What is a Maturity Assessment and why do we need to do it?

The ITIL Framework is based upon a number of various processes. The framework also include a model
to measure how well your current processes perform towards the ITIL Framework.

It is based upon a number of elements per process that include statements for each one,
where depending on the answer given, a weighting is done.
Based upon this weighting it is possible to see how close, or far from, the current processes are compared
to the ITIL Framework.

The result of the survey will help you with scoping and prioritization when defining your
Service Management Project.

IT Service Maturity Model

Level Maturity Description
1 Initial/Ad hoc “There are ad-hoc activities present, but we are not aware of
how they relate to each other within a single process”
• Some policy statements have been made
• Words but no documented objectives or plans
• Words but no documented objectives or plans

2 Repeatable “We are aware of the process but some activities are still
incomplete or inconsistent; there is no overall measuring or
control”
• Process driven by tool rather than defined separate from tool
• Positions are created, but roles and responsibilities are
poorly defined

3 Defined “The process is well defined, understood and implemented”

• Tasks, responsibilities and authorizations are well defined
and communicated
• Targets for quality are set and results are measured
• Comprehensive management reports are produced and
discussed
• Formal planning is done

4 Managed “Inputs from this process come from other well controlled
processes; outputs from this process go to other well
controlled processes”
• Significant improvements in quality have been achieved
• Regular, formal communication between department heads
working with different processes
• Quality and performance metrics transferred between
processes

5 Optimized “This process drives quality improvements and new business

opportunities beyond the process”
• Direct links to IT and corporate policy
• Evidence of innovation
• Quality management and continuous improvement activities
embedded
• Performance measurements are indicative of “world class”
 ITIL Maturity Assessment

Instructions
1) ITIL Methodology
a) The assessment scope should apply to the entire IT organization; not to an individual or group of department(s) or function(s).
b) For each assessment statement, choose the answer that most accurately reflects the current state of the environment.
c) While different departments/functions within IT may have different answers, the IT organization as a whole can only have
the "lowest" answer of any one respondent.
2) In the "Current" column enter the maturity level that best describes the answer to the statement.
3) In the "Comments/Evidence" column, enter notes about what supporting data (interview, formal documentation, reporting etc) was supplied.

Simply start the assessment by using the buttons below.

Service Delivery Service Support

Availability Management Incident Management

Capacity Management Problem Management

Continuity Management Change Management

Financial Management Release Management

Service Level Management Configuration Management

 ITIL Maturity Assessment

Simply select each process or group by using the buttons below to review the assessment results.

Service Delivery Service Support

Availability Management Incident Management

Capacity Management Problem Management

Continuity Management Change Management

Financial Management Release Management

Service Level Management Configuration Management

 Availability Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission No agreement or General understanding of Mission is defined by IT, Mission is defined, Mission is defined,
understanding of the the mission, but it is not and understood by most IT understood and agreed to understood and promoted
Availability Management fully endorsed by all and user responsible by all. It reflects the to by all. Mission is
mission. participants. Some view it personnel. It reflects the objective of ensuring the consistent with IT and the
as a means to ensure what process as a means of users and the business business view of the
the users should expect, setting expectations or receive the appropriate contribution and role of
others as a means to availability of IT services. levels of availability for information technology. It
understanding what the applications and other is to ensure that all types
users need. services from IT. of services required by the
business are delivered at
the appropriate level of
availability, at the lowest
cost for that level, and
from the appropriate
supplier.

Objectives No agreement or General understanding of Objectives are defined, Objectives are defined, Objectives are defined,
understanding of the the objectives; but they are related to the mission, and understood and agreed to understood and
specific availability not fully endorsed, they understood by IT providers. by IT and users. All are championed by IT and
objectives for the critical are not related to the All are measurable. The documented, measurable, users. Objectives are
services. mission, not all are objectives relate to relate to service consistent with IT, user and
measurable. Various availability of IT services, availability, and are business requirements.
opinions on the objectives. less on meeting business based on estimated They
The objectives typically needs. Aggressive, but business volumes. relate to service
relate to continuing the realistic objectives. Individual component availability, business
current levels of service. availability requirements impact, and include user
Not aggressive objectives. are translated into end-to- and IT supplier
end availability objectives. responsibilities. Objectives
included in availability
plan.

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 Availability Management
Process Measurement No measurements. Measurements not related Measurements related to Measurements related to Measurements related to
to process objectives. process objectives. process objectives and process objectives,
regularly reviewed. regularly reviewed, and in
line with the business
objectives for Availability
services provided by IT.

Control Scope No control over the The process governs some The process governs most The process governs most Any availability issue in the
managed environment. mission critical systems. of the mission critical systems. IT and the managed environment is
systems. IT defines the list business define the list. subjected to the
together with some Systems are prioritized. Availability Management
business units. process. Systems are
prioritized with the
business and the list is
regularly reviewed and
updated.

Process Improvement Availability management is Availability management is Availability management is Availability management is Availability management is
not reviewed and only few reviewed on an ad-hoc reviewed on a regular basis reviewed on a regular basis reviewed on an regular
efforts have been made to basis and the process is and corrective actions are and corrective actions are basis and corrective
improve the process. improved if there are very sometimes taken. usually taken. actions are always taken.
evident problems. All aspects are considered:
Vital business functions,
application services, data,
SLAs, OLAs, interfaces to
and from other processes,
etc.

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Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process.

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers

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 Availability Management

Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership Not identified. Ownership identified, but Single controlling process Ownership identified, some Owner identified and
diluted or spread out. with identified owner, improvements made, promotes continuous
Technology / CI availability execution is distributed. others planned for the improvement to the
drives ownership. future. Seen as the focal process, known throughout
point for most issues organization as focal point
relating to the process. of all issues relating to the
process.

Roles and No roles or responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but have been agreed to, but have been agreed to and have been agreed to and
not agreed to by all are not documented nor documented, authorities documented, authorities
parties. Vague tie between are authorities established. understood, role understood, kept current,
actual roles and mission Responsibilities generally descriptions provide the and all feel empowered to
and role descriptions. Few tie to mission and role right blend of direction and fulfill responsibilities and
meaningful measurements. descriptions. General flexibility. Specific cross reporting boundaries.
qualitative measurements. qualitative measurements. Used effectively to ensure
an optimal tie between
mission, people's tasks and
accomplishments. Specific
quantitative
measurements.

Skills Need experienced staff Wide variety of skills, few Skills regularly assessed, Skills regularly assessed Skills sufficient and
since procedures not assessment actions, but education plans not and education required to augmented by automation
documented. No statistics general operations clear to improve gaps. fill gaps. Process oriented to allow effective
to allow evaluation of skills. oriented skills. Operational and some skills. Some knowledge operations. Product,
process oriented skills. about business cases. process design and project
skills. Also business case
related skills with respect
to Availability
Management. Good
knowledge about analyzing
business cases.

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 Availability Management

Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No tools. One or two process steps Majority of process Majority of process All process steps
addressed by tools. addressed by tools. including tracking steps addressed by tools.
addressed by tools.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing, likely skilled technical and senior tools easy to use. effectively used by those effectively by those with
implementation problems staff. Advanced usage requires with low technical skill low technical skill levels.
or tool incompatibilities. high skill level. levels.

Automation None. Primarily basic productivity Tools assist the availability Tools assist the availability Tools assist throughout the
enhancement tools. designers and designers and process including many
implementers to automate implementers to automate interfaces to other
some tasks. many tasks. processes.

Integration No integration among Integration among tools Some key availability Effective and broad Integration of tools not
tools. limited to common user reporting tools integrated. integration afforded by a limited to cross-platform
interface. small number of tools tasks; but also involves
contributing to the process. integration of multiple
processes (service support,
delivery and business).

Openness No tools. Most tools address only Some of the tools Majority of tools adaptable Tools adaptable to a wide
specific environments and adaptable to several to installed technology. range of possible
have proprietary environments. technology selections.
interfaces.

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 Availability Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Determine Business Some requirements of Some requirements of the Requirements of the major The requirements are The availability
Availability some Configuration Items major applications and applications and CIs are known and based on IT requirements for IT
Requirements (CIs) are known. most critical CIs are known. known, including IT Service Service needs. Supported services are a major focus
The concept of IT Services Requirements. Costs are business critical processes and are based on business
is just starting. justified. Requirements are are identified. Business needs. Business cases are
defined in agreements and cases are known, known, translated into
negotiated. sometimes improved, and requirements, and
requirements are continually improved. All
negotiated. The availability requirements are
is expressed as a chain of considered and negotiated:
IT components. availability, reliability,
maintainability and
serviceability.

Design for Availability, Design activities are not Design activities are Design activities are Design activities are Design of Special Solutions
Recoverability & performed, or are performed on an ad-hoc performed. Efficient performed in most cases. with full redundancy is
Security performed on an ad-hoc basis. Efficient Service Service Management The high availability design provided if there is a
basis. Base product and Management processes processes designed to takes SPOF (Single Point of business need. Solutions
components are contribute to higher levels improve levels of Failure) and provision of designs are not restricted
considered. of availability, availability with a service alternative components to to IT components, but also
recoverability and security. focus. Systems minimize the planned the entire IT environment.
management is exploited downtime. Recovery Recovery metrics are in
to provide monitoring, criteria are taken into place. Information Systems
diagnostic and automated account. must be available to
error recovery. authorized personnel at
agreed times as specified
in SLAs.

Managing Planned This is only planned for the This is planned for the This is planned for the IT Downtime is planned Downtime is planned for all
Downtime most important IT services. important IT services. The services. The service based on User and IT services. The service
It is not always adequately service impact is assessed. impact is assessed. The Customer needs, Service impact is assessed. The
communicated, and not The downtime is downtime is scheduled and SLA (Service Level downtime is scheduled and
related to business scheduled. reduced. Aggregation of Agreement) terms, and reduced. Aggregation of
requirements. maintenance activities is effective use of a CMDB to maintenance activities is
performed. identify impacted CIs. performed and improved.
Downtime is only caused SMOs (Service
where necessary. Management Objectives)
are established, reported
and improved according to
the Service Levels.

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 Availability Management
Availability Plan Availability planning is not Availability criteria for The availability plan is in The availability plan is in The availability
a major focus. infrastructure as well as place and updated every place and updated when requirements for IT
plans for major six months. The plan major applications or CIs services are a major focus.
applications have been includes objectives for change. The plan includes The Plan includes
defined by IT. applications and major requirements based on availability requirements
configuration items past history for based on business needs
supporting the availability and user and is translated into
applications. It also requirements for many Availability Requirements
includes a schedule for applications. The plan for all Configuration, data
planned System Outage includes availability and Application elements
Analysis (SOA). The plan is objectives for used by the Services. The
created by IT and reviewed organizations, e.g. the Plan is created by IT and
with users. Service Desk, and drives users, reviewed regularly,
design decisions for new or with a focus in the
existing IT services. customer satisfaction
process. Design decisions
must support the
availability plan.

IT Service & Component Not established. Some IT component IT component measures IT component measures IT Service availability
Availability measures are established are established with are established. IT Service measures are considered
Measurement with respect to: availability, respect to: availability, availability in terms of in terms of its contribution
reliability and reliability and frequency, duration and on the Vital Business
maintainability. maintainability. Some impact are established, Functions (VBFs) and fully
measures for frequency, and attempts are made for Quantified. The IT
duration and impact are business driven Availability Metrics Model
established. measurement. (ITAMM) is in place.

Monitor Availability Availability management Availability management Availability management Availability management Availability management
monitoring is performed, monitoring is performed for monitoring for monitoring for monitoring for
but not proactively and the most important components, applications components, applications components, applications
only for some components components and major and some IT Services is and IT Services is and IT Services is
and major applications. applications. performed. performed. performed based on
business objectives.

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 Availability Management

Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Management Ineffective link. Availability Management There is a mutual relation High severity incident close All incident closures are
provides Incident between these processes. codes are always analyzed analyzed to determine if
Management with Incident Management to identify ways to improve the root cause can be
information about the reports incidents and Availability. addressed to reduce
availability requirements of downtime to Availability availability exposures.
IT components and Management. Availability
services. Availability Management analyzes
studies in relation to incidents & assesses their
incidents are ad-hoc. impact on availability.

Problem Management Ineffective link. Incidents that have caused Problems are analyzed Problem Management and Collaboration focuses on
large outages are given after a period of crisis to Availability Management finding and eliminating the
high priority. see if there were warning collaborate to identify root root causes for service
signs for a large outage. causes of unavailability. unavailability rather than
on incidents or CIs.

Change Management No linkage. Fixes for failed changes Recent changes are Planned outages to All changes are analyzed to
that have caused large analyzed after a period of implement changes are determine potential impact
outages are given high crisis to see if they have validated against on availability, and change
priority. Failed changes caused the outage. Major availability objectives. back-out procedures are
with high impact are changes always include Major changes require required and tested for
analyzed. impact assessment to tested back-out those with high risk.
determine potential effect procedures.
on Availability.

Capacity Management Ineffective link. Availability Management Availability Management Availability Management Availability Management
will provide Capacity will provide Capacity will provide Capacity will provide Capacity
Management with Management with CFIA of Management with CFIA of Management with CFIA of
Component Failure Impact IT Services. There is an ad- IT Services. There is a IT Services. There is a
Analysis (CFIA) of IT hoc linkage back. regular linkage back. regular linkage back. The
Components. process is automated.

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 Availability Management
IT Financial No linkage. Availability Management Availability Management There is a linkage between There is a linkage between
Management will provide IT Financial will provide IT Financial these two regular and these two processes, and is
Management with the cost Management with the cost routine information updated on a regular basis.
of non-Availability; no of non-Availability. IT exchange. The process is automated.
linkage back. Financial Management will
provide Availability
Management with the
costs associated with
Availability Management.

IT Service Continuity No linkage. Availability and recovery Availability requirements Availability requirements Availability requirements
Management design requirements are are known and there is are known and there is a are known and there is a
known, but very little or no linkage back, e.g. business linkage back e.g. business linkage back, e.g. business
linkage back . impact detailing the Vital impact detailing the VBFs. impact detailing the VBFs.
Business Functions (VBFs), Requirements are regularly Requirements are reviewed
but not on a regular basis. reviewed. and mutual actions are
taken on a regular basis.

Service Level No linkage. Current availability Availability requirements Availability requirements Availability requirements
Management achievements are are documented in SLAs. are documented in SLAs. are documented in SLAs
documented in Service Availability results are Availability needs are and regularly analyzed as
Level Agreements. regularly reported. regularly analyzed as part part of the SLA process. All
of the SLA process. planned outage decisions
are made with SLAs in
mind.

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Availability Management
Comments / Evidence

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Comments / Evidence

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Availability Management

Comments / Evidence

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Availability Management

Comments / Evidence

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Availability Management

Comments / Evidence

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Availability Management

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Availability Management

Comments / Evidence

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Availability Management

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 Capacity Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission The Capacity Management General awareness of the Mission defined and Mission defined, Mission defined,
mission has not been mission, but it is not fully understood by most. It understood and agreed to understood and promoted
discussed or documented. understood or endorsed. reflects a focus on IT by all. It has been created by all. It has been created
Not all involved personnel Some feel it relates to priorities. It includes the with user input and reflects together with the users,
understand the mission. simply to "getting the most need to plan and deliver a customer focus. It and reflects a business
out of the resources". services at a performance includes the need for focus. It includes the need
Other "to respond to level to ensure they users ongoing planning, and to use and monitor all
problems with can accomplish their jobs effective use of the available resources in an
performance." Little effectively and efficiently. resources. It is consistent efficient manner to
understanding of with the rest of IT mission manage the capacity of
"customer needs". and objectives. It defines computing resources with
who the customers are and a corporate wide balance
what they require. of business objectives,
performance expectations
on budgetary constraints.
It includes what the
process will and will not do,
and defines key standards
to setting up the
framework for the process.

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 Capacity Management
Objectives No agreement or General understanding of Objectives defined and Objectives defined, Objectives defined,
understanding of the the performance criteria. understood by most. Not understood and agreed to understood and
objectives. Not all measurable. Not clearly related to IT by all. Not completely championed by all.
aggressive. objectives - more of a consistent with IT Consistent with IT and
function focus. objectives - more of a enterprise mission and
Documented, but not all departmental focus. All are objectives - business focus.
measurable. They reflect measurable. They reflect All measurable. They
the need to provide usage of automation to be reflect the mission, and
requirements for upgrade more efficient, and the include aspects relating to
acquisitions. Aggressive, need to establish contribution to the
but realistic. thresholds, recognize business. Performance
bottlenecks and forecast criteria identified and
requirements based on communicated together
business needs and terms. with potential budget
Specific, aggressive, but implications. Performance
realistic objectives; some management objectives
are time based. are adjusted when required
as performance and
capacity trends are
analyzed. Feedback
mechanism to users
implemented. Specific,
aggressive, but realistic
objectives; all are time
based.

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 Capacity Management
Process Measurement No measurements. Emphasis is on the Emphasis on component Emphasis on end-to-end Measurements are related
quantity of performance performance data, and on performance. Capacity to process objectives, are
data. capacity trends of major plans must be created for regularly reviewed, and are
components. major components. in line with business
objectives.

Control Scope No control over the The process governs some The process governs most The process governs most Any Capacity or
process. mission critical systems. of the mission critical systems. IT and the performance issue in the
systems. IT defines the list business define the list. managed environment is
together with some Systems are prioritized. subjected to the Capacity
business units. Management process.
Systems are prioritized
with the business and the
list is regularly reviewed
and updated.

Process Improvement A few efforts have been The process is improved if Routine parts of the Most parts of the process All process activities are
made to improve the there are very evident process have been are regularly optimized. regularly analyzed and
process. performance problems. optimized. optimized, including
interfaces to and from
other processes.

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Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process.

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers

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 Capacity Management

Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership None Identified. Multiple owners identified. Multiple owners who feel Single owner identified, Single owner identified
They are segmented into responsible for and seen as the focal point who actively promotes
several groups. They may performance management of the process. Some continuous improvement of
not understand their for their resources. All improvements have been the process. Known
ownership role, or are resources are covered, and made to the process; throughout organization as
unsure of authority. a common process others planed for the focal point of all issues
followed. future. IT operations level relating to the process.
focus to the process. Business focus to the
process.

