Bsi bip 0005 2011

Aninte rate serv icemanag me tsys em SMS, nclu in serv ice manag me tproces esprov id scont ol greatereff icie cyan id ntif ies o p ru itiesf orimprov eme t.Aneff ectiv eSMSinclu eseff e

ShirleyLacy

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ISBN9 805 07 8 57

Chapter6 W herearey ou now ? 3

Int od ction 1 0

W he morethanon organiz tion isinv olv ed 13

A ppe dixF IT ILsup or f orPar 1 req ireme t 13

A ppe dixG Biblograph an oth rsources ofinf ormation 14

T hisg id hasbe n d v elo e togiv eu biase adv iceonth

manag me tof erv ices tisinte d d f ormanag r w hoaren wto

prov idin cus omeran sup orin serv icesorw hoaref ace w ithmajor

chan etoth irex isin serv icesan sup or ar an eme t tw il beof

interes toan on inv olv ed inth prov ision ormanag me tofserv ices

T hisg id c n beuse asa manag r’sg id toserv icemanag me t,

inclu in th h brid useofIT IL®

1

COBIT ®2

an th ISO/IEC2 0 0series

IT ILisa w id lyado te ap roa h forserv icemanag me tbes pra tices,

base on pra tic l n us ryex perie ce tcov er id ntif yin ,plan in ,

d sig in , d lv erin an sup orin serv ices oth busin s an

cus omer

COBITisalsow id lyuse an isa busin s-orie te f rameworkf or h

gov ernancean manag me tofinformation an IT

ISO/IEC2 0 0wasth f irtseriesofinternationals an ardsonITserv ice

manag me t.T hecoreof h seriesisISO/IEC2 0 0-1,whichspecifies

re uireme t f ores ablshin , o eratin an improv in aserv ice

manag me t ys em ( SMS)

T hisg id isbase onth k ow le g an ex perie cegain dbyex pers

workin inth f ield ttak s h f ormofex planations,g idancean

recomme dations tshould notbeq ote asifitw erea specif ic tion or

cod ofpra tice

Ev enthou hthisg id c n beuse asa san -alon publc tion mos

read r w il f in itusef ultoex te d th ir eadin toinclu eoth r

publc tionsasw el T heread r’sate tion isdraw n toA ppe dixG,

Biblograph an oth rsourcesofinf ormation,w hich ls soth r

publc tionsan prov id susef ul ad res es,etc

T hisg id cov er th ‘w hyan w hat’ofserv icemanag me t,touchin

onlybrief lyon‘w hoan how ’.Detaison ‘w hoan how ’ c n be

o tain df om docume t ls e in Ap e dixG

1

W hieev eryc rehasbe n tak n in d v elo in an compi n thisg id

th cont ibutin organiz tionsa ceptnolabi tyforan los ordamag

c use arisin directlyorin irectly, n con ection w ith relanceon it

conte tex cepttoth ex te t hatsuchlabi tymaynotbeex clu e in

law

T heg id asumesthat h ex ecution ofit recomme dationsis

e tuse toap ro riatelyq alf ie an ex perie ce peo le

T hispublc tion istoh lpserv icemanag r whoareresp nsiblef or

managin th e d-to-e dlfecycleofITserv ices Serv icemanag r n e

tof ocusoncreatin v alu an managin chan ew his co in with

u ceraintyan risk Foreff ectiv egov ernanceofITth yn e tof ocuson

k ymanag me ta tiv itiesan hav eth rig tlev elofinv olv eme tw ith

th busin s an it cusomer BothCOBITan IT IL prov id g idancef or

serv icemanag r

T hissix th e itionw asw rite folow in th publc tion of

ISO/IEC2 0 0-1:2 1 t ef lect th diff ere cesbetw ee th 2 1 an

th 2 0 e itionsof h san ard talsoref lect oth rmajor

d v elo me t inserv icemanag me t, nclu in e hanceme t mad to

IT ILan COBIT

Sinceth f if the ition ofthisb okw aspublsh d in 2 0 IT IL hasbe n

update tof ocuson creatin v alu an managin chan ew his co in

with u ceraintyan risk T ILbes pra ticesares ructure arou da

serv icelfecyclean th yrecog izeth imp ranceofgov ernanceofIT,

glo alz tion,susainabi tyan diff ere tsourcin srate ies.COBIThas

alsobe n u date toh lporganiz tions obrid eth gapbetwe n

cont olre uireme t,tech ic l su san busin s risks.Ado tin COBIT

an IT IL c n e ableorganiz tionstocomplywith re ulatory

re uireme t

T hisb okhasbe nwrite w ithth inputan asis anceofpeo le

inv olv ed inth pra tic laspect ofd lv erin serv icesa ros al sector

an thosea tiv elyinv olv ed inth d v elo me tofbes pra ticeserv ice

manag me t.Wew ouldlk tothan th mforsharin th irv iew san

prov idin consructiv ecriticism an pra tic lex perie ce

Wewouldalsolk tothan thosewhorev iew ed thissix th e ition:

Mich leHales

KimHamiton

R g rSouth ate

A nthon TOr

Finaly,w ew ouldlk tothan Jula Helmsle an So hieErkin , ofBSI

f or h irsup or, h lpf ulsu g sions, ta tan patie ced rin th

prod ctionof hisb ok

W hy do w e ne d t his guide?

