t
m a n d a te d th e i n te rfa ce s b e twe e n p ro j e cts a n d th e co n tro l p ro ce sse s .
S e rvi ce o wn e rs b e ca m e a cco u n ta b l e fo r se rvi ce a cce p ta n ce .
Ad o p ti n g se rvi ce l i fe cycl e p ra cti ce s a n d m e e ti n g th e Pa rt 1 , Cl a u se 5
re q u i re m e n ts fo r th e d e si g n and tra n si ti o n of n ew a n d ch a n g e d
s e rvi ce s e n a b l e d th e se rvi ce p ro vi d e r to re d u ce fa i l e d p ro j e ct ch a n g e s
wh i l s t i m p ro vi n g th e e s ti m a te d co st o f ch a n g e s. I t a l l o we d th e s e rvi ce
p ro vi d e r to m a i n ta i n , co n tro l and h a ve vi si b i l i ty o f th e sta te o f i ts
s e rvi ce s a n d co m p o n e n ts.
Planning for design and transition

In si m p l e te rm s a g ood pl a n d e l i ve rs wh a t i s n e e d e d , wh e n i t i s n eed ed ,
a t th e q u a l i ty e xp e cte d and a t th e co st a g re e d .

A ke y ste p i s to i d e n ti fy th e s e rvi ce re q u i re m e n ts fo r th e n e w o r ch a n g e d
se rvi ce s. Th e se sh o u l d be a g re e d b y th e se rvi ce p ro vi d e r, cu sto m e rs a n d
a n y i n te re ste d p a rti e s. F u rth e r i n fo rm a ti o n on s e rvi ce re q u i re m e n ts i s
p ro vi d e d in th e n e xt se cti o n . M e e ti n g th e a g re e d se rvi ce re q u i re m e n ts
th e n b e co m e s a ke y g o a l d u ri n g pl a n n i n g o f n e w o r ch a n g e d se rvi ce s ,
i n fl u e n ci n g wh a t i s p l a n n e d and th e wa y i t i s p l a n n e d .
Th e p l a n s ca n be co m p l e x a n d sh o u l d ta ke i n to a cco u n t a d i ve rse ra n g e
o f fa cto rs, all o f wh i ch ca n a ffe ct th e SM S, e. g . fu n d i n g fo r th e pl a n n i n g ,
d e si g n and d e ve l o p m e n t, tra n si ti o n i n to o p e ra ti o n a l ru n n i n g . Th e co st o f
o p e ra ti o n sh o u l d be co n si d e re d and b u i l t i n to th e b u d g e t. Th e wa y th e
co st o f o p e ra ti o n sh o u l d be pa i d fo r i s a l so re q u i re d fo r th e a cco u n ti n g
p ro ce ss, e. g . wi l l co sts b e a l l o ca te d o r a p p o rti o n e d , a s d e scri b e d in
Ch a p te r 1 1 .
A n e w se rvi ce ca n a l so re q u i re o rg a n i z a ti o n a l ch a n g e s, su ch as a n ew
sp e ci a l i s t su p p o rt g ro u p , d i ffe re n t sta ffi n g l e ve l s a n d ski l l s, d i ffe re n t
wo rki n g h o u rs o r sh i ft p a tte rn s . I n te ri m su p p o rt a rra n g e m e n ts ca n be
co n s i d e re d a d vi s a b l e fo r th e fi rst fe w we e ks o f o p e ra ti o n a l ru n n i n g , and
th i s a n d th e e ve n tu a l tra n sfe r to n o rm a l su p p o rt se rvi ce s n e e d to be
pl a n n ed fo r i n a d va n ce .
Th e te ch n i ca l i m p a ct o f a n e w o r ch a n g e d se rvi ce sh o u l d be co n si d e re d ,
e. g . th e ri sks fro m th e se rvi ce to S LAs, ch a n g e s n e e d e d to th e se rvi ce
ca ta l o g u e , e xte n si o n of a cu sto m e r sa ti s fa cti o n su rve y to co ve r th e n ew
se rvi ce and, i f re l e va n t, th e n e w u s e rs o f th e n e w s e rvi ce .
Ca pa ci ty m a n a g e m e n t wi l l be re q u i re d to m od el th e i m p a ct o f th e n ew
se rvi ce on p e rfo rm a n ce , p ro j e cti n g wo rkl o a d s so th a t th e ca p a ci ty p l a n
ca n be a d j u ste d and i f n e ce ss a ry h a rd wa re , so ftwa re and o th e r re so u rce s
u p g ra d e d .
Key point
Th e se rvi ce p ro vi d e r n e e d s a l so to pl a n fo r re m o vi n g se rvi ce s.
Pl a n n i n g i n cl u d e s th e d a te (s ) fo r th e re m o va l , a rch i vi n g ,
d i sp o sa l o r tra n sfe r o f d a ta , d o cu m e n ta ti o n and se rvi ce
co m p o n e n ts, i n cl u d i n g l i ce n ce s .
Pl a n n i n g fo r th e n e w o r ch a n g e d s e rvi ce s sh o u l d co n ta i n o r i n cl u d e a
re fe re n ce to a t l e a s t th e fo l l o wi n g :
• a u th o ri ti e s a n d re sp o n s i b i l i ti e s fo r d e si g n , d e ve l o p m e n t a n d
tra n si ti o n ;

Identifying service requirements
• a cti vi ti e s b y th e se rvi ce p ro vi d e r a n d o th e r p a rti e s i n cl u d i n g a cti vi ti e s
a cro ss i n te rfa ce s fro m th e s e rvi ce p ro vi d e r to o th e r p a rti e s ;
• co m m u n i ca ti o n to i n te re ste d p a rti e s;
• human, te ch n i ca l , i n fo rm a ti o n and fi n a n ci a l re so u rce s;
• ti m e sca l e s fo r p l a n n e d a cti vi ti e s ;
• i d e n ti fi ca ti o n , a s se ssm e n t a n d m a n a g e m e n t o f ri sks;
• d e p e n d e n ci e s o n o th e r se rvi ce s;
• te sti n g re q u i re d fo r th e n e w o r ch a n g e d s e rvi ce s;
• se rvi ce a cce p ta n ce cri te ri a ;
• e xp e cte d o u tco m e s fro m n e w o r ch a n g e d se rvi ce s, in m e a su ra b l e
te rm s;
• a n y i m p ro ve m e n ts to th e e ffe cti ve n e ss o f th e se rvi ce s.
Th e se rvi ce p ro vi d e r sh o u l d i d e n ti fy o th e r p a rti e s wh o wi l l co n tri b u te to
th e p ro vi s i o n o f s e rvi ce co m p o n e n ts fo r th e n e w o r ch a n g e d s e rvi ce s a n d
e va l u a te th e i r a b i l i ty to fu l fi l th e se rvi ce re q u i re m e n ts.
Th e re su l ts o f th e e va l u a ti o n n eed to be re co rd e d and n e ce ssa ry a cti o n s
ta ke n .
I d en ti fyi n g servi ce req u i rem en ts
Pa rt 1 d e fi n e s a s e rvi ce as a m e a n s o f d e l i ve ri n g va l u e to th e cu sto m e r b y
fa ci l i ta ti n g re su l ts th e cu s to m e r wa n ts to a ch i e ve wi th o u t th e o wn e rs h i p
o f sp e ci fi c co sts a n d ri sks. Th i s d e fi n i ti o n se ts a fo cu s fo r d e l i ve ri n g n ew
o r ch a n g e d se rvi ce s u n d e r th e re q u i re m e n ts o f Pa rt 1 , Cl a u se 5.
Th e d e si g n of a n e w o r ch a n g e d s e rvi ce sh o u l d be ba sed on th e n eed s of
th e peopl e wh o wi l l u se th e n e w se rvi ce and th o se th a t o p e ra te , s u p p o rt
and i m p ro ve i t. Th e re i s a fte r a l l no poi n t i n d e l i ve ri n g a s e rvi ce if it has
b a si c fl a ws th a t m e a n i t i s u n re l i a b l e to u se o r re su l ts i n so m e o n e bei n g
p ro se cu te d .
In Pa rt 1 , s e rvi ce re q u i re m e n ts a re b a se d on th e n e e d s o f th e cu sto m e r,
u se rs o f th e se rvi ce and th e se rvi ce p ro vi d e r. Th e y a l so i n cl u d e th e
i n te re ste d p a rti e s o f th e SM S su ch a s i n te rn a l g ro u p s a n d s u p p l i e rs.
Th e s e rvi ce re q u i re m e n ts n e e d to be cl e a rl y d e fi n e d b e ca u s e th e y a re
u se d a s th e b a si s o f th e se rvi ce a cce p ta n ce cri te ri a .
Key poi n t
Th e b u si n e ss re q u i re m e n ts sh o u l d be co n si d e re d a s i n p u ts wh e n
i d e n ti fyi n g th e se rvi ce re q u i re m e n ts.

Examples of business requirements include:
• vision and mission strategies;

• changes to the context, scope and cost of use of the service;
• corporate governance, statutory and regulatory requirements;
• contractual obligations;
• information security management objectives;
• human, financial, organizational and technical constraints.
Within the context of the business requirements, the scope of the service
requirements should cover a service in use and the way the service is to
be delivered.
Requirements for a service in use include what the service is, why it
would be used, when it is appropriate to use the service and where the
service can be used. These requirements are used to design the service.
Part 1 includes the following requirements that need to be identified:
• scope and description of the new or changed service to be delivered;

• desired results to enable value delivery for the customer;
• how and where the service will be used, e.g. customers, business
units;
• forecast demand for service;
• changes to the customer’s capabilities and resources required to use
the new or changed service;
• known limitations that constrain the use of the service;
• service level requirements to meet specifications including service
targets, workload characteristics and exceptions.
The service provider has a key role in defining the way the service is to
be delivered. This includes the way the service provider’s assets – both
capabilities and resources – will be used to plan, establish, implement,
operate, monitor, review, maintain and improve the service. Part 1
includes the following requirements for a new or changed service and
any changes required for the SMS:
• service continuity and availability requirements;

• capacity and performance requirements;
• information security requirements;
• authorities and responsibilities between service provider and
customers;
• contractual obligations;
• new or changed human resource requirements, including
requirements for appropriate education, training, skills and
experience;
• changes in financial arrangements;
• reporting and communication mechanisms.

What is a good design?
What is a good design?