Roles and No roles or responsibilities Roles and responsibilities Roles are clearly assigned Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but and identified to all have been agreed to and have been agreed to and
not agreed to by all affected areas of the documented, authorities documented, authorities
parties. Primarily organization. understood, but not kept understood, kept current.
administrative roles: Responsibilities generally current. Technical and Leadership - advise senior
perform projections and tie to mission and role business impact oriented, IT management on issues
prepare documentation. descriptions. Primarily some application ranging from acquisitions
Vague tie between actual technical impact oriented, development orientation. through technical and
roles and mission and role some business orientation. Active role - challenge business impact of
descriptions. Role Passive, closed role - solicit business input and provide performance expectations
descriptions may not be business input on growth feedback on accuracy. Role including application
available. Few meaningful and perform professional descriptions provide the development and delivery
measurements. analysis. General right blend of direction and issues. Role descriptions
qualitative measurements. flexibility. Specific are used effectively to
qualitative measurements. ensure an optimal tie
between mission and
people's tasks and
accomplishments. Specific
quantitative
measurements.

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 Capacity Management
Skills Few Capacity Management Good performance analysis Performance analysis skills Capacity Planning Predictive techniques are
skills in the organization. skills, but only relating to very good and cover most techniques combined with used at each phase of the
some of the technology. of the technology. Basic an understanding of the system development life
Little Capacity Planning Capacity Planning relationship of business cycle, combined with
skill. Primarily hardware techniques, configuration volumes on capacities sophisticated performance
based skills. analysis and workload analyzed are available. reporting and analysis. All
balancing. Mix of hardware Trend analysis is used, as resource types are
and software skills. Skill is systematic performance included. Current and
requirements being analysis. Some modeling future skill assessment and
analyzed. skills. Mix of hardware, requirements are regularly
software and process skills. identified, the gaps
Requirements have been analyzed and education
analyzed and education planned to meet the
planned to fill the gaps. needs. Hardware, software,
procedure and process
skills.

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 Capacity Management

Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No tools. Generally available data Effective measurement Effective data collection, Effective measurement,
collection tools are used. and basic Capacity effective measurement, analysis and Capacity
No Capacity Planning Planning primarily using analysis and Capacity Planning tools exist for all
analysis tools. tools provided with, or Planning tools are used of the technology
functions included with, that apply to most of the components. Extraction
the installed products. environment. Prediction is and reporting tools are in
used occasionally. place to support flexible
Performance alerts can be Capacity tracking and
defined to allow some reporting. Performance
exception management. analysis tools are
systematically evaluated
and introduced as needed
as are tools for
performance prediction
(analytical or simulation).
Performance alerts are
created where possible,
and are often used to
adjust the real-time
configurations (for
example, dial back-up
communication lines).

Usability Viewed as unusable or Usable by only the most Basic functions of most Most tools can be All tools can be used
highly confusing; likely highly skilled technical and tools easy to use, effectively used by those effectively by those with
implementation problems senior staff. advanced usage requires with low technical skill low technical skill levels.
or tool incompatibilities. high skill level. levels.

Automation None. Performance measurement Performance measurement Performance measurement Performance measurement
is only initiated is initiated automatically and problems initiation is and problems initiation is
automatically for some of and problems opened performed automatically performed automatically
the technology being automatically for most of for hardware and some for hardware and software
managed. the hardware being software performance performance alerts.
managed. alerts. Basic performance Advanced performance
analysis is automated for analysis is automated for
some of the technology. some of the technology.
The performance modeling
data is automatically
adjusted by performance
trends.

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 Capacity Management
Integration No integration among Integration among tools Some key performance Effective and broad Integration of performance
tools. limited to common user management tools are integration afforded by a management products is
interface. integrated. small number of both cross platform and
performance management cross discipline.
products. Performance Performance data can be
data can be used by the used by the modeling and
Capacity Planning tools. Capacity Planning tools,
and the modeling tools can
feed the Capacity Planning
tools.

Openness No tools. Proprietary tools that only Some of the tools are Majority of tools are Capacity Planning and
apply to certain of the adaptable to several adaptable to the installed modeling tool selections
technologies being environments. technology. Common are common and adaptable
managed. control point exists for to a broad range of
controlling measurement possible technology for
and gathering performance current and future
data. requirements. Control
point exists for data
analysis and end-to-end
view.

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 Capacity Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Monitoring Monitoring is performed Reactive environment. Basic system performance System performance data System performance and
when needed to solve Performance data is and resource usage data specific to each major Capacity data is being
problems. monitored to enable are systematically service is collected and collected and with regular
effective incident collected for the purpose of reported. Response time reporting on threshold
management. Capacity Capacity Planning rather for some services is adherence. Response time
Management is engaged than reaction to incidents. measured at the end user for all services is measured
only when obvious level to enable some at the end user level
bottlenecks appear. performance thresholds as (component
early indicators of capacity measurements are also
problems. Component tracked and available),
response time is tracked for average, and
monitored. distributed and reported on
a threshold basis.

Analysis Analysis is done when Data is analyzed to react to Data is collected for trend Data is gathered and Data is analyzed for trends
needed to solve Capacity obvious bottlenecks, but analysis purposes. analyzed on a regular basis to support preventive
incidents or problems. there is no proactive Response time is to understand bottlenecks actions. Continuous
search for bottlenecks or measured at the and trends. feedback is provided to
potential bottlenecks. host/server level. application development .
Reliable and accurate
forecasts are possible:
actual vs. predictions on
resource usage.

Tuning Reactive approach. Tuning Tuning is planned after Tuning is planned on a Proactive approach to Proactive design
is performed when obvious major implementations. It regular basis, but is tuning implemented with assistance to application
bottlenecks occur. Narrow is performed in specific performed in specific an end-to-end Service development. Documented
objectives and many domains and with narrow domains and with narrow view. Documented performance analysis
tuning actions; people- objectives. objectives, without performance analysis methods and sophisticated
intensive. considering the overall methods and tuning tools support tuning.
system behavior. techniques are maintained. Tuning is performed
Tuning actions are according to up-to-date
occasionally tested. Capacity Planning
guidelines. Major tuning
actions are tested before
widespread
implementation.

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 Capacity Management
Implementation Via No linkages to Change Performance implications Performance implications Change management has All changes must address
Change Management Management. are occasionally are usually considered a defined step to consider performance and Capacity
considered during Change during Change Planning. performance implications issues.
Planning. and to check the Capacity
Planning assumptions.

Capacity Management Measurement and storage Measurements are Measurements are Measurements are based Measurements are based
Data of Capacity Management determined in reaction to occasionally determined to on defined performance on the defined capacity
data is not a focus. bottlenecks discovered support Capacity Planning. and Capacity Plan needs, plan needs and identified
Measurements are a elsewhere. Not based on a Performance mechanisms and identified key key components. All
byproduct of whatever tool plan. Measurements are and measurements are components. All components can be
functionality is available. typically a byproduct of defined in relation to likely components can be monitored. Potential
Performance data is whatever tools are major sources of monitored. Some correlation between
occasionally collected. available, rather than bottlenecks. Primarily a correlation between component measurements
based on what is required component focus, not an component measurements is defined. End to end
to meet needs. end to end focus. is performed. End to end focus. Thresholds are
focus. Thresholds are defined and reviewed
defined. Minor focus on continuously to support
automated initiation of continuous improvement
measurements. and adjustment of the
thresholds. Clear
determination of expected
reaction to alerts.
Measurement initiation and
reactions are planned and
automated.

Demand Management No demand management Reactive short term Proactive short term Short term Capacity is in Long-term demand
activities. Capacity/Demand Demand Management. place to support identified management has been
Management. Demand- Capacity Management is Demands. Long term defined as an IT
related Capacity incidents aware of the business Capacity Management management policy.
are solved as soon as priorities of services and needs to understand which Objective to reduce the
possible. No awareness of will make the right choices services are utilizing the required capacities in the
business impact of in cases of low capacity. resources and to what long term.
services. level. Capacity
Management tries to
influence the use of
resources at times of high
resource demand.

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Modeling No modeling activities. Modeling activities Modeling activities Analytical Modeling, is Simulation Modeling,
performed on an ad-hoc performed by trend performed to predict the involving the modeling of
basis for some resources. analysis in a spreadsheet future behavior of discrete events, is
or other manual means. computers by using performed.
mathematical techniques
and software packages.

Application Sizing No application sizing No structured application Capacity Management is Required resource and Required resource and
activities. sizing activities. Some able to provide advice and Service Level requirements Service Level requirements
application sizing guidance about Capacity- are taken in to account at are taken in to account at
performed on an ad-hoc related Service Level the very beginning of the the very beginning of the
basis. Requirements (SLR) to the application development application development
development process. life cycle. life cycle. Application sizing
is refined as the
development process
progresses.

Production of the Capacity plans are rarely Ad-hoc Capacity plans are Overall capacity usage is Formal, ongoing process Formal ongoing process
Capacity Plan created. created when major provided in management exists to regularly create exists and is actively
upgrades or acquisitions reports, without active use Capacity reports for critical followed to provide expert
are needed, or to support or follow-up. User data is hardware components. analysis and advice for
the budget process. collected to assist in Capacity data is fed into software upgrades and
forecasting. No formal development of a formal acquisitions, as well as for
Capacity Plan. Capacity Plan. User data is introducing new
gathered through formal development platforms.
interfaces to assist in User requirements and
forecasting. Reasonability estimates used to ensure
tests are performed on effective plans.
user inputs. Reasonability tests are
performed on user data.
Capacity Plan includes
responsiveness
considerations.

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Problem Management Capacity Management is Response time problems Some performance Considerable performance Problems are opened
not included in the Problem are occasionally opened, thresholds have been thresholds have been automatically when
Management process. usually when customers defined and problems are defined and problems are performance thresholds
complain. usually opened when the opened for the exceptions. are exceeded. Some
thresholds are exceeded. predictive bottlenecks are
automatically bypassed
through corrective action
(for example, backup
network lines activated).

Change Management No linkages to Change Performance implications Performance implications The Change Management All Changes must address
Management. are occasionally are usually considered process generally performance and capacity
considered during Change during Change planning considers performance issues.
planning. implications and checks
any Capacity Planning
assumptions.

Service Level No linkages to Service Performance requirements Performance implications The SLM process includes The SLM process includes
Management Level Management. are occasionally and capacity usually requirements to validate requirements to validate
considered during Service considered during Service performance implications performance implications
Level planning. Level Agreement creation. and to check the Capacity and to check the Capacity
Planning assumptions. Planning assumptions.
Performance and Capacity
actions directly relate to
Service Level
commitments.

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Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission The IT Service Continuity There is a general The mission is defined by The mission is defined, The mission is defined,
Management (ITSCM) understanding of the IT and understood by most. understood and agreed to understood and promoted
mission has neither been mission, but it is not fully It reflects a focus on IT by all. It has been created to by all. It is consistent
discussed nor documented. endorsed by all priorities. with user input and reflects with the business'
Not all involved personnel participants. a customer focus. It expectations of IT in
understand the mission. includes the need for on- support of the business'
going planning and mission and objectives,
effective use of the such that all IT services
resources. It is consistent required by the business
with both IT and enterprise are delivered at the
mission and objectives. It appropriate level and cost.
defines who the customers
are and what they require.

Objectives No agreement or General understanding of Objectives are defined and Objectives are defined, Objectives are defined,
understanding of the the objectives, but they are understood by IT. All are understood and agreed to understood and
specific availability not fully endorsed or measurable and relate to by IT and customers. All championed by IT and
objectives for the critical understood by all. Not all the availability and hours are documented and customers. Objectives are
services. are measurable or of service for computing measurable. Objectives are consistent with IT and
aggressive. Various services, specific, aggressive, and business mission and
opinions on the objectives, rather than on meeting realistic; most are time focus. All are measurable,
which typically relate to business needs. Objectives based. reflect the business
continuing the current are aggressive, but mission, and include
levels of service. realistic. aspects relating to
contribution to the
business. Objectives are
specific, aggressive and
realistic; all are time
based.

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Process Measurement No measurements. Measurements are not Measurements are related Measurements are related Measurements are related
related to process to process objectives, but to process objectives and to process objectives and
objectives. are not regularly reviewed. are regularly reviewed. are regularly reviewed.
Measurements do not Measurements are in line
reflect user satisfaction with the business'
with the process or its objectives for ITSCM
results. services provided by IT.

Control Scope No control over the The process governs some The process governs some The process governs most The process governs all
managed environment. mission critical systems. of the mission critical services provided by IT. IT services provided by IT.
services. IT and some of and the appropriate Any ITSCM issue in the
the business units define business define the list. managed environment is
the list together. Services are prioritized. subjected to the ITSCM
Most ITSCM issues are process. Services are
addressed by the ITSCM prioritized with the
process. business and the list is
regularly reviewed and
updated.

Process Improvement A few efforts have been The process is improved if The process is improved The process is improved All process activities are
made to improve the there are very evident through a semi-regular regularly through audits regularly analyzed and
process. problems. audit process. Reporting is and reviews. Reporting is continually optimized,
automated, and other automated, and some of including interfaces
actions are optimized. the ITSCM data is analyzed between the ITSCM and
automatically. other processes.

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Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process.

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers

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Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership Not identified. Identified, but person does Identified. Person feels Identified. Some Owner identified and
not understand role and is responsible for the improvements have been promotes continuous
unsure of authority. process, but has taken no made; others planned for improvement of the
actions to improve it. the future. Seen as the process. Known throughout
focal point by some, but the organization as focal
not for all issues relating to point of all issues relating
the process. to the process.

Roles and No roles or responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but have been agreed to, but have been agreed to and have been agreed to and
not agreed to by all are not documented nor documented. Authorities documented. Authorities
parties. Vague tie between are authorities established. understood, but not kept understood, kept current,
actual roles and Responsibilities generally current. Role descriptions and all feel empowered to
mission/role descriptions. tie to mission and role provide the right blend of fulfill responsibilities. Cross
Few Meaningful descriptions. General direction and flexibility. reporting boundaries are
measurements. qualitative measurements. Specific qualitative used effectively to ensure
measurements. an optimal tie between the
mission, tasks and
accomplishments. Specific
quantitative
Measurements.

Skills Need experienced staff Wide variety of skills, but Skills are regularly Skills are regularly Skills are sufficient and
since procedures not are few assessment actions. assessed, but education assessed and education augmented by automation
documented. No Statistics General operations- plans to fill gaps are not required to fill the gaps. to allow for effective
to allow evaluation of skills. oriented skills. clear. Operational and Process oriented skills. operations. Product,
some product oriented Some knowledge about process, project and
skills. business cases. business related skills with
respect to this process.
Good knowledge about
analyzing business cases.

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Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No tools. One or two process steps Majority of process Majority of process steps All process steps
addressed by tools. addressed by tools. addressed by tools, addressed by tools.
including tracking and
measurement.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be effectively
highly confusing, likely skilled technical and senior tools easy to use; effectively used by those used by those with low
implementation problems staff. advanced usage requires with low technical skill technical skill levels.
or tool incompatibilities. high skill level. levels.

Automation None. Primarily basic productivity Tools assist the ITSCM Tools assist the ITSCM Tools assist throughout the
enhancement tools. process manager and manager and entire process, including
implementers to automate implementers to automate many interfaces to other
some process tasks. many process tasks. processes.

Integration No integration among Integration among tools is Some key ITSCM reporting Effective and broad Integration of tools not
tools. limited to a common user tools are integrated. integration afforded by a limited to cross-platform
interface. small number of tools that tasks, but also involve
contribute to the ITSCM integration of multiple
process. processes (service support,
service delivery and
business).

Openness No tools. Most tools address only Some of the tools Majority of tools adaptable Tools adaptable to a wide
specific environments and adaptable to several to installed technology. range of possible
have proprietary environments. technology selections.
interfaces.

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Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Initiation No initiation process. Policies determined, but no Policies set; some projects Policies set, terms of Policies set, terms of
projects initiated and are defined and some reference and scope are reference and scope are
resources not allocated. resources are allocated. defined. Projects are defined. Outstanding audit
defined and resources are points are taken into
allocated. account. Projects are
defined, control structure
is in place and resources
are allocated. All projects
and quality plans are
agreed.

Business Impact Business Impact Analysis Performed in ad-hoc Performed regularly for Performed regularly for all Holistic approach with
Analysis (BIA) is not performed. fashion with respect to most critical systems and critical systems and the respect to IT services
some systems. Potential their related processes. related business provided to the business.
for financial loss. Potential for financial loss, processes. Prioritization Impact is measured for all
safety and customer and ranking is performed. services with respect to:
goodwill is taken into Potential for financial loss, service levels, financial
account. safety, customer goodwill, loss, loss of market share,
etc. is taken into account. law, political issues, safety,
loss of goodwill, etc.
Critical requirements are
identified. The BIA is
continuously improved.

Risk Assessment Risk Assessment (RA) is Risks are identified. Risks are identified, and Risks are identified, and All relevant risks are
not performed. threat and vulnerability threat and vulnerability identified; all threat,
levels are assessed. Most levels are assessed. All risk vulnerability levels and risk
risk levels are not levels are levels are assessed.
assessed/quantified. assessed/quantified. Effective countermeasures
Countermeasures are are identified and are
identified and taken, but taken.
are not always effective.

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Business Continuity Not stated. Some informal strategy Some strategy based on Strategy based on the BIA Strategy based on the BIA
Strategy based on the BIA and RA. the BIA and RA is and RA is documented and and RA is documented and
developed and in place. The strategy in place. The strategy
documented. Some risks balances the cost of risk balances the cost of risk
reduction measures and IT reduction measures with reduction measures with
recovery options are taken recovery options to recovery options to
into account. support the recovery of support the recovery of
critical business processes critical business processes
within agreed time scales. within agreed time scales.
All risk reduction measures
and all IT recovery options
are taken into account. The
strategy is validated
against the organization's
insurance provisions to
ensure that adequate
coverage is provided.

Organization Planning Not performed. An informal, high level plan A formal, high level plan is A formal plan is in place A formal plan is in place
is in place. in place. Organizational based on the executive, based on the executive,
tiers are identified based coordination and recovery coordination and recovery
on executive, coordination tiers. The IT recovery tiers. The IT recovery
and recovery levels. teams are grouped by teams are grouped by
service and applications. service and applications.
All teams collaborate and
communicate effectively -
both top-down and bottom
up.

Develop Recovery Plans Not developed. Some plans developed with Some plans developed with Plans developed with focus Plans developed with focus
focus on restoration of focus on restoration of on restoration of systems on restoration of systems
systems. Little focus on systems and focus on the and focus on the and focus on the
the dependencies between dependencies between the dependencies between dependencies between the
the systems. systems. them. Plans are controlled systems. Plans are
documents with well controlled documents with
defined versions. Plans are well defined versions, are
updated periodically. kept in hard and softcopy,
and are updated regularly.
The plans contain clear
checklists and are easy to
use by personnel not
familiar with the system.

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Develop Recovery Not developed. Developed occasionally but Developed and modified Developed and modified Developed and modified
Procedures not comprehensive or fully regularly and more regularly and regularly and fully
documented. comprehensive. In most comprehensive. In all comprehensive. In all
cases fully documented. cases fully documented. cases fully documented. All
systems and roles needed
are taken into account.
Procedures are audited.