Organiz tionscontin etore uireincreasin lyadv ance serv ices,at

minimumcos,tome tbusin s n e s

W ith sig if ic ntchan e, serv iceprov id r c n s ru gletod lv er h

re uire serv ice Workin rea tiv ely,th yspe dto lt letimeplan in ,

tainin ,rev iewin , nv esigatin an w orkin with cus omer T heresult

isa f aiuretoado tproa tiv ew orkin pra tices n ad ition,proceses

perf orme differe tlyc usef rus rationan misak s

Cus omer arelo kin f orbeterq alty, ow ercoss, greaterf lex ibi ty

an f as erresp nsetoth irre uireme t T hismeans hateff ectiv e

serv icemanag me tisincreasin lyrecog ize asf un ame taltosuc es

Serv icemanag me thasalsoincrease in promin ncein rece ty ar d e

toth recog ition of h n e f orgov ernanceofIT,asa par of

corp rategov ernance.C mplancew ith re ulatoryan le al

re uireme t ,suchas h S rban s–Ox le Actispar ofth reason f or

thisincrease promin nce C nsis e tbes pra ticeserv icemanag me t

prov id sth u d rpin in cont ols, nf ormation an au ittaisf or

gov ernance

T hisg id c n h lpserv iceprov id r tou d r tan san ardssuch asth

ISO/IEC2 0 0seriesan howth yf itwith bes pra ticessuch asIT ILan

COBIT tw il alsoh lppeo letou d rtan th rulesofases me t,

au it an cerif ic tion sch mes tprov id sa common basisforserv ice

manag me tan contin al mprov eme tusin th ISO/IEC2 0 0series,

IT ILan COBIT

Aninte rate serv icemanag me tsys em (SMS), nclu in serv ice

manag me tproces esprov id scont ol greatereff icie cyan id ntif ies

o p ru itiesf orimprov eme t.Aneff ectiv eSMSinclu eseff ectiv e

serv icemanag me t,butwhatiseff ectiv eserv icemanag me t?

Eff ectiv eserv icemanag me tre uiresserv iceprov id rs afftobew el

organize an co rdinate

T hev arietyoftermsuse f or h same proces,f unctionalgroupsan jo

titlesc nmak serv icemanag me tconf usin toth n wmanag r

F iuretou d r tan th terminolog c n bea bariertoes ablshin an

A ppro riateautomationan to lsalsoe surethat h procesesare

eff ectiv ean eff icie t.C nv erely, p orlymanag d to lselection or

impleme tation c n c usead itionalov erh adsan increase rew ork

an f rus ration

T hisg id isaime atmanag r an s affresp nsiblef orimpleme tin ,

maintainin , mprov in ,asesin orprocurin serv ices te ablesread r

tod v elo a pra tic lu d rtan in ofbes pra tices,th be ef it an

p siblepro lemsofserv iced lv eryusin anSMS

T hisg id c n alsoh lpan organiz tion mak ap ro riated cisionson

to lselection,byoutlnin th proces esan a tiv ities hatareuse in

bes pra ticeserv icemanag me t

T hisg id w il beparicularlyusef ulto:

• manag r se kin abroad-base int od ction tobes pra ticesan

s an ards orserv icemanag me t;

• organiz tionsthatmus me tgov ernance,re ulatoryan le al

re uireme t;

• manag r whon e tomak oradapttomajorchan es;

• s affw howantan aw are es ofth manag me tofserv ices, f or

ex amplepeo leab uttosar a tainin coure;

• ow ner ofcerif ic tionsch mesf ormanag me tsysems an ards,

suchasISO/IEC2 0 0-1 ( refer e toasPar 1);

• user ofCOBITw hon e tou d rtan howserv icemanag me t

sup or sth gov ernanceofIT;

• user ofCOBITf oran asesme tof h irserv icemanag me t

c pabi tybase onPar 1 tosup or improv eme t;

• ow ner of erv icemanag me tq alf ic tion sch mesf orperons;

• cus omer w houseserv icesthatc n be ef itf romimprov edserv ice

manag me t;

• procureme td parme t insourcin oroutourcin serv ices;

• peo lesp nsorin ,managin orw orkin on project thatd lv er

IT-e able serv ices, f orex ampleprojectmanag r ,busin s analyss;

• asesor whoaretorev ieworau itan SMSorserv ice

Back ground to this guide

T hein iv id al comp n nt ofanSMSal off ero p ru itiesf or

improv ed serv icemanag me tan serv ices.How ev er,co rdinate

impleme tation ofan SMS offer muchgreaterbe ef it T hisc n be

s ag d orphase ,althou h a lon d layinimpleme tin a comp n nt

c nu d rmin thosethathav ealread be n impleme te

Serv icemanag me tbes pra ticesareu chan e byth organiz tional

f ormado te ,asd scribe in Chapter5

Serv iceprov id r should ado tcommon terminolog w ithin th irown

organiz tion.T hisisth basisfora moreconsise tap roa h toserv ice

manag me tan re ucesth n cesityto‘reinv entth w he l

T heroleofmanag me tin e surin bes pra ticesareado te an

susain d isf un ame talf oran serv iceprov id r.How ev ergo d a setof

bes pra ticesis,p orimpleme tation an inad q atelead r hipc n

resultin th pra ticesf ai n nitialado tion w il notoc urcor ectly

withoutmanag me tba kin , norw il th q altyofth serv ice

manag me tproces esbesusain d w ithoutth contin e commitme t

ofmanag me t

Manag r should alsoju g th ap ro riatelev elofdocume tation

re uire tosusainserv icemanag me t Abalanceshouldbesruck

betw ee to ltle( w hich risksinconsise cyin ap roa h)an to much

(w hichrisksa bureaucraticov erh ad)