A good design of a service solution needs to meet the business and
customer requirements within a particular context of use, whilst being
comprehensive and complete. Missing an element of service provision
from the design can result in a funding shortfall or risk to service
provision.
Early designs can be created in a burst of enthusiasm with ideas such as

functionally rich systems, a high level of automation and use of emerging
technology. The service provider might need to bring reality to the
discussions by explaining that the ideas are not as easy as first thought,
or too costly.
Key point
All interested parties need to be brought into the discussions

early to ensure that the design of the solution is accepted by all
those involved. Typical issues at this stage include: will the
service actually run in an operational environment? Will it be
possible to support it cost-effectively?
A structured approach to service design helps to ensure that the new or

changed service will be developed and transition into operations within
planned timescales, quality criteria and at the right cost.
Designing the service in use should include:
• changes to SLAs, contracts and other agreements to align with

changes in service requirements;
• updates to the catalogue of services;
• consideration of existing technology and architecture;
• activities to be performed by the customer and service provider;
• changes to support new or changed human resource requirements,
including appropriate education, training, skills and experience;
• reporting and communication mechanisms.
Designing the way the service is to be delivered should include:
• activities to be performed by each party;

• changes to the SMS;
• new or changed plans and policies as required by Part 1 ;
• procedures, measures and information for operation of the services;
• assets and licences to provide the service;

• fi n a n ci a l re so u rce re q u i re m e n ts fo r d e l i ve ry o f th e n e w o r ch a n g e d
se rvi ce s;
• n e w or ch a n g e d te ch n o l o g y to s u p p o rt th e SM S;
• all a ccep ta n ce cri te ri a .
Assessing the impact

In Pa rt 1 , th e s e rvi ce p ro vi d e r i s re s p o n si b l e fo r d e te rm i n i n g and
p ro vi d i n g th e human, te ch n i ca l , i n fo rm a ti o n and fi n a n ci a l re so u rce s
n eed ed to e n h a n ce cu sto m e r sa ti sfa cti o n b y d e l i ve ri n g s e rvi ce s th a t fu l fi l
se rvi ce re q u i re m e n ts. Th e re fo re , th e se rvi ce p ro vi d e r n e e d s to ta ke
n e ce ssa ry a cti o n s to e n su re th a t th e n e w o r ch a n g e d se rvi ce s ca n be
d e ve l o p e d and tra n si ti o n e ffe cti ve l y i n to o p e ra ti o n a l u se .
A u se fu l ste p i s to u se a ch e ckl i st fo r a ss e ssi n g th e i m p a ct o f n e w o r
ch a n g e d s e rvi ce s. An e xa m p l e i s g i ve n b e l o w.
Checklist for new or changed services
Pa rt 1 re q u i re m e n t – E xa m p l e o f a ss e ssm e n t q u e sti o n s
I m p a ct o n th e cu sto m e r
• Wi l l th e se rvi ce m e e t th e b u si n e s s a n d cu sto m e r e xp e cta ti o n s,
re q u i re m e n ts a n d d e si re d re su l ts?
• Wh a t a re th e ri sks i n u si n g th e se rvi ce ?
• I s th e re a n y i m p a ct o n th e cu sto m e r’s o rg a n i z a ti o n , cu s to m e r’s
e xi s ti n g p o l i ci e s, p ro ce sse s o r p ro ce d u re s?
• I s th e re a g ood co m m u n i ca ti o n pl a n ?
I m p a ct o n se rvi ce s
• Are th e re i m p l i ca ti o n s fo r e xi sti n g se rvi ce s, e. g . S LAs, fo rm a l
a g re e m e n ts, se rvi ce s, co n tra cts ?
• Ca n th e se rvi ce l e ve l s b e m e a su re d ?
• I s th e s e rvi ce a l i g n ed wi th th e I T a rch i te ctu re ?
• Are sta n d a rd s e rvi ce s a n d co n fi g u ra ti o n s u se d ?
• Wh a t a re th e ri sks to e xi s ti n g se rvi ce s?
• Ca n th e e xp e cte d re s u l ts fro m th e se rvi ce be m e a su re d ?
• I s th e re a n y i m p a ct o r ri sk o f n o t d o i n g th e ch a n g e ?
I m p a ct o n fi n a n ce s
• I s th e e s ti m a te d to ta l co st o f o wn e rsh i p a cce p ta b l e ?
• H a s th e bu d g et been u p d a te d to re fl e ct th e ch a n g e to th e
se rvi ce m a n a g e m e n t, o p e ra ti o n s a n d su p p o rt?

Assessing the impact
• I t th e re an i m p a ct o n th e e xi sti n g co s t o f ru n n i n g th e se rvi ce
ch a n g e , e. g . e xtra s ta ff fo r h a n d l i n g i n ci d e n ts?
• Is a h i g h e r vo l u m e o f i n ci d e n ts e xp e cte d d u ri n g fi rst m o n th s o f
o p e ra ti o n and h o w wi l l th i s b e fu n d e d ?
• Are th e re a n y m o re o p p o rtu n i ti e s fo r re d u ci n g co sts ?
I m p a ct o n human re s o u rce s
• I s th e re a n y i m p a ct o n ca p a ci ty a n d sta ff, e. g . do o u r s ta ff h a ve
th e ri g h t ski l l s a n d e xp e ri e n ce ?
• Do we n eed to re o rg a n i z e th e te a m s to d e l i ve r th e s e rvi ce ?
• I s th e re an i m p a ct o n th e s e rvi ce p ro vi d e r sta ff? F o r e xa m p l e , do
sta ff n e e d to m o ve l o ca ti o n s, wo rk d i ffe re n t h o u rs ?
I m p a ct o n s e rvi ce m a n a g e m e n t fra m e wo rk
• D o e s th e ch a n g e a ffe ct th e sco p e o f se rvi ce m a n a g e m e n t, e. g . by
i n cre a si n g th e cu sto m e r b a s e o r su p p o rte d l o ca ti o n s?
• I s th e re an i m p a ct o n e xi s ti n g p o l i ci e s , p ro ce ss e s, p ro ce d u re s,
d o cu m e n ts a n d re co rd s ?
• D o e s th e se rvi ce co m p l y wi th co rp o ra te g o ve rn a n ce , l eg a l and
re g u l a to ry re q u i re m e n ts?
• I s i t a l i g n ed wi th th e s e rvi ce m a n a g e m e n t sco p e , pl a n s a n d
re q u i re m e n ts fo r d e l i ve ri n g e ffi ci e n t a n d e ffe cti ve se rvi ce s?
• Ca n th e se rvi ce be m a n a g ed and co n tro l l e d a cro s s th e su ppl y
ch a i n ?
I m p a ct o n te ch n o l o g y
• D o e s th e n e w o r ch a n g e d se rvi ce i n tro d u ce n e w te ch n o l o g y? If
so , i s th e re a pl a n to i n tro d u ce th e n e w te ch n o l o g y?
• I s th e n e w o r ch a n g e d se rvi ce b a se d on sta n d a rd a rch i te ctu re s,
sta n d a rd co n fi g u ra ti o n s a n d s ta n d a rd b u i l d s?
• I s th e i m p a ct o n ca p a ci ty d e fi n e d ?
I m p a ct o n su ppl i er m a n a g em en t
• Are th e su p p l i e r m a n a g e m e n t re q u i re m e n ts a n d co n stra i n ts
a d d re ss e d ?
• I s th e re a n y a d d i ti o n a l i m p a ct o n su p p l i e r m a n a g e m e n t, co n tra ct
m a n a g em en t a n d th e i r i n te rfa ce s ?
• H a ve s u p p l i e rs b e e n a s se sse d fo r th e i r ca p a b i l i ty to su p p o rt a n d
co n tro l th e n e w o r ch a n g e d s e rvi ce ?
• H a ve a n y co n tra ct ch a n g e s b e e n i d e n ti fi e d ?

Are planning and design outputs acceptable?

Pa rt 1 re q u i re s th e s e rvi ce p ro vi d e r to re vi e w o u tp u ts fro m th e pl a n n i n g
and d e si g n a cti vi ti e s a g a i n s t th e a g re e d se rvi ce re q u i re m e n ts . B a se d on
th e re vi e w, th e se rvi ce p ro vi d e r s h o u l d a cce p t o r re j e ct th e o u tp u ts.
I t i s i m p o rta n t fo r e n o u g h ti m e to be made a va i l a b l e fo r a p p ro p ri a te l y
ski l l e d p e rso n n e l to a ss e ss th e o u tp u ts fro m th e pl a n and d e si g n
a cti vi ti e s, we l l b e fo re p ro p o sa l s a re fi n a l i z e d . Th e re vi e w sh o u l d i n cl u d e
re a ch i n g a vi e w o n wh e th e r th e pl a n s a n d d esi g n a re e xp e cte d to m eet
th e a g re e d se rvi ce re q u i re m e n ts.
Key point
In ba d l y m a n a g ed p ro j e cts, th e se rvi ce re q u i re m e n ts m i g h t n o t
be co n s i d e re d u n ti l a fte r th e pl a n s a n d d esi g n fo r a n e w se rvi ce
h a ve been p ro p o se d . F o r e xa m p l e , fo cu s co u l d h a ve been on
n e w fu n cti o n a l i ty, u se o f n o ve l te ch n o l o g y o r to g et a se rvi ce to
m a rke t a s q u i ckl y a s p o ssi b l e wi th no th o u g h t to l o n g -te rm
co n se q u e n ce . Th e peopl e i n vo l ve d m i g h t n o t h a ve re a l i z e d h ow
i m p o rta n t i t i s to d e si g n a se rvi ce so th a t i t wi l l a ctu a l l y m e e t
se rvi ce re q u i re m e n ts a n d n o t j u s t p ro vi d e s o p h i s ti ca te d
fu n cti o n a l i ty.
Th e re vi e w sh o u l d a l so co ve r h o w e ffe cti ve th e a ctu a l pl a n n i n g h a s been
– d o e s th e pl a n i n cl u d e ti m e sca l e s, d e p e n d e n ci e s, ro l e s a n d co s ts? I s th e re
en ou g h d e ta i l to kn o w wh a t wi l l be d e l i ve re d wh e n ? Ca n th e p ro p o sa l s
be ch e cke d a g a i n st se rvi ce re q u i re m e n ts o r h a ve th e y n o t b e e n p ro d u ce d
ri g o ro u s l y e n o u g h ?
An y ri sks o r u n ce rta i n ty sh o u l d be fo l l o we d up and re so l ve d p ro m p tl y. It
i s i n e vi ta b l e th a t a l l ch a n g e s i n vo l ve so m e ri s k, b u t si g n i fi ca n t ri sks sh o u l d
be u n d e rsto o d and a cce p te d i f th e y ca n n o t b e re m o ve d b y i m p ro ve m e n ts
to th e d e si g n o r p l a n s.
I f i t i s n o t p o ss i b l e to re so l ve i s su e s th a t re p re se n t a n u n a cce p ta b l e ri sk to
th e n e w se rvi ce o r th e e xi s ti n g se rvi ce , th e pl a n s a n d d e si g n sh o u l d be
re j e cte d . Th e a sse ss m e n t a n d re j e cti o n o f th e d e si g n and p l a n s ca n all to o
e a s i l y b e co m e a so u rce o f ti m e -wa sti n g and co u n te rp ro d u cti ve co n fl i ct.
To a vo i d th i s , th e fi n a l j u d g em en t on th e pl a n s a n d d esi g n sh o u l d be
made a g a i n st o b j e cti ve and m e a s u ra b l e cri te ri a . Th e cri te ri a sh o u l d be
a g re e d wi th th e p ro j e ct, in a d va n ce . Th e d e ci si o n wi l l sti l l be ve ry
u n p o p u l a r wi th th o se m a ki n g th e n e w s e rvi ce p ro p o sa l s, b u t a t l e a st i t
wi l l b e cl e a r o n wh a t b a si s th i s d e ci si o n h a s been m a d e.