Implementation Not performed. There is an overall, high There is an overall There is an overall There is an overall
Planning level implementation plan. implementation plan that implementation plan that implementation plan that
includes emergency includes emergency includes emergency
responses, damage responses, damage responses, damage
assessment, salvage, vital assessment, salvage, vital assessment, salvage, vital
records, and crisis records, and crisis records, and crisis
management activities. management activities. management activities.
Included are details of Included are details of
activities associated with activities associated with
accommodation, computer accommodation, computer
systems and network, systems and network,
security, personnel, and security, personnel, and
finance. finance. Every critical
business area is
responsible for
development of a plan
detailing the individuals
who will comprise the
recovery team and detailed
task lists to be undertaken
on invocation of recovery
arrangements .

Implement Risk Not implemented. Some measures are Some measures are Measures are prioritized All measures are prioritized
Reduction Measures implemented. prioritized and and implemented, and implemented in
implemented, but not generally in conjunction conjunction with
always in conjunction with with Availability Availability Management.
Availability Management. Management. The measures can be
implemented to maintain
the availability of services
due to a localized
disruption.

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Implement Stand-by Not implemented. Some stand-by Most needed stand-by All needed stand-by All needed stand-by
Arrangements arrangements are arrangements are arrangements are arrangements are
implemented. implemented. implemented. Most of the implemented. The training
training and procedures and new procedures to
required to operate, test operate, test and maintain
and maintain these these arrangements are in
arrangements are in place. place. The arrangements
are regularly tested and
maintained.

Initial Testing Not performed. Performed at a technical Performed at a technical Full testing is performed. Full testing is performed.
level. level with some focus on Tests are announced and Tests are announced and
full, integrated testing. unannounced with unannounced with
approval of senior approval of senior
management. Tests have management. All tests will
clearly defined objectives be undertaken against
and critical success factors. defined test scenarios that
are as realistic as possible
with clearly defined
objectives and critical
success factors.

Operational Performed ad-hoc. Process education and Process education and Process education and Process education and
Management awareness are in place in awareness are in place in awareness are in place in awareness are in place in
some parts of the most parts of the all parts of the all parts of the
organization. The process organization. The process organization. The organization. The
deliverables sometimes deliverables are generally, deliverables are regularly. deliverables are regularly
reviewed. Regular testing but not regularly reviewed. Regular testing is reviewed. Regular testing
is not performed. Change Regular testing is performed most of the is performed according a
control is basic. Assurance performed in some cases. time. Change control is strict schedule. Change
is not guaranteed. Change control is good. Assurance is control is very good.
sufficient. Assurance is satisfactory. Assurance is excellent and
performed. is guaranteed.

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Invocation Not performed. The decision to invoke can The decision to invoke can The decision to invoke can The decision to invoke can
be made, but it is not clear be made, and it is be made quickly and it is be made very quickly and
when to invoke other somewhat clear when to clear when to invoke other it is clear when to invoke
parties/people. It is also invoke other parties/people. A well other parties/people. A well
not clear who makes the parties/people. A crisis functioning crisis functioning crisis
decision. management team is management team is management team is
established, but their roles established. established. Plans are
and responsibilities are not available at vital locations,
clear. and key members of the
crisis management team
are provided with essential
information on what key
actions and decisions are
indicated. This information
is always available to the
key members.

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Change Management No linkage. Changes required as a Changes required as a Changes required as a Changes required as a
result of testing the ITSCM result of testing the ITSCM result of testing the ITSCM result of testing the ITSCM
are given a certain priority. are given high priority. The are given high priority. The are given high priority. The
The continuity plans are continuity plans are in continuity plans are in continuity plans are always
often not updated with sometimes updated with generally current and current, accurate, and
current and accurate current and accurate accurate through an regularly reviewed through
production change production change regular process linkage an established process
information. information. with Change Management. linkage with Change
Management.

Configuration No linkage. Threats and vulnerabilities Threats and vulnerabilities Threats and vulnerabilities Threats and vulnerabilities
Management associated with some of most CIs are known. CIs of most CIs are known. CIs of all CIs are known. CIs
Configuration Items (Cis) are regularly updated with are regularly updated with and the CMDB are
are known. CIs are not respect to ITSCM respect to ITSCM regularly updated with
regularly updated with information. information. Third parties respect to ITSCM
respect to ITSCM involved with respect to CIs information. Third parties
information. are attributes in the involved with respect to CIs
Configuration Management are attributes in the CMDB.
Database (CMDB.) All ITSCM plans are
registered as CIs.

Availability No linkage. ITSCM recovery design ITSCM requirements are ITSCM requirements are ITSCM requirements are
Management requirements are known, known and there is a known and there is a known and there is a
but there is no linkage linkage back specifically for linkage back. The linkage back. The
back. the business impact requirements associated requirements associated
detailing the vital business with the business impact with the business impact
functions (VBF´s). The detailing the VBFs is detailing the VBFs is
requirements are not updated on a regular basis. updated on a regular basis.
updated not on a regular All measures are prioritized
basis. and implemented in
conjunction with
Availability Management.
The ITSCM measures can
be implemented to
maintain the availability of
services due to a localized
disruption.

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Capacity Management No linkage. Current ITSCM hardware Current ITSCM hardware, Current and future ITSCM Current and future ITSCM
requirements are known, system and software hardware, system and hardware, system and
but there is no linkage requirements are known software requirements are software requirements are
back. and there is an ad-hoc known, and there is a known, all ITSCM plans are
linkage back. linkage back. The ITSCM known and there is an
plans are known effective linkage back.
occasionally
accommodated.

Service Level No linkage. ITSCM requirements are ITSCM requirements are ITSCM requirements are ITSCM requirements are
Management sometimes documented in documented in SLAs. documented in SLAs. documented in SLAs and
Service Level Agreements ITSCM test results are ITSCM needs are regularly analyzed as part
(SLAs). No linkage back. regularly reported. sometimes analyzed as of the SLA process.
part of the SLA process.

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission The mission has been General understanding of The mission is defined by The mission is defined, The mission is defined,
neither discussed nor the mission, but it is not IT and understood by most. understood and agreed to understood and promoted
documented. Not all fully endorsed by all It reflects a focus on IT by all. It has been created to by all. The mission is
involved personnel participants. priorities. with user input and reflects consistent with IT and the
understand the mission. a customer focus. It business view of the
includes the need for on- contribution and role of
going planning and information technology to
effective use of the ensure that all types of
resources. It is consistent services required by the
with the rest of IT and the business are delivered at
enterprise missions and the appropriate level of
objectives. It defines who costs.
the customers are and
what they require.

Objectives No agreement or General understanding of Objectives are measurable Objectives are defined, Objectives are defined,
understanding of the the objectives, but they are and relate to the cost of understood and agreed to understood and
specific financial objectives not fully endorsed or availability of computing by IT and users. All are championed by IT and
for the critical services. understood by all. Not all services. Not focused on documented and users. Objectives are
are measurable. Non- business needs. measurable. They reflect consistent with IT and
aggressive objectives. Aggressive, but realistic specific, aggressive, but Enterprise mission and
objectives. realistic objectives. Most objectives, and have a
are time based. business focus. All are
measurable and include
aspects relating to
contribution to the
business. Specific
aggressive, but realistic
objectives; all are time
based.

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Process Measurement No measurements. Measurements not related Measurements relate to Measurements relate to Measurements related to
to process objectives. process objectives, but not process objectives and are process objectives and
regularly reviewed. regularly reviewed, but do regularly reviewed, and in
Customer satisfaction is not reflect user satisfaction line with the business
sometimes measured. with the process or results. objectives of services
Customer satisfaction is provided by IT. Customer
measured. satisfaction is measured
and improved.

Control Scope No control over the The process governs some The process governs most The process governs most Any financial issue in the
managed environment. mission critical systems. of the mission critical systems. IT and the managed environment is
systems. IT defines the list business define the list. subjected to the IT
together with some Systems are prioritized. Financial Management
business units. process. Systems are
prioritized with the
business and the list is
regularly reviewed and
updated.

Process Improvement A few efforts have been The process is improved If Financial reporting is Financial reporting is All activities regularly
made to improve the there are very evident automated, and other automated and some of analyzed and optimized
process. problems. actions optimized. the availability data is continually, including
analyzed automatically. interfaces to and from
other processes.

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Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process.

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers

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Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership Not identified. Identified, but owner does Identified. Owner feels Identified. Some Owner identified and
not understand role and is responsible for the improvements made, promotes continuous
unsure of authority. process, but has taken no others planned for the improvement to the
actions to improve it. future. Seen as the focal process, known throughout
point by some, but not all, organization as focal point
issues relating to the of all issues relating to the
process. process.

Roles and No roles or responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but have been agreed to, but have been agreed to and have been agreed to and
not agreed to by all are not documented nor documented, authorities documented, authorities
parties. Vague tie between are authorities established. understood, but not kept understood, kept current,
actual roles and mission Responsibilities generally current. Role descriptions and all feel empowered to
and role descriptions. Few tie to mission and role provide the right blend of fulfill responsibilities. Cross
meaningful measurements. descriptions. General direction and flexibility. reporting boundaries are
qualitative measurements. Specific qualitative used effectively to ensure
measurements. an optimal tie between
mission, people's tasks and
accomplishments. Specific
quantitative
measurements.

Skills Procedures not Wide variety of skills, few Skills regularly assessed, Skills regularly assessed Skills sufficient and
documented, requiring the assessment actions. ad-hoc education plans to and education required to augmented by automation
use of experienced staff. General operations- improve gaps. Operational fill gaps. Process oriented to allow effective
No statistics to allow oriented skills. and some product oriented skills. Some knowledge operations. Product,
evaluation of skills. skills. about business cases. process design and project
skills. Also business related
skills with respect to this
process. Good knowledge
about analyzing business
cases.

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Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No tools. One or two process steps Majority of process Majority of process All process steps
addressed by tools. addressed by tools. including tracking steps addressed by tools.
addressed by tools.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing. Likely skilled technical and senior tools easy to use, effectively used by those effectively by those with
implementation problems staff. advanced usage requires with low technical skill low technical skill levels.
or tool incompatibilities. high skill level. levels.

Automation None. Primarily basic productivity Tools automate some Tools automate many Tools assist throughout the
enhancement tools. Financial Management Financial Management process including many
process tasks. process tasks. interfaces to other
processes.

Integration No integration among Integration among tools Some key Financial Effective and broad Integration of tools not
tools. limited to common user Reporting tools integrated. integration afforded by a limited to cross-platform
interface. small number of tools tasks, but also involves
contributing to the integration of multiple
Financial Management processes (service support,
process. delivery and business).

Openness No tools. Most tools address only Some of the tools Majority of tools adaptable Tools adaptable to a wide
specific environments and adaptable to several to installed technology. range of possible
have proprietary environments. technology selections.
interfaces.

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 Financial Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Identify Budget Items Not identified. Some items identified, e.g. Most important budget All relevant budget Items All relevant budget Items
hardware, software and Items identified: hardware, are identified: hardware, are identified and
some staff. software, staff, services. software, staff, services, correlated.
Some budget items are licenses, accommodation.
known, but not identified.

Estimate Costs of Costs of budget items not High level classification of High level classification of A specific classification of A specific classification of
Budget Items known. cost items is made (e.g. cost items is made (e.g. cost items is made (e.g. cost items is made (e.g.
Capital and Operational Capital and Operational Capital and Operational Capital and Operational
expenditures), but costs expenditure), and costs expenditure), and costs expenditure), and costs
related to some of these related to most of these related to most of these related to all of these items
items are not known. items are known. items are known. are known and correlated.

Estimate Costs of Not performed. Some workload dependent Most of the workload Most of the workload Most of the workload
Workload Dependent items are identified, but dependent items are dependent items are dependent items are
Budget Items not all costs related to identified, but not all costs identified and most of identified and most of
these are estimated. related to these are costs related to these are costs related to these are
estimated. estimated. Estimates of estimated. Estimates of
workload volumes are workload volumes
sometimes obtained from regularly obtained from
historical data. historical data.

Building the Cost Model Not performed. Charging policies are not in Charging policies are Charging policies are Charging policies are
place. The cost model is somewhat known and a known and specific cost known and specific cost
very basic ( e.g. Lump specific cost model is models are applied to models are applied
sum). The cost model is applied. The Cost by specific situations. Billing is depending on the specific
not regularly reviewed. Customer model is used effective (i.e. all costs are situation. The cost models
and is regularly reviewed. allocated) and reviewed for are regularly reviewed for
customer satisfaction by their effectiveness in
the Cost by Service model. relation to business
objectives and modified as
required.

Depreciation Not performed. Performed for some assets. Performed for most assets, Performed for most assets Performed for all assets.
but action is not always and action is taken in most Action is taken in all cases
taken to “write off” the IT cases to “write off” the IT to “write off” the IT assets
assets at the end of their assets at the end of their at the end of their
economic life. economic life. economic life. Current
costs are known and the
length of the asset's
economic life is known.

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 Financial Management
Apportioning the IT Not performed. A distinction between A distinction between A distinction between All shared computer
Services Costs direct and indirect costs is direct and indirect costs is direct and indirect costs is infrastructure elements are
made, but not applied. made and applied. made and applied. Shared combined into one or
computer infrastructure more groups, and an
has been grouped into a apportionment method is
single indirect cost applied for each of these
element with an groups. The methods are
appropriate apportionment continually improved.
method.

Calculating the Cost-by- Not performed. Costs directly related to Costs directly related to Costs directly related to Costs directly related to
Service the service are identified. the service are identified the service are identified. the service are identified.
and indirect costs are Indirect costs are Indirect costs are
apportioned. apportioned, and hidden apportioned, and hidden
costs are taken into costs are taken into
account. account. The relationship
between billing and
services is clear for all
parties.

Calculating the Costs of Not performed. Some cost units are Most important cost units All cost units are identified All cost units are identified
Cost Units identified and measured are identified. Most are and regularly measured. and regularly measured
ad-hoc. regularly measured. Corrective action is regularly. Corrective action
sometimes taken. is taken to reduce costs
related to these units.

Monitor Changes Not performed. Costs related to changes Costs related to changes Costs related to changes Costs related to changes
Affecting Costs are monitored. Changes are monitored, but are monitored. Changes are monitored. Changes
that will affect costs are changes which will affect which will affect the costs which will affect the costs
not. the costs are only are often monitored using are continuously monitored
occasionally monitored. the Average Cost or using the Average Cost
Standard Rate methods. and Standard Rate
methods.

Undertake Investment Not performed. The IT organization is clear The IT organization is clear The IT organization is clear The IT organization is clear
Appraisals about some objectives and about objectives and about objectives and about objectives and
one way to meet them. different ways to meet different ways to meet different ways to meet
them. them. IT is capable of them. IT is capable of
estimating and presenting estimating and presenting
the costs and benefits of the costs and benefits of
each potentially worthwhile each potentially worthwhile
option. option. ROI (Return on
Investment) and ROCE
(Return on Capital
Employed) methods are
applied.

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Charging Policies Not established. Charging policies are Charging policies are Charging policies are Charging policies are
established. established and most of established and most of established and all of them
them are implemented. theme are implemented. are implemented. The
The policies are simple, polices are simple, fair and
fair, realistic, and offer realistic. These policies
flexibility to the resemble the level of
customer/user. recovery of expenditure
and are positively affecting
customer behavior.

Deciding Chargeable Not performed. It is known what to charge, It is known what to charge It is known what to charge It is known what to charge
Items but not how to charge the and how to charge the and how to charge the and how to charge the
chargeable items. chargeable items, but chargeable items. These chargeable items. These
these chargeable items are chargeable items are chargeable items are
not always controllable by generally controllable by always controllable by the
the customer and require a the customer and require a customer and are easy to
detailed measurement. detailed measurement. measure.

Pricing Not performed. Performed with cost Performed in relation to Performed in relation to Performed in relation to
recovery in mind, but with both cost recovery and the both cost recovery and the both cost recovery and
less focus on the impact impact upon the demand impact upon the demand with the impact upon the
upon the demand for the for the service. Pricing for the service. Pricing demand for the product.
service. methods are used on an methods are used on an Standard pricing methods
irregular basis. ad-hoc basis. are used and are visible to
customers.

Billing Not clear. Billing is not always Billing is simple in only the Billing is simple in all Billing is simple in all
associated with simple, most important cases. cases. Chargeable items cases. Chargeable items
chargeable items. Billing is Chargeable items are are understood by the are understood by the
not always understood by understood by the customer in all cases. IT customer in all cases. IT
the customer. IT customer in most cases. IT accounting data is accounting data is
accounting data Is not accounting data is available for all cases. The available for all cases. The
always available. available for the most billing cycle is not clear. billing cycle is in place. The
important cases. The relationship between billing
relationship between billing and services is completely
and services is not always clear and aligned with the
clear. business objectives.

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Configuration No linkage. Costs components of some Costs components of most Costs components of all Costs components of all
Management Configuration Items are Configuration Items are Configuration Items are Configuration Items are
known. known and updated in an known and regularly known, regularly updated
ad-hoc fashion. updated. and regularly checked. The
full life cycle of an asset is
managed with respect to
costs.

Capacity Management No linkage. Some cost information is Cost information is used to Cost information is used to Cost information is used to
used to estimate the costs estimate the costs of the estimate the costs of the estimate the costs of the
of some desired Capacity desired Capacity and desired Capacity and desired Capacity and
and Availability of the Availability of the service. Availability of the service. Availability of the service.
service. Some data is collected Data is regularly collected Data is collected relating
relating costs to Capacity relating costs to Capacity costs to Capacity and staff
and staff effort. and staff effort. effort. Costs of individual
customers as well as
enterprise-level costs are
taken into account.

Service Level No linkage. Some costs related to All costs related to current All costs related to current All costs related to current
Management current and new business and new business and new business and new business
demands are known. demands are known. demands are known. demands are known.
Charging policies are Charging policies are Charging Policies are
known. known and positively known and positively
influence customer/user influence customer/user
behavior. behavior.
Budgeting and accounting
are in place.

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Financial Management
Comments / Evidence

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Financial Management

Comments / Evidence

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Financial Management

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Financial Management

Comments / Evidence

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Financial Management

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Financial Management

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Financial Management

Comments / Evidence

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 Service Level Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission No agreement or General awareness of the Mission is defined by IT, Mission is defined, Defined, understood and
understanding of the mission, but it is not fully and agreed to by most IT understood and agreed to promoted by all. Mission is
Service Level Management understood by all and user responsible by all. It reflects the consistent with IT and the
mission. participants. Most view it personnel. It is understood objective of ensuring the business view of the
with an IT perspective - a by most. It reflects a user users and the business contribution and role of
means to set user perspective - a means of receive the appropriate information technology. It
expectations for computing setting a good balance levels of computing is to ensure that all types
services. between IT capability and services from IT. This of services required by the
user needs. reflects a business focus. business are delivered at
the appropriate level, at
lowest cost, from the
appropriate supplier.