C mplancew ith Par 1,ado tin IT ILg idanceorusin COBITshould

not tiflein ov ation orth abi tytoresp n tochan in circums ances

Back ground t o the rev isions

T hise ition hasbe n chan e toref lect h e hanceme t toth

ISO/IEC2 0 0series, T IL an COBITsinceth fif the ition ofthisg id

waspublsh din 2 0 T heemphasison th sy erg ofusin a broad

baseofsan ards, methodsan to lsisalson wsinceth prev ious

e ition

T r ms and def init ions

T hetermsan d f initionsuse arethosegiv en inPar 1,th IT IL an

COBITglosaries Unles sate oth rwise, wh reth rearean differe ces

intermsa ros th thre ,Par 1 termshav ebe nuse

Al Par 1 terms romth 2 1 e ition areinclu e inA ppe dixA,T rms

an d f initions.T rmscommonlyuse w ith a special meanin thatare

notd f in din Par 1 arealsoinclu e T hesourceof h d f initionis

giv en T rmsnotd f in d tak th irnormalE glshlan uag meanin

Sourcesofth IT ILan COBITtermsaregiv en in A ppe dixG

Anu d rtan in ofspecials termsisadv isableforserv iceprov id r

T hisu d r tan in meansth re uireme t an recomme dationswi

beinterprete morerelably

Itwi alsobeh lpf ul n u d rtan in th useofth ISO/IEC2 0 0

Conte t s of t his guide

T hisg id outln san SMSthatw il f ulf ilth re uireme t ofPar 1,

asese an impleme te usin IT IL an COBITg idance

T hisg id alsod scribes h bes pra ticesofth in iv id al proceses

w ithin th sco eofserv icemanag me t tinclu esh briduseofth

ISO/IEC2 0 0series, T ILan COBIT

Ref ere ceismad toth ov erarchin gov ernanceprinciples.T hisinclu es

b th COBITan th ISO/IEC3 5 0seriesofsan ardson corp rate

gov ernanceofIT

Introduct ion

A llorganiz tionsd pe d on digital nf ormation an information

tech olog ( IT ) tomanag an o erateth irbusin s Achale g isto

id ntifyw hatth busin s w ant an howITc n beuse toa hiev eth

d sire busin s outcomes.C rectlyap lyin gov ernanceprinciplesan

serv icemanag me twi e ableanorganiz tion toa hiev eit busin s

outcomesan gain oth radv antag s,such asmoreeff ectiv euseof

inf ormation, ncreasin competitiv eadv antag w hiemanagin risk

T hischaptercov er th useofITinth busin s, th roleofgov ernance

an serv icemanag me t

T he chal enge f or busines and IT

Organiz tionsn e toprov id inf ormationan ITserv iceseffectiv elyan

eff icie tly.B terplan in ,manag me tan inte rationofITw ithin th

busin s areal becomin moreimp rant

T hed man f orITserv icesc n chan edramatic lyasbusin s n e s

chan e.Forex ample,th f olowin busin s te dsinf lu nceth useof

ITan relate serv ices:

• f ocuson v alu creation forcus omer ;

• n wbusin s mod lsan in ov ation,of te driv en byIT;

• grow th in tad a ros th world;

• n e f orf rau prev ention an data priv acy;

• usin ITtoov ercomeeconomicchale g san shif ts;

• ex plosion in digital nf ormation an relate serv ices;

• n e f or usainabi ty;

• merg r,a q isitionsan div esitures

A dv ancesininf ormationan commu ic tion tech ologiesarealso

driv in sig ific ntchan e.Forex ample:

• mov etoth clou ;

• th impa tofsocial computin ;

• increasein th abi tytosorean analyseinformation;

• mov etomultipleuserchan elsan mo ieap lc tions;

• n wdigitalc pabi ties;

• increasein embe d d computin prod ct an d v ices

Achale g istow orkoutw hat h busin s want an howITc nbe

use toa hiev eth d sire busin s outcomes.A norganiz tion n e sto

inv es in,manag an contol t tech olog an sup orin serv icesto

a hiev eth sebusin s outcomes

W ith closerinte ration ofth busin s an IT,someorganiz tionsare

brin in tog th rbusin s -relate ITwithth discipln sofserv ice

manag me t.T hismeansthatth yhav eth organiz tionalan tech ic l

flex ibi tytoresp n tochan in busin s prioritiesan tod lv er

agains th e terprise/busin s u itsrate y

T he role of cor por ate gov ernance

T heap lc tion ofcorp rategov ernanceinte ratesan insitutionalzes

go dpra ticesf or:plan in an organizin ;a q irin an

impleme tin ; d lv erin an sup orin ;an monitorin th

perf ormanceof erv icesan prod ct.Ex ecutiv es, nclu in b ard

director an oth rto manag me t,areresp nsiblef orcorp rate

gov ernance n man c ses, thisisa le alo lgation pla e onth

lead r hipofan organiz tion.Ton glectthisresp nsibi tyhasbe n

show n tobea seriousmis ak , p te tialyleadin toprosecutionan a

prisonse te ce

T hegov ernancef rameworke sures hatan organiz tion’ssrate iesan

o jectiv esaref ulf ile Gov ernanceprinciplese ablean organiz tionto

gain oth radv antag s,e.g.moreeff ectiv euseofinformation,gainin

competitiv eadv antag whieminimizin risks

Gov ernancec n ot,an should not,o eratein isolation,butmus be

u d rpin e byeff ectiv econtolofprocesesa ros th busin s ,serv ice

prov id r an oth rparies

T heresp nsibi tyf orITmaybed le ate tomanag r within th

organiz tionbutth director area cou tablef orth eff ectiv ean

a ceptableusean d lv eryofITbyth irorganiz tion

T heterm‘gov ernanceofIT ’relatesprimariytoth ap lc tionof

corp rategov ernancetoth useofIT T hisap lestob th d man an

sup ly, toa hiev ere uire busin s outcomes( orv alu )w hiee surin

risksaremanag d.Forex ample, busin s cusomer an an ITserv ice

prov id rn e tow orktog th rtoplan,d sig ,d v elo , d ploy,

o erate, manag an ap lyITtome tth n e sof h busin s

T hepurp seof h san ard istopromoteeff ectiv e,eff icie t,a ceptable

an low erriskuseofITin al organiz tionsby:

• asurin s ak hold r that, fth san ardisf olow ed,th yc n hav e

confid ncein th organiz tion’scorp rategov ernanceofIT;

• inf ormin an g idin director in gov ernin th useofITin th ir

organiz tion;

• prov idin a basisforo jectiv eev aluationof h corp rate

gov ernanceofIT

ISO/IEC3 5 0:2 0 set out ixprinciplesf orgo d corp rategov ernance

ofITthatex pres pref er e be av iourtog id d cision-makin :

1 resp nsibi ty;

2 s rate y;

3 a q isition;

4 perf ormance;

5 conformance;

T hemod lcov er thre maintasks:

• ev aluatin th cure tan f utureuseofIT, nclu in srate ies,

pro osalsan sup lyar an eme t,b th internal an ex ternal

• directpreparation an impleme tation ofplansan p lcies o

e surethatth useofITme t busin s o jectiv esw itha clear

as ig me tofresp nsibi ty;

• monitorin conf ormancetop lciesan perf ormanceagains plans

throu h ap ro riatemeasureme tsysems, nclu in conformance

with o lgations

ISO/IEC3 5 0 d f in sInformationT ch olog ( IT )as h resources

re uire toa q ire,proces ,sorean dis eminateinf ormation T his

inclu es h comp siteterm‘nf ormation an C mmu ic tion

T ch olog ’( ICT )

