| iii

Contents
List of figures v 4.4 Problem Management 58
4.5 Access Management 68
List of tables vi
4.6 Operational activities of processes
OGCs foreword vii covered in other lifecycle phases 72

Chief Architects foreword viii 5 Common Service Operation activities 79

5.1 Monitoring and control 82
Preface ix
5.2 IT Operations 92
Acknowledgements x 5.3 Mainframe Management 95

1 Introduction 1 5.4 Server Management and Support 95

1.1 Overview 3 5.5 Network Management 96

1.2 Context 3 5.6 Storage and Archive 97

1.3 Purpose 7 5.7 Database Administration 97

1.4 Usage 7 5.8 Directory Services Management 98

1.5 Chapter overview 7 5.9 Desktop Support 98

5.10 Middleware Management 99
2 Service Management as a practice 9
5.11 Internet/Web Management 99
2.1 What is Service Management? 11
5.12 Facilities and Data Centre Management 100
2.2 What are services? 11
5.13 Information Security Management and
2.3 Functions and processes across the Service Operation 101
lifecycle 12
5.14 Improvement of operational activities 102
2.4 Service Operation fundamentals 13
6 Organizing for Service Operation 105
3 Service Operation principles 17
6.1 Functions 107
3.1 Functions, groups, teams, departments
6.2 Service Desk 109
and divisions 19
6.3 Technical Management 121
3.2 Achieving balance in Service Operation 19
6.4 IT Operations Management 125
3.3 Providing service 28
6.5 Application Management 128
3.4 Operation staff involvement in Service
Design and Service Transition 28 6.6 Service Operation roles and
responsibilities 140
3.5 Operational Health 28
6.7 Service Operation Organization Structures 146
3.6 Communication 29
3.7 Documentation 31 7 Technology considerations 155
7.1 Generic requirements 157
4 Service Operation processes 33
7.2 Event Management 158
4.1 Event Management 35
7.3 Incident Management 159
4.2 Incident Management 46
7.4 Request fulfilment 159
4.3 Request Fulfilment 55
7.5 Problem Management 159
iv |

7.6 Access Management 160 Appendix C: Kepner and Tregoe 199

7.7 Service Desk 160 C1 Defining the problem 201
C2 Describing the problem 201
8 Implementing Service Operation 163
C3 Establishing possible causes 201
8.1 Managing change in Service Operation 165
C4 Testing the most probable cause 201
8.2 Service Operation and Project
Management 165 C5 Verifying the true cause 201
8.3 Assessing and managing risk in Service
Operation 166
Appendix D: Ishikawa Diagrams 203
8.4 Operational staff in Service Design and Appendix E: Detailed description of
Transition 166 Facilities Management 207
8.5 Planning and Implementing Service E1 Building Management 209
Management technologies 166
E2 Equipment Hosting 209
9 Challenges, Critical Success Factors E3 Power Management 210
and risks 169
E4 Environmental Conditioning and
9.1 Challenges 171 Alert Systems 210
9.2 Critical Success Factors 173 E5 Safety 211
9.3 Risks 175 E6 Physical Access Control 211
E7 Shipping and Receiving 212
Afterword 177
E8 Involvement in Contract Management 212
Appendix A: Complementary industry E9 Maintenance 212
guidance 181
A1 COBIT 183 Appendix F: Physical Access Control 213
A2 ISO/IEC 20000 183
Glossary 219
A3 CMMI 184
Acronyms list 221
A4 Balanced Scorecard 184
Definitions list 223
A5 Quality Management 184
Index 251
A6 ITIL and the OSI Framework 184

Appendix B: Communication in Service

Operation 185
B1 Routine operational communication 187
B2 Communication between shifts 188
B3 Performance Reporting 189
B4 Communication in projects 192
B5 Communication related to changes 194
B6 Communication related to exceptions 195
B7 Communication related to emergencies 196
B8 Communication with users and customers 197
 | 3