Are planning and design outputs acceptable?
Checklist: planning and design
a) H a s i t been a g re e d wh o wi l l h a ve d e ci si o n - m a ki n g a u th o ri ty a t
e a ch sta g e o f th e pl a n n i n g and d e si g n ?
b) Are th e se rvi ce re q u i re m e n ts a cce p ta b l e ?
• H a ve all th e se rvi ce re q u i re m e n ts b e e n i d e n ti fi e d ,
d o cu m e n te d and fo rm a l l y a g re e d ?
• Do th e re q u i re m e n ts co ve r th e n e e d s o f cu sto m e rs a n d th e
se rvi ce p ro vi d e r?
• Do th e se rvi ce re q u i re m e n ts i n cl u d e th e se rvi ce l e ve l s,
co n ti n u i n g su p p o rt ski l l s, h o u rs , wo rkl o a d s, ca p a ci ty?
c) H a ve all th e se rvi ce i m p a cts b e e n co n si d e re d and a re th e y
a cce p ta b l e ?
• I s i t cl e a r wh a t ro l e wi l l be p l a ye d b y th e cu sto m e rs a n d
u se rs o f th e p ro sp e cti ve se rvi ce ?
• H a ve th e cu sto m e rs a cce p te d th e p ro j e cte d se rvi ce l e ve l s a n d
co sts, i n cl u d i n g th e co st m o d e l fo r a p p o rti o n i n g a n y sh a re d
se rvi ce co sts ?
• H a ve th e i m p l i ca ti o n s fo r th e se rvi ce ca ta l o g u e , S LAs a n d
se rvi ce co n ti n u i ty b e e n j u d g ed a cce p ta b l e ?
• Wi l l a n y n e w co n tra cts o r ch a n g e s to co n tra cts (a n d o th e r
d o cu m e n te d a g re e m e n ts) be re q u i re d to s u p p o rt th e n ew
se rvi ce ?
d) Are th e ch a n g e s to th e SM S a cce p ta b l e ?
• H a ve all ch a n g e s to th e SM S been i d e n ti fi e d and fo rm a l l y
a g re e d ?
• H a ve n e w o r ch a n g e d p ro ce d u re s, m e a s u re s a n d i n fo rm a ti o n
to be u se d fo r o p e ra ti o n o f th e n e w o r ch a n g e d se rvi ce s
been i d e n ti fi e d ?
• Are ch a n g e s to p o l i ci e s, p ro ce sse s a n d p ro ce d u re s
a cce p ta b l e ?
e) Are th e p l a n s co m p re h e n si ve and a cce p ta b l e ?
• Are th e re a n y m a j o r cl a sh e s i n th e ti m e ta b l e , e. g . an o ffi ce
re l o ca ti o n a t th e sa m e ti m e as a ke y sta g e in th e n e w se rvi ce
i m p l e m e n ta ti o n ?
• H a s th e ro l e o f th e Pa rt 1 , Cl a u se 9 co n tro l p ro ce s se s b e e n
co n s i d e re d and a l l o we d fo r i n th e pl a n s?
• Are th e n u m b e rs, ski l l s a n d e xp e ri e n ce o f su p p o rt sta ff
u n d e rs to o d and a l l o we d fo r i n th e pl a n – and wi l l th e
b u d g e t co ve r th i s ?
f) H a ve all th e co sts b e e n i n cl u d e d and a re th e y a cce p ta b l e ?
• H a s th e co st o f th e p ro j e ct (p l u s co n ti n g e n cy) been i n cl u d e d
in ca p i ta l b u d g e ts fo r th e ye a r th e co sts wi l l be i n cu rre d ?
• H a ve th e co sts o f th e i m p l e m e n ta ti o n and i m m e d i a te
p o s t-i m p l e m e n ta ti o n su p p o rt b e e n i n cl u d e d in b u d g e ts?
• H a ve th e co sts o f co n ti n u i n g s u p p o rt b e e n e sti m a te d ,
d i scu ss e d , a g re e d and i n cl u d e d in b u d g e ts?
g) Wh a t i s th e p ro p o se d su p p l y m o d e l and i s i t a cce p ta b l e ?

• I n -h o u se b y th e se rvi ce p ro vi d e r?
• U si n g e xte rn a l s ki l l s m a n a g e d b y th e se rvi ce p ro vi d e r?
• M u l ti p l e su p p l i e rs m a n a g e d b y th e s e rvi ce p ro vi d e r?
• A si n g l e l ea d su p p l i e r m a n a g i n g su b -co n tra cto rs?
h) I s th e se rvi ce p ro vi d e r o rg a n i z a ti o n en g a g ed and re a d y?
• Are th e se rvi ce p ro vi d e r’s o wn m a n a g e rs a n d p e rso n n e l
a wa re o f wh a t i s i n vo l ve d ?
• I s e ve ryo n e cl e a r a b o u t wh o i s re sp o n si b l e fo r wh a t –
e s p e ci a l l y th e m se l ve s?
• Wi l l th e s e rvi ce p ro vi d e r’s p e rso n n e l be a bl e to manage th e
s e rvi ce wi th th e p ro p o s e d su p p l y m o d e l ?
• Wi l l th e ch a n g e , re l e a se and d e p l o ym e n t p l a n s fi t wi th th e
s e rvi ce p ro vi d e r’s o th e r wo rk?
• I s i t cl e a r wh a t ro l e wi l l be p l a ye d b y o th e r p a rti e s, fo r
e xa m p l e i n te rn a l g ro u p s th a t wi l l co n tri b u te b u t a re n ot i n
th e sco p e o f th e SM S?
i) Are th e a cce p ta n ce cri te ri a O K?
• H a ve a cce p ta n ce cri te ri a been d e ve l o p e d b y th e se rvi ce
p ro vi d e r a n d do th e y co ve r th e ke y ri s ks to th e se rvi ce ?
• Do th e a cce p ta n ce cri te ri a co ve r b o th fu n cti o n a l i ty a sp e cts a s
we l l a s p e rfo rm a n ce a sp e cts o f th e n e w se rvi ce ?
• I s e ve ryo n e cl e a r o n th e wa y th e a cce p ta n ce cri te ri a wi l l be
u se d and wh o h a s th e a u th o ri ty to u se th e m ?
Transition of new or changed services

B e fo re a ctu a l i m p l e m e n ta ti o n o f th e s e rvi ce i t i s e sse n ti a l th a t th e se rvi ce
i s te ste d in a sa fe e n vi ro n m e n t, wh e re a n y d e fe cts ca n n o t a ffe ct th e
a ctu a l o p e ra ti o n a l s e rvi ce .
Te st p l a n s s h o u l d be d esi g n ed to ch e ck th a t th e a ctu a l se rvi ce d e ve l o p e d
m e e ts th e se rvi ce re q u i re m e n ts o ri g i n a l l y a g re e d .
I f th e d e si g n h a s been we l l d on e and ca re fu l l y ch e cke d b e fo re
d e ve l o p m e n t a n d th e s e rvi ce h a s been d e ve l o p e d a cco rd i n g to th e
a g re e d d e si g n , th e se rvi ce sh ou l d o p e ra te a s e xp e cte d .
I t i s e ss e n ti a l to h a ve b u i l t th e e xp e cte d fe a tu re s i n to a cce p ta n ce cri te ri a
to u se d u ri n g te sti n g . Th i s n o t o n l y m a ke s th e te sti n g s ta g e m o re
e ffe cti ve and fa ste r, b u t i t m e a n s e ve ryo n e i n vo l ve d u n d e rsta n d s i n
a d va n ce wh a t i s a cce p ta b l e , and wh a t i s n o t. Re j e cti o n o f th e se rvi ce if it
d o e s n o t m e e t th e a cce p ta n ce cri te ri a i s n o t th e n a sh o ck to a n y o f th o s e
i n vo l ve d .

Review for effectiveness
Key point
S e rvi ce a cce p ta n ce cri te ri a a re m o st e ffe cti ve wh e n wo rd e d in
o b j e cti ve and m e a su ra b l e te rm s. F o r e xa m p l e , th e ra te o f fa u l ts,
su p p o rt se rvi ce l e ve l s , speed o f re sp o n s e fo r a n on l i n e sys te m
and o ve ra l l su p p o rt co sts a re all e xa m p l e s.
In re a l i ty, a cce p ta n ce te sts re su l ts a re n o t u su a l l y a l l p e rfe ctl y m e t o r a l l
co m p l e te l y fa i l e d . M o st a re a m i xtu re o f a cce p ta b l e re s u l ts a n d l o we r
q u a l i ty th a n re q u i re d , e. g . m o re fa u l ts th a n e xp e cte d o r sl o we r
p e rfo rm a n ce th a n th e d esi g n i n d i ca te d wo u l d be a ch i e ve d . At th i s ti m e a
ro u n d o f d i scu ssi o n s i s a l m o st i n e vi ta b l e , in wh i ch o p ti o n s fo r i m p ro vi n g
d e fe cti ve fe a tu re s a re d e b a te d . Al m o s t i n e vi ta b l y th i s wi l l a l so i n vo l ve
ch a n g e s to e xp e cte d co sts a n d p o ss i b l y th e b u d g e ts fo r fu tu re ye a rs.
D u ri n g th e tra n si ti o n of a se rvi ce , th e re l e a se and d e p l o ym e n t p ro ce ss i s
u se d to d e p l o y ch a n g e s i n to th e l i ve e n vi ro n m e n t. Pa rt 1 , Cl a u se 9. 3
re q u i re s th a t th e su cce ss o r fa i l u re o f re l e a se s i s m o n i to re d and a n a l ys e d .
Th e re su l ts a n d co n cl u si o n s d ra wn fro m th e a n a l ys i s o f a d e p l o ym e n t
sh o u l d be re co rd e d and re vi e we d to i d e n ti fy o p p o rtu n i ti e s fo r
i m p ro ve m e n t.
Review for effectiveness

As fo r a n y l a rg e p ro j e ct o r p ro g ra m m e i t i s n e ce s sa ry to re vi e w th e
s tre n g th s a n d we a kn e sse s o f th e p ro j e ct, th e a ctu a l o u tco m e s co m p a re d
to th e e xp e cte d o u tco m e s. Th e stre n g th s a n d we a kn e s se s fro m th e
p ro j e ct a n d th e i n te rfa ce to th e SM S sh o u l d be co n s i d e re d fo r l e sso n s
l e a rn e d .
Wi th ch a n g e s o f th i s s ca l e and n a tu re a wi d e ra n g e o f m a n a g e rs a n d
p e rs o n n e l wi l l h a ve a n eed to kn o w th e re su l ts o f th e re vi e w. Th e se rvi ce
p ro vi d e r n e e d s to re p o rt th e o u tco m e s to i n te re s te d p a rti e s.

Ap p e n d i x A Te rm s a n d d e fi n i ti o n s
Th e fo l l o wi n g a re ta ke n fro m Pa rt 1 , Cl a u s e 3, wi th so m e fo rm a tti n g
ch a n g e s. F o r e xa m p l e , N O TE S h a ve been i n co rp o ra te d i n to th e a ctu a l
d e fi n i ti o n . Al l o th e r wo rd s i n th e 2 0 0 0 0 s e ri e s a re u se d in th e n o rm a l
E n g l i sh language sen se.
3.1 Ava i l a bi l i ty – a b i l i ty o f a se rvi ce o r s e rvi ce co m p o n e n t to p e rfo rm i ts
re q u i re d fu n cti o n at an a g re e d i n sta n t o r o ve r a n a g re e d p e ri o d o f ti m e .
Ava i l a b i l i ty i s n o rm a l l y e xp re s se d as a ra ti o o r p e rce n ta g e o f th e ti m e
th a t th e se rvi ce o r s e rvi ce co m p o n e n t i s a ctu a l l y a va i l a b l e fo r u s e b y th e
cu sto m e r to th e a g re e d ti m e th a t th e s e rvi ce sh o u l d be a va i l a b l e
3 . 2 Con fi g u ra ti on ba sel i n e – co n fi g u ra ti o n i n fo rm a ti o n fo rm a l l y
d e si g n a te d at a sp e ci fi c ti m e d u ri n g a s e rvi ce o r se rvi ce co m p o n e n t’s l i fe .
Co n fi g u ra ti o n b a se l i n e s, p l u s a p p ro ve d ch a n g e s fro m th o s e b a se l i n e s,
co n sti tu te th e cu rre n t co n fi g u ra ti o n i n fo rm a ti o n . Ad a p te d fro m
I S O /I E C I E E E 2 47 6 5
3 . 3 Con fi g u ra ti on i tem (CI ) – e l e m e n t th a t n e e d s to b e co n tro l l e d in o rd e r
to d e l i ve r a se rvi ce
3 . 4 Con fi g u ra ti on m a n a g em en t d a ta ba se (CM D B) – d a ta sto re u s e d to
re co rd a ttri b u te s o f co n fi g u ra ti o n i te m s, and th e re l a ti o n sh i p s b e twe e n
co n fi g u ra ti o n i te m s , th ro u g h o u t th e i r l i fe cycl e
3 . 5 Con ti n u a l i m provem en t – re cu rri n g a cti vi ty to i n cre a se th e a b i l i ty to
fu l fi l se rvi ce re q u i re m e n ts. Ad a p te d fro m I SO 9000: 2 005
3 . 6 Correcti ve a cti on – a cti o n to e l i m i n a te th e ca u se o r re d u ce th e
l i ke l i h o o d o f re cu rre n ce of a d e te cte d n o n co n fo rm i ty o r o th e r
u n d e si ra b l e si tu a ti o n . Ad a p te d fro m I SO 9000: 2 005
3 . 7 Cu stom er – o rg a n i z a ti o n o r p a rt o f a n o rg a n i z a ti o n th a t re ce i ve s a
se rvi ce (s) . A cu sto m e r ca n be i n te rn a l o r e xte rn a l to th e s e rvi ce p ro vi d e r’s
o rg a n i z a ti o n . Ad a p te d fro m I SO 9000: 2 005
3 . 8 D ocu m en t – i n fo rm a ti o n a n d i ts su p p o rti n g m e d i u m . F ro m
I SO 9 0 0 0 : 2 0 05
E XAM PLE Po l i ci e s, p l a n s, p ro ce s s d e scri p ti o n s, p ro ce d u re s, se rvi ce l e ve l
a g re e m e n ts, co n tra cts o r re co rd s . Th e d o cu m e n ta ti o n ca n be in a n y fo rm
o r typ e of m ed i u m . D o cu m e n ts , e xce p t fo r re co rd s , s ta te th e i n te n t to be
a ch i e ve d