ISO/IEC2 0 0-1 ( Par 1),publsh d in A pri 2 1 ,d f in sserv ice

manag me tasa setofc pabi tiesan proces estodirectan cont ol

th serv iceprov id r’sa tiv itiesan resourcesfor h d sig ,t ansition,

d lv eryan improv eme tof erv icestofulf ilth serv icere uireme t

Par 1 d f in sanSMSasa manag me t ys em todirectan cont olth

serv icemanag me ta tiv itiesofth serv iceprov id r

T heto -dow n ap roa h re uire forgov ernanceofITiscompatiblew ith

th to -dow n ap roa h re uire f orplan in , o eratin an improv in

an SMS fcor ectprinciplesareap le ,an SMSiso erate w ithin an

organiz tion’sgov ernanceofIT T hisinturn iso erate w ithin th sin le

corp rategov ernancesysemofanorganiz tion

Aspar ofgov ernance, th SMSshould beln e toth serv iceprov id r’s

ov eral v ision,o jectiv es, srate y,p lcies,proceses,resourcesan

inf ormation as how n inFig re2

T hepurp seofan SMSis od lv er erv icesthatme tbusin s n e san

todothiseff ectiv elyan eff icie tly Par of h purp seofanSMSisalso

toid ntifyan impleme timprov eme t toth SMS an serv ices

T hisisonlyrealsicifth SMShasrelationshipstoth wid rbusin s

e v ironme tof h serv iceprov id r’sorganiz tion,cus omer ,sup ler

an par n r

T hesco eof h SMSwi beinf lu nce byth serelationships, as

d scribe belowan in th Int od ction toth ISO/IEC2 0 0series, T

serv icemanag me t

A n ex ampleof h relationshipsbetwe norganiz tionsis hown in

Fig re3.W ithinth serv iceprov id rOrganiz tionB,th SMSw il n e

tod lv er h busin s n e sofOrganiz tion Ban complyw ith th

corp rates an ards,p lciesan o lgationsthrou hinternal

agre me t T hesco eofth SMSisinflu nce byagre me t betwe n

th serv iceprov id ran th cusomer( Organiz tion C)

W ithinan agre me t, th rec n bere uireme t atdiff ere tlev elsof

th organiz tion, e.g.organiz tion proceses,manag me tprocesesan

specials proceses.Simiarly,th sco eofth SMSw il beinflu nce by

agre me t betwe n th serv iceprov id rorganiz tion an sup ler,

suchasOrganiz tion A

Fig re2–C r por at e gov ern ncea d t heSMS

Fig re3–Ex ampleofa SMSa d itsrelat i nships

Int roduct ion

T hischaptercov er howoth rs an ardsan bes pra tices up or a

manag rd lv erin serv icestocusomer

Sev eralbes pra ticef rameworksan international san ardsc n beuse

inconju ction aspar ofan organiz tion’sov eral gov ernancean

manag me t ramew ork

T hereareman bes pra ticesinclu in san ards, publc lyav aiable

famew orksan th pro rietaryk owle g oforganiz tionsan

in iv id als Adaptin an ado tin th bes pra ticesinthispublc tion

wi as is organiz tionsin impleme tin serv icemanag me tthat

sup or scure tan f uturebusin s o jectiv esan plans.T headv antag

inusin bes pra tices hatarepublclyav aiablean use worldw id are

that:

• th yarev aldate a ros a ran eofdiff ere torganiz tions;

• th yprov id af ou dation f or tan ardiz tion an common

lan uag ;

• th reisth o p ru ityf or implfic tionan re se;

• organiz tionsc n be chmarkth mselv esan improv eth irc pabi ty

toclosean gaps;

• man hav easociate q alf ic tion sch mesthath lpw ith th

prof es ionald v elo me tof taff

Inad ition toIT ILan COBITex amplesofs an ardsan bes pra tices

thatareof te use w ith ISO/IEC2 0 0areCMMI PRINCE2an PMI

Using int ernat ional standards

Sev eral nternationals an ards hatarerelev anttoserv icemanag me t

areinclu e in A ppe dixG T hosethataremos relev antare:

• manag me t ys em san ardsISO9 01, SO/IEC2 0 0series;

• ISO/IEC19 7 seriesonsof tw areasetmanag me t;

• principle-base s an ards: SO/IEC3 5 0, SO310 0;

• ISO9 41 series( ergonomicsofh man–sys em intera tion)

ISO/IEC 20 0 and ser vice manageme t

Par 1 prov id sth basisf oras es in wh th ra serv iceprov id rhas

esablsh d a sucesf ulSMS tprov id sth basisforf ormalcerif ic tion

sch mesan oth rau it

T here uireme t in Par 1 areap lc bletoserv iceprov id r ofal sizes

an types,re ardles ofw heth rth organiz tionispublcorpriv ate

sector, nternal orex ternal T here uireme t arein epe d ntof h

to lsuse toautomateth serv icemanag me tproces esan sys em

T heISO/IEC2 0 0seriesisth ref orenotinte d d tocov er:

• gov ernancean gov ernanceofITa ros an organiz tion;

• d taie g idanceonhowtodoserv icemanag me t;

• howto lsareuse toautomateth serv icemanag me tproces es

ISO/IEC 20 0 w ith ot herbest practices

T heISO/IEC2 0 0seriesc n beuse w ith an bes pra ticeuse to

impleme tan SMS thatconf orms oth re uireme t ofPar 1

T hePar 1 re uireme t f orma relativ elybriefsetof‘mus do ’ Par 1 is

th to lay rofth pyramid in Fig re4.T hisisdon byas es in

w heth rth proces es,proce uresan w orkins ructionsin th SMSf ulf il

th re uireme t in Par 1.T hisisshow nin Fig re4.T heas esme tw il

alsoch ckthatth proces es,proce uresan w orkins ructionsare

f olow ed inpra tice

T heoth rparsofth ISO/IEC2 0 0seriesh lpa serv iceprov id rto

plan,esablshan improv ean SMS T heseareshow n sup or in th to

lay r,th Par 1 re uireme t, n Fig re4.T heseparsofth

Fig re4–Usin ISO/IEC2 0 0a d oth rbestpr act ices

ISO/IEC2 0 0seriesalsoh lpas es or an au itor tou d rtan th

sco e,ap lc bi tyan re uireme t f orPar 1 an an SMS

Serv iceprov id r c n useoth r tan ardsan pra ticestoas es ,plan,

esablsh, mpleme t,o erate,monitor,rev iew,maintain an improv e

th irSMS.T hetwoshow n in Fig re4areIT ILan COBIT

T heC nt olObjectiv esf orInformationan relate T ch olog ( COBIT )is

a gov ernancean contol f ramew orkf orITmanag me t tw ascreate

byth Inf ormation Sys emsAu itan C ntolAsociation(ISACA)an

th ITGov ernance Ins itute(IT GI).COBITdraw sf romth ex per iseofth

as ociation’smember, n usryex pers, cont olan security

prof es ionals tprov id san o jectiv ean pra tic l resourcef orex ecutiv e

manag me t,busin s manag me t, Tmanag me tan au itor

COBITaimstoe surethatIT:

• isalg e w ith th busin s;

• e ables h busin s an max imizesbe ef it ;

• resourcesareuse resp nsibly;

• risksaremanag d ap ro riately

COBITisbase onth analysisan harmoniz tion ofex isin ITsan ards

an go d pra ticesan conf orms og n ralya cepte gov ernance

principles tcov er f iv ek ygov ernancef ocusareas:s rate icalg me t,

v alu d lv ery,resourcemanag me t, riskmanag me tan perf ormance

manag me t

COBITisprimariyaime at hosepeo lein an e terprisethatwish to

g n ratev alu f rom IT inv esme t, thosethatprov id ITserv icesan

thosew hohav ea contol/riskresp nsibi ty tisdriv en bybusin s

re uireme t an cov er th f ul ran eofITa tiv ities tconce t ateson

whatshould bea hiev ed rath rthanhowtoa hiev eeffectiv e

gov ernance, manag me tan contol

Oth rCOBITg idancethatisuseful f orserv iceprov id r inclu es:

• gov ernanceex ecutiv ebrief in an impleme tation g idance;

• manag me tg id ln s;

• ITas uranceg id usin COBIT;

• howtod termin th prioritiz tion ofprocesestoimpleme t;

• COBITdomain an proces f rameworkmod l

• COBITmaturitymod lsan be chmarkstodriv eimprov eme t;

• recomme dationsonauthoritiesan commit e s;

• goalsan met ics hatc nbeuse toalg th busin s an ITgoals

tomeasureth ira hiev eme tan d sig a manag me tdashb ard

T heCOBITf rameworkconsis sof ourdomains how n inFig re5an 3

proces esthatd f in proces input an output, k yproces a tiv ities,

proces o jectiv es, perf ormancemeasuresan a basicproces maturity

mod l T hereisalsoa g n ricmaturityat ributemod lthatisusefulfor

comparin th c pabi tyofdiff ere tproces es

T heCOBITg idancesup orsserv iceprov id r toa hiev eth

re uireme t in Par 1, Clause4.T heAIdomaing n ralysup or sth

d sig an t ansitionofn wan chan e serv icesan th DSdomain

g n ralysup or sPar 1,Clauses6,7.2,8an 9.2

IT IL ser vice management pr act ices

IT ILisa setofconsise tan compre e siv edocume tation ofbes

pra ticef or erv icemanag me t,use bythousan soforganiz tions

arou dth w orld T heo jectiv eofth IT ILf ramew orkistoprov id

serv icestobusin s cus omer thatarefitf orpurp se,sablean relable

IT ILc n beadapte an ap le tosuitth circums ancesofa par icular

organiz tion toa hiev eth re uire busin s outcomes

IT ILhasev olv ed an chan e it breadth an d pth aschan esin

tech ologiesan busin s pra ticeshav echan e On ofth driv er for

th improv eme t inIT IL hasbe n th increase so hisic tionof erv ice

manag me tin pra tic l use,driv en byev er -increasin d man sf oran

eff ectiv ean eff icie tIT-e able serv ice

IT ILprov id sanorganiz tion w ith bes pra ticeg idanceon howto

manag an improv eit proces tod lv erhig -q alty,cos-effectiv eIT

Fig re5–COBITdomains

So re:COBIT4.1 ©19 9 6– 0 11 ITGo ernanceInstitute.Al rig t reserved.Us ed

b permiss io

serv ices.T hecoreg idanceconsis soff iv eserv icelfe-cyclepublc tions

thatprov id bes pra ticeg idancef orserv icemanag me t.Ea h core

publc tion cov er a s ag ofth serv icelfecycle:

– S rv iceStr at egy : k yd cision makin toe sureinte ration ofth

busin s an ITs rate iesan d v elo srate iesf orserv ices hat

sup or th busin s srate y

– S rv iceDesig :e suresthatea h ITserv iceisw el d sig e tome t

th cusomer’ d sire busin s outcomesbein b th f it orpurp se

an f itf oruse

– S rv iceTr ansit i n:managin an cont ol n chan estoth serv ices

an lv eITe v ironme t, nclu in th tansition ofn worchan e

serv icestome tcusomeran busin s ex pectations

– S rv iceOper at i n:d lv erin an sup orin o erational Tserv ices

eff ectiv elyan eff icie tlyinsuch a w aythatth yme tbusin s

n e s,ex pectationsan plan e o jectiv es

– C nt in alS r v iceImprov eme t : learnin f rom ex perie cean

ado tin anap roa h thate surescontin al mprov eme ttoalg

th ITserv icestoth chan in re uireme t

So re:©Crownco yrig t20 11 CabinetOfice

T heU Cabin tOff ice,prev iouslyth Off iceofGov ernme tC mmerce,

retainsth rig t toal intelectualpro ery,co yrig tan tad marks

relatin toIT IL t primaryroleison ofsew ardshipofth IT ILserv ice

manag me tpra ticesf rameworkconte tan q alfic tions.T herearea

ran eofIT ILex aminationins itutes,q alf ic tions,a cre itation b dies

an IT IL publsh r a cesiblef romth IT IL officialwebsite giv enin

Ap e dixG

IT IL and ISO/IEC 20 00al gnme t

AnIT IL ref eshprojectle topublc tionofIT IL V 3in 2 0 On ofth

o jectiv esofth projectw astoretain an ,asap ro riate, mprov e

alg me ttoISO/IEC2 0 0-1:2 0 T heIT ILserv icelf e-cycleap roa h

brou hta closeralg me t ok ypar sofISO/IEC2 0 0

Durin th d v elo me tofth 2 1 e ition ofPar 1,sup or f orcloser

alg me tbetw ee ISO/IEC2 0 0an IT ILV 3 w asex prese byth

serv icemanag me tcommu ityan nationalb dies.T hisinf lu nce th

re uireme t forPar 1,e.g.Clause5 T hisap les oal chan esthat

hav eth p te tialtoimpa tth serv icesorth cusomer

T herearediff ere cesbetwe n IT ILan th ISO/IEC2 0 0seriesasth y

serv ediffere tpurp ses T heseareshow n in Table1

T ble1 –Diff erencesbetw ee ISO/IEC2 0 0a d IT IL

Sco e–should beex plcitly

d f in d atan earlysag f orth

SMS,asth reare lmitationson

whatc n beinclu e in th sco e

ofan SMSf orcerif ic tion

T hereisf lex ibi tyov erth sco e

ofth a tiv itiestoinclu ein IT IL

impleme tation

Fulf il n par ofth

re uireme t inPar 1 byusin

IT ILc n brin be ef it,e e

thou h thismig tnotth nbe

cer ifiable

Or ga izat i n l f or m –th Par 1

re uireme t f oran SMSap lyto

al serv iceprov id r ir espectiv eof

organiz tional form, size,nameor

types.Aserv iceprov id rc n

ado tan terms uitablef orth ir

circums ances

IT ILprov id sg idanceon

organiz tionals ructures,

organiz tionald v elo me tan

organiz tion f unctions

IT ILinclu esadv icef ordiff ere t

typesoforganiz tion,e.g

internal an ex ternal smal

me ium, arg

A ut horit ies,rolesa d

resp nsibi t ies–mus bed f in d

hig -lev el re uireme t ofPar 1

How ev er,Par 1 doesnotprov id

an d tai onhowtod sig ,

docume tan impleme ta

proces

IT ILprov id sex te siv eg idance

fora ran eofserv ice

manag me tproces esthatw il

sup or a serv iceprov id raimin

toa hiev ePar 1 cerif ic tion

A ut omat on a d t ools–th sco e

ofPar 1 ex clu es h

specif ic tion f ora prod ctorto l

How ev er,organiz tionsc n use

Par 1 toh lpth m tod v elo

prod ct orto lsthatsup or th

o eration ofan SMS

IT ILprov id s ecomme dations

forth useoftech olog an

th basicre uireme t a serv ice

prov id rw il w anttoconsid r

wh ncho sin serv ice

manag me tto lsan

automatin proces es

Using IT IL and ISO/IEC 20 0 t ogether

T hemos commonroutetoa hiev in th re uireme t ofPar 1 isv ia

useofIT ILbes pra tices.T hisissucha commonroutethatth

ISO/IEC2 0 0seriesis re u ntlyrefer e toas‘th IT ILs an ard’

Serv iceprov id r thatw ishtod monsratethatth yhav eado te IT IL

pra ticesin an eff ectiv eman erof te ado tISO/IEC2 0 0.Usin th

combination ofIT ILan ISO/IEC2 0 0be ef it man organiz tions

T heIT ILServ iceState ypublc tioncov er g n ricserv icemanag me t

principlesan procesesthatareuse throu houtth IT ILcore

publc tions T heIT ILserv icesrate yg idanceh lpsa serv iceprov id rto

sco eth SMS, th serv icesan gov ern proceseso erate byoth r

paries.T herearetw os rate icareasoff ocus

• Alg th serv iceprov id r’ssrate yw ith th busin s srate y,

e abln th serv iceprov id r’sorganiz tion toa hiev eit busin s

outcomes( this up orsth re uireme t in Par 1,Clause4)

• State ytoplan, es ablsh, mpleme t,o erate, monitor,rev iew,

maintain an improv eth SMSw ith a serv icemanag me tc pabi ty

thatw il d lv erserv iceseff ectiv elyan eff icie tly( thissup orsth

re uireme t in Par 1,Clauses4to9)

T heIT ILC ntin al Serv iceImprov eme tpublc tioncov er a tiv itiesto

sup or contin al mprov eme tthrou h th Plan-Do-Ch ck-A ct( PDCA)

cycle( of te ref er e toas‘Demin ’)inPar 1,Clause4

T heIT ILServ iceDesig an Serv iceTransition publc tionssup or Par 1,

Clause5

Detaisofsup or f orPar 1 byth IT ILb oksisgiv en inA ppe dixF, T IL

sup or forPar 1 re uireme t

Practical adaption of best pract ice

Adaptin a common famew orkofpra ticesthatmatch an organiz tion’s

n e sresult in a h bridap roa h base on th organiz tion’sex is in

proces esasw el asado tin in usrys an ardssuch asPar 1 W he

adaptin a h bridap roa h itisusef ultou d rtan an mapth bes

pra ticetermstoth termsuse in yourow n organiz tion

Fig re6show san adaptionofPar 1 incorp ratin ex isin organiz tion

proces esintoth serv iceprov id r’sSMS.T heresourcemanag me tan

docume tation manag me tproces esareorganiz tion-wid proceses

use in th SMS.Oth rorganiz tion-w id procesesareinclu e tome t

th re uireme t ofPar 1,Clause4.T hecontin al mprov eme t

proces eshav ebe nadapte

Fig re6–Ex ampleofa ap n aproces mod lf ort heSMS

Int roduct ion

Un ertan in th re uireme t ofcusomer an user asw el asoth r

sak hold r isan imp rantaspectofserv icemanag me t.Aserv ice

prov id rshould manag serv icesin awaythatd mons ratescomplance

with a ran eofserv icere uireme t, nclu in an consraint T his

chapterd scribesd lv erin v alu f omserv ices,th serv icere uireme t

an ap roa h stod f inin th serv ices

Par 1 d f in sa serv ice asa meansofd lv erin v alu f or h cusomer

byfa i tatin result th cusomerwant toa hiev e

Acus omerisan organiz tionorpar ofan organiz tionthatreceiv es

serv ices.Acusomermaybeex ternaltoth serv iceprov id r’s

organiz tionorpar ofth sameorganiz tion

Del vering v alue f rom ser vices

T hev alu ofa serv icef or h cus omerd pe dson th peron thatuses

th serv icean w hatite ablesth perontodo.T heper on c n bea

cus omeran /ora userof h serv ice mprov eme t in serv ice

perf ormancecontibutetov alu Forex ample, a serv icee ablesincreases

incusomerprod ctiv ityan d lv er a return on inv esme t.T hiscould

bea hiev ed byincreasin th t ansa tion rateofinv oicin

Un ertan in th v alu create f rom aserv icere uirespra tices o

measure,monitoran o timizeth f inancialan non-f inancialreturnson

inv es me tin th serv ice(s)