1 Introduction
This publication provides best-practice advice and separate components, such as hardware, software
guidance on all aspects of managing the day-to-day applications and networks, that make up the end-to-end
operation of an organizations information technology (IT) service from a business perspective) and to detect any
services. It covers issues relating to the people, processes, threats or failures to service quality.
infrastructure technology and relationships necessary to
As services may be provided, in whole or in part, by one
ensure the high-quality, cost-effective provision of IT
or more partner/supplier organizations, the Service
service necessary to meet business needs.
Operation view of end-to-end service must be extended to
The advent of new technology and the now blurred lines encompass external aspects of service provision and
between the traditional technology silos of hardware, where necessary shared or interfacing processes and tools
networks, telephony and software applications are needed to manage cross-organizational workflows.
management mean that an updated approach to
Service Operation is neither an organizational unit nor a
managing service operations is needed. Organizations are
single process but it does include several functions and
increasingly likely to consider different ways of providing
many processes and activities, which are described in
their IT at optimum cost and flexibility, with the
Chapters 4, 5 and 6.
introduction of utility IT, pay-per-use IT Services, virtual IT
provision, dynamic capacity and Adaptive Enterprise
computing, as well as task-sourcing and outsourcing 1.2 CONTEXT
options.
1.2.1 Service Management
These alternatives have led to a myriad of IT business
relationships, both internally and externally, that have IT is a commonly used term that changes meaning with
increased in complexity as much as the technologies context. From the first perspective, IT systems, applications
being managed have. Business dependency on these and infrastructure are components or sub-assemblies of a
complex relationships is increasingly critical to survival larger product. They enable or are embedded in processes
and prosperity. and services. From the second perspective, IT is an
organization with its own set of capabilities and resources.
IT organizations can be of various types such as business
1.1 OVERVIEW functions, shared services units and enterprise-level core
Service Operation is the phase in the ITSM Lifecycle that is units.
responsible for business-as-usual activities. From the third perspective, IT is a category of services
Service Operation can be viewed as the factory of IT. utilized by business. They are typically IT applications and
This implies a closer focus on the day-to-day activities infrastructure that are packaged and offered as services by
and infrastructure that are used to deliver services. internal IT organizations or external service providers. IT
However, this publication is based on the understanding costs are treated as business expenses. From the fourth
that the overriding purpose of Service Operation is to perspective, IT is a category of business assets that provide
deliver and support services. Management of the a stream of benefits for their owners, including, but not
infrastructure and the operational activities must limited to, revenue, income and profit. IT costs are treated
always support this purpose. as investments.

Well planned and implemented processes will be to no

1.2.2 Good practice in the public domain
avail if the day-to-day operation of those processes is not
properly conducted, controlled and managed. Nor will Organizations operate in dynamic environments with the
service improvements be possible if day-to-day activities need to learn and adapt. There is a need to improve
to monitor performance, assess metrics and gather data performance while managing trade-offs. Under similar
are not systematically conducted during Service Operation. pressure, customers seek advantage from service
providers. They pursue sourcing strategies that best serve
Service Operation staff should have in place processes and their own business interest. In many countries,
support tools to allow them to have an overall view of government agencies and non-profit-making enterprises
Service Operation and delivery (rather than just the have a similar propensity to outsource for the sake of
4 | Introduction

Standards Employees

Industry practices Customers

Sources Enablers
Academic research Suppliers
(Generate) (Aggregate)

Training and education Advisors

Internal experience Technologies

Substitutes Competition

Drivers Regulators Compliance Scenarios

(Filter) (Filter)