Appendix A Terms and definitions
3 . 9 E ffecti ven ess – e xte n t to wh i ch p l a n n e d a cti vi ti e s a re re a l i z e d a n d
pl a n n ed re s u l ts a ch i e ve d . F ro m I SO 9000: 2 005
3 . 1 0 I n ci d en t – u n p l a n n e d i n te rru p ti o n to a s e rvi ce , a re d u cti o n in th e
q u a l i ty o f a se rvi ce or a n e ve n t th a t h a s n o t ye t i m p a cte d th e se rvi ce to
th e cu sto m e r
3. 1 1 I n form a ti on secu ri ty – p re se rva ti o n o f co n fi d e n ti a l i ty, i n te g ri ty a n d
a cce ssi b i l i ty o f i n fo rm a ti o n . In a d d i ti o n , o th e r p ro p e rti e s su ch as
a u th e n ti ci ty, a cco u n ta b i l i ty, n o n -re p u d i a ti o n and re l i a b i l i ty ca n a l so be
i n vo l ve d . Ad a p te d fro m I S O /I E C 2 7 0 00 : 2 0 0 9
3 . 1 2 I n form a ti on secu ri ty i n ci d en t – si n g l e o r a s e ri e s o f u n wa n te d o r
u n e xp e cte d i n fo rm a ti o n s e cu ri ty e ve n ts th a t h a ve a si g n i fi ca n t p ro b a b i l i ty
o f co m p ro m i s i n g b u s i n e ss o p e ra ti o n s a n d th re a te n i n g i n fo rm a ti o n
se cu ri ty. F ro m I S O /I E C 2 7 0 0 0 : 2 0 0 9
3 . 1 3 I n terested pa rty – p e rso n o r g ro u p h a vi n g a sp e ci fi c i n te re st i n th e
p e rfo rm a n ce o r s u cce s s o f th e se rvi ce p ro vi d e r’s a cti vi ty(i e s) . A g ro u p ca n
co m p ri se an o rg a n i z a ti o n , a p a rt th e re o f, o r m o re th a n on e o rg a n i z a ti o n
E XAM PLE Cu sto m e rs, o wn e rs , m a n a g e m e n t, peopl e in th e se rvi ce
p ro vi d e r’s o rg a n i z a ti o n , su p p l i e rs, b a n ke rs , u n i o n s o r p a rtn e rs.
Ad a p te d fro m I SO 9000: 2 005
3 . 1 4 I n tern a l g rou p – p a rt o f th e se rvi ce p ro vi d e r’s o rg a n i z a ti o n th a t
e n te rs i n to a d o cu m e n te d a g re e m e n t wi th th e se rvi ce p ro vi d e r to
co n tri b u te to th e d esi g n , tra n si ti o n , d e l i ve ry a n d i m p ro ve m e n t o f
se rvi ce s . Th e i n te rn a l g ro u p i s o u tsi d e th e sco p e o f th e se rvi ce p ro vi d e r’s
SM S
3 . 1 5 Kn own error – p ro b l e m th a t h a s a n i d e n ti fi e d ro o t ca u se o r a
m e th o d o f re d u ci n g o r e l i m i n a ti n g i ts i m p a ct o n th e se rvi ce s b y wo rki n g
a ro u n d it
3 . 1 6 N on con form i ty – n o n -fu l fi l m e n t o f a re q u i re m e n t. F ro m
I SO 9000: 2 005
3 . 1 7 O rg a n i za ti on – g ro u p o f p e o p l e a n d fa ci l i ti e s wi th an a rra n g e m e n t
o f re sp o n si b i l i ti e s, a u th o ri ti e s a n d re l a ti o n s h i p s. Th e a rra n g e m e n t i s
g e n e ra l l y o rd e rl y. An o rg a n i z a ti o n ca n be p u b l i c o r p ri va te
E XAM PLE Co m p a n y, co rp o ra ti o n , fi rm , e n te rp ri se , i n sti tu ti o n , ch a ri ty, so l e
tra d e r, a sso ci a ti o n , o r p a rts o r co m b i n a ti o n th e re o f. F ro m I SO 9 0 0 0: 2 0 0 5
3 . 1 8 Preven ti ve a cti on – a cti o n to a vo i d o r e l i m i n a te th e ca u se o r re d u ce
th e l i ke l i h o o d o f o ccu rre n ce of a p o te n ti a l n o n co n fo rm i ty o r o th e r
p o te n ti a l u n d e si ra b l e si tu a ti o n . Ad a p te d fro m I SO 9000: 2 005
3 . 1 9 Probl em – ro o t ca u se o f o n e o r m o re i n ci d e n ts. Th e ro o t ca u se i s n ot
u s u a l l y kn o wn a t th e ti m e a p ro b l e m re co rd i s cre a te d and th e p ro b l e m
m a n a g e m e n t p ro ce s s i s re sp o n si b l e fo r fu rth e r i n ve sti g a ti o n

3.20 Procedure – s p e ci fi e d wa y to ca rry o u t a n a cti vi ty o r a p ro ce ss.
Pro ce d u re s ca n be d o cu m e n te d o r n o t. F ro m I SO 9000: 2 005
3.21 Process – se t o f i n te rre l a te d o r i n te ra cti n g a cti vi ti e s wh i ch tra n sfo rm s
i n p u ts i n to o u tp u ts. F ro m I SO 9 0 00 : 2 0 0 5
3.22 Record – d o cu m e n t sta ti n g re su l ts a ch i e ve d o r p ro vi d i n g e vi d e n ce of
a cti vi ti e s p e rfo rm e d . F ro m I SO 9000: 2 005
E XAM PLE Au d i t re p o rts, i n ci d e n t re p o rts, tra i n i n g re co rd s o r m i n u te s o f
m e e ti n g s
3.23 Release – co l l e cti o n of on e o r m o re n e w o r ch a n g e d co n fi g u ra ti o n
i te m s d e p l o ye d i n to th e l i ve e n vi ro n m e n t a s a re su l t o f o n e o r m o re
ch a n g e s
3.24 Request for change – p ro p o s a l fo r a ch a n g e to be made to a se rvi ce ,
se rvi ce co m p o n e n t o r th e SM S. A ch a n g e to a s e rvi ce i n cl u d e s th e
p ro vi si o n of a n e w se rvi ce o r th e re m o va l of a se rvi ce wh i ch is no l on g er
re q u i re d
3.25 Risk – e ffe ct o f u n ce rta i n ty o n o b j e cti ve s . An e ffe ct i s a d e vi a ti o n
fro m th e e xp e cte d – p o si ti ve a n d /o r n e g a ti ve . O b j e cti ve s ca n h a ve
d i ffe re n t a s p e cts (s u ch a s fi n a n ci a l , h e a l th and s a fe ty, and e n vi ro n m e n ta l
g o a l s) and ca n a p p l y a t d i ffe re n t l e ve l s (su ch a s s tra te g i c,
o rg a n i z a ti o n -wi d e , p ro j e ct, p ro d u ct a n d p ro ce s s) . Ri s k i s o fte n
ch a ra cte ri z e d b y re fe re n ce to p o te n ti a l e ve n ts a n d co n se q u e n ce s , or a
co m b i n a ti o n o f th e se . Ri sk i s o fte n e xp re sse d in te rm s o f a co m b i n a ti o n
o f th e co n se q u e n ce s o f a n e ve n t (i n cl u d i n g ch a n g e s i n ci rcu m sta n ce s) and
th e a ss o ci a te d l i ke l i h o o d o f o ccu rre n ce . F ro m I SO 3 1 000: 2 009
3.26 Service – m e a n s o f d e l i ve ri n g va l u e fo r th e cu sto m e r b y fa ci l i ta ti n g
re su l ts th e cu sto m e r wa n ts to a ch i e ve . S e rvi ce i s g e n e ra l l y i n ta n g i b l e and
ca n be d e l i ve re d to th e se rvi ce p ro vi d e r b y a su p p l i e r, an i n te rn a l g ro u p
or a cu s to m e r a cti n g as a su p p l i e r
3.27 Service component – si n g l e u n i t of a se rvi ce th a t wh e n co m b i n e d
wi th o th e r u n i ts wi l l d e l i ve r a co m p l e te se rvi ce . A se rvi ce co m p o n e n t ca n
co n si st o f o n e o r m o re co n fi g u ra ti o n i te m s
E XAM PLE H a rd wa re , so ftwa re , to o l s, a p p l i ca ti o n s, d o cu m e n ta ti o n ,
i n fo rm a ti o n , p ro ce s se s o r su p p o rti n g se rvi ce s
3.28 Service continuity – ca p a b i l i ty to manage ri s ks a n d e ve n ts th a t co u l d
h a ve se ri o u s i m p a ct o n se rvi ce s i n o rd e r to co n ti n u a l l y d e l i ve r se rvi ce s a t
a g re e d l e ve l s
3.29 Service level agreement (SLA) – d o cu m e n te d a g re e m e n t b e twe e n
th e s e rvi ce p ro vi d e r a n d cu sto m e r th a t i d e n ti fi e s se rvi ce s a n d se rvi ce
ta rg e ts . A s e rvi ce l e ve l a g re e m e n t ca n a l so be e sta b l i sh e d b e twe e n th e
se rvi ce p ro vi d e r a n d a su p p l i e r, an i n te rn a l g ro u p or a cu sto m e r a cti n g as

a su p p l i e r. A s e rvi ce l e ve l a g re e m e n t ca n be i n cl u d e d in a co n tra ct o r
a n o th e r typ e o f d o cu m e n te d a g re e m e n t
3.30 Service management – se t o f ca p a b i l i ti e s a n d p ro ce sse s to d i re ct a n d
co n tro l th e s e rvi ce p ro vi d e r’s a cti vi ti e s a n d re so u rce s fo r th e d e si g n ,
tra n si ti o n , d e l i ve ry a n d i m p ro ve m e n t o f se rvi ce s to fu l fi l th e se rvi ce
re q u i re m e n ts
3.31 Service management system (SMS ) – m a n a g e m e n t syste m to d i re ct
and co n tro l th e se rvi ce m a n a g e m e n t a cti vi ti e s o f th e se rvi ce p ro vi d e r. A
m a n a g e m e n t syste m is a s e t o f i n te rre l a te d o r i n te ra cti n g e l e m e n ts to
e s ta b l i sh p o l i cy a n d o b j e cti ve s a n d to a ch i e ve th o s e o b j e cti ve s. Th e SM S
i n cl u d e s a l l se rvi ce m a n a g e m e n t p o l i ci e s, o b j e cti ve s, p l a n s, p ro ce sse s,
d o cu m e n ta ti o n and re so u rce s re q u i re d fo r th e d e si g n , tra n s i ti o n , d e l i ve ry
and i m p ro ve m e n t o f se rvi ce s a n d to fu l fi l th e re q u i re m e n ts i n th i s p a rt o f
I S O /I E C 2 0 0 0 0 . Ad a p te d fro m th e te rm q u a l i ty m a n a g e m e n t syste m in
I SO 9000: 2 005
3.32 Service provider – o rg a n i z a ti o n o r p a rt o f a n o rg a n i z a ti o n th a t
m a n a g es a n d d e l i ve rs se rvi ce s to th e cu sto m e r. A cu s to m e r ca n be
i n te rn a l o r e xte rn a l to th e se rvi ce p ro vi d e r’s o rg a n i z a ti o n
3.33 Service request – re q u e st fo r i n fo rm a ti o n , a d vi ce , a cce ss to a se rvi ce
or a p re -a p p ro ve d ch a n g e
3.34 Service requirement – n e e d s o f th e cu sto m e r a n d th e u se rs o f th e
se rvi ce , i n cl u d i n g se rvi ce l e ve l re q u i re m e n ts, and th e n e e d s o f th e se rvi ce
p ro vi d e r
3.35 Supplier – o rg a n i z a ti o n o r p a rt o f a n o rg a n i z a ti o n th a t i s e xte rn a l to
th e se rvi ce p ro vi d e r’s o rg a n i z a ti o n and e n te rs i n to a co n tra ct wi th th e
se rvi ce p ro vi d e r to co n tri b u te to th e d e si g n , tra n si ti o n , d e l i ve ry a n d
i m p ro ve m e n t o f se rvi ce s o r p ro ce s se s. S u p p l i e rs i n cl u d e d e si g n a te d l ea d
su p p l i e rs b u t n o t th e i r su b -co n tra cte d s u p p l i e rs
3.36 Top management – p e rso n o r g ro u p of peopl e wh o d i re ct a n d
co n tro l th e s e rvi ce p ro vi d e r a t th e h i g h e st l e ve l . Ad a p te d fro m
I SO 9000: 2 005
3.37 Transition – a cti vi ti e s i n vo l ve d in m o vi n g a n e w o r ch a n g e d se rvi ce
to o r fro m th e l i ve e n vi ro n m e n t