Remov in consraint alsoad sv alu f orcus omer.Forex ample,

prov idin anon-ln sho means hata peron doesnotn e totav elto

th bu go ds Clou computin serv icesd lv erv alu f or h cus omer

byre ucin th totalcos ofuti z tion,w hieimprov in remotea ces

Valu isalsod pe d nton a cusomer’spref ere ces Forex ample,a

peron whoprefer togotoa sho w il se nov alu in sho pin on-ln

C nv erely, someon to busytogotoa sho c n fin iteasieran les

timeconsumin tosho on-ln

Cusomerprefere cesareinf lu nce byth irperceptions, w hich in turn

areinf lu nce byth ir:

• ex perie cewith a serv iceorsimiarserv ices/prod ct;

• d sires uch asbein competitiv eorin ov ativ e

In IT IL, th v alu ofa serv iceisf romcombinin twoprimaryeleme t :

− Uti t y( f it nes f orpur pose)–thisisw hatth serv icedoes tinclu es

th f unctionaltyoff ere bya prod ctorserv icetome ta n e

− War r ant y( f it nes f oruse)–thisishowth serv iceisd lv ere tis

anasurancethatth serv icewi beav aiablew he n e e ,w ith th

n ces aryc pa ityan relabi tyin termsofcontin ityan security

Serv ice requirement s

In th ISO/IEC2 0 0series, serv icere uireme t’ sa colectiv etermfor

th n e softh cusomeran user ofth serv icean th n e softh

serv iceprov id r.T hisisu lk lytobeon ph sic ldocume t, butth re

should bea logic l groupin of h serv icere uireme t asshow n below

T hesere uireme t shouldcov er:

• d sire result thatcus omer ex pectf romusin th serv ice;

• s atutory,re ulatory,gov ernancere uireme t an cont a tual

o lgations;

• consraint thatth serv icew il remov eorchan e;

• useofth serv icesan serv icecomp n nt ;

• perf ormancean serv icelev elre uireme t ;

• plan in , es ablshin , mpleme tin ,o eratin , monitorin ,

rev iewin , maintainin an improv in th serv ices;

• consraint f rom th serv iceprov id r’sbusin s e v ironme t

inclu in bu g t ,corp rategov ernancean conta tualo lgations;

• plan in , es ablshin , mpleme tin ,o eratin , monitorin ,

rev iewin , maintainin an improv in th SMS

Atableshow in th agre me t thataremad w ith th cus omeris

giv en in A ppe dixB,A gre me t w ith th cusomer

W ho cont ribut es t o serv ice requirements?

In Par 1,th f olow in typesoforganiz tions, groupsorpeo lew il

contibutetoserv icere uireme t

• Cusomer a tin as up ler :groupsthatrelyonth serv icebut

w hoalsocontibutetoth serv ice

• Ex ternalorganiz tions:organiz tionsthatn e toa ces ,useor

manag th serv iceprov id r’sinf ormation orserv ices

• Interes e paries: n iv id alsorgroupshav in a specif icinteres in

th perf ormanceorsuc es ofth serv iceprov id r’sa tiv ities

• Internalgroups:par sof h serv iceprov id r’sow n organiz tion

T he c n contibutetoan sag f romd sig , throu h towith raw al

ofserv ices

• Leadsup ler :sup ler resp nsiblef ormanagin oth rsup ler,

refer e toas ubcont a te sup ler

Serv icere uireme t f omth cus omer an interes e par iesalso

prov id inputintoth SMS,asd scribe inChapter7

Serv ice por tf ol o management

InIT IL,th serv icep rf olois h ln betw ee busin s re uireme t

an th serv iced lv ere tinclu esth completesetofserv icesthatis

manag d bya serv iceprov id ran comprises hre par sasshow n in

Fig re7.B sin s re uireme t an th serv icep r f oloc nbebroad r

than th Par 1 serv icere uireme t

T heserv icep rf oloreprese t al th resourcesprese tlye gag d or

bein release in v ariouss ag softh serv icelf ecyclea ros al serv ices

Fig re7–T het hreepart sofaser v icep r t f olo

re uireme t ofcusomer tinclu esplan in th resource

re uireme t a ros th w holelf ecycle th lpsin prioritiz tion an

plan in ofn wan chan e serv ices T hish lpstod f in th sco eof

th SMS

T heserv icep rf oloalsoid ntif iesth cusomer an user an th ir

specificinteress,w hich isalsore uire f orth SMS talsoprov id sth

contex tf ord v elo in Serv icelev el agre me t ( SLA s),cont a t ,oth r

f ormal agre me t an th serv icere uireme t

Aserv icep r f olocov er th lf ecycles ar in with th recog ition that

th cusomer’sbusin s n e smean a n wserv iceis e uire Stag sin

th lf ecyclean chan esofsatusare:

• recog itionofa busin s n e ;

• plan in an d sig ofth serv ice;

• serv iced v elo me t;

• agre me tofS A s,tesin an a ceptanceintoo erationalru nin ;

• inclusion in th serv icec talog e;