Customers Commitments

Knowledge fit for business

objectives, context and purpose

Figure 1.1 Source of Service Management Practice

operational effectiveness. This puts additional pressure on knowledge have matching circumstances, the
service providers to maintain a competitive advantage knowledge may not be as effective in use.
with regard to the alternatives that customers may have. Owners of proprietary knowledge expect to be
The increase in outsourcing has particularly exposed rewarded for their long-term investments.
internal service providers to unusual competition. They may make such knowledge available only
To cope with the pressure, organizations benchmark under commercial terms, through purchases and
themselves against peers and seek to close gaps in licensing agreements.
capabilities. One way to close such gaps is the adoption of Publicly available frameworks and standards such as
good practices across the industry. There are several ITIL, Control Objectives for IT (COBIT), CMMI, eSCM-SP,
sources for good practices, including public frameworks, PRINCE2, ISO 9000, ISO 20000 and ISO 27001 are
standards and the proprietary knowledge of organizations validated across a diverse set of environments and
and individuals (see Figure 1.1). situations rather than the limited experience of a
single organization. They are subject to broad
Public frameworks and standards are attractive when review across multiple organizations and disciplines.
compared with proprietary knowledge: They are vetted by diverse sets of partners, suppliers
Proprietary knowledge is deeply embedded in and competitors.
organizations and therefore difficult to adopt, The knowledge of public frameworks is more likely to
replicate or transfer, even with the cooperation of be widely distributed among a large community of
the owners. Such knowledge is often in the form professionals through publicly available training and
of tacit knowledge which is inextricable and certification. It is easier for organizations to acquire
poorly documented. such knowledge through the labour market.
Proprietary knowledge is customized for the local
Ignoring public frameworks and standards can needlessly
context and specific business needs, to the point of place an organization at a disadvantage. Organizations
being idiosyncratic. Unless the recipients of such should cultivate their own proprietary knowledge on top
 Introduction | 5

Continual
Service
Improvement
Service
Transition

Service
Strategy

Service
Design Service
Operation

en ce
Co Impro

vem ervi
nti ve

t
nu m

pro l S
Im tinua
al S ent
erv

n
Co
ice

Figure 1.2 ITIL Core

of a body of knowledge based on public frameworks and Service Strategy

standards. Collaboration and coordination across Service Design
organizations are easier on the basis of shared practices Service Transition
and standards. Service Operation
Continual Service Improvement.
1.2.3 ITIL and good practice in Service
Management Each publication addresses capabilities having direct
impact on a service providers performance. The structure
The context of this publication is the ITIL Framework as a
of the core is in the form of a lifecycle. It is iterative and
source of good practice in Service Management. ITIL is
multidimensional. It ensures that organizations are set up
used by organizations worldwide to establish and improve
to leverage capabilities in one area for learning and
capabilities in Service Management. ISO/IEC 20000
improvements in others. The Core is expected to provide
provides a formal and universal standard for organizations
structure, stability and strength to Service Management
seeking to have their Service Management capabilities
capabilities, with durable principles, methods and tools.
audited and certified. While ISO/IEC 20000 is a standard to
This serves to protect investments and provide the
be achieved and maintained, ITIL offers a body of
necessary basis for measurement, learning and
knowledge useful for achieving the standard.
improvement.
The ITIL Library has the following components:
The guidance in ITIL can be adapted for changes of use in
ITIL Core: best-practice guidance applicable to all various business environments and organizational
types of organizations that provide services to a strategies. The Complementary Guidance provides
business flexibility to implement the Core in a diverse range of
ITIL Complementary Guidance: a complementary set environments. Practitioners can select Complementary
of publications with guidance specific to industry Guidance as needed to provide traction for the Core in a
sectors, organization types, operating models and given business context, much as tyres are selected based
technology architectures. on the type of automobile, purpose and road conditions.
This is to increase the durability and portability of
The ITIL Core consists of five publications (see Figure 1.2).
knowledge assets and to protect investments in Service
Each provides the guidance necessary for an integrated
Management capabilities.
approach as required by the ISO/IEC 20000 standard
specification:
6 | Introduction