Ap p e n d i x B 2 0 0 0 0 se ri e s
Part 1 contents
Th e n u m b e rs i n b ra cke ts a re th e n u m b e r o f wo rd s/n u m b e r o f
re q u i re m e n ts (‘ sh a l l s’ ) fo r e a ch cl a u se o r su b cl a u se . Pa rt 2 h a s th e sa m e
stru ctu re a s Pa rt 1 .
F o re wo rd (3 2 2 /0 )
I n tro d u cti o n (5 40 /0 )
1 . S co p e
1 .1 G e n e ra l (2 41 /0 )
1 .2 Ap p l i ca ti o n (2 2 8 /0 )
2 N o rm a ti ve re fe re n ce s (6 5 /0 )
3 Te rm s a n d d e fi n i ti o n s (1 3 2 9 /0 )
4 S e rvi ce m a n a g e m e n t s yste m g e n e ra l re q u i re m e n ts
4. 1 M a n a g e m e n t re sp o n s i b i l i ty (3 3 8 /4)
4. 2 G o ve rn a n ce o f p ro ce ss e s o p e ra te d b y o th e r p a rti e s (1 6 0 /4)
4. 3 D o cu m e n ta ti o n m a n a g e m e n t (3 0 3 /8 )
4. 4 Re s o u rce m a n a g e m e n t (1 42 /3 )
4. 5 E sta b l i sh th e SM S (1 1 1 9 /42 )
5 D e si g n and tra n s i ti o n o f n e w o r ch a n g e d se rvi ce s
5. 1 G e n e ra l (2 1 8 /7 )
5. 2 Pl a n n e w o r ch a n g e d se rvi ce s (2 9 3 /1 1 )
5. 3 D e si g n and d e ve l o p m e n t o f n e w o r ch a n g e d se rvi ce s (2 1 6 /3 )
5 . 4 Tra n si ti o n o f n e w o r ch a n g e d s e rvi ce s (1 1 4/5 )
6 S e rvi ce d e l i ve ry p ro ce ss e s
6. 1 S e rvi ce l e ve l m a n a g e m e n t (2 3 4/1 1 )
6. 2 S e rvi ce re p o rti n g (1 6 6 /5 )
6. 3 S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t (3 49 /1 8 )
6 . 4 B u d g e ti n g and a cco u n ti n g fo r se rvi ce s (1 6 4/5 )
6. 5 Ca p a ci ty m a n a g e m e n t (1 46 /6 )
6. 6 I n fo rm a ti o n se cu ri ty m a n a g e m e n t (3 6 2 /1 4)
7 Re l a ti o n sh i p p ro ce sse s
7.1 B u si n e ss re l a ti o n s h i p m a n a g e m e n t (2 2 2 /1 4)
7.2 S u p p l i e r m a n a g e m e n t (3 7 5 /1 2 )
8 Re so l u ti o n p ro ce sse s
8. 1 I n ci d e n t a n d s e rvi ce re q u e s t m a n a g e m e n t (2 6 3 /1 4)
8. 2 Pro b l e m m a n a g e m e n t (1 6 0 /9 )
9 Co n tro l p ro ce s se s
9. 1 Co n fi g u ra ti o n m a n a g e m e n t (2 9 5 /1 5 )

Part 1 contents
9.2 Change management (41 0/24)

9.3 Release and deployment management (391 /22)

Appendix B 20000 series
Part 3 contents
F o re wo rd
I n tro d u cti o n
1 S co p e
2 N o rm a ti ve re fe re n ce s
3 Te rm s a n d d e fi n i ti o n s
4 F u l fi l l i n g th e re q u i re m e n ts sp e ci fi e d in I S O /I E C 2 0 0 0 0 -1
5 Ap p l i ca b i l i ty o f I S O /I E C 2 0 0 0 0 -1
5. 1 I n tro d u cti o n
5. 2 G o ve rn a n ce o f p ro ce ss e s o p e ra te d b y o th e r p a rti e s
5. 3 Th e e xte n t o f te ch n o l o g y u se d to d e l i ve r se rvi ce s
6 G e n e ra l p ri n ci p l e s fo r a n SM S sco p e
6. 1 I n tro d u cti o n
6. 2 I n te g ra ti n g or a l i g n i n g wi th o th e r m a n a g e m e n t s yste m s
6. 3 Th e sco p e o f th e SM S
6 . 4 S e rvi ce co n tra cts b e twe e n cu sto m e rs a n d th e se rvi ce p ro vi d e r
6. 5 S co p e d e fi n i ti o n p a ra m e te rs
6. 6 Ch a n g i n g th e s co p e
6. 7 S u p p l y ch a i n s a n d SM S sco p e
An n e x A (i n fo rm a ti ve ) Main p o i n ts o n a p p l i ca b i l i ty o f I S O /I E C 2 0 0 0 0 -1 ,
sco p e d e fi n i ti o n o f th e SM S and co n fo rm i ty to I S O /I E C 2 00 0 0 - 1
A. 1 G e n e ra l
A. 1 . 1 M u l ti p l e l eg a l e n ti ti e s
A. 1 . 2 Co m m e rci a l sta tu s
A. 1 . 3 Pro ce ss n a m e s
A. 1 . 4 I n cl u si o n s a n d e xcl u si o n s
A. 1 . 5 Au th o ri ti e s a n d re sp o n s i b i l i ti e s
A. 1 . 6 I n te rfa ce s a n d p ro ce ss i n te g ra ti o n
A. 1 . 7 E vi d e n ce o f co n fo rm i ty
A. 1 . 8 Pa ra m e te rs fo r sco p e sta te m e n ts
A. 1 . 9 E xte n d i n g th e sco p e
An n e x B (i n fo rm a ti ve ) E xa m p l e s o f sco p e sta te m e n ts
B.1 G e n e ra l (1 5 sco p e d e fi n i ti o n sce n a ri o s)
B i b l i o g ra p h y

Part 4 Contents
Part 4 Contents
F o re wo rd
I n tro d u cti o n
1 S co p e
4 O ve rvi e w o f th e PRM
5 Pro ce ss d e scri p ti o n s
5. 1 G e n e ra l
5. 2 Au d i t
5. 3 B u d g e ti n g and a cco u n ti n g fo r I T se rvi ce s
5 . 4 B u si n e ss re l a ti o n sh i p m a n a g em en t
5. 5 Ca p a ci ty m a n a g e m e n t
5 . 6 Ch a n g e m a n a g em en t
5. 7 Co n fi g u ra ti o n m a n a g em en t
5. 8 H um an re so u rce m a n a g em en t
5. 9 I m p ro ve m e n t
5 . 1 0 I n ci d e n t m a n a g e m e n t a n d re q u e st fu l fi l m e n t
5. 1 1 I n fo rm a ti o n i te m m a n a g em en t
5. 1 2 I n fo rm a ti o n s e cu ri ty m a n a g e m e n t
5. 1 3 M a n a g e m e n t re vi e w
5 . 1 4 M e a su re m e n t
5. 1 5 O rg a n i z a ti o n a l m a n a g em en t
5 . 1 6 Pro b l e m m a n a g em en t
5. 1 7 Re l e a se and d e p l o ym e n t m a n a g e m e n t
5 . 1 8 Ri s k m a n a g e m e n t
5. 1 9 S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t
5 . 2 0 S e rvi ce d e si g n
5. 21 S e rvi ce l e ve l m a n a g em en t
5. 22 S e rvi ce pl a n n i n g and m o n i to ri n g
5. 23 S e rvi ce re p o rti n g
5 . 2 4 S e rvi ce re q u i re m e n ts
5. 25 S e rvi ce tra n s i ti o n
5. 2 6 SM S e s ta b l i sh m e n t a n d m a i n te n a n ce
5. 27 Su ppl i er m a n a g em en t
An n e x A (i n fo rm a ti ve ) S ta te m e n t o f co n fo rm i ty to I S O /I E C 1 5 5 0 4- 2

Appendix B 20000 series
Part 5 Contents
F o re wo rd
I n tro d u cti o n
1 S co p e
4 B e n e fi ts o f a ph a sed a p p ro a ch
5 Ap p ro a ch
5. 1 O ve rvi e w
5. 2 Ke y co n s i d e ra ti o n s
5. 3 U n d e rsta n d i n g I S O /I E C 2 0 0 0 0 -1
5 . 4 S co p e and a p p l i ca b i l i ty
5. 5 Ch a n g e s to sco p e
5. 6 D e ve l o p i n g th e b u s i n e ss ca se
5. 7 Pro j e ct su p p o rt a n d co m m i tm e n t
5. 8 G ap a n a l ys i s
5. 9 I m p l e m e n ta ti o n g o ve rn a n ce
5. 1 0 Pro j e ct re a d i n e ss
5. 1 1 Pro j e ct te a m
6 O ve rvi e w o f p h a se s
7 Ta xo n o m y o f e a ch p h a se
7.1 O b j e cti ve s o f e a ch p h a se
7.2 Ke y ch a ra cte ri sti cs o f e a ch p h a se
8 Po st- i m p l e m e n ta ti o n
8. 1 Co n ti n u i n g g o ve rn a n ce o f th e SM S and i m p ro vi n g se rvi ce
8. 2 Pl a n -D o - Ch e ck-Act
8. 3 I n te rfa ce s to p ro j e cts fo r n e w a n d ch a n g e d se rvi ce s
An n e x A (i n fo rm a ti ve ) S ta rt u p and b u si n e ss ca se d e ve l o p m e n t
An n e x B (i n fo rm a ti ve ) Th re e p h a s e s o f th e i m p l e m e n ta ti o n p ro j e ct
An n e x C (i n fo rm a ti ve ) D e ve l o p i n g p o l i ci e s
C. 1 G e n e ra l p ri n ci p l e s
C. 2 Ph a se 3 se rvi ce m a n a g e m e n t p o l i cy
C. 3 Ph a se 1 i n ci d e n t m a n a g e m e n t p o l i cy
An n e x D (i n fo rm a ti ve ) D o cu m e n t a n d re co rd m a n a g em en t
D. 1 G e n e ra l p ri n ci p l e s
D. 2 Asse ss m e n t o f d o cu m e n ta ti o n
D. 3 D o cu m e n t a n d re co rd l i b ra ry
D . 4 D o cu m e n t a n d re co rd pl a n n i n g