Objectives No agreement or General understanding of Objectives are defined and Objectives are defined and Objectives are defined,
understanding of the the objectives, but they are understood by most IT understood by all IT and understood and
specific Service Level not fully endorsed by providers, but not all are users. Consistent with IT championed by all.
Management objectives. users. Objectives relate to measurable. They relate to objectives. All are Objectives are consistent
continuing the current availability and hours of measurable. They relate to with IT, user and business
levels of service. service for computing service availability, requirements. They are
Objectives not aggressive. services, less on meeting performance, and are defined, understood,
business needs. based on estimated agreed to by IT and users,
Aggressive, but realistic. business volumes. Specific, and measurable. They
aggressive, but realistic relate to service
objectives; and most are availability, and translate
time based. users' business
requirements into key
measures of required
services (user
transactions), include user
and supplier
responsibilities, and
include objectives for user
assistance and other such
"non-computing" services.
Specific, aggressive, but
realistic objectives, all are
time-based.

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 Service Level Management
Process Measurement No measurements. Measurements not related Measurements related to Measurements related to Measurements related to
to process objectives. process objectives. process objectives, process objectives,
regularly reviewed, but do regularly reviewed, and in
not reflect user satisfaction line with business
with the process. objectives for type and
quality of services provided
by IT.

Control Scope No control over the The process governs some The process governs most The process governs most Any service level issue in
managed environment. mission critical systems. of the mission critical systems. IT and the the managed environment
systems. IT defines the list business define the list. is subjected to the Service
together with some Systems are prioritized. Level Management
business units. process. Systems are
prioritized with the
business and the list is
regularly reviewed and
updated.

Process Improvement A few efforts have been The process is reviewed if Service level reporting has Routine and scheduled All activities analyzed and
made to improve the there are obvious service been optimized. work has been reviewed optimized continually, and
process. level problems. with customers and the process has been
optimized, and most other integrated with the
activities are analyzed and customer satisfaction
optimized regularly. system process to ensure
effectiveness.

Average Rating 0.0 0.0

Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process.

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers

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Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership No single owner for the Identified, but does not Identified, feels responsible Identified, has made some Owner identified and
process. understand role, unsure of for process, but has process improvements, actively promotes
authority for determining undertaken no actions to and others planned for the continuous improvement of
service objectives. improve it. future. The owner is seen the process, known
as the focal point by some, throughout the
but not all issues relating organization as the focal
to the process. point of all issues relating
to the process.

Roles and No roles or responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but have been agreed to, but have been agreed to and have been agreed to and
not agreed to by all are not all documented, documented, authorities documented, authorities
parties. Vague tie between nor are all authorities understood, but not kept understood, kept current,
actual roles and mission established. current. Role descriptions and all feel empowered to
and role descriptions. Role Responsibilities generally provide the right blend of fulfill responsibilities, and
descriptions may not be tie to mission and role direction and flexibility. cross-reporting boundaries
available. Few meaningful descriptions. General Specific qualitative (matrix). Role descriptions
measurements. qualitative measurements. measurements. are used effectively to
ensure an optimal, tie
between mission and
people's tasks and
accomplishments. Specific
quantitative
measurements.

Skills Need experienced staff, Wide variety of skills, few Skills regularly assessed, Skills regularly assessed Skills sufficient and
since procedures are not assessment actions. education plans not clear and education augmented by automation
documented. No statistics General operation-oriented to improve gaps. implemented to fill gaps. to allow effective service
to allow evaluation of skills. skills. Operational and some Process, design and level agreements. A good
application and process business oriented skills. mixture of product,
oriented skills. process, design and
business skills.

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Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No tools. One or two process steps Majority of process Majority of process, All process steps
addressed by tools. addressed by tools. including monitoring, addressed by tools.
addressed by tools.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing. Likely skilled technical and senior tools easy to use, effectively used by those effectively by those will low
implementation problems staff. advanced usage requires with low technical skill technical skill levels.
or tool incompatibilities. high skill level. levels.

Automation No tools for service level Primarily basic productivity Tools assist the service Tools assist the service Tools assist throughout the
management. enhancement tools, for level personnel to level personnel to process, including many
example service reporting. automate some service automate many service interfaces to other
level measuring and level measuring and processes.
reporting tasks. reporting tasks.

Integration No integration among Integration among tools Some key service level Effective and broad Integration of service level
tools. limited to common user planning and/or reporting integration afforded by a planning/reporting
interface. tools integrated. small number of service products not limited to
level planning or reporting cross-platform tasks, but
products. also involves integration of
multiple disciplines
(problem, change,
configuration, etc.)

Openness No tools. Most tools address only Some of the tools Majority of tools adaptable Tools adaptable to a wide
specific environments and adaptable to several to installed technology and variety of possible
have proprietary environments, or work with desired interfaces. technology selections.
interfaces. defined standard
interfaces.

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 Service Level Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Establish Perception on No guidelines or standards Standards exist for some Standards are defined for Standards are defined for User representatives and
Service Level Standards exist, just general services only. They are most services, primarily all services. They are service delivery
objectives. IT determines established by the service the central services. There business, balancing cost representatives create and
what the services and provider. They have not are standards for the and need. They are regularly review the
service levels are and been reviewed. Customers service agreements. They established by the provider service needs to meet
delivers on a best effort have been asked what are negotiated between and user, and are based on business goals. Standards
basis. services and service levels provider and user. The providing an End-to-End must be defined for all new
are required. service requirements are view of the service. They services as part of the
reviewed annually. are reviewed when the development activity. They
hardware or software are reviewed when the
services change. needs of the business
change.

Establish Service Levels Service levels are not Service levels for critical Service levels have been Service levels are set for all Service levels are set for all
established. Only assumed services have been set for most, but not all IT computing services. The IT services. The levels are
or perceived requirements established. They are not services. The levels are levels are communicated communicated throughout
are mentioned, and only by communicated throughout communicated throughout throughout the IT and user the business. The levels
the service provider. Not the user or provider the IT organization. The organizations. The levels are based on business
all levels are measurable. organization. The levels set levels set are based set are based on the needs and on the most
There may be many are based on IT primarily on user needs. business needs and on how cost-effective means to
UCs/OLAs/SLAs, but no requirements, and reflect They are reviewed as user the applications must be deliver the application
concept of enterprise SLM. the current level of needs change. All levels delivered to meet the benefits, which are based
Mostly component based services. They are are measurable. Most of application benefits. They on business needs. The
SLOs. reviewed annually as the service chain is are reviewed as business levels are reviewed when
service agreements are documented with OLAs and needs change. All levels business needs or
reviewed. Not all levels are UCs. are measurable. SLAs are technologies change.
measurable. There is a supported by OLAs and Priorities are defined to be
profile of IT services UCs. used in delivering services
delivered. when outages or resource
problems occur. All are
measurable.

Monitoring Service levels are not Service levels are All the established levels Monitoring is primarily Service level monitoring is
monitored. monitored manually, but are monitored manually manual, but some service an integral part of all
not on a continual basis. and on a continual basis. level exceptions are processes. Service levels
produced by the Capacity set the thresholds for
Management process. automated
escalation/notification from
all the processes. Alerts
are used to warn
appropriate people of a
pending service level
failure.

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Reporting & Review Minimal reporting. Little Service level reports are Service level status and Service level and trend Exception-oriented service
assessment of the produced manually and trend reports are created reports are created with an level and trend reporting
attainments. require much staff time. with some automation. automated system and created with automated
They are assessed, Reports are assessed include cost and effect of system. Exceptions, based
although not on a regular regularly by the provider outages. Reports are on the SLAs, are uncovered
and ongoing basis. and then shared with the assessed by the user and through automated
user. Explanations and the provider. Missed exception alerts. Reporting
actions are provided for targets are reviewed and is provided directly to user
missed targets. action plans created to and provider, and they
ensure targets are met. review together. Missed
targets are reviewed by
customer and provider, the
targets are assessed for
reasonableness, and action
plans are created to ensure
targets are met.

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Management There is no linkage Major problems are Priority and escalation Priority and escalation Alerts are used to warn the
between Incident escalated according to tables within the SLAs are tables within the SLAs are Service Desk (or
Management and tables defined in the SLAs. used to govern key aspects used to manage incidents equivalent) of pending SLA
escalation with related of Incident Management. according to business failures, as well as trigger
SLAs. need. Incident trend response actions.
reports include SLA Exceptions to SLAs
exceptions and impacts. automatically generate a
incident ticket. SLAs are
renegotiated as required to
accommodate changing
environments.

Change Management No linkage. Changes that have caused Major changes to the major Changes to all elements Changes to all elements
service level outages systems are reviewed to covered by SLAs are that have service level
known and reviewed ensure (proactive) they will reviewed by the IT targets are reviewed by
(reactive). not affect the availability provider. both the user and IT
requirements. provider responsible.
Service level attainment,
not change
implementation, is
primary.

Availability No linkage. Current availability Availability requirements Availability requirements Availability requirements
Management achievements are are documented in SLAs. are documented in SLAs. are documented in SLAs.
documented in Service Availability results are Availability needs regularly Availability needs regularly
Level reports. regularly reported. analyzed in SLA process. analyzed in SLA process.
All planned outage
decisions are made with
SLA in mind.

Capacity Management No linkage. Service levels are reviewed Service levels are reviewed Service levels are required Capacity planning requires
during capacity planning. during capacity planning, as input to capacity service levels to be
and performance targets planning, and performance established, and
set based on service levels. targets are based on performance exceptions
service levels. are generated based on
service level requirements.

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IT Service Continuity No linkage. SLAs identify key backup All agreed to security and Exceptions to SLA Automation is used to
Management and basic security backup requirements are commitments in these generate automated
requirements. communicated and areas are communicated to exception reporting of SLA
implemented. The ability to their respective owners. exceptions. SLAs are
deliver SLA IT Continuity SLAs are used to trigger updated as required, based
requirements have been containment plans for any on changing business
confirmed from test exposures. needs (backup and
results. security) or test results
(continuity).

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Service Level Management
Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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 Incident Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission No agreement or General understanding of Mission defined and Mission is defined, Mission is defined,
understanding of the mission, but not fully understood by most. It is understood and agreed to understood and promoted
Incident Management understood or endorsed. seen as the means to by all. It relates primarily to by all. Mission consistent
mission. Most bypass the Incident Management seen restoring normal service ensuring all major with overall IT mission and
understood practices. by some as “to resolve operation as quickly as incidents are resolved, and use of IT by the business.
incidents as fast as possible. It reflects a focus service disruption is kept Incident Management
possible”. Mission created on IT priorities. to a minimum. The mission mission is in line with
by IT. relates primarily to IT defined and agreed SLA(s)
issues, although customers with the business. It has
of the process have been been created together with
involved in defining the the customers of the 1 3
mission and prioritizing process. Decisions are
service impact. made based on the
mission.

Objectives No agreement or General understanding of Objectives defined and Objectives defined and Objectives defined,
understanding of Incident the objectives, but not fully understood by most IT measurable, but not understood and
Management objectives. understood or endorsed by providers; not all are always in concert with rest championed by all,
customers. In particular, measurable. Objectives of IT and business. including users. Objectives
lack of clarity about relate to some, but not all Objectives relate to most aligned with IT and
business needs, and poorly the supported services. of the supported services. business objectives;
defined service objectives. Aggressive, but realistic Specific, aggressive, but documented, used and
objectives. realistic objectives; some measured for
are time based. improvements. Service
levels are defined and
aligned with business
requirements. Quality is 1 2
paramount, as well as
meeting the needs of the
users. Satisfaction with the
process is measured.

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 Incident Management
Process Measurement No measurements. Measurements not related Measurements related to Measurements related to Measurements related to
to Incident Management Incident Management objectives, regularly process objectives,
objectives. objectives, but not reviewed, but not all in line regularly reviewed, and in
regularly reviewed. Focus with business line with business
is effectiveness. measurements. Focus is objectives and agreed 2 4
quality and efficiency. SLAs.

Control Scope No control over the The Incident Management The Incident Management The Incident Management Any incident detected in
managed environment. process governs some process governs most of process governs most the managed environment
mission critical systems the mission critical systems; the list is defined is subject to the Incident
(hardware, software, systems; IT defines the list, by IT and the business. Management process.
network). together with some Systems are prioritized to Systems are prioritized
business units. allow incident prioritization with the business and the
based on scope or impact. list is regularly reviewed 1 2
and updated.

Process Improvement A few efforts have been The process is improved if Routine and scheduled Routine and scheduled All activities analyzed and
made to improve the there are very evident work has been optimized. work has been optimized, optimized continually,
process. problems. and most other activities including interfaces to and
are analyzed and from other processes.
optimized regularly. 1 3

Average Rating 1.2 2.8

Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process. 1 3

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers 1 3

Average Rating 1.0 3.0

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 Incident Management

Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership No known owner. Ownership assigned, but Ownership clearly lies with Single owner identified, Single owner drives the
either spread out (diluted) the Service Desk, but who reacts well to resolve process and interacts with
or not known by effectiveness is unknown Incident Management users (for example,
participants in the incident (and possibly not process glitches. collecting user
process. evaluated). requirements); continuous 2 3
improvement cycle.

Roles and No accountability - Some organizational Clearly assigned roles, All key Incident People assigned to Incident
Responsibilities everyone seems to get awareness of who the identified to all affected Management roles are Management roles are
involved. "incident people" are. areas of the organization; handled by people with accountable; a "focal
Vague tie between actual some user involvement. those specific assignments. point" person
roles and mission and role Responsibilities generally Users are not burdened (coordinator/tracker)
descriptions. (Role tie to mission and role with incident tasks. Role ensures the flow of day-to-
descriptions may not be descriptions. General descriptions provide the day activities. Role
available.) Few meaningful qualitative measurements. right blend of direction and descriptions are used
measurements. 1st, 2nd, 3rd level, vendor, flexibility. Specific effectively to ensure an
Incident Manager and qualitative measurements. optimal tie between
Service Desk roles are mission and people's tasks
defined. and accomplishments. 2 3
Specific quantitative
measurements, tied to
SLAs.

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 Incident Management
Skills Experienced technical skills General operational skills, Mix of senior and entry Viewed as major High degree of automation
required throughout due to and some process skills. personnel. Operational, requirement, and thus has operational people
lack of procedures and Skill needs are not product and application process, product, focusing on key,
formality. Few process regularly assessed. skills. Skill needs are application and design challenging tasks (avoiding
skills. reviewed annually, but skills are available. Skills basic incident tasks). Skills
little follow-up to ensure are regularly assessed and reflect the need for
updates occur. education implemented to advanced standards and
fill gaps. techniques to resolve
incidents across a
distributed and
heterogeneous
environment. A good
mixture of product,
process, design and
business skills. Skill
assessment and updating 2 3
is a part of personnel
evaluation criteria.

Average Rating 2.0 3.0

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 Incident Management

Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope Basic incident log only. One or two process steps Majority of process Majority of process, All process steps
addressed by tools. addressed by tools. including outstanding addressed by tools.
incidents monitoring,
addressed by tools. 1 3

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing. Likely skilled technical and senior tools easy to use, effectively used by those effectively by those with
implementation problems staff. advanced usage requires with low technical skill low technical skill levels. 2 4
or tool incompatibilities. high skill level. levels.

Automation None. Online tools used to Some evidence of Most data fields are Incident resolution lead
document and exchange automated enforcement of automatically monitored or times enforced
incident status information. incident data quality. entered. automatically. High
efficiency in
documentation due to 2 3
automated fields.

Integration No integration. Integration among tools Some incident Effective and broad Incident Management and
limited to common user alerts/detection tools work integration between alerts knowledge base products
interface. Few applications across platforms. Some and matching with known share data and cooperate
enabled for incident integration with existing errors; little to no together to achieve high
detection. knowledge bases, but it customization is required. efficiency. 1 2
may require extra manual
entry.

Openness No tools used for Incident Incident Management tools Some of the tools Majority of tools adaptable Tools adaptable to wide
Management. only apply to some of the adaptable to several to installed technology and variety of possible
technology. environments, or work with desired standard technology selections.
defined standard interfaces. 2 3
interfaces.

Average Rating 1.6 3.0

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 Incident Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Detection and Slow, manual process: Most incidents are All major incidents are All incidents are detected Proactive, automated
Recording incidents are identified by captured, reported by recorded and/or passed to and recorded by either the incident identification
users; only major incidents users or manually recorded the Service Desk, which Service Desk, the support procedures are used. All
are reported. Incidents are by the Service Desk; stores them in a common groups, the users directly, incidents are dynamically
acted upon, but not always required data are defined incident database. Some automated health recorded by anything
recorded by the Service to create a common recording may also be checking, or by software susceptible to detect
Desk or any other support recording template. done by appropriate analysis. Incidents rarely incidents, and the
group. Not clear where or Minimal information support groups; some require additional information managed
how the incidents should management. CMDB automated incident documentation. The centrally. Service Desk has
be reported. No sometimes helps to detection done by information is managed overall responsibility.
Configuration Management identify known errors. software. All incident from a common place, and Incident impact is
Database (CMDB). occurrences and types overall incidents control correlated with defined
from centralized systems and monitoring lies within Service Levels, and action
are captured, although the Service Desk. CMDB is taken to the Service
primarily hardware up to date and always Manager in case service
incidents from distributed identifies known errors. quality and availability 1 3
systems. CMDB frequently degenerate. CMDB is up to
helps identify known date, always identifies
errors. known errors and is always
updated with new known
errors.

Classification and Initial No classification of Some classification of Incidents are classified; Prioritization is defined Highly efficient process,
Support incidents, limited incidents, together with a prioritization is based upon based on business high number of requests
information given on each limited prioritization, IT and sometimes business requirements through SLAs solved by Service Desk .
incident: the priority is to mostly from an IT considerations through and urgency to solve, Close service monitoring
get the incident solved. No perspective. Limited SLAs. Some incidents can depending on the size, ensures defined levels of
CMDB. consideration of the be matched with scope and impact; service are met.
business urgency to problems/known errors, resource availability is also Continuous service
resolve: incidents get and therefore can be accounted for to correct improvement. CMDB
resolved as they are resolved by the Service the fault. An extensive provides full details to help
identified. CMDB provides Desk. CMDB provides most Problem Management and classification. Errors in the
some details to help details to help known error database CMDB are always detected
classification, e.g. PC classification, e.g. PC & allows for incident and corrected.
details. user details, plus indication matching and results in
of number of users likely to high first-level resolution.
be affected. CMDB provides full details 1 2
to help classification.
Errors in the CMDB may be
detected and corrected.