1.2.3.1 Service Strategy 1.2.3.3 Service Transition

The Service Strategy volume provides guidance on how to The Service Transition volume provides guidance for the
design, develop and implement Service Management, not development and improvement of capabilities for
only as an organizational capability but also as a strategic transitioning new and changed services into operations.
asset. Guidance is provided on the principles underpinning This publication provides guidance on how the
the practice of Service Management which are useful for requirements of Service Strategy encoded in Service
developing Service Management policies, guidelines and Design are effectively realized in Service Operations while
processes across the ITIL Service Lifecycle. Service Strategy controlling the risks of failure and disruption. The
guidance is useful in the context of Service Design, Service publication combines practices in Release Management,
Transition, Service Operation and Continual Service Programme Management and Risk Management and
Improvement. Topics covered in Service Strategy include places them in the practical context of Service
the development of markets, internal and external, service Management. It provides guidance on managing the
assets, service catalogue and implementation of strategy complexity related to changes to services and Service
through the Service Lifecycle. Financial Management, Management processes, preventing undesired
Service Portfolio Management, Organizational consequences while allowing for innovation. Guidance is
Development and Strategic Risks are among other provided on transferring the control of services between
major topics. customers and service providers.
Organizations use the guidance to set objectives and
expectations of performance towards serving customers
1.2.3.4 Service Operation
and market spaces and to identify, select and prioritize This volume embodies practices in the management of
opportunities. Service Strategy is about ensuring that Service Operations. It includes guidance on achieving
organizations are in a position to handle the costs and effectiveness and efficiency in the delivery and support of
risks associated with their service portfolios and are set up services so as to ensure value for the customer and the
not just for operational effectiveness but for distinctive service provider. Strategic objectives are ultimately realized
performance. Decisions made with regard to Service through Service Operations, therefore making it a critical
Strategy have far-reaching consequences, including those capability. Guidance is provided on how to maintain
with delayed effect. stability in Service Operations, allowing for changes in
design, scale, scope and service levels. Organizations are
Organizations already practising ITIL use this volume to provided with detailed process guidelines, methods and
guide a strategic review of their ITIL-based Service tools for use in two major control perspectives: reactive
Management capabilities and to improve the alignment and proactive. Managers and practitioners are provided
between those capabilities and their business strategies. with knowledge allowing them to make better decisions in
This volume of ITIL encourages readers to stop and think areas such as managing the availability of services,
about why something is to be done before thinking of controlling demand, optimizing capacity utilization,
how. Answers to the first type of questions are closer to scheduling of operations and fixing problems. Guidance is
the customers business. Service Strategy expands the provided on supporting operations through new models
scope of the ITIL Framework beyond the traditional and architectures such as shared services, utility
audience of ITSM professionals. computing, web services and mobile commerce.

1.2.3.2 Service Design 1.2.3.5 Continual Service Improvement

The Service Design volume provides guidance for the This volume provides instrumental guidance in creating
design and development of services and service and maintaining value for customers through better
management processes. It covers design principles and design, introduction and operation of services. It combines
methods for converting strategic objectives into portfolios principles, practices and methods from Quality
of services and service assets. The scope of Service Design Management, Change Management and Capability
is not limited to new services. It includes the changes and Improvement. Organizations learn to realize incremental
improvements necessary to increase or maintain value to and large-scale improvements in service quality,
customers over the lifecycle of services, the continuity of operational efficiency and business continuity. Guidance is
services, achievement of service levels and conformance to provided for linking improvement efforts and outcomes
standards and regulations. It guides organizations on how with Service Strategy, Service Design and Service
to develop design capabilities for Service Management. Transition. A closed-loop feedback system, based on the
 Introduction | 7