Appendix C Example audit
evidence
This should not be taken as a complete list of what will be required

during an audit. The auditor can ask for additional supporting
information and can use alternative names for documents or records.
Pol i cy, process a n d proced u re for ea ch process
I n pu t to a pl a n for i m provi n g th e servi ce
Cl a u se 4. 1 M a n a g em en t respon si bi l i ty
Service management policy and plan

SMS design
Communication procedures
Communication records
Risk assessment reports
Risk management reports
Framework to establish and review service management objectives
and policy
Defined authorities and responsibilities
Appointed management representative
Asset records
SMS performance and opportunities for improvement report
Cl a u se 4. 2 G overn a n ce of processes opera ted by oth er pa rti es
Definition of processes to be operated by other parties

Accountabilities, authorities and responsibilities for process operation
Details of interfaces for processes operated by other parties
Process performance and compliance reports
Priorities and plans for process improvement
Cl a u se 4. 3 D ocu m en ta ti on req u i rem en ts
Documents required for planning, operation and control of the SMS

Service management policies and plans
Service catalogue and SLAs
Details of service management processes, interfaces and procedures
Document control records
Evidence of records control

Appendix C Example audit evidence
Clause 4.4 Resource management

Re so u rce pl a n s a n d re p o rts fo r h u m a n , fi n a n ci a l and te ch n i ca l
re so u rce s
Pe rso n n e l d e ve l o p m e n t p l a n s
E va l u a ti o n re p o rt o f p e rso n n e l d e ve l o p m e n t p l a n s
Pe rso n n e l re co rd s o f e d u ca ti o n , tra i n i n g , ski l l s a n d e xp e ri e n ce
Clause 4.5 Establish SMS

S e rvi ce m a n a g em en t pl a n
Al l o ca ti o n o f fu n d s a n d b u d g e ts
Assi g n m e n t re co rd s fo r a u th o ri ti e s, re sp o n si b i l i ti e s a n d p ro ce ss ro l e s
E vi d e n ce of m a n a g em en t of h u m a n , te ch n i ca l and i n fo rm a ti o n
re so u rce s
Ri sk a ss e ssm e n t re p o rts
Ri sk m a n a g e m e n t re p o rts
D e ta i l s o n m e th o d s fo r m o n i to ri n g and m e a su ri n g th e SM S and
s e rvi ce s
Au d i t p ro g ra m m e /p l a n
O b j e cti ve s o f i n te rn a l a u d i ts
I n te rn a l a u d i t re p o rts
Co m m u n i ca ti o n re co rd s o f n o n co n fo rm i ti e s
Re p o rt o f re su l ts o f a cti o n s to co rre ct o r fi x n o n co n fo rm i ti e s
O b j e cti ve s o f m a n a g e m e n t re vi e ws
M a n a g e m e n t re vi e w re p o rts
D e ci s i o n s a n d a cti o n s fro m m a n a g e m e n t re vi e ws
Co n ti n u a l i m p ro ve m e n t p o l i cy
Co n ti n u a l i m p ro ve m e n t p ro ce d u re s
E vi d e n ce th a t i m p ro ve m e n ts a re m a n a g ed , fro m i d e n ti fi ca ti o n
o n wa rd s
I m p ro ve m e n t p l a n
M e a s u re m e n t o f i m p l e m e n te d i m p ro ve m e n ts a g a i n st ta rg e ts se t
Re p o rt o n i m p l e m e n te d i m p ro ve m e n ts
Co rre cti ve a cti o n i f ta rg e ts a re n ot m et
Clause 5 Design and transition of new or changed services

Ch a n g e m a n a g e m e n t p o l i cy o n wh a t i s i n cl u d e d in Cl a u se 5
Ri sk a ss e ssm e n ts fo r n e w o r ch a n g e d s e rvi ce re q u e s ts
Pl a n s fo r a l l sta g e s o f th e n e w o r ch a n g e d s e rvi ce s
Pl a n s fo r re ti re m e n t o f se rvi ce s, a s a p p ro p ri a te
Re p o rt o n a s se ssm e n t o f o th e r p a rti e s co n tri b u ti n g to a n y sta g e in
Cl a u s e 5
S e rvi ce re q u i re m e n ts fo r n e w o r ch a n g e d se rvi ce s

Po te n ti a l i m p a ct o f d e l i ve ri n g th e n e w o r ch a n g e d se rvi ce s
E xp e cte d o u tco m e s fro m d e l i ve ri n g th e n e w o r ch a n g e d se rvi ce s
D esi g n o f n e w o r ch a n g e d s e rvi ce s
E va l u a ti o n o f n e w o r ch a n g e d se rvi ce s fu l fi l l i n g se rvi ce re q u i re m e n ts
D e ve l o p m e n t o f n e w o r ch a n g e d s e rvi ce s ve ri fi e d a g a i n st th e d e si g n
S e rvi ce a cce p ta n ce cri te ri a d e ve l o p e d
Ve ri fi ca ti o n o f n e w o r ch a n g e d se rvi ce s a g a i n st s e rvi ce a cce p ta n ce
cri te ri a
Re p o rt o n o u tco m e s a ch i e ve d a g a i n s t e xp e cte d o u tco m e s fo l l o wi n g
tra n si ti o n
Clause 6.1 Service level management

S e rvi ce ca ta l o g u e
S LAs
Ag re e m e n ts wi th i n te rn a l g ro u p s
Re co rd s o f re vi e ws m e e ti n g s wi th i n te rn a l g ro u p s /cu sto m e rs a cti n g as
su p p l i e rs
I n p u ts to and o u tp u t fro m re vi e ws o f S LM , se rvi ce ca ta l o g u e , S LAs
S e rvi ce re p o rti n g re q u i re m e n ts
S e rvi ce re vi e w p l a n n i n g a cti vi ti e s
M o n i to ri n g and co n tro l re p o rt
S e rvi ce re vi e w re co rd s, ca u se s o f n o n co n fo rm i ti e s, i m p ro ve m e n t
o p p o rtu n i ti e s
Pro p o s e d ch a n g e s to se rvi ce re q u i re m e n ts, ca ta l o g u e , S LAs, o th e r
a g re e m e n ts
S e rvi ce i m p ro ve m e n t p l a n s
Clause 6.2 Service reporting

Re p o rt re q u i re m e n ts, fo r a l l p a rti e s
Re p o rt d e si g n
Re p o rt sch e d u l e
Re p o rts o f p e rfo rm a n ce a g a i n st ta rg e ts, co rre cti o n s a n d co rre cti ve
a cti o n s
Re p o rts o n wo rkl o a d ch a ra cte ri sti cs, p e rfo rm a n ce re p o rti n g
Re p o rts o n cu sto m e r sa ti sfa cti o n , co m p l a i n ts, n o n co n fo rm i ti e s
Re p o rts o n tre n d s a n d fo re ca sts
D e ci si o n s a n d a cti o n s b a se d on fi n d i n g s i n se rvi ce re p o rts
Pro ce ss re vi e w re p o rt
Pro p o s e d ch a n g e s to re p o rts
Clause 6.3 Service continuity and availability management

S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t p o l i ci e s
S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t re q u i re m e n ts

B u si n e s s i m p a ct a n a l ys i s
Ri sk a ss e ssm e n t re p o rts
S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty p l a n s
Cu sto m e r re q u i re m e n ts i n cl u d i n g S LAs a n d re q u i re d l e ve l s o f se rvi ce
S e rvi ce co n ti n u i ty p l a n te st re p o rt
Ava i l a b i l i ty co n stra i n ts a n d d a ta
Te st re p o rt o f a va i l a b i l i ty a g a i n st a va i l a b i l i ty re q u i re m e n ts
Tra i n i n g re q u i re m e n ts a n d re co rd s
Asse s sm e n t o f th e i m p a ct o f ch a n g e s o n th e pl a n s
I n ve sti g a ti o n re p o rt o n u n pl a n n ed n o n -a va i l a b i l i ty
Pro p o se d ch a n g e s to s e rvi ce co n ti n u i ty a n d a va i l a b i l i ty p l a n s
Cl a u se 6 . 4 Bu d g eti n g a n d a ccou n ti n g for I T servi ces
D e ta i l s o f p ro ce ss i n te rfa ce wi th o th e r fi n a n ci a l m a n a g em en t
p ro ce ss e s
Po l i ci e s a n d p ro ce d u re s fo r b u d g e ti n g and a cco u n ti n g
B u d g e ts fo r p re vi o u s ye a r
B u d g e ts fo r cu rre n t ye a r
F o re ca s ts fo r n e xt ye a r/d ra ft b u d g e ts
I n p u t fro m o th e r p ro ce sse s, i n cl u d i n g fo re ca st wo rkl o a d s, pl a n n ed
e xp e n d i tu re
Pl a n s fo r ca p i ta l sp e n d in n e xt ye a r
F i n a n ci a l re p o rts o f ca p i ta l and re ve n u e fo r e a ch ti m e p e ri o d in th e
b u d g e t ye a r
Re p o rts o n fi n a n ci a l va ri a n ce
Re p o rts o n th e ca u se s o f va ri a n ce s/p ro p o se d m a n a g em en t
Co st m o d e l s wi th co s t typ e s, ru l e s fo r co st a l l o ca ti o n and
a p p o rti o n m e n t
Le g a l o r re g u l a to ry re p o rts
E vi d e n ce o f fi n a n ci a l co n tro l and a p p ro va l
I n fo rm a ti o n to su p p o rt th e co sti n g o f re q u e sts fo r ch a n g e
Cl a u se 6 . 5 Ca pa ci ty m a n a g em en t
Ca p a ci ty a n d p e rfo rm a n ce re q u i re m e n ts
Ca p a ci ty p l a n
Ca p a ci ty m a n a g e m e n t b a se l i n e and p ro fi l e s
Ca p a ci ty th re sh o l d and a l a rm sp e ci fi ca ti o n
Ca p a ci ty p e rfo rm a n ce re p o rts
Ca p a ci ty u sa g e re p o rts
Wo rkl o a d re p o rts a n d fo re ca sts
Re co rd s o f p e rfo rm a n ce tu n i n g
Cl a u se 6 . 6 I n form a ti on secu ri ty

I n fo rm a ti o n se cu ri ty m a n a g e m e n t stra te g y
I n fo rm a ti o n se cu ri ty p o l i cy
I n fo rm a ti o n se cu ri ty p l a n
Ph ysi ca l , a d m i n i s tra ti ve , te ch n i ca l se cu ri ty a n d i n fo rm a ti o n se cu ri ty
co n tro l s
I n fo rm a ti o n se cu ri ty re p o rts
I n fo rm a ti o n se cu ri ty m a n a g e m e n t p ro ce s s e ffe cti ve n e ss a n d e ffi ci e n cy
re p o rts
S e cu ri ty ri sk a ss e ssm e n ts
I n fo rm a ti o n se cu ri ty ri sk m a n a g e m e n t re p o rt
I n fo rm a ti o n a ss e t i n ve n to ri e s
Re p o rt o n e ffe cti ve n e ss o f i n fo rm a ti o n se cu ri ty p o l i cy
Tre n d s i n i n fo rm a ti o n se cu ri ty i n ci d e n ts
O p p o rtu n i ti e s fo r i m p ro ve m e n t
Cl a u se 7 . 1 Bu si n ess rel a ti on sh i p m a n a g em en t
D e ta i l s o f cu s to m e r/i n te re ste d p a rti e s , co n ta ct i n fo rm a ti o n , ro l e s,
se rvi ce s
Ro l e o f th e d e si g n a te d i n d i vi d u a l to be re sp o n s i b l e fo r e a ch co n tra ct
Ag e n d a and m i n u te s o f m e e ti n g s b e twe e n th e se rvi ce p ro vi d e r a n d
su p p l i e rs
S e rvi ce re p o rts sh o wi n g o ve ra l l p e rfo rm a n ce o f th e s e rvi ce p ro vi d e r
Re co rd s o f co m p l a i n ts a n d a cti o n s ta ke n
Cu s to m e r s a ti s fa cti o n s u rve y/m e a s u re m e n t a n d a cti o n s
Cl a u se 7 . 2 S u ppl i er m a n a g em en t
Ro l e o f th e d e si g n a te d i n d i vi d u a l re sp o n si b l e fo r e a ch su p p l i e r a n d
co n tra ct
S u p p l i e r co n tra cts
Th e i n te rfa ce b e twe e n p ro ce ss e s o p e ra te d b y m u l ti p l e p a rti e s
Re sp o n si b i l i ti e s, ro l e s a n d i d e n ti ti e s o f a l l p a rti e s
Re co rd s fro m p e ri o d i c co n tra ct re vi e w m e e ti n g s
Re co rd s re l a ti n g to l ea d su p p l i e rs m a n a g i n g s u b -co n tra cte d su p p l i e rs
N o n co n fo rm i ti e s a n d o p p o rtu n i ti e s fo r i m p ro ve m e n t
Cl a u se 8. 1 I n ci d en t a n d servi ce req u est m a n a g em en t
I n ci d e n t re co rd s
S e rvi ce re q u e st re co rd s
M a j o r i n ci d e n t re co rd s
M a j o r i n ci d e n t m e e ti n g s a n d a cti o n pl a n s
O p p o rtu n i ti e s fo r i m p ro ve m e n t fro m re vi e w o f a m a j o r i n ci d e n t
Ca l l p e rfo rm a n ce re co rd s
I n ci d e n t e sca l a ti o n re co rd s