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 Incident Management
Investigation and Little to no information Process is documented, but Incidents are investigated When resolution cannot be Highly efficient process,
Diagnosis collected and analyzed often ineffective. Some and analyzed; workarounds found via knowledge approached with a rigorous
about the incident. Large degree of analysis done, usually advised and/or bases, workarounds are and disciplined approach.
crowds gather for major however each is a one-off found to minimize user defined to minimize user Results are duly recorded,
incident analysis. process; no further impact, thanks to effective impact, and provide more timed and monitored.
investigation conducted, links to knowledge bases. time to investigate and set Incident history database
resulting in either Incident status gets up a more structural used to assist. Escalation
misdiagnosis or updated as it progresses. solution. Incident record paths defined and used to
approximate resolution of Some escalation process in gets regularly updated with ensure user service is kept
the incident. Inconsistent place. Few incident progress summary, so that within SLAs.
documentation of the reassignments. it can easily be passed 2 3
action taken. around as required;
iterative process.
Escalation paths defined.

Resolution and Ad-hoc resolution and Resolution is informal, little Incident is resolved as Incident is timely resolved Incidents get resolved and
Recovery recovery. No CMDB to documentation on recovery soon as possible by by appropriate staff, recovered according to
update. actions. Incident owner appropriate staff and resolution and recovery defined levels of service
and status sometimes passed on for closure. actions are documented for and timeframes; all actions
difficult to determine. Resolution actions are possible future use. related to the incident are
Changes may be documented. Incident Incident owner and status documented in the system.
introduced without proper owner and status can be can be determined easily Incident owner and status
approval as part of the determined easily for for all incident types and available from on-line
resolution actions. CMDB major incidents, often severities. CMDB always system for all incident
may be updated with difficult for minor incidents. updated, but not all types and severities. CMDB
1 3
resolution details. CMDB usually updated with relevant information is always updated with full
resolution details. included. resolution details.

Incident Closure Incident closure is not Some incidents get closed, IT personnel and users All relevant parties get All relevant parties get
documented or but closure is mostly "IT usually get notified of notified of an incident notified of an incident
communicated to anyone. Internal" with limited incident closure, and status resolution; involved resolution; user/originator
No follow-up with user to interaction with the users is changed to “closed” in personnel formally agree agrees with the resolution
ensure satisfactory service or originator. Occasional the system. Resolution is with recovery so that an in writing and assures
has been provided. follow-up of major usually agreed with the incident gets closed. satisfaction with actions
situations to see if answer user/originator, sometimes Consistent documentation taken. Resolution details
or solution was received. verbally. Focus is not on of any action taken, are consistently
the quality of the solution. including time spent. There documented, including
Little feedback solicited to is a focus on the quality of costs, and linked back to
address satisfaction with the solution. Feedback agreed timeframes.
the process. from the users is Feedback on the process is 3 4
encouraged to ensure always requested to
satisfaction with the ensure process meets user
process. needs.

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 Incident Management
Ownership, Monitoring, No ownership, monitoring, Some ownership and Service Desk oversees Service Desk is known for There is a dedicated team
Tracking and tracking and tracking of outstanding resolution for most coordinating incidents within the Service Desk
Communication communication for incidents, but varying incidents, prioritizes high- through to resolution. responsible for monitoring
incidents. Reports minimal depending on type of impact ones, and performs Escalate when necessary outstanding incidents and
and reporting needs have incident. Status reports a degree of monitoring and using agreed procedures. keeping resolution within
not been analyzed. created, but require a communication with the Status and trend reports agreed SLAs. Regular
great deal of staff time to affected users. Ensure created with automated communication with users
produce them. outstanding incidents get system, and include times to ensure satisfaction with
resolved as soon as by type of incident. service; escalation routes
possible. Status and trend Reports are reviewed with used when required to
reporting, including timing end users and IT. keep service within agreed
information, partially levels. Status and trend
automated. reports created with
automated system,
reviewed by users and IT. 2 3
Exceptions to agreed SLAs
trigger exception alerts.

Average Rating 1.7 3.0

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 Incident Management

Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Problem Management Ineffective link between Some difficulties in getting Regular information Problem Management and Highly automated linkage
Problem Management and good information on exchange from reports or Incident Management between Problem
Incident Management incidents for Problem person assigned to interchange happens Management and Incident
processes. Management purposes. problem. Participation in consistently; some Management ensures
Inconsistent flow between the Problem Management automation to realize information exchange
the processes and process. Problem data efficiencies. Problem data consistency and
separate problem system. used to ease incident used to resolve incidents efficiencies. Participation
resolution. and find workarounds, but and influence on Problem
not always easy to Management system. 1 3
correlate problems to
incidents.

Change Management Recent changes not Recent changes Regular information Incident and Change Integrated, automated
documented. documented, but no access exchange via informal Management data access to changes relating
to the list. methods. Incident interchange happens to the incident being
Management occasionally consistently; some handled. Participation in
participates in change automation to realize change analysis and other
analysis. Incidents linked efficiencies, e.g. access to aspects of system where
to changes in database. Change Management appropriate.
database. Participation in 1 2
change analysis where
appropriate.

Configuration No way to track recent Recent incidents do have Incident records linked Incident records are held Integrated, automated
Management incidents via the CMDB. some associated with related configuration on the same CMDB as the access to configuration
configuration data, but not data, without the need to Problem, Known Errors and data relating to the
linked to the CMDB. re-key the information. Change records to incident being handled.
Difficult to get that facilitate tracking, and to Efficient interrogation and
information if required, e.g. ease interrogation and reporting. Reports 1 2
to track back a particular reporting. regularly reviewed to
change. improve service.

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 Incident Management
Service Level Ineffective link between Some difficulties in getting Regular information Consistent data Highly automated linkage
Management Service Level Management good information on the exchange. Users know the interchange between the between the processes
and Incident Management. Incident Management procedure for reporting processes; some ensures information
No Incident Management process for SLAs, e.g. incidents and getting automation to realize exchange consistency and
process details resolution times. resolution. Support teams efficiencies. Details of the efficiencies. Constant
documented for in Service are aware of some of the Incident Management feedback loop between
Level Agreements (SLAs). agreed resolution process are mostly Service Level Management
timeframes for most types documented in the SLAs, and Incident Management.
of incidents. Some so that support teams and SLAs updated as a result of
escalation paths defined. users are well aware of the Incident Management, and
incident prioritization and incident procedures
the corresponding agreed regularly reviewed and
resolution timeframes. improved to meet SLAs.
Escalation procedures Incident priorities and
agreed and documented. escalation procedures 1 3
regularly reviewed and
maintained.

Average Rating 1.0 2.5

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Incident Management
Comments / Evidence
Definir de la Mision

Comunicar a todo el personal de

IT

Definir los objetivos estrategicos

Comunicar a todo el personal de

IT

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Incident Management
Analizar la situacion actual sobre
las medidas existentes.
Implementar nuevas medidas
relacionadas a los objetivos.
Definir Politica de revision.

Evaluar los sistemas criticos con

para determinar el alcance y
niveles de escalamiento.
Definir la clasificacion de los
incidentes (Alto, Medio y Bajo
impacto en el negocio)

Evaluar el proceso existente del

manejo de incidente, y hacer
relacion con los objetivos del
proceso de incidente

Comments / Evidence
Definir encuesta de satisfaccion

Implementar medidas sobre los

resultados de las encuestas

Entrenamiento al personal sobre

la atencion inmediata y
satisfaccion del cliente

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Incident Management

Comments / Evidence
Definir el Gerente para la
Gestion de Incidente

Definir los roles y

responsabilidades para:
1.- Gerente de gestion de
incidente
2.- El area de Servidesk
3.- Por Niveles de escalamiento

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Incident Management
Definir y realizar entrenamientos

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Incident Management

Comments / Evidence
1ra Fase: Evaluar RT en una
version mayor
2da Fase: Evaluar herramienta
de gestion de incidente alineado
a ITIL

Dictar adiestramientos del uso

de la herramineta

Revisar y crear reportes que

indiquen metricas de gestion y
calidad de incidentes

Revisar e implementar las

alarmas referentes a los
procesos criticos de la operación

Dependera de la herramienta a
utilizar

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Incident Management

Comments / Evidence
1ra Fase: Revision de los
procesos actuales de monitoreo
y manejo de incidentes. Politicas
de Registro de incidentes.

2da Fase: Implementacion de

una base de datos de errores
conocidos.

Definir los servicios de soporte

dado por las distintas areas
internas de IT.
Depende de la definicion de la
clasificacion y prioridad de los
incidentes

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Incident Management
Entrenar al personal de
ServiDesk en referencia al
registro y niveles de
escalamiento de los incidentes

1ra Fase: Velar por el

cumplimiento del proceso y
politica de registro de
incidentes.

2da Fase: Consolidar las bases

de datos de errores conocidos
existentes en las diferentes
areas internas de IT con el fin de
unificar criterios para una futura
CMDB.

Velar por el fiel cumplimiento del

manejo de gestion de incidentes.

Implementar encuestas de
satisfaccion del cliente.

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Incident Management
1.- Revisar y ajustar los reportes
existentes, de acuerdo al
proceso de gestion de incidente.

Page 113 IT Service Maturity Model

Incident Management

Comments / Evidence
Actualmente no se cuenta con
una Gestión de Problemas
definida.

Hacer cumplir con el proceso de

Registro de incidentes, el cual
permitira llevar a futuro un
registro de cambios efectuados.

1ra Fase: Velar por el

cumplimiento del proceso y
politica de registro de
incidentes.

2da Fase: Mantener actualizada

Base de Datos Propuesta.

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Incident Management
1.- Notificar las politicas y
procedimientos establecidos
para la Gestion de incidentes a
todas las unidades del negocio.
2.- Entregar a los grupos
resolutores el catalogo de
servicio de atención de los
diferentes niveles, con el fin de
garantizar escalamientos
efectivos.

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 Problem Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission The Problem Management General awareness of the Mission defined and Mission defined and Mission defined and
mission has not been mission, but it is not fully understood by most. It understood by all. It has understood by all. It has
discussed or documented. understood or endorsed by reflects focus on IT been created with user been created together with
Not all involved personnel all. Some feel it relates priorities, and includes the input and reflects a the users, and reflects a
understand the mission. simply to “solving need to optimize the time customer focus. It includes business focus. It includes
problems as fast as solving incidents. It the need to reduce the the need to ensure that
possible” or “solving user includes a reference to an quantity and impact of users spend their time
problems”. Little efficient process, and to incidents. It is consistent contributing to the
understanding of capturing all problems. with the rest of IT and the business, and the need to
“customer needs”. enterprise’s mission and support the business
objectives. It defines who objectives. It includes what
the customers are and Problem Management will
what they require. and will not do, and defines
key standards for setting
up the practices for the 1 3
process. It is consistent
with IT and the enterprise’s
mission and objectives.

Objectives No agreement or General awareness of the Objectives defined and Objectives defined and Objectives defined and
understanding of the objectives, but they are not understood by most. They understood by all. understood by all.
objectives. fully understood or are documented, but not Consistent with IT Consistent with IT and
endorsed. Not all are measurable. Not objectives. All are enterprise mission and
documented. Not all are completely consistent with measurable. They include objectives - business focus.
measurable. overall IT objectives; they objectives for % of All are measurable. They
sometimes reflect more of incidents captured by include aspects relating to
a departmental focus. identified problems, contribution to the
Some objectives for the adherence to standards, business, such as reducing
type of problems to be and reducing the volume of the percent of user time
handled and the incidents. doing incident
timeframes for resolution. management, usage of
automation to reduce 2 3
costs, ensuring incident
prevention, and reducing #
and impact of outages.

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 Problem Management
Process Measurement No measurements. Emphasis is on resolving Emphasis on reducing Emphasis on root cause of Measurements related to
most obvious problems. major problems, but not all problems, all problems process objectives,
problems reviewed reviewed regularly, but regularly reviewed, and in
regularly. Emphasis problem analysis not line with business
includes #, % and impact always related to overall IT objectives and agreed
of incidents covered by measurements. Emphasis SLAs. Emphasis also
problems. includes focus on includes #,%, impact of
relationships and #, %, incidents covered by 2 3
impact of incidents problems, known errors
covered by problems and and RFCs submitted to
known errors. Change Management.

Control Scope No control over the The Problem Management The Problem Management The Problem Management Any problem detected in
managed environment. process governs some process governs most of process governs most the managed environment
Problem Management mission critical systems the mission critical systems; the list is defined is subject to the Problem
occurs as interested people (hardware, software, systems; IT defines the list, by IT and the business, Management process.
have extra time. network). together with some systems are prioritized to Systems are prioritized
business units. allow problem prioritization with the business, and the
based on scope or impact. list is regularly reviewed 2 3
and updated.

Process Improvement A few efforts have been The process is improved if Major problem resolution Major problem resolution All activities analyzed and
made to improve the there are very evident work has been optimized. work has been optimized optimized continually
process. problems. and most other activities including interfaces to and
are analyzed and from other processes. 2 3
optimized regularly.

Average Rating 1.8 3.0

Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process. 1 3

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers 2 4

Average Rating 1.5 3.5

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 Problem Management

Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership No clear or widely known Multiple owners identified. Single owner identified, Single owner identified, Owner identified and
owner Do not understand feels responsible for the some improvements made, actively promotes
ownership role, unsure of area, but has undertaken others planned for the continuous improvement of
authority. no actions to improve it. future. Seen as focal point the process, known
by all relating to the throughout organization as 1 3
process. focal point of all issues
relating to the process.

Roles and No roles or responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but have been agreed to, but have been agreed to and have been agreed to and
not agreed to by all authorities not fully documented; authorities documented. Authorities
parties. Vague tie between established. understood, but not kept understood, kept current,
actual roles and mission Responsibilities generally current. Role descriptions and all feel empowered to
and role descriptions. Role tie to the mission and role provide the right blend of fulfill responsibilities. Cross
description may not be descriptions. General direction and flexibility. reporting boundaries
available. Few meaningful qualitative measurements. Specific qualitative (matrix) role descriptions
measurements. Problem resources measurements. are used effectively to
separated from incident. ensure an optimal tie
between mission and
people’s tasks and 1 3
accomplishments. Specific
quantitative
measurements.

Skills Few Problem Management Problem Management skills Problem Management skills Problem Management skills Problem skills excellent,
skills in the organization. good, but relate to only very good, and cover most very good, and cover all of and extend to all the
some of the technology. of the technology. Mix of the technology. Mix of technology. Current and
Primarily hardware based hardware and software hardware, software, and future skill assessment and
skills. High problem skills. Requirements being process skills. requirements regularly
backlog. analyzed. Medium problem Requirements have been identified, gaps analyzed,
backlog. analyzed, and education and education planned to
planned to fill the gaps. meet needs. Hardware, 1 3
Low problem backlog. software, process and
procedure skills.

Average Rating 1.0 3.0

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 Problem Management

Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No tools. Basic logging tools, no Effective logging and basic Effective logging, All process steps, including
determination and analysis problem determination determination and analysis reporting and
tools. tools. tools. measurements, addressed
by effective tools. 2 3

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing. Likely skilled technical and senior tools easy to use, effectively used by those effectively by those with
implementation problems staff. advanced usage requires with low technical skill low technical skill levels. 2 3
or tool incompatibilities. high skill level. levels.

Automation None. Limited problem Some amount of Effective automation of Effective automation of
recognition and root cause automation of Problem Problem management for Problem Management for
analysis. Only applies to Management for Root Root Cause and Known Root Cause and Known
some of the technology. Cause and Known Errors Errors across most of the Errors across all of the 2 3
across the infrastructure. technology. technology.

Integration No integration. Integration among tools Some key Problem Effective and broad Problem Management
limited to common user Management (for example, integration afforded by a products share data and
interface. Few applications cross-platform small number of Problem cooperate together to
enabled for common transformation of problem Management products; achieve management tasks
Problem Management. notifications) tools little to no customization is transparent to operators
integrated. Many required. and users.
applications enabled for
Problem Management 1 2
tools, but that may require
extra manual
customization.

Openness No tools used for Problem Problem Management tools Some of the tools Majority of tools adaptable Tools adaptable to wide
Management. only apply to some of the adaptable to several to installed technology and variety of possible
technology. environments, or work with desired standard technology selections.
defined standard interfaces. 1 2
interfaces.

Average Rating 1.6 2.6

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 Problem Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Problem Control Little or no problem Problems identified by Problems identified by Problems identified by Proactive, automated
identification. Only major skilled support staff. Most Problem Management Problem Management problem identification
problems logged. Data problem occurrence team. Clear data team and by software procedures are
captured determined by captured. Some standard requirements. Occasional analysis. All problems are documented and used
person logging the data fields defined, but requests for additional logged and tracked, and effectively. All problems
problem. No assignment or often additional documentation. Standard rarely require additional are logged and tracked, no
classification criteria. information requested. root cause analysis documentation. The focus additional documentation
Multiple entry points. No Problems are assigned procedures exist. Incident is on minimizing the required. Users notified of
procedures for analysis quickly, but often with an history database used to impact of incidents and problems affecting them,
and determination, or root incorrect diagnosis. assist in diagnosis. preventing incidents. sometimes automatically.
cause. Large crowds Problems are easily Focus is on effectiveness
gather for major problems tracked against incidents. and efficiency of
analysis. identifying the root cause, 1 2
% of incidents covered by
problems, and cost
reduction of process.

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 Problem Management
Error Control No effective error control, Some control over the few Some known errors are Most of the known errors Proactive, automated error
errors frequently reoccur. errors that are known, but logged and tracked. Some are logged and tracked. identification procedures
little information available identified by developers, Usually identified by are documented and used
as to their resolution. No but mostly by Problem developers, Problem effectively. Efficient
audit trail. Insufficient Management team. Management team, cooperation between the
interface between Resolution activity is automated health development and
development and mostly recorded, but with a checking, and by software production environments.
production environments limited audit trail. Critical analysis. Resolution The resolution process is
for known errors on errors found in production process is available on the recorded on the Problem
releases. No confirmation environment lead to system, with a Management system, with
of error resolution Requests for Change comprehensive audit trail monitoring facilities for the
effectiveness. Lack of (RFCs). Some interface to ease navigation from support staff, and a full
resolution monitoring. between development and Incident to Problem to audit trail. RFCs
production environments. Change to Release. automatically triggered to
Post Implementation Consistent exchange resolve errors to create a
Reviews (PIRs) conducted between development and new Release. PIRs
for serious service production environments systematically held to
impacting errors. Some to facilitate error control. verify solution prior to error
monitoring of problem Most required data on closure. Error database
impact on user service. Known Errors is held in a regularly reviewed and
Incidents, problems and database to enable updated. Automated
known errors are tracked, incident matching. PIR impact monitoring, 1 2
and relationships between confirms effectiveness of triggering management
them are known. solution prior to final alerts and escalation when
closure. Problem impact is required. Monitoring
consistently monitored against Service Level
Agreements (SLAs).