Plan, Do, Check, Act (PDCA) model specified in ISO/IEC and adopt the guidance for its own specific needs,
20000, is established and capable of receiving inputs for environment and culture. This will involve taking into
change from any planning perspective. account the organizations size, skills/resources, culture,
funding, priorities and existing ITSM maturity and
The day-to-day operational management of IT Services is
modifying the guidance as appropriate to suit the
significantly influenced by how well an organizations
organizations needs.
overall IT service strategy has been defined and how well
the ITSM processes have been planned and implemented. For organizations finding ITIL for the first time, some form
This is the fourth publication in the ITIL Service of initial assessment to compare the organizations current
Management Practices series and the other publications processes and practices with those recommended by ITIL
on Service Strategy, Service Design and Service Transition would be a very valuable starting point. These assessments
should be consulted for best practice guidance on these are described in more detail in the ITIL Continual Service
important stages prior to Service Operation. Improvement publication.
Service Operation is extremely important, as it is on a day- Where significant gaps exist, it may be necessary to
to-day operational basis that events occur which can address them in stages over a period of time to meet the
adversely impact service quality. The way in which an organizations business priorities and keep pace with what
organizations IT infrastructure and its supporting ITSM the organization is able to absorb and afford.
processes are operated will have the most direct and
immediate short-term bearing upon service quality.
1.5 CHAPTER OVERVIEW
Chapter 2 introduces the concept of Service Management
1.3 PURPOSE as a practice. Here, Service Management is positioned as a
Service Operation is a critical phase of the ITSM lifecycle. strategic and professional component of any organization.
Well-planned and well-implemented processes will be to This chapter also provides an overview of Service
no avail if the day-to-day operation of those processes is Operation as a critical component of the Service
not properly conducted, controlled and managed. Nor will Management Practice.
service improvements be possible if day-to-day activities
The key principles of Service Operation are covered in
to monitor performance, assess metrics and gather data
Chapter 3 of this publication. These principles outline
are not systematically conducted during Service Operation.
some of the basic concepts and principles on which the
Service Operation staff should have in place processes and rest of the publication is based.
support tools to allow them to have an overall view of
Chapter 4 covers the processes performed within Service
Service Operation and delivery (rather than just the
Operation most of the Service Operation processes are
separate components, such as hardware, software
reactive because of the nature of the work being
applications and networks, that make up the end-to-end
performed to maintain IT services in a robust, stable
service from a business perspective) and to detect any
condition. This chapter also covers proactive processes to
threats or failures to service quality.
emphasize that the aim of Service Operation is stability
As services may be provided, in whole or in part, by one but not stagnation. Service Operation should be constantly
or more partner/supplier organizations, the Service looking at ways of doing things better and more cost-
Operation view of end-to-end service must be extended to effectively, and the proactive processes have an important
encompass external aspects of service provision and role to play here.
where necessary shared or interfacing processes and tools
Chapter 5 covers a number of Common Service Operation
are needed to manage cross-organizational workflows.
activities, which are groups of activities and procedures
performed by Service Operation Functions. These
1.4 USAGE specialized, and often technical, activities are not
processes in the true sense of the word, but they are all
This publication should be used in conjunction with the
vital for the ability to deliver quality IT services at optimal
other four publications that make up the ITIL Service
cost.
Lifecycle.
Chapter 6 covers the organizational aspects of Service
Readers should be aware that the best-practice guidelines
Operation the individuals or groups who carry out
in this and other volumes are not intended to be
Service Operation processes or activities and includes
prescriptive. Each organization is unique and must adapt
8 | Introduction

some guidance on Service Operation organization

structures.
Chapter 7 describes the tools and technology that are
used during Service Operation.
Chapter 8 covers some aspects of implementation that will
need to be considered before the operational phase of the
lifecycle becomes active.
Chapter 9 highlights the challenges, Critical Success
Factors and risks faced during Service Operation, while the
Afterword summarizes and concludes the publication.
ITIL does not stand alone in providing guidance to IT
managers and the appendices outline some of the key
supplementary frameworks, methodologies and
approaches that are commonly used in conjunction with
ITIL during Service Operation.