Re p o rts o n vo l u m e s a n d typ e o f i n ci d e n ts a n d se rvi ce re q u e sts
S ta ti s ti ca l re p o rts o n ca l l typ e s, cl o s u re typ e s, cl a s si fi ca ti o n s , vo l u m e s
I n ci d e n ts p a ss e d to p ro b l e m m a n a g e m e n t fo r p ro b l e m i n ve sti g a ti o n
Clause 8.2 Problem management

Pro b l e m re co rd s
Kn o wn e rro r re co rd s
Pro b l e m re s o l u ti o n s
Pro p o se d ch a n g e s to re so l ve i n ci d e n ts a n d p ro b l e m s
Pro b l e m re vi e w i n p u t, o u tp u t a n d m e e ti n g m i n u te s
Tre n d i n fo rm a ti o n
Clause 9.1 Configuration management

D e ta i l s o f p ro ce ss i n te rfa ce wi th fi n a n ci a l a s se t m a n a g e m e n t
D e fi n i ti o n o f e a ch typ e o f CI
Co n fi g u ra ti o n m a n a g e m e n t p ro ce d u re s
A l i st o f CI s a n d th e i r re l a ti o n sh i p s to o th e r CI s
Co n fi g u ra ti o n re co rd s
Co n fi g u ra ti o n ba sel i n es
Co n fi g u ra ti o n m a n a g e m e n t re p o rts
Co n fi g u ra ti o n a u d i t re p o rts
Clause 9.2 Change management

Ch a n g e m a n a g e m e n t p o l i cy
Re q u e sts fo r ch a n g e
I m p a ct a n d ri sk a s se ssm e n ts o f p ro p o se d ch a n g e s
Pl a n to re m e d y o r re ve rs e an u n su cce ssfu l ch a n g e
S ch e d u l e o f ch a n g e s
Cri te ri a fo r Cl a u se 5 ch a n g e s, in ch a n g e m a n a g em en t
D e ci s i o n s o n a cce p ta n ce o f re q u e sts fo r ch a n g e
Co m m u n i ca ti o n re co rd s
Ch a n g e m a n a g e m e n t re p o rts
CM D B
Tre n d s i n ch a n g e s b y vo l u m e , typ e and s u cce ss/fa i l u re
Clause 9.3 Release and deployment management

Re l e a se p o l i cy a g re e d wi th e a ch cu sto m e r
D e fi n i ti o n of a re l e a se
D e scri p ti o n o f th e re l e a s e
Re l a ti o n sh i p b e twe e n th e re l e a se and i ts co n sti tu e n t CI s
D e si g n , re l e a se n o te s, and i n sta l l a ti o n g u i d e s fo r th e re l e a se
CM D B
Re l e a se and d e p l o ym e n t p l a n

S ch e d u l e o f re l e a se s a n d d e p l o ym e n ts
U s e r i m p a ct a ss e ssm e n t a n d b u si n e ss ch a n g e i m p a ct a sse s sm e n t
Ri sk a sse ss m e n t fo r re l e a s e s a n d d e p l o ym e n ts
Re l e a se a cce p ta n ce cri te ri a
Co m m u n i ca ti o n s p l a n on re l e a se s
Tra i n i n g p l a n s fo r n e w re l e a se s
Te st p l a n s a n d te s t re s u l ts
Ve ri fi ca ti o n o f re l e a se a g a i n st a cce p ta n ce cri te ri a and si g n o ff
N o n -co n fo rm a n ce re p o rt
Re co rd s o f s u cce s s a n d fa i l u re wi th a cti o n s
I n ci d e n t a n d p ro b l e m re co rd s fo r re l e a se fa i l u re s, re ve rsa l s o r
re m e d i a ti o n wo rk
CI i n fo rm a ti o n fo r e a ch re l e a se
Re l e a se i d e n ti fi e r a n d ve rsi o n
Lo ca ti o n o f th e re l e a se p a cka g e and i n sta l l a ti o n
As so ci a te d kn o wn e rro rs a n d p ro b l e m s , i n cl u d i n g th o se co rre cte d by
th e re l e a se

Ap p e n d i x D Ca se stu d y – cre a ti n g
va l u e
Background
In 2 00 6 , a co m m e rci a l I T se rvi ce p ro vi d e r si g n e d a co n tra ct wi th a n ew
cu sto m e r th a t re q u i re d th e se rvi ce p ro vi d e r to a ch i e ve
I S O /I E C 2 0 0 0 0 -1 : 2 0 0 5 wi th i n 2 ye a rs . A ke y va l u e d ri ve r fo r th e cu sto m e r
wa s a b u si n e ss a n d te ch n o l o g y tra n sfo rm a ti o n p ro g ra m m e th a t a i m e d to
d e l i ve r si g n i fi ca n t co st sa vi n g s o ve r 5 ye a rs.
The journey
Th e vi s i o n fo r th e se rvi ce p ro vi d e r wa s to d e l i ve r wo rl d cl a s s I T se rvi ce s
th a t e n a b l e d b u si n e s s a n d te ch n o l o g y tra n sfo rm a ti o n . Th e stra te g y wa s
to i m p l e m e n t th e p ro ce sse s a cro ss th e o rg a n i z a ti o n . Th e i n i ti a l sco p e fo r
I S O /I E C 2 0 0 0 0 wo u l d be th e cu sto m e r’s b u si n e ss-cri ti ca l se rvi ce s. Th e
se rvi ce m a n a g e m e n t o b j e cti ve s we re :
• d e l i ve r se rvi ce to th e a g re e d se rvi ce l e ve l s;
• i m p ro ve cu sto m e r sa ti s fa cti o n ;
• en a bl e e ffe cti ve b u s i n e ss tra n sfo rm a ti o n ;
• si m p l i fy se rvi ce s a n d p ro ce s se s.
A se rvi ce m a n a g e m e n t p ro g ra m m e b o a rd wa s e s ta b l i sh e d to d i re ct th e
i m p l e m e n ta ti o n .
Year 1
I TI L wa s se l e cte d a s th e b e st p ra cti ce g u i d a n ce fo r se rvi ce m a n a g e m e n t.
I S O /I E C 2 0 0 0 0 tra i n i n g and th e I TI L q u a l i fi ca ti o n sch e m e wo u l d be u se d
fo r th e p ro fe ssi o n a l d e ve l o p m e n t o f sta ff.
A pl a n fo r th e i m p l e m e n ta ti o n o f se rvi ce m a n a g e m e n t p ro ce ss e s a t ke y
m i l e sto n e s wa s a g re e d wi th th e cu sto m e r. Th e fi rs t ye a r m i l e sto n e s
i n cl u d e d :
• ke y sta ff tra i n e d in I TI L;

Year 2
• n e w se rvi ce d e sk e s ta b l i sh e d ;
• fi rs t s e t o f p ro ce ss e s e sta b l i s h e d b a se d on I TI L p ro ce ss e s:
— se rvi ce l e ve l m a n a g e m e n t;
— se rvi ce re p o rti n g ;
— se rvi ce ca ta l o g u e m a n a g e m e n t;
— i n ci d e n t m a n a g e m e n t;
— p ro b l e m m a n a g e m e n t;
— ch a n g e m a n a g e m e n t;
— co n fi g u ra ti o n m a n a g e m e n t;
• p ro ce s s o wn e rs a l l o ca te d to e n su re th a t th e p ro ce sse s a re fi t fo r
p u rp o se ;
• se rvi ce o wn e rs i d e n ti fi e d fo r b u si n e s s-cri ti ca l s e rvi ce s .
Th e fo cu s fo r th e fi rst ye a r wa s to manage u n p re ce d e n te d ca l l vo l u m e s a t
th e se rvi ce d e sk. I n i ti a l l y, th e fo cu s wa s o n high p ri o ri ty h i g h vo l u m e
a re a s, b u t a s m o re p e rm a n e n t fi xe s we re i m p l e m e n te d th e ca l l s re d u ce d
by 2 0% o ve r th e fi rs t 6 m o n th s . Th e s e rvi ce l e ve l s fo r i n ci d e n t re sp o n se
and re so l u ti o n ti m e s we re a l so a ch i e ve d .
M a n y tra n sfo rm a ti o n p ro g ra m m e s a n d p ro j e cts sta rte d . As n e w se rvi ce s
we re bei n g i n tro d u ce d , a n e w se rvi ce ca ta l o g u e stru ctu re wa s d e ve l o p e d .
Th e cu s to m e r-fa ci n g se rvi ce s we re cl e a rl y se p a ra te d fro m th e s u p p o rti n g
se rvi ce s su ch a s i n fra s tru ctu re and te ch n o l o g y se rvi ce s.
To wa rd s th e en d o f th e ye a r, th e SM S stru ctu re wa s d e si g n e d i n cl u d i n g
th e se rvi ce m a n a g em en t pl a n , p o l i ci e s, p ro ce sse s a n d p ro ce d u re s. Th e re
wa s m a n a g e m e n t co m m i tm e n t, cl e a r a cco u n ta b i l i ty a n d a se t o f ke y
p e rfo rm a n ce i n d i ca to rs fo r i m p ro ve m e n t.
Year 2
Th e pl a n fo r th e se co n d ye a r wa s to e sta b l i sh th e SM S and e xte n d th e set
o f p ro ce s se s to i n cl u d e th e re st o f th e s e rvi ce d e l i ve ry p ro ce sse s a n d th e
re l a ti o n s h i p p ro ce sse s. I m p ro vi n g d e skto p su p p o rt, em a i l and we b
s e rvi ce s we re a ke y fo cu s fo r i m p ro vi n g cu sto m e r sa ti sfa cti o n .
N o w th a t sta ff u n d e rsto o d th e i m p o rta n ce o f a d o p ti n g a p ro ce ss
a p p ro a ch , th e fi rst ye a r p o l i ce s , p ro ce s se s a n d o th e r S M S d o cu m e n ta ti o n
we re re vi se d and si m p l i fi e d . Pro ce ss d o cu m e n ts we re sta n d a rd i z e d u si n g
a RACI m a tri x (a s sh o wn in Ch a p te r 6 ) and th e y we re l i n ke d to ke y
p e rfo rm a n ce i n d i ca to rs. Th e RACI m a tri x h e l p e d to e s ta b l i sh th e ro l e s
wi th a cco u n ta b i l i ti e s a n d re s p o n si b i l i ti e s fo r e a ch main a cti vi ty.
M a j o r ch a n g e s to I T se rvi ce s b e ca m e a si g n i fi ca n t ch a l l e n g e fo r th e
o p e ra ti o n s te a m s . To co p e wi th th i s, th e s e rvi ce p ro vi d e r u se d th e
re ce n tl y u p g ra d e d I TI L se rvi ce l i fe cycl e p ra cti ce s: stra te g y, d esi g n ,
tra n si ti o n , o p e ra ti o n and co n ti n u a l i m p ro ve m e n t. S tru g g l i n g wi th