Assistance with Problem Management does Limited assistance. Some assistance. Problem Problem Management data Efficient, automated
Handling Major not provide information to Problem information is information does exist for used to resolve major information exchange, e.g.
Incidents allow for handling of major mostly inconsistent and major problems; there is a incidents. Some trend analysis, or
incidents, e.g. incident difficult to reuse, e.g. limited audit trail. Most automation in place to resolution process, allows
matching . problem ownership resolution activities realize efficiencies. Problem Management to
sometimes difficult to documented in the assist in the handling of
track. Not always easy to knowledge bases. Easy to major incidents. 1 2
correlate problems and correlate incidents with
incidents. problems.

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 Problem Management
Proactive Prevention of No trend analysis Limited and irregular trend Some trend analysis Detailed trend analysis Efficient and automated
Problems conducted; no preventive analysis performed, little or conducted each month, conducted every month trend identification.
action initiated by support no identification of general allows for identification of with users and IT staff; root Problem meetings are
staff. problem areas requiring recurrent incidents. cause is the focus. exception oriented relative
additional support Analyzed in problem Preventive actions are to SLAs; root cause and
attention. Limited meetings, emphasis on initiated, such as RFCs recurring problems are the
preventive actions taken, finding chronic incidents. implemented following focus. Analysis also comes
which may include Support staff focuses on incident and problem data from external sources such
informing support staff of a some incidents, prioritized analysis. Analysis of data as conferences, literature,
newly implemented by volume and number of from external sources, and also involves
system. users impacted. Some such as conference, conducting users
preventive actions literature, tools also workshops/surveys. Areas
initiated, e.g. support staff reveals possible problem requiring support focus are
training, ensuring areas deserving further identified well before any
procedures compliance, investigation. Coupled with incident occurs. Preventive
etc. effective problem/error actions are implemented,
control, it enables to direct such as users and support
support resources more staff education, feedback
effectively, and make them on testing, documentation, 1 2
focus on business and training. Continuous
impacting incidents. Focus process improvement.
on % of incidents covered Focus on % of incidents
by problems covered by submitted RFCs

Organizational Minimal reporting; needs Detailed reports created, Detailed reports created Trend and detailed reports Trend and service level
Communication not analyzed. but requires a great deal of with reporting system. created with reporting reports provided to both IT
staff time to produce them. Includes quantity and systems. Reports sent to staff and business users.
Includes quantity of effect of problems. end users and responsible Actions defined on
problems. No formal Distributed mainly to IT IT staff. Emphasis on #, %, breached service levels.
analysis times defined. staff. Emphasis on #, %, impact of incidents Emphasis on #, %, impact
impact of incidents covered by known errors. of incidents covered by
1 2
covered by problems. problems, known errors
and RFCs submitted to
Change Management.

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 Problem Management
Completing Major No problem review on Some review meetings Review meetings held Review meetings held Review meetings held
Incident Reviews completion of the held, but with unclear upon resolution of major upon resolution of major upon resolution of major
resolution of major objectives, vague attendee incidents. Attendees are incidents. All involved incidents. All involved
problems. list, and little expected mostly IT staff; objectives parties, both IT and parties, both IT and
outputs. are to review what was business users, are notified business users, are notified
done right and what was in advance, and attend the in advance, and attend the
done wrong, and improve meeting. Objectives are to meeting. Objectives are to
the process as well as assess what could be done identify improvements, and
prevent future incidents better next time, and how. to prevent the problem
Output is documented. from happening again.
Output is documented and 1 3
regularly reviewed to
ensure continuous service
improvement

Average Rating 1.0 2.2

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Management Ineffective or no links. Some difficulties in getting Regular information Problem & Incident Highly automated linkage
good information on exchange from reports or Management interchange between Problem and
Incident Management for person assigned to happens consistently; Incident Management
Problem Management incidents. Participate in some automation to realize ensures information
purposes; inconsistent flow Incident Management efficiencies. Incident exchange consistency and
between the processes and process. Incident data used Management data used to efficiencies. Efficient root
a separate incident in determining problem resolve problems. cause and trend analysis.
system. root cause and known error Participation and influence
resolution. on Incident Management 1 2
system.

Change Management Ineffective or no links Some change records Change record usually Change record always Integrated, automated
created as a result of created when required by created when required by access to changes relating
Problem Management. Problem Management. Problem Management. to the problem being
Problem and change Problem and change handled. Participation in
record numbers may cross record numbers always change analysis and other
reference each other. cross reference each other. aspects of system where
Some automation to realize appropriate.
efficiencies, e.g. access to
change management
database. Participate in
1 3
change analysis where
appropriate.

Configuration No way to track recent Recent problems do have Incident and problem Problem records are held Integrated, automated
Management problems via the CMDB. some associated records are linked with on the same CMDB as the access to configuration
Information can not be configuration data, but not related configuration data Incident, Known Errors and data relating to the
used for Problem linked to the CMDB. without the need to re-key Change records to problem being handled.
Management purposes. Difficult to get that the information. facilitate track back and Efficient interrogation and
information if required, e.g. ease interrogation and reporting. Reports 1 2
to track back a particular reporting. regularly reviewed to
change. improve service.

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Availability No clear linkage. Occasional interface. Some Some availability Considerable availability When availability
Management availability problems are thresholds have been thresholds have been thresholds are exceeded,
opened when customers defined and problems are defined with business problems are opened
complain. usually opened when the users and problems are automatically, triggering
thresholds are exceeded. automatically opened for trend analysis when
some of the exceptions. relevant and remedial
Trends are mostly action. 2 3
identified, and remedial
action taken.

Service Level Ineffective link between Some difficulties in getting Regular information Service Level Management Highly automated linkage
Management Service Level Management good information on the exchange. Support teams and Problem Management between Service Level
and Problem Management. Problem Management are aware of some of the interchange happens Management and Problem
No Problem Management process for SLAs, e.g. agreed resolution consistently; some Management ensures
process, including root resolution times, root timeframes for most types automation to realize information exchange
cause details, documented cause, additions to Known of incidents and problems. efficiencies. Details of the consistency and
for SLAs purpose. Error Database, etc. Some escalation paths Problem Management efficiencies. SLAs updated
defined. process are mostly as a result of Problem
documented in the SLAs, Management, and problem
so that support teams and procedures regularly
users are well aware of the reviewed and improved to
problem prioritization and meet SLAs. Problem
the corresponding agreed priorities and escalation
resolution timeframes. procedures regularly 1 2
Escalation procedures reviewed and maintained.
agreed and documented.

Average Rating 1.2 2.4

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Comments / Evidence

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Problem Management

Comments / Evidence

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Problem Management

Comments / Evidence

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Problem Management

Comments / Evidence

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Problem Management

Comments / Evidence

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Problem Management

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Problem Management

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Problem Management

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Comments / Evidence

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Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission No agreement or General understanding of Mission defined and Mission is defined, Mission is defined,
understanding of the mission, but not fully understood by most. It is understood and agreed to understood and promoted
Change Management understood or endorsed. seen as the means to by all. It relates primarily to by all. Mission consistent
mission. Most bypass the Change Management seen ensuring ongoing service ensuring stable services with overall IT mission and
understood practices. by some as a deterrent to quality balanced with the balanced with a need to use of IT by the business
productivity. need to update services ensure ongoing, productive Change Management
and resources. It has been and effective changes to mission is in line with
created by IT. resources and services. availability goals, user and
The mission relates business requirements. It
primarily to IT issues, has been created together
although customers of the with the customers of the 1 3
process have been process. Decisions are
involved in defining the made based on the
mission. mission.

Objectives No agreement or General understanding of Objectives defined and Objectives defined, Objectives defined,
understanding of Change the objectives, but not fully understood by IT providers; understood and agreed to understood and
Management objectives. understood or endorsed by not all are measurable. by all in IT. All measurable. championed by all,
Some see the objective to customers. In particular, Objectives relate to Objectives relate to including users. Objectives
be primarily a means to the type of changes ensuring changes can be providing a system that aligned with IT and
prevent changes, others a included in the process are introduced and risks allows all changes to business objectives;
means to ensuring unclear and not agreed managed. Aggressive, but happen when required, and documented, used and
changes are planned and upon by all. Objectives not realistic objectives. as well to creating no measured for
scheduled. aggressive. outages. Specific, improvements. The
aggressive; but realistic objective is to have a
objectives; some are time single process oriented to
based. the needs of change
suppliers, planners and
implementers. Service
level quality is paramount,
so is meeting the needs of 1 3
the users. Satisfaction with
the process is measured.
Specific, aggressive, but
realistic objectives; all are
time based

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Process Measurement No measurements. Measurements not related Measurements related to Measurements related to Measurements related to
to Change Management Change Management objectives, regularly process objectives,
objectives. objectives, but not reviewed, but not all in line regularly reviewed, and in
regularly reviewed. Focus with business line with business
is effectiveness. measurements. Focus is objectives.
efficiency.

1 3

Control Scope No control over the The Change Management The Change Management The Change Management Any change happening in
managed environment. process governs some process governs most of process governs most the managed environment
mission critical systems the mission critical systems; the list is defined (including Live, Test, DR
(hardware, software, systems; IT define the list, by IT and the business. environments) is subject to
network). together with some Systems are prioritized. the Change Management
business units. process. Systems are
prioritized with the
business, and the list is 1 3
regularly reviewed and
updated.

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Process Improvement A few efforts have been The process is improved if Routine and scheduled Routine and scheduled All activities analyzed and
made to improve the there are very evident work has been optimized. work has been optimized, optimized continually,
process. problems. and most other activities including interfaces to and
are analyzed and from other processes.
optimized regularly. 1 3

Average Rating 1.0 3.0

Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process. 1 3

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers 1 2

Average Rating 1.0 2.5

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Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership No known owner. Ownership assigned, but Ownership clear, but Single Change Manager Single Change Manager
either spread out (diluted) effectiveness is unknown who reacts well to resolve drives the process and
or not known by (and possibly not change process issues. interacts with users (for
participants in change evaluated). example, collecting user
process. requirements); continuous 1 3
improvement cycle.

Roles and No accountability - Some organizational Clearly assigned roles, All key change People assigned to Change
Responsibilities everyone seems to get awareness of who the identified to all affected management roles are Management roles are
involved. "change people" are. areas of the organization. handled by people with accountable; a "focal
Vague tie between actual Some user involvement in that assignment; users not point" person
roles and mission and role change tasks. burdened with change (coordinator/tracker)
descriptions; role Responsibilities generally tasks; role descriptions ensures the flow of day-to-
descriptions are possibly tie to mission and role provide the right blend of day activities. Role
not available. Few descriptions. General direction and flexibility. descriptions are used
meaningful measurements. qualitative measurements. Specific qualitative effectively to ensure an
measurements. optimal tie between
mission and people's tasks 1 2
and accomplishments.
Specific quantitative
measurements.

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Skills Experienced technical skills General operational skills, Mix of senior and entry Viewed as major High degree of automation
required throughout due to and some process skills personnel. Operational, requirement, and thus has operational people
lack of procedures and (e.g. scheduling). Skill product and application process, product, focusing on key,
formality. Few process needs are not regularly skills. Skill needs are application and design challenging tasks (avoiding
skills. assessed. reviewed annually, but skills are available. Skills repetitive, mundane
little follow-up to ensure are regularly assessed and change activities.) Skills
updates occur. education implemented to reflect the need for
fill gaps. advanced standards and
techniques to implement
changes across a
distributed and
heterogeneous
environment. A good
mixture of product,
process, design and
business skills. Skill 1 2
assessment and updating
is a part of personnel
evaluation criteria.

Average Rating 1.0 2.3

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Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope No or only a basic paper One or two process steps Majority of processes Majority of process, All process steps
based change log. addressed by tools. addressed by tools. including scheduling, addressed by tools.
1 2
addressed by tools.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing; likely skilled technical and senior tools easy to use, effectively used by those effectively by those with
implementation problems staff. advanced usage requires with low technical skill low technical skill levels. 1 2
or tool incompatibilities. high skill level. levels.

Automation None. Online tools used to Some evidence of Most data fields are Change lead times
document and exchange automated enforcement of automatically monitored or enforced automatically.
deployment information. change data quality. entered. High efficiency in
scheduling due to change
conflict management. 1 2

Integration No integration. Integration among tools Some change Effective and broad Change Management
limited to common user implementation tools work integration afforded by a products share data and
interface. Few applications across platforms. Many small number of entry and cooperate together to
enabled for implement applications enabled for planning functions. Little to achieve management
change tools. automated software no customization is tasks. All functional
distribution and required. components enabled to
installation, but they may interface with automated 1 2
require extra manual distribution and
customization. installation.

Openness No tools used for Change Change Management tools Some of the tools Majority of tools adaptable Tools adaptable to wide
Management. only apply to some of the adaptable to several to installed technology and variety of possible
technology. environments, or work with desired standard technology selections.
defined standard interfaces. 1 2
interfaces.

Average Rating 1.0 2.0

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Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Accept & Classify Much confusion over the Clear entry point(s), but Good enforcement of Clear entry point(s); Change entry is automated
Changes change entry process, or authorization process required information. authorization works and process rules enforced
there are multiple (possibly unclear and known to be Tools/database used (evidence of some "rejects" as a result - lead times,
changing) entry points. IT frequently bypassed. effectively. "Informal" or requests that need to be process path, authorization
gets involved late in the Required information is not authorization process, resubmitted due to requirements, etc. are
cycle - no notion of known by all. possibly with some "rubber insufficient information). always correct and based
authorization to request stamping". Some RFCs are Change Manager confirms upon predefined Change
changes. rejected early on if data is all priorities and Models. Emergency RFCs
missing, or there are categories. RFCs are are always justified and
obvious conflicts. Many always sent to the correct handled correctly.
1 3
RFCs are classified as areas for assessment.
Emergency and allowed Some Emergency RFCs are
through the process. due to poor planning.

Review Changes via Much confusion over the Uneven enforcing of Evaluation regularly Clear criteria; good High quality requests
Change Advisory Board change evaluation criteria: criteria and required includes risk assessment. balance struck between based on criteria that
(CAB) / Emergency not agreed/communicated information; process Lead times defined for all process standardization adapt to practical usage;
Committee (EC) with the change process known to be frequently changes, but not enforced. (automation) and meeting organization feels positive
participants, and possibly bypassed. Little or Change types are defined, varied departmental about using the change
changing depending on the ineffective risk but do not include all needs. Risk assessments management process;
assessors. There is no CAB. assessment. Lead times changes. CAB / EC always performed. Lead feedback loop in place. All
defined for major changes. sometimes limited to those times required for all change types accepted
Regular CAB meetings with affected by the change. changes are enforced. and controlled. CAB / EC
a large group of people. RFCs sent out Change types defined for frequently consider RFCs
electronically for CAB all changes. Membership of electronically without the
preview. CAB / EC always varies, need for physical
depending on the RFCs meetings. Relevant 2 3
being reviewed. Business business areas always
areas may be represented involved in CAB / EC
on CAB. decisions.

Authorize & Schedule Unauthorized RFCs are Some RFCs are Authorization and Some automation for High level of automation
Changes often implemented and implemented without being scheduling is done authorization though for authorization and
there is no Forward authorized and the manually, though a diary Forward Schedule scheduling. Forward
Schedule of Changes. Forward Schedule may be system may be used to production is manual and Schedule available online
paper, a simple display the Forward can be 2 or 3 days behind for all to view and is always
spreadsheet, or only Schedule. Schedule reality. Forward Schedule correct.
contain major outage contains all major planned is online, visible to most IT
1 3
information. changes and most of the departments and contains
medium impact ones. all changes.

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Manage and Coordinate Change validation Basic activities identified. Change activities and Change activities well Process contributes to a
Change Implementation activities are not Little focus on prerequisites defined. planned and are based on defect-free deployment
determined in detail, or are prerequisites, or detailed Ensures contingency and change deployment process. Change
handled by other change activities. Limited back-out requirements are models for most changes. prerequisites, contingency,
organizations. There is consideration given to defined for major changes. Contingency and back-out and back-out requirements
little or no documentation. deployment schedule. Deployment schedule requirements defined and are determined before a
Usually not clear who is Some testing is done. usually taken into account. tested for most changes. change can be
assigned. Little/no Backout procedures or Pre-production testing is Testing requirements implemented. Highly
allowance for testing and criteria are sometimes required as part of the defined for most change efficient process
back-out procedures. defined, but are not tested validation activities. types. encompasses software
Manual process. and sometimes ineffective changes, hardware 1 2
if they must be used. changes, microcode, etc.
Continuous improvement
in place.

Monitor and Report Some or all of this activity Major changes usually Change process is Change process is Change results are always
is slow, manual and/or have documented results, monitored and is effective monitored and is effective documented, follow
problematic. Change but the information is not for major changes. The for all changes. Change consistent codes to
results are not readily available and not information provided is results are documented indicate the results, and
documented. analyzed. Back-out of inconsistent, and not consistently and analyzed are continually used to
unsuccessful changes is analyzed on a regular when required; the improve the process. Post
difficult and not basis. A post information is sometimes implementation reviews
coordinated. Post implementation review is used to improve the are also held for major
implementation reviews typically held after a major process or procedures. changes which were
are not held for failed problem with change Post implementation successful to learn positive
changes. implementation. reviews are always held for lessons and feed them 1 3
failed or partially back to the process.
successful changes. Reports always sent to
Reports may be sent to relevant business areas.
business areas.

Review and Close RFCs Everyone is in the dark Occasional "internal IT" Consistent measurements Measurements and reports Trend analysis performed
regarding the status of measurements and reports and reports cover are available to all; users with reported data;
changes. of Change Management effectiveness and and operations personnel changes that cause
process' effectiveness. efficiency; operations always notified of test and incidents are reviewed and
personnel and users production status. Changes action is taken to prevent
usually notified of key test are always closed on time future occurrences.
and production system and review information is Changes are always closed
changes. Most changes are often fed back to improve on time and review
closed eventually, but may the process. information is always fed 1 2
be open for a week or two back to improve the
after the change. process.

Average Rating 1.2 2.7

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Management Ineffective link between Some difficulties in getting Service Desk is made Service Desk is informed of Highly automated linkage
Service Desk and Change good information on aware of the key changes most of the changes, and between Service Desk and
Management- no Change Management for to come, so that they can is being trained on e.g. Change Management
communication between user support purposes; answer user queries functionality changes when ensures information
the two. inconsistent flow between following change appropriate; to optimize exchange consistency and
the processes implementation as user support following efficiencies. Service Desk
required. change implementation. knows of all coming
Some automation to realize changes, and is trained to
efficiencies. answer user queries that
may arise following change
2 3
implementation. Able to
link a user query to a
particular change.