• serv iceremov ed/retire

Aserv icethatc n beimprov edorchan e ismanag d throu h th same

proces an w ithin th f rameworkof h serv icep rf olo

W he a serv iceisremov ed/retire ,th e t yis emov edf omth serv ice

c talog e Docume t an recordsarearchiv edtoprov id an au it rai

ofchan es,e.g.re uire f orre ulatoryreasons.T hechan es oth

serv icec talog earec sc d d throu h aschan es oS As,cont a t an

oth rdocume tagre me t T heimpa tofa n wserv icec nbe

w id -rea hin an resultin oth rchan es oth SMS

T heserv icep rf oloprov id sa f ramew orkf orPar 1, Clause 5 talso

ln stoth improv eme t toth SMSan serv icesf romPar 1,4.5

Def ining the ser vice st ruct ure and composition

Aprimaryconcern ofan SMSisd lv erin th agre dlev elsofserv ice

w hiemanagin th d man an sup lyofserv ices

IT ILusesa serv icemod l toshowhowth serv iceprov id rcreates h

d sire uti ty,w ar antyan diff ere tlev elsof erv icefordiff ere t

paternsofbusin s a tiv ity.Aserv icemod ld scribesth s ructureofa

serv ice( howth config rationitemsf it og th r)an th d namicsof

th serv ice(a tiv ities, f l wof esourcesan intera tions) Forex ample, t

w il outln w hichper on elw il beusin th serv ice( userpro le),th

typeofd v icean e uipme tan th ex pecte output

T hecomp sitionofa serv icean it relationshiptoit sup orin

comp n nt w ithrelate information isimp rantf oral s ag softh

serv icelfecycle.An ex ampleisshown in Fig re8.Workloadsan serv ice

targ t arecontain d w ithin an S Aan sup or in agre me t, such as

Operational ev elagre me t ( OLAs) Aces tothisinf ormation w il h lp

peo lewithin th serv iceprov id rorganiz tion tou d rtan th roleof

ea h comp n ntw ithin th ov eral serv icean it impa ton th busin s

Someofth seaspect arediscuse in mored tai in Chapter9

Ser v ice prov ider ’s requirements

T heserv iceprov id rmig tbeaimin toa hiev ecer ific tion toPar 1

an th ref orehav especif icre uireme t

T heserv iceprov id r’sre uireme t w il beinf lu nce byth corp rate

gov ernancere uireme t of h serv iceprov id r’sorganiz tion.Oth r

f actor inclu eth re uireme t ofinterese par ies, n ad itiontoth

cus omer an user discus e ab v e, thatintera twithth SMS.T hese

re uireme t affectorareaff ecte byth sco eof h SMS.Ea h pary

w il hav eserv icere uireme t thatareinf lu nce byth irbusin s

e v ironme t,th n e softh ircusomer an consraint such as

re ulationsan conta tualagre me t

T his tate yisan imp rantaspectofth serv icere uireme t inPar 1

T heserv ices rate yw il betanslate intoresp nsibi ties,re uireme t ,

p lciesan plansf or h SMS.An ex ampleofth docume tation in

takin a to -dow n ap roa hisshow nin Fig re9

Changes in serv icerequireme ts

Cusomer n e tobesatisf ie w ith an conf id ntin th abi tyofth

serv iceprov id r oprov id th agre d lev elof erv ice H w ev er, cusomer

ex pectationsc nshif tan a serv iceprov id rn e stou d r tan such

chan es.T heIT ILServ iceState yprov id sadv iceon howthishap e s

an howa serv iceprov id rc n adaptit serv icestome tth chan in

cus omere v ironme t

Fig re9–SMSreq ireme t s:at op-dow nap roach

In Par 1 chan estoserv icere uireme t c n beinitiate throu h th

busin s relationshipmanag me t, serv icelev el manag me tan

sup lermanag me tproces esd scribe in Chapter 9an 10.T he c n

alsobeinitiate throu h th improv eme tan chan emanag me t

proces esd scribe in Chapter 8an 12

W hat is an SMS?

T henormalE glsh lan uag meanin ofa sys em is‘a setof

intercon ecte orinter elate parsf ormin a comple w hole.For

ex ample, th t ansp r sysem’T herearealsoserv icemanag me t

sys ems

T heSMS isa setofinter elate orintera tin eleme t.T heSMS

esablsh sp lciesthatprov id manag me tdirection an o jectiv esas

goalsforth SMS T hep lciesan o jectiv esbecomepar ofth SMS

T heSMS isth reforea setofinte rate comp n nt,suchasp lcies,

plans,proceses,proce uresan oth ru d rpin in docume t an

records.T heSMScomp n nt aren cesaryforth SMS tof unctionan

a hiev eth serv icemanag me to jectiv es

Serv icemanag me tprocesesareth coreofan SMS Serv ice

manag me tisth k ydiff ere cebetw ee anSMSan oth r

manag me tsysems,e.g an ISO9 01 q altymanag me tsysem

T heserv icemanag me tprocesesaref ulyinte rate T heSMS e sures

th proceseso eratein an eff ectiv e,eff icie tan consis e tw ay.T hisis

bec useth procesesaresubjecttomanag me trev iew, nternalau it,

oth rasesme t an a contin al mprov eme tcycle.T hisisref er e to

as h PDCAcycle, d scribe below

Par 1 authoritylev els,resp nsibi tiesan rolesf orth SMSared scribe

in Chapter5

W hat is t he Plan-Do-Check -A ct cy cle?

T hecoreof h SMSisth methodolog k ow n asPlan-Do-Ch ck-Act

( PDCA) T hePDCAcycleinitialyesablsh sth SMS.T hecycleth n

o eratesan contin alyimprov es h SMSan serv ices.T hePDCA

improv eme t ap lytoal proces esinth SMS, nclu in serv ice

manag me t

T hef our tag softh PDCArepeatin a cyclethatisfu dame tal to

contin in cont olan contin al mprov eme tof h SMSan serv ices

T he c n besummarize as:

– Pla :esablshin ,docume tin an agre in th SMS.T heSMS

inclu es h p lcies,o jectiv es, plansan proceses of ulf ilth

serv icere uireme t an improv eserv ices

– Do: mpleme tin an o eratin th SMSf or h d sig ,t ansition,

d lv eryan improv eme tof h serv ices

– Ch ck : monitorin ,measurin an rev iew in th SMSan th

serv icesagains th p lcies,o jectiv es,plansan serv ice

re uireme t an rep rin th result

– A ct :takin a tionstocontin alyimprov eperormanceofth SMS

an th serv ices

T hePar 1 fig rei usratin th PDCAcycleisshow n asFig re10.T he

PDCAcycleispar of h SMS.B c useth PDCAa t on th w holeSMS

itisshow n asa cyclee compasin th SMS

T hemored taie comp n nt ofan SMS areshow n in th Fig re1

T heIT ILC ntin al Serv iceImprov eme t( CSI)publc tion usesth 7-sep

improv eme tproces thatisbase onth PDCAcycle:

1 id ntif yth srate yf orimprov eme t;

2 d f in w hatyou w il measure;

3 gath r h data;

4 proces th data;

5 analyseth inf ormationan data;

Fig re10–‘Pla -Do-Ch ck -A ct ’improv eme tcy cle( f rom P r t1)

So re: SO/IEC20 0 0 0 -1:20 11