Appendix D Case study – creating value
tra n sfo rm a ti o n ch a l l e n g e s, th e se rvi ce p ro vi d e r sta rte d u si n g so m e o f th e
se rvi ce d e si g n and tra n s i ti o n p ra cti ce s . Th i s e n a b l e d th e se rvi ce p ro vi d e r
to a ch i e ve th e I S O /I E C 2 0 0 0 0 -1 re q u i re m e n ts fo r p l a n n i n g and
i m pl e m e n ti n g n ew a n d ch a n g e d se rvi ce s re l a ti ve l y e a s i l y.
Th e se rvi ce p ro vi d e r a ch i e ve d I S O /I E C 2 0 0 0 0 -1 ce rti fi ca ti o n .
Years 3–4
Th e te a m s a d o p te d m a n y o f th e I TI L se rvi ce l i fe cycl e b e st p ra cti ce s th a t
en a bl ed m a j o r ch a n g e , i n cl u d i n g b e s t p ra cti ce s i n I TI L s e rvi ce stra te g y. A
ke y i m p ro ve m e n t wa s th e i n tro d u cti o n of a se rvi ce p o rtfo l i o and a
cu sto m e r a g re e m e n t p o rtfo l i o . Th i s h e l p e d th e se rvi ce p ro vi d e r to
u n d e rs ta n d th e bi g p i ctu re – wh i ch se rvi ce s we re u se d b y wh i ch
cu sto m e rs , wh i ch we re n e w, wh i ch we re ch a n g i n g and wh i ch o n e s we re
bei n g re ti re d . Th i s h e l p e d th e b u s i n e ss re l a ti o n s h i p m a n a g e rs to manage
th e cu sto m e r e xp e cta ti o n s a n d manage ch a n g e wi th th e i r cu sto m e rs
b e tte r. Th e o p e ra ti o n s te a m s we re a bl e to i m p ro ve th e i r p l a n n i n g and
o p ti m i z e th e i r re s o u rce u ti l i z a ti o n .
Ke y o p e ra ti o n a l i m p ro ve m e n ts we re a ch i e ve d b y i m p l e m e n ti n g th e I TI L
e ve n t m a n a g e m e n t a n d re q u e st fu l fi l m e n t p ro ce sse s. Th e se l f-s e rvi ce
ch a n n e l fo r se rvi ce re q u e sts fro m u se rs wa s p o p u l a r a n d d e l i ve re d
si g n i fi ca n t p ro d u cti vi ty g a i n s.
Delivering
Th e cu sto m e r re n e we d th e co n tra ct. Th e s e rvi ce p ro vi d e r’s CE O sa i d :
We are now more focused on delivering end-to-end services that

create value for our business and our external customers. Investing in
developing our service management capability has enabled business
transformation whilst maintaining control. Achieving certification to
ISO/IEC 20000-1 is good marketing for delivering world class IT
services and we are growing our customer base.
Going forward
Th e se rvi ce p ro vi d e r i s e xte n d i n g th e sco p e o f I S O /I E C 2 00 0 0 ce rti fi ca ti o n
and p l a n s to u p g ra d e to I S O /I E C 2 0 0 0 0 - 1 : 2 0 1 1 .
A ke y q u e sti o n i s, ‘ Wh a t i s th e i m p a ct o f m o vi n g to ce rti fi ca ti o n
I S O /I E C 2 0 0 0 0 -1 : 2 0 1 1 ? ’ As th e se rvi ce p ro vi d e r h a s a l re a d y a d o p te d many
o f th e I TI L se rvi ce l i fe cycl e b e st p ra cti ce s th i s sh o u l d be re l a ti ve l y e a sy.

Going forward
Pa rti cu l a r a re a s wh e re th e se rvi ce p ro vi d e r’s a d o p ti o n o f I TI L b e st
p ra cti ce s su p p o rts th e 2 01 1 re q u i re m e n ts a re :
• I TI L S e rvi ce S tra te g y p ra cti ce s su p p o rt re q u i re m e n ts i n Cl a u se 4 and
Cl a u s e 5, e. g . stra te g y m a n a g e m e n t, s e rvi ce p o rtfo l i o m a n a g e m e n t,
d em a n d m a n a g e m e n t;
• I TI L S e rvi ce D e si g n and S e rvi ce Tra n si ti o n p ra cti ce s s u p p o rt n e w
re q u i re m e n ts i n Cl a u se 5 and 9;
• I TI L Co n ti n u a l S e rvi ce I m p ro ve m e n t p ra cti ce s s u p p o rt th e PD CA
re q u i re m e n ts i n Cl a u se 4.

Information technology — Service management —

I S O /I E C 2 0 0 0 0 -1 : 2 0 1 1 ,
Part 1 : Service management systems requirements

I S O /I E C 2 0 0 0 0 -2 : 2 0 0 5 ,
Part 2: Guidance on the application of service management systems. To

be published

I S O /I E C TR 2 0 0 0 0 -3 ,
Part 3: Guidance on scope definition and applicability for ISO/IEC 20000-1

I S O /I E C TR 2 0 0 0 0 -4,
Part 4: Process reference model

I S O /I E C TR 2 0 0 0 0 -5 ,
Part 5: Exemplar implementation plan
I SO 9 0 0 0 : 2 0 05 , Quality management systems — Fundamentals and

vocabulary
I SO 9001 , Quality management systems — Requirements
I S O /I E C 1 5 2 8 8 , Systems engineering — System lifecycle processes
Information technology — Software asset management

I S O /I E C 1 9 7 7 0 -1 ,
— Part 1 : Processes
Information technology — Security techniques —

I S O /I E C 2 7 0 0 0 : 2 0 0 9 ,
Information security management systems — Overview and vocabulary
Information technology — Security techniques —

I S O /I E C 2 7 0 0 1 ,
Information security management systems — Requirements
CO O PE R, A Guide to the New ISO/IEC 20000-1 : The differences

Lyn d a .
between the 2005 and the 201 1 editions. Lo n d o n : B SI , 2 01 1 .
D U G M O RE , J en n y a n d S h i rl e y LACY. A Manager’s Guide to Service

Management . 6
th
ed . Lo n d o n : B SI , 2 01 1 .
I TI L® , h ttp : //www. i ti l -o ffi ci a l si te . co m /
CO B I T® F ra m e wo rk fo r I T G o ve rn a n ce and Co n tro l ,
h ttp : //www. i sa ca . org /Kn o wl e d g e - Ce n te r/CO B I T/Pa g e s/O ve rvi e w. a s p x

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I n tro d u cti o n to th e I S O /I E C 2 0 0 0 0 S e ri e s

Jenny Dugmore and Shirley Lacy

Al l ri g h ts re se rve d . E xce p t a s p e rm i tte d u n d e r th e Co p yri g h t, D e si g n s a n d Pa te n ts

Act 1 9 8 8 , no p a rt o f th i s p u b l i ca ti o n m a y be re p ro d u ce d , sto re d in a re tri e va l

sys te m o r tra n s m i tte d in a n y fo rm o r b y a n y m e a n s – e l e ctro n i c, p h o to co p yi n g ,

re co rd i n g o r o th e rwi se – wi th o u t p ri o r p e rm i ss i o n in wri ti n g fro m th e p u b l i sh e r.

a cce p ts n o l i a b i l i ty fo r a n y l o ss o r d a m a g e ca u s e d , a ri si n g d i re ctl y o r i n d i re ctl y i n

co n n e cti o n wi th re l i a n ce o n i ts co n te n ts e xce p t to th e e xte n t th a t su ch l i a b i l i ty

th i s Wo rk h a ve b e e n a ss e rte d b y th e m in a cco rd a n ce wi th se cti o n s 7 7 and 7 8 of

Typ e se t i n F ru ti g e r b y Le tte rp a rt Li m i te d , www. l e tte rp a rt. co m

Pri n te d in G re a t B ri ta i n b y B e rfo rts G ro u p , www. b e rfo rts. co . u k

British Library Cataloguing in Publication Data

Chapter 1 20000 is now a series 1

Chapter 2 Scope definition 9

Chapter 3 What is an SMS? 1 9

Th e s e rvi ce p ro vi d e r’s stra te g y 1 9

Chapter 4 Establishing an SMS 28

Introduction to the ISO/IEC 20000 Series v

Ch a pter 5 I n teg ra ti n g processes 41

Pa ssi n g co n tro l of a n a cti vi ty 45

Pro ce sse s o p e ra te d b y o th e r p a rti e s 49

Ch a pter 6 ‘Wh a t d oes i t m ea n for m e?’ 56

Ch a pter 7 D ocu m en ta ti on a n d a u d i t evi d en ce 62

vi Introduction to the ISO/IEC 20000 Series

O th e r p a rti e s a n d se rvi ce re p o rts 72

M anaging s e rvi ce re p o rts 76

Chapter 9 Service supply chains 80

Chapter 1 0 Service continuity and availability 97

Chapter 1 1 Money matters: budgeting and accounting 1 06

I d e n ti fyi n g and managing va ri a n ce 1 1 1

Chapter 1 2 Capacity management 1 1 4

Introduction to the ISO/IEC 20000 Series vi i

Ch a pter 1 4 Resol u ti on processes 1 26

Ph ysi ca l and e l e ctro n i c l i b ra ri e s 1 47

Cl a ss i fyi n g d i ffe re n t typ e s o f ch a n g e 1 55

I d e n ti fyi n g and re co rd i n g re q u e sts 1 60

vi i i Introduction to the ISO/IEC 20000 Series

Chapter 1 7 Release and deployment management 1 68

Wh a t i s e ffe cti ve re l e a se and d e p l o ym e n t? 1 69

Chapter 1 8 Design and transition of services 1 82

Are pl a n n i n g and d e si g n o u tp u ts a cce p ta b l e ? 1 92

Appendix A Terms and definitions 1 96

Appendix B 20000 series 2 00

Appendix C Example audit evidence 2 05

Introduction to the ISO/IEC 20000 Series ix

x Introduction to the ISO/IEC 20000 Series

i n vo l ve d in th e p ra cti ca l a sp e cts o f d e l i ve ri n g s e rvi ce s a cro ss a l l se cto rs

and m a n y o f th o se a cti ve l y i n vo l ve d in th e d e ve l o p m e n t o f th e 2 0000

co n stru cti ve cri ti ci sm , e xa m p l e s a n d p ra cti ca l te ch n i q u e s.

i n te re sti n g j o u rn e y fo r u s a l l and we h a ve co l l e cti ve l y m o ve d th e 2 0000

J a ck Ro b e rtso n -Wo rsfo l d

Introduction to the ISO/IEC 20000 Series xi

and i ts cu sto m e rs.

Ce rti fi ca ti o n to I S O /I E C 2 0 0 0 0 -1 by a n a ccre d i te d ce rti fi ca ti o n b o d y sh o ws

th a t a s e rvi ce p ro vi d e r i s co m m i tte d to d e l i ve ri n g va l u e to cu sto m e rs a n d

e ffe cti ve se rvi ce m a n a g e m e n t s yste m th a t sa ti sfi e s th e re q u i re m e n ts o f a n

i n d e p e n d e n t e xte rn a l a u d i t. Ce rti fi ca ti o n g i ve s a se rvi ce p ro vi d e r a

g o ve rn a n ce . F o r e xa m p l e , d i scl o su re and fi n a n ci a l re p o rti n g a re

and o rg a n i z i n g , a cq u i ri n g and i m p l e m e n ti n g , d e l i ve ri n g and s u p p o rti n g ,

and m o n i to ri n g th e p e rfo rm a n ce o f se rvi ce s. Th i s a p p ro a ch h e l p s to

Ki n g d om a n d oth er cou n tri es

xi i Introduction to the ISO/IEC 20000 Series

I m p l e m e n ti n g b e st p ra cti ce se rvi ce m a n a g e m e n t ca n re d u ce co sts a t th e