Problem Management Ineffective or no links Some change records Change record usually Change record always Integrated, automated
created as a result of created when required by created when required by access to changes relating
Problem Management. Problem Management. Problem Management. to the problem being
Problem and change Problem and change handled. Participation in
record numbers may cross record numbers always change analysis and other
reference each other. cross reference each other. aspects of system where
Some automation to realize appropriate.
efficiencies, e.g. access to
change management
database. Participate in
1 2
change analysis where
appropriate.

Release Management Ineffective link between Some difficulties in getting Regular information Release Management and Highly automated linkage
Release Management and good information on exchange between Release Change Management between processes
Change Management. Release Management for Management and Change interchange happens ensures information
Change Management Management. Release consistently; some exchange is consistent and
purposes; inconsistent flow Management data used to automation to realize effective. Release
between the processes. ease change entry process. efficiencies. Release Management data updated
Management data used to as a result of Change
manage changes, e.g. plan Management. Release
changes and validate Management used to
resource status. automatically recognize
1 2
and reject attempted
changes that were not
authorized.

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Configuration Ineffective link between Some difficulties in getting Regular information Configuration Management Highly automated linkage
Management Configuration Management good information on exchange between and Change Management between processes
and Change Management. Configuration Management Configuration Management interchange happens ensures information
for change management and Change Management. consistently; some exchange is consistent and
purposes; inconsistent flow Configuration Management automation to realize efficient. Configuration
between the processes. data used to ease change efficiencies. Configuration Management data always
entry process. Management data is key to updated as a result of
managing changes, e.g. Change Management.
plan changes, determine Configuration Management
affected CIs, and validate used to automatically
resource status. recognize and reject
attempted changes that 1 2
were not authorized.

Capacity Management No interface. May consider Capacity Usually consider capacity Always consider capacity Always consider capacity
Management for major implications of RFCs; may implications of RFCs. Good implications of RFCs. Good
hardware upgrades. be difficult to identify interchange of capacity interchange of information
impacted areas. information means that means that all potential
most potential issues are issues are detected early
detected early. and affected RFCs are
rejected or deferred.
1 2
Businesses areas are
involved in decisions.

Service Level Ineffective link between Some difficulties in getting Regular information Service Level Management Highly automated linkage
Management Service Level Management good information on the exchange. Users know the and Change Management between Service Level
and Change Management. change process for SLA procedure for requesting interchange happens Management and Change
No change process details purposes, e.g. project changes and are aware of consistently; some Management ensures
documented for SLA target times are unclear. some of the agreed automation to realize information exchange
purposes. timeframes for each step. efficiencies. Details of the consistency and
Impact of RFC on SLA may change process are mostly efficiencies. Constant
be considered. documented in the SLAs, feedback loop between
so that users know Change Service Level Management
Management timeframes and Change Management.
depending on size, scope, SLAs updated as a result of
impact of the change, etc. Change Management.
Impact of RFC on SLAs Change Practices regularly 1 2
usually considered. reviewed and improved to
meet SLAs.

Average Rating 1.2 2.2

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Comments / Evidence
1 - Talleres.
2 - Entrenamiento Formal
(Jefes y Coordinadores Clave).
3 - Formalizar a través de
política.

0 - Definir Objetivos
1 - Talleres.
2 - Entrenamiento Formal
(Jefes y Coordinadores Clave).
3 - Formalizar a través de
política.

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0.- Nueva cola en el RT
1.- RFCs solicitados.
2.- Porcentaje de RFCs
aceptados y aprobados.
3.- Número de cambios
realizados clasificados por
impacto y prioridad y filtrados
temporalmente.
4.- Número de cambios de
emergencia realizados.
5.- Porcentaje de cambios
exitosos en primera instancia,
segunda instancia, etc.
6.- Numero de back-outs con
una detallada explicación de los
mismos.
7.- Evaluaciones post-
implementación.
8.- Porcentajes de cambios
cerrados sin incidencias
ulteriores.
9.- Incidencias asociadas a
cambios realizados.
10.- Número de reuniones del
CAB con información estadística
asociada: número de asistentes,
duración, nº de cambios
aprobados por reunión, etc.0

1.- Generar listado de servicios

que seran controlados.

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1.- Revisiones semestrales del
proceso.

Comments / Evidence
0.- Revisiones Post
Implementación
1.- Diseñar encuestas de calidad
2.- Implementar encuestas.

1 - Talleres.
2 - Entrenamiento Formal
(Jefes y Coordinadores Clave).

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Comments / Evidence
1.- Formalizar nombramiento del
Gerente de Cambios

1.- Conformación del Comité

Consejero de Cambio
2.- Conformación de Comité de
Emergencias.
3.- Definición de Roles y
Funciones

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1 - Talleres.
2 - Entrenamiento Formal
(Jefes y Coordinadores Clave).

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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 Release Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission No agreement or General understanding of Mission defined and Mission is defined, Mission is defined,
understanding of the mission, but not fully understood by most, but understood and agreed to understood and promoted
Release Management understood or endorsed. not documented. It is seen by all. It relates primarily to by all. Mission consistent
mission. Most bypass the Release Management seen as the means to ensuring ensuring stable services with overall IT mission and
understood practices. by some as a deterrent to implementation of required balanced with a need to use of IT by the business.
productivity. and quality changes. It has ensure ongoing, productive Release Management
been created by IT. and effective changes to mission is in line with
resources and services. availability goals, user and
The mission relates business requirements. It
primarily to IT issues, has been created together
although customers of the with the customers of the 2 3
process have been process. Decisions are
involved in defining the made based on the
mission. mission.

Objectives No agreement or General understanding of Objectives defined and Objectives defined, Objectives defined,
understanding of Release the objectives, but not fully understood by IT providers; understood and agreed to understood and
Management objectives. understood or endorsed by not all are measurable. by all in IT. All are championed by all,
Some see the objective to customers. In particular, Objectives relate to measurable. Objectives including users. Objectives
be primarily a means to lead times and scope of ensuring releases can be relate to providing aligned with IT and
limit changes brought into releases are not agreed installed and distributed. coordination between business objectives;
the production upon. Aggressive, but realistic Configuration and Change documented, used and
environment. objectives. management systems that measured for
allows the introduction of improvements. The
all releases to be objective is to fully
controlled. Specific, integrate with the
aggressive, but realistic Configuration and Change
objectives; some are time Management functions,
based. and oriented to the needs
of suppliers, planners and
implementers. Service
level quality is paramount,
as well as meeting the
1 3
needs of the users.
Satisfaction with the
process is measured.
Specific, aggressive, but
realistic objectives, all are
time based.

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Process Measurement No measurements. Measurements not related Measurements related to Measurements related to Measurements related to
to Release Management Release Management objectives, regularly process objectives,
objectives. objectives, but not reviewed, but not all in line regularly reviewed, and in
regularly reviewed. Focus with business line with business
is effectiveness. measurements. Focus is objectives. 1 3
efficiency.

Control Scope No control over the The Release Management The Release Management The Release Management Any new release
managed environment. process governs some process governs most of process governs most happening in the managed
mission critical systems the mission critical systems across the environment is subject to
(hardware, software, systems; IT defines the list, development, test and live the Release Management
network). together with some environments; the list is process. Systems are
business units. defined by IT and the prioritized with the
business, systems are business, and the list is 1 2
prioritized. regularly reviewed and
updated.

Process Improvement A few efforts have been The process is improved if Routine and scheduled Routine and scheduled All activities analyzed and
made to improve the there are very evident work has been optimized. work has been optimized, optimized continually,
process. problems. and most other activities including interfaces to and
are analyzed and from other processes.
optimized regularly. 2 3

Average Rating 1.4 2.8

Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process. 1 3

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers 1 2

Average Rating 1.0 2.5

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Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership No known owner. Ownership assigned, but Ownership clear, but Owner reacts well to Single owner drives the
either spread out (diluted) effectiveness is unknown resolve release process process and interacts with
or not known by (and possibly not glitches. users (for example,
participants in Release evaluated). collecting user
Management. requirements); continuous 1 3
improvement cycle.

Roles and No accountability -- Some organizational Clearly assigned roles, All key Release People assigned to Release
Responsibilities everyone seems to get awareness of who the identified to all affected Management roles are Management roles are
involved. Release Management areas of the organization. handled by people with accountable; a "focal
participants are. Vague tie Responsibilities generally that assignment. Clear point" person
between actual roles and tie to mission and role definition of responsibilities (coordinator/tracker)
mission and role descriptions. between Change, ensures the flow of day-to-
descriptions. Role Responsibilities related to Configuration and Release day activities. Role
descriptions may not be Change, Release and Management, though roles descriptions are used
available. Few meaningful Configuration management may be played by same effectively to ensure an
measurements. not always people. Users not optimal tie between
clear/integrated. General burdened with release mission and people's tasks
qualitative measurements. tasks; role descriptions and accomplishments.
provide the right blend of Specific quantitative 1 2
direction and flexibility. measurements.
Specific qualitative
measurements.

Skills Experienced technical skills General operational skills Mix of senior and entry Viewed as major High degree of automation
required throughout due to and some process skills. personnel. Operational, requirement, and thus has operational people
lack of procedures and Skill needs are not product and application process, product, focusing on key,
formality. Few process regularly assessed. skills. Skill needs are application and design challenging tasks. Skills
skills. reviewed annually, but skills are available. Skills reflect the need for
little follow-up to ensure are regularly assessed and advanced standards and
updates occur. education implemented to techniques to introduce
fill gaps. releases across a
distributed environment. A
good mixture of product,
process, design and
business skills. Skill
updating is a part of 1 2
personnel evaluation
criteria.

Average Rating 1.0 2.3

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Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope Basic release log only. One or two process steps Majority of processes Majority of process, All process steps
addressed by tools. addressed by tools. including planning, addressed by tools.
1 3
addressed by tools.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing. Likely skilled technical and senior tools easy to use, effectively used by those effectively by those with
implementation problems staff. advanced usage requires with low technical skill low technical skill levels. 1 2
or tool incompatibilities. high skill level. levels.

Automation None. Online tools used to Some evidence of Unattended release tasks Unattended release tasks
document and exchange automated enforcement of possible and achieved for are the norm; high
release development and release, e.g. software most products, e.g. efficiency in network traffic
installation information. distribution and installation running tests or software (fan-out); continuous
automation. distribution and improvement. 1 2
installation.

Integration No integration. Integration among tools Some Release Effective and broad Release Management
limited to common user Management tools work integration afforded by a products share data and
interface. Few applications across platforms and small number of entry and cooperate together to
enabled for Release environments. Many planning functions. Little to achieve management tasks
Management tools. Limited applications enabled for no customization is and support a controlled
tool integration between automated tasks such as required. release introduction. All
development, test and software distribution and functional components
production environments. installation, but they may enabled to interface with
require extra manual automated distribution and 1 2
customization. installation.

Openness No tools used for Release Release Management tools Some of the tools Majority of tools adaptable Tools adaptable to wide
Management. apply to some of the adaptable to several to installed technology and variety of possible
technology only. environments or work with desired standard technology selections.
defined standard interfaces. 1 2
interfaces.

Average Rating 1.0 2.2

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 Release Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Release Planning Much confusion over the Awareness of planning Strong enforcement of Procedures and required Release planning is
release planning procedures, but known to required information; information are defined, automated and process
procedures and required be frequently bypassed. tools/database used agreed and documented. rules enforced as a result.
information, e.g. release Required information is not effectively; "informal" Agreement process in Required release contents
plan contents. known by all. Little agreement on phasing place, and focused on are documented, including
coordination with Change over time, roles and developing quality plan for external information from
or Configuration responsibilities. Good use the release. CMDB is suppliers, activities, etc.
Management to agree on is made of the always used to validate Release planning requires 1 2
exact content of each Configuration Management release content. user acceptance.
release. Database (CMDB).

Design, Build and No standard procedures to Few procedures available; Some procedures are Standard procedures Procedures are
Configure Release design, build, or configure releases are assembled available for major available for most documented and available
releases. based on individual components. Some build components; where they for all type of releases. All
knowledge more than on results get documented do not exist, they are build results are logged in
documented procedures. and logged in the CMDB. written after the first build the CMDB for future
Build instructions are Few automation scripts is done and centrally reference. Installation
rarely written for re-use. included to ensure logged. Automated routines, including one-off
accurate rollout of a installation and back out routines to convert data or
release. routines are part of the initialize database, are
build. Some quality control included. Regular quality
1 2
checks are performed for control checks take place.
major components and
results logged in the
CMDB.

Test, Sign-off and Little or no testing Minimal testing is Testing is conducted for Sufficient testing Extensive testing for all
Accept Release conducted on releases conducted, for major major releases, including conducted for most releases involving all
prior to going into the releases only, and back out testing, functional releases; staff involved relevant parties and
production environment. primarily functional testing. and installation testing. includes business and all conducted in a
Acceptance gained through Back-out not included in Staff involved includes levels of support staff. representative controlled
informal and ad-hoc the tests. Staff involved is business and IT, but Changed support environment. Test results
conversations. mainly developers. Test changed support procedures considered and documented, sign-off
environment not procedures not always tested. Test environment is obtained for each phase.
representative of the considered. Some control controlled and Any rejected release is
production environment. by Change Management representative of tracked and reported via
Acceptance is sought in over the test environment. production. Sign-off Change Management;
major releases. Overall signoff. Acceptance documented for most of failed release and
requires sign off of the testing stages. Test associated service impact 1 2
predefined criteria. results documented. reported and monitored.
Acceptance required for all Acceptance for all phases
phases. is based on predefined
criteria.

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 Release Management
Plan Roll-out Little rollout planning. Implementation date is Some rollout planning. Rollout is planned, with Careful and fully
known, but little focus on Action plan is agreed and consideration of several documented/
the implementation plan accounts for components implementation scenarios, communicated rollout
itself. Limited schedule / to be purchased / e.g. big-bang approach vs. planning contributes to a
plan consideration given, installed / phased implementation. smooth deployment
e.g. implications of decommissioned. Some Action plans are agreed process. Focus is on
different time zone for communication planning to and documented. minimizing risk of
rollout to multiple users and support staff. Communication plan is disrupting the business.
geographies. No developed and some 1 2
communication to support meetings held with
staff and users. involved staff.

Communicate, Prepare, Little to no communication Communication on Some formal Customers and support Customers and support
Train and training on the forthcoming release is communication and staff are informed of staff are informed and
forthcoming release. informal and usually training sessions for all forthcoming releases and prepared well in advance,
limited to support staff. major releases take place, their implications to them. and are actively involved in
Little consideration for involving users and Communication and the acceptance stage.
environmental support staff. Outstanding training is performed, in Rollout planning meetings
requirements when issues are documented. conjunction with periods of take place regularly with
installing new/changed parallel working; all involved parties in order
equipment. concerned staff gets to review and agree the
involved in the acceptance plans, and progress
stage. Release mechanism outstanding issues. The
is published; release plan and related
communication includes documentation are steadily
environmental, updated, and 1 3
requirements, changes to accommodate customers’
existing support contracts. feedback.
Outstanding issues are
monitored.

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Distribute and Install Some or all of this activity Releases are sometimes Some procedures for Documented procedures Documented procedures
is slow, manual and/or distributed and installed procurement, storage, are maintained for are maintained for
problematic. without interrupting the dispatch receipt and procurement, storage, procurement, storage,
business. Back out of failed disposal of major goods to dispatch receipt and dispatch receipt and
releases is difficult and not ensure successful releases. disposal of most of the disposal of all items. High
coordinated. Automation is beginning to items to ensure safe and level of automation level.
be used effectively to successful releases. High The process encompasses
distribute and install automation drives high all releases. Proof of
releases required in efficiency level; process continuous improvement.
numerous, distributed, takes sequencing and Implementation scenarios
geographically dispersed synchronization into have been developed for
locations. Release back-out account. The CMDB is all reusable release types
procedures are distributed updated following to ensure high success
and effective with major installation or disposal of level. An installation
releases. Release Configuration Items (CIs). customer satisfaction 2 3
installation is monitored, Release distribution and survey is used to provide
and customers confirm installation is monitored, formal feedback.
successful installation. and customers are given a
checklist of tests to
perform.

Average Rating 1.2 2.3

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Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Management Ineffective link between Some difficulties in getting Service Desk is made Service Desk is informed of Highly automated linkage
Service Desk and Release good information on aware of the major most of the releases, and is between Service Desk and
Management - no Release Management for releases to come, so that being trained on new Release Management
communication between user support purposes; they can answer user functionality when ensures information
the two. inconsistent flow between queries following release appropriate to optimize exchange consistency and
the processes. installation as required. user support following efficiencies. Service Desk
release implementation. knows of all coming
Some automation to realize releases, and is trained to
efficiencies. answer user queries that
may arise following
1 3
implementation. Able to
link a user query to a
particular release.

Change Management Ineffective link between Some difficulties in getting Regular information Release Management and Highly automated linkage
Release Management and good information from exchange between Release Change Management between Release
Change Management. Change Management for Management and Change interchange happens Management and Change
Release Management Management. Change consistently; some Management ensures
purposes; inconsistent flow Management data used to automation to realize information exchange
between the processes. ease release introduction efficiencies. Change consistency and
process. Management data used for efficiencies. Change
Release Management, e.g. Management data updated
distribution and as a result of Release
installation. Management. Change
Management used to
automatically recognize 1 3
releases introduced, but
that were not controlled/
authorized.

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Configuration Ineffective link between Some difficulties in getting Regular information Configuration Management Highly automated linkage
Management Configuration Management good information on exchange between and Release Management between Configuration
and Release Management. Configuration Management Configuration Management interchange happens Management and Change
for Release Management and Change Management. consistently; some Management ensures
purposes; inconsistent flow Configuration Management automation to realize information exchange
between the processes. data referred to throughout efficiencies. Configuration consistency and
the Release Management Management data referred efficiencies. Configuration
process. to and updated throughout Management data
the Release Management automatically updated
process. throughout the Release
Management process.
Configuration Management
used to automatically
recognize releases made, 1 2
but that were not
controlled/authorized.

Service Level Ineffective link between Some difficulties in getting Regular information Highly automated linkage Highly automated linkage
Management Service Level and Release good information on the exchange. Users know the between Service Desk and between Service Level
Management. No change release process for SLA procedure for requesting Release Management Management and Release
process details purposes, e.g. project new releases and are ensures information Management ensures
documented for SLA target times are unclear. aware of some of the exchange consistency and information exchange
purposes. agreed timeframes for efficiencies. Service Desk consistency and
each step. knows of all coming efficiencies. Constant
releases, and is trained to feedback loop between
answer user queries that Service Level Management
may arise following and Release Management.
implementation. Able to SLAs updated as a result of
link a user query to a Release Management.
particular release. Release Management 1 2
policies and procedures
regularly reviewed and
improved to meet SLAs.

Average Rating 1.0 2.5

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Comments / Evidence

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Release Management

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Comments / Evidence

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Release Management

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 Configuration Management
Governance 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Mission The Configuration General awareness of the Mission defined and Mission defined and Mission defined and
Management mission has mission, but it is not fully understood by most. It understood by all. It has understood by all. It has
not been discussed or understood or endorsed by reflects focus on IT been created with user been created together with
documented. Not all all. Some feel it relates priorities. It includes the input and reflects a the users and reflects a
involved personnel simply to “having an up-to- need to have a complete, customer perspective. It business focus. It includes
understand the mission. date inventory of the accurate database of includes the need for on- the need to use all
installed systems and resources and connections going planning, modeling, available resources in an
networks”, or “managing to support the other and effective use of the efficient manner, and the
the lifecycle of an asset”. service management latest technology in need to support the
processes. creating and maintaining business objectives. The
the Configuration mission defines who the
Management Database customers are, what the
(CMDB). It is consistent process will and will not do,
with rest of IT and and defines key mission 1 2
enterprise mission and standards. It is consistent
objectives. with IT and the enterprise’s
mission and objectives.

Objectives No agreement or General awareness of the Objectives defined and Objectives defined and Objectives defined and
understanding of the objectives, but they are not understood by most. They understood by all. Not understood by all.
objectives. fully understood or are documented, but not completely consistent with Consistent with IT and
endorsed. Not all are measurable. They IT objectives. All are enterprise mission and
documented. Not all are reflect a function focus and measurable. They reflect objectives. All are
measurable. the need for accurate usage of automation, measurable. They include
configuration of current ability to recognize aspects relating to
resources. changes to configurations, contribution to the
and reduction of business, such as reducing
redundancy of IT administration costs.
configuration data across Close relationships with the
the enterprise. many processes supported
by configuration data are 2 3
included in the objectives.

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 Configuration Management
Process Measurement No measurements. Measurements not related Measurements related to Measurements related to Measurements related to
to objectives. objectives, but not objectives, regularly process objectives,
reviewed regularly. reviewed, but not all in line regularly reviewed, and in
with IT measurements. line with business
objectives and agreed 1 3
SLAs.

Control Scope No control over the The Configuration The Configuration The Configuration Any CIs in the managed
existing CIs. Critical Management process Management process Management process environment are subject to
services and their controls some mission governs most of the governs most components; the Configuration
components have not been critical components. Data mission critical high level of details Management process.
identified. not recorded consistently. components; low level recorded throughout. Maximum control with 2 3
details recorded. minimum records.

Process Improvement A few efforts have been The process is improved if Routine and scheduled Routine and scheduled All activities analyzed and
made to improve the there are very evident work has been optimized. work has been optimized, optimized continually,
process. problems. and most other activities including interfaces to and
are analyzed and from other processes.
optimized regularly. 1 3

Average Rating 1.4 2.8

Element Maturity Level Work Session

Service Culture 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Understanding Not measured or known. Measured in the past. Measured regularly. Measured regularly, Measured regularly,
Customer Satisfaction typically meets good level typically exceeds target,
of satisfaction. and satisfaction level is
one key success criteria for
measuring the process. 1 2

IT Focus "We are IT experts". There Team and product Customer satisfaction The IT Organization The IT Organization
is a little interaction or orientation. Customer provides help and advice enables the business
understanding of providing awareness and promotion to the business
"services" to the business. towards customers 1 2

Average Rating 1.0 2.0

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 Configuration Management

Element Maturity Level Work Session

People 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Ownership No known owner. Multiple owners identified. Single owner identified, Single owner identified, Owner identified and
Do not understand feels responsible for the some improvements made, actively promotes
ownership role, unsure of area. others planned for the continuous improvement of
authority. Overlap and future. Seen as focal point the process, known
uneven coverage of CI by all relating to the throughout organization as
information. If one owner is process. focal point of all issues
identified, no significant relating to the process.
2 3
improvement actions have
occurred.

Roles and No roles or responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
Responsibilities defined. have been discussed, but have been agreed to, but have been agreed to and have been agreed to and
not agreed to by all are not fully documented, documented, authorities documented, authorities
parties. Vague tie between nor are authorities understood, but not kept understood, kept current,
actual roles, and mission established. current, role descriptions and all feel empowered to
and role descriptions. Role Responsibilities generally provide the right blend of fulfill responsibilities. Cross
description may not be tie to the mission and role direction and flexibility. reporting boundaries
available. Few meaningful descriptions. General Specific qualitative (matrix) role descriptions
measurements. qualitative measurements. measurements. are used effectively to
ensure an optimal tie
between mission and
people’s tasks and 1 3
accomplishments. Specific
quantitative
measurements.

Skills Few Configuration Wide variety of skills, few Skills needs are known and Requirements have been Skills sufficient and
Management skills in the actions taken to assess inventory regularly analyzed, and education augmented by automation
organization. needs. Primarily product assessed. Few education planned to fill the gaps. to allow effective
based skills. plans in place to improve Primarily product, system, Configuration Management
skill levels. Primarily and modeling skills. and support of other
product and system processes. Current and
oriented skills. Do not have future skill assessment and
skills for all the distributed requirements regularly
technology. identified, gaps analyzed,
and education planned to
meet needs. Product 1 2
system, modeling, project
and design skills.

Average Rating 1.3 2.7

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 Configuration Management

Element Maturity Level Work Session

Technology 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Scope Basic editor tool used to Basic configuration Configuration capturing Majority of process steps, All process steps
store data. repository tools used. tools, modeling tool, tools including reporting, addressed by tools.
Multiple CMDBs. to analyze the addressed by tools. Automated interfaces to
configuration data, and supporting and supported
configuration models processes. 1 2
available. One CMDB.

Usability Viewed as unusable or Usable only by most highly Basic functions of most Most tools can be All tools can be used
highly confusing; likely skilled technical and senior tools easy to use, effectively used by those effectively by those with
implementation problems staff. advanced usage requires with low technical skill low technical skill levels. 2 3
or tool incompatibilities. high skill level. levels.

Automation None. Configuration data Configuration data Configuration data Configuration data,
captured, displayed in non- including connections and captured and maintained including connections and
integrated views. status automatically in database for support of usage captured
captured. other processes automatically. Exceptions
automatically. Other steps noted automatically to
automated. manage problems and 1 2
other processes.

Integration No integration. Integration among tools Integration among tools Some management tasks Products share data and
limited to common user also involves common which require several cooperate together to
interface. Few applications management focal points, products can be invoked achieve management tasks
enabled for management but there is no data or from a single operational transparent to operators
by configuration tools. functional integration. activity. Many applications and users. All applications
Many applications enabled managed by configuration managed by configuration
for Configuration tools; little to no tool(s) that integrate
Management tools, but customization is required. across platforms where 1 2
may require extra desired.
customization.

Openness No tools used for Proprietary - tools apply to Some of the tools Majority of tools adaptable Tools adaptable to wide
Configuration specific environments only. adaptable to several to installed technology and variety of possible
Management. environments, or work with desired standard technology selections.
defined standard interfaces. 1 2
interfaces.

Average Rating 1.2 2.2

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 Configuration Management
Element Maturity Level Work Session
Process Execution 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Planning No awareness and no Configuration Management There is a yearly The Configuration The Configuration
outlook of the need for is performed on an ad-hoc Configuration Management Management plan covers Management plan covers
Configuration basis. Little planning or plan in place; it has a the next three to six the next three to six
Management. No plans or strategy in place; some limited scope. months in detail, including months in detail, including
strategy in place; no procedures defined. Configuration requirements strategy, scope, key strategy, scope, process,
immediate intention of are designed to capture success factors, process, policies, procedures, roles
defining them. basic operational system policies, procedures, roles and responsibilities. It is
status and connections. and responsibilities. regularly reviewed.
The plan also accounts for Configuration requirements Configuration requirements
some tools to support the are designed to support are designed to support
process. Retention and multiple processes, the needs of the business
archiving periods are not including Change and and are integrated with the
defined for all components. Problem Management. overall asset management
CMDB and other tools are process requirements.
in plan to support Clear relationships with
Configuration other service management
Management. Retention processes are defined and
and archiving periods supported by appropriate
defined for most tools. Retention and
components. archiving period defined 1 2
for all components, and in
line with business needs/
regulation..

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 Configuration Management
Identification No labeling/identification of Configurations manually Configuration captured for Configuration Integration of configuration
CIs; only first time captured for most of the all CIs, but not maintained automatically captured for data including all
installation configuration is systems. Connections not in real time. Some data all CIs. Real time data only components and
performed. captured; ownership must be manually entered. available for some of the connections in a central
remains vague. CI CI ownership only defined components. Manually data store. Changes are
identification details are for major systems and entered data reduced to captured real time and
inconsistent, and some networks. Attributes to be minimum due to interfaces sent to the database
redundancy occurs due to recorded are mostly with supporting processes. automatically. Data is
the unclear level of defined; some naming Attributes to be recorded integrated with supporting
granularity required. conventions in place. Major are defined and include processes, e.g. Change,
connections recorded. ownership. Naming Problem, Incident, to
Level of granularity conventions are defined. eliminate manual data
recorded is in the medium All connections are gathering. Attributes to be
range. captured. The CI level to be recorded are dictated by
recorded is chosen to the tool. The CI level
achieve a balance between chosen depends on the 2 3
information availability, the business and service
right level of control, and requirements. The CI level
the resources and effort is reviewed on a regular
needed to support it. basis.

Control No control over Limited control over Some procedural control in The procedures are in Configuration information
configuration data. configuration data; place. CI records are place protect the integrity control is automated for all
new/updated CI items are added/updated for major of the enterprise’s data, components, e.g. the
recorded on an ad-hoc components only. Some systems and processes. CMDB is automatically
basis. Users are license management Procedural and technical updated after periodic
responsible for maintaining procedures. Major changes controls ensure that checking for the existence
configuration data related lead to CI updates. For unauthorized change is of physical items against
to their workstations. major components only, virtually impossible. the CMDB to ensure
CIs and their associated Commands available to accurate information is
records get updated when support personnel to available.
CIs are deleted / validate configurations in
decommissioned. Users are real time mode.
responsible for some data
relative to their 2 3
workstations that cannot
be gathered automatically.

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 Configuration Management
Status Accounting Manually created Hard copy documentation Configuration data Common configuration Automated access and
configuration data for available for the major available online in multiple database is implemented update of common
some of the major systems components, and some of locations and formats to with integrated data to configuration database
is available. Reports are the connections. Status suit the needs of several support most types of queries. Data is available
minimal. Needs are not reports created, but types of users. Status and users and supported in whatever format is
analyzed. require a great deal of staff trend reporting is partially processes. Data is required to support various
time to produce. automated, and is available in text format types of users. Exception
distributed mainly to IT and formats necessary to status reporting when
staff. drive generation of configuration attachment
software tables or systems. rules are broken. Reports
Status and trend reports reviewed with users and IT.
created automatically, and Exceptions are noted
reviewed with end users relative to service 1 2
and responsible IT staff. agreements. Actions
defined on breached
service levels.

Verification and Audit No in-depth reviews of CIs Basic audit and reviews Audits and reviews Audits and reviews Automated audit tools
are performed. run on major system conducted on enterprise performed on all CIs. enable regular checks to
configuration only. networks and major Audits conducted before be made. Integration of
Conducted on an ad-hoc components. Audits and after major changes audit results with Capacity,
basis. triggered by detection of are made on the Change and Problem
unauthorized CIs. environment, including Management data for in-
following recovery from a depth analysis for all
disaster situation and after components and
a “return to normal”. connections. Any
deviations are reported to
1 2
Configuration Management
for investigation and
action.

Average Rating 1.4 2.4

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 Configuration Management

Element Maturity Level Work Session

Process Interfaces 1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident Management Ineffective link . Informal notification of Incidents with major Configuration incidents, Configuration incidents,
configuration problems to components and including connections, including connections and
Incident Management . connections create automatically opened in unauthorized
incident records. Incident Management. configurations items, are
automatically captured in 1 3
Incident Management.

Change Management No or ineffective linkage. Coordination of Coordination of Coordination of Full integration of Change
configuration changes for configuration changes for configuration changes for and Configuration
central resources. centralized and most resources, including Management with respect
departmental changes. distributed system to the build and update
resources. process steps of
Configuration 1 2
Management.

Availability Availability Management Some information provided Configuration Management Configuration management Full access and tool
Management process unaware of any to and from Availability information available for allows Availability integration of Availability
configuration requirements Management. major components to Management process to Management and
or changes. support availability identify most components Configuration
objectives. for performing risk analysis Management.
and component failure
impact analysis. 1 1

Capacity Management No existing Capacity Capacity and Configuration Capacity and Configuration Capacity and Configuration Full access and tool
Management function in Management information Management information Management information integration of Capacity and
the enterprise. integrated on an informal integrated to support integrated to support Configuration Management
basis. performance objectives. performance and capacity functions.
planning objectives. 1 1

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 Configuration Management
IT Financial Ineffective link. Some difficulties in getting Regular information Financial Management and Highly automated linkage
Management good information on the exchange. Financial Configuration Management between Financial
Configuration Management Management know the interchange happens Management and
process for Financial components, but consistently; some Configuration Management
Management purposes, information sometimes not automation to realize ensures information
e.g. unauthorized CIs. detailed by business units. efficiencies. Financial exchange consistency and
Management knows the efficiencies. Financial
components utilized by Management knows the
each business unit. components utilized by
each business unit, and a 1 1
charge-back mechanism is
in place.

IT Service Continuity IT Service Continuity Some information provided Configuration Management Configuration management Full access and tool
Management process unaware of any to IT Service Continuity. information available for allows IT Service Continuity integration of IT Service
configuration requirements major components to process to identify most Continuity Management
or changes. support continuity components for performing and Configuration
objectives. risk analysis and Management.
component failure impact 1 2
analysis.

Service Level Ineffective link. No Some difficulties in getting Regular information Service Level Management Highly automated linkage
Management Configuration Management good information on exchange. Known and Configuration between Service Level
details documented for configuration items procedures for Management interchange Management and
SLAs purpose. covered by SLAs and/or recording/updating happens consistently; Configuration Management
provisions for managing configuration information. some automation to realize ensures information
unauthorized CI’s. efficiencies. Details of the exchange consistency and
service configuration and efficiencies. Constant
covered CI’s are mostly feedback loop between
documented in the SLAs, Service Level Management
so that support teams and and Configuration
users are well aware of the Management. Support
components that combine teams and users are well
together to deliver the aware of the components
service. Automation that combine together to
includes automatic deliver the service, so that
detection of governing underpinning agreements
SLAs based on affected CIs can be set up and abided 1 2
during Incident by. SLAs regularly
Management process. reviewed and maintained.

Average Rating 1.0 1.7

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Comments / Evidence

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Comments / Evidence

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Configuration Management

Comments / Evidence

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Configuration Management

Comments / Evidence

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Configuration Management

Comments / Evidence

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Configuration Management

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Configuration Management

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Configuration Management

Comments / Evidence

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Configuration Management

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 Availability Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 0 0
Service Culture X 0 0
People X 0 0
Technology X 0 0
Process Execution X 0 0
Process Interfaces X 0 0
Average Rating 0.0 0.0

Availability Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

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 Capacity Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 0 0
Service Culture X 0 0
People X 0 0
Technology X 0 0
Process Execution X 0 0
Process Interfaces X 0 0
Average Rating 0.0 0.0

Capacity Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

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 Continuity Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 0 0
Service Culture X 0 0
People X 0 0
Technology X 0 0
Process Execution X 0 0
Process Interfaces X 0 0
Average Rating 0.0 0.0

Continuity Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

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 Financial Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 0 0
Service Culture X 0 0
People X 0 0
Technology X 0 0
Process Execution X 0 0
Process Interfaces X 0 0
Average Rating 0.0 0.0

Financial Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 195 IT Service Maturity Model

 Service Level Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 0 0
Service Culture X 0 0
People X 0 0
Technology X 0 0
Process Execution X 0 0
Process Interfaces X 0 0
Average Rating 0.0 0.0

Service Level Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 196 IT Service Maturity Model

 Service Delivery Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Service Level X 0 0
Availability X 0 0
Capacity X 0 0
Continuity X 0 0
Financial X 0 0
0.0 0.0

Service Delivery

Service Level

4
Financial 2 Availability
Current
Target
0

Continuity Capacity

Page 197 IT Service Maturity Model

 Incident Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 1.2 2.8
Service Culture X 1 3
People X 2 3
Technology X 1.6 3
Process Execution X 1.666667 3
Process Interfaces X 1 2.5
Average Rating 1.4 2.9

Incident Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 198 IT Service Maturity Model

 Problem Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 1.8 3
Service Culture X 1.5 3.5
People X 1 3
Technology X 1.6 2.6
Process Execution X 1 2.166667
Process Interfaces X 1.2 2.4
Average Rating 1.3 2.8

Problem Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 199 IT Service Maturity Model

 Change Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 1 3
Service Culture X 1 2.5
People X 1 2.333333
Technology X 1 2
Process Execution X 1.166667 2.666667
Process Interfaces X 1.166667 2.166667
Average Rating 1.1 2.4

Change Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 200 IT Service Maturity Model

 Release Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 1.4 2.8
Service Culture X 1 2.5
People X 1 2.333333
Technology X 1 2.2
Process Execution X 1.166667 2.333333
Process Interfaces X 1 2.5
Average Rating 1.1 2.4

Release Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 201 IT Service Maturity Model

 Configuration Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Governance X 1.4 2.8
Service Culture X 1 2
People X 1.333333 2.666667
Technology X 1.2 2.2
Process Execution X 1.4 2.4
Process Interfaces X 1 1.714286
Average Rating 1.2 2.3

Configuration Management

Governance

Process Interfaces 4 Service Culture

2 Current
0 Target

Process Execution People

Technology

Page 202 IT Service Maturity Model

 Service Support Maturity Results
1 - Initial/Ad hoc 2 - Repeatable 3 - Defined 4 - Managed 5 - Optimized Current Target
Incident X 1.411111 2.883333
Problem X 1.35 2.777778
Change X 1.055556 2.444444
Release X 1.094444 2.444444
Configuration X 1.222222 2.296825
1.2 2.6

Service Support

Incident

4
Configuration Problem
2 Current
Target
0

Release Change

Page 203 IT Service Maturity Model