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Table of Contents
About this document..................................................................................................................................... 2 Who should use this document?............................................................................................................ 2 Summa ! of changes............................................................................................................................. 2 Cha"te 1. #ncident P ocess.......................................................................................................................... $ 1.1. P ima ! goal.................................................................................................................................... $ 1.2. P ocess %efinition&.......................................................................................................................... $ 1.'. (b)ecti*es + P o*ide a consistent " ocess to t ac, incidents that ensu es& ....................................$ 1.$. %efinitions....................................................................................................................................... $ 1.5. #ncident Sco"e................................................................................................................................ 1.-. #n"uts and (ut"uts ......................................................................................................................... 1.7. .et ics............................................................................................................................................ Cha"te 2. /oles and /es"onsibilities.......................................................................................................... 7 2.1. (S0 #S% Se *ice %es,................................................................................................................... 7 2.2. Se *ice P o*ide 1 ou"................................................................................................................... 7 Cha"te '. #ncident Catego i2ation3 Ta get Times3 P io iti2ation3 and 4scalation..........................................8 '.1. Catego i2ation................................................................................................................................. 8 '.2. P io it! %ete mination..................................................................................................................... 8 '.'. Ta get Times................................................................................................................................... 9 Cha"te $ P ocess 0lo5.............................................................................................................................. 16 $.1. #ncident .anagement P ocess 0lo5 Ste"s...................................................................................11 Cha"te 5. #ncident 4scalation.................................................................................................................... 1' 5.1. 0unctional 4scalation.................................................................................................................... 1' 5.2. 4scalation 7otifications&................................................................................................................ 1' 5.'. #ncident 4scalation P ocess&......................................................................................................... 1$ 5.$. #ncident 4scalation P ocess Ste"s&............................................................................................... 15 Cha"te -. /AC# Cha t................................................................................................................................ 1Cha"te 7. /e"o ts and .eetings............................................................................................................... 17 7.1. /e"o ts......................................................................................................................................... 17 Cha"te 8. #ncident Polic!........................................................................................................................... 18
Summary of changes
This section eco ds the histo ! of significant changes to this document. (nl! the most significant changes a e desc ibed he e.
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Version 1.6
Date
Author
Whe e significant changes a e made to this document3 the *e sion numbe 5ill be inc emented b! 1.6. Whe e changes a e made fo cla it! and eading ease onl! and no change is made to the meaning o intention of this document3 the *e sion numbe 5ill be inc eased b! 6.1.
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1. . Process Definition!
#ncident .anagement includes an! e*ent 5hich dis u"ts3 o 5hich could dis u"t3 a se *ice. This includes e*ents 5hich a e communicated di ectl! b! use s o (S0 staff th ough the Se *ice %es, o th ough an inte face f om 4*ent .anagement to #ncident .anagement tools.
1.". #b$ecti%es & Pro%ide a consistent process to trac' incidents that ensures!
#ncidents a e " o"e l! logged #ncidents a e " o"e l! outed #ncident status is accu atel! e"o ted >ueue of un esol*ed incidents is *isible and e"o ted #ncidents a e " o"e l! " io iti2ed and handled in the a"" o" iate se:uence /esolution " o*ided meets the e:ui ements of the S=A fo the custome
1.(. Definitions
1.(.1. Customer
A custome is someone 5ho bu!s goods o Se *ices. The Custome of an #T Se *ice P o*ide is the "e son utili2ing the se *ice "u chased b! the custome <s o gani2ation. The te m Custome s is also sometimes info mall! used to mean ?se s3 fo e@am"le Athis is a Custome focused ( gani2ationA.
1.(. . Impact
#m"act is dete mined b! ho5 man! "e sonnel o functions a e affected. The e a e th ee g ades of im"act& ' + =o5 B (ne o t5o "e sonnel. Se *ice is deg aded but still o"e ating 5ithin S=A s"ecifications 2 + .edium B .ulti"le "e sonnel in one "h!sical location. Se *ice is deg aded and still functional but not o"e ating 5ithin S=A s"ecifications. #t a""ea s the cause of the incident falls ac oss multi"le se *ice " o*ide g ou"s
1 + Cigh B All use s of a s"ecific se *ice. Pe sonnel f om multi"le agencies a e affected. Public facing se *ice is una*ailable The im"act of an incident 5ill be used in dete mining the " io it! fo esolution.
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1.(.". Incident
An incident is an un"lanned inte u"tion to an #T Se *ice o eduction in the >ualit! of an #T Se *ice. 0ailu e of an! #tem3 soft5a e o ha d5a e3 used in the su""o t of a s!stem that has not !et affected se *ice is also an #ncident. 0o e@am"le3 the failu e of one com"onent of a edundant high a*ailabilit! configu ation is an incident e*en though it does not inte u"t se *ice. An incident occu s 5hen the o"e ational status of a " oduction item changes f om 5o ,ing to failing o about to fail3 esulting in a condition in 5hich the item is not functioning as it 5as designed o im"lemented. The esolution fo an incident in*ol*es im"lementing a e"ai to esto e the item to its o iginal state. A design fla5 does not c eate an incident. #f the " oduct is 5o ,ing as designed3 e*en though the design is not co ect3 the co ection needs to ta,e the fo m of a se *ice e:uest to modif! the design. The se *ice e:uest ma! be e@"edited based u"on the need3 but it is still a modification3 not a e"ai .
1.(.*. Priority
P io it! is dete mined b! utili2ing a combination of the incident<s im"act and se*e it!. 0o a full e@"lanation of the dete mination of " io it! efe to the "a ag a"h titled P io it! %ete mination.
1.(.+. )esponse
Time ela"sed bet5een the time the incident is e"o ted and the time it is assigned to an indi*idual fo esolution.
1.(.,. )esolution
Se *ice is esto ed to a "oint 5he e the custome can "e fo m thei )ob. #n some cases3 this ma! onl! be a 5o , a ound solution until the oot cause of the incident is identified and co ected.
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1.(.11. Se%erity
Se*e it! is dete mined b! ho5 much the use is est icted f om "e fo ming thei 5o ,. The e a e th ee g ades of se*e it!& ' + =o5 + #ssue " e*ents the use f om "e fo ming a "o tion of thei duties. 2 + .edium + #ssue " e*ents the use f om "e fo ming c itical time sensiti*e functions 1 + Cigh + Se *ice o ma)o "o tion of a se *ice is una*ailable
The se*e it! of an incident 5ill be used in dete mining the " io it! fo esolution.
1.*.1. 23clusions
/e:uest fulfilment3 i.e.3 Se *ice /e:uests and Se *ice Catalog /e:uests a e not handled b! this " ocess. /oot cause anal!sis of o iginal cause of incident is not handled b! this " ocess. /efe to P oblem .anagement. The need fo esto ation of no mal se *ice su"e sedes the need to find the oot cause of the incident. The " ocess is conside ed com"lete once no mal se *ice is esto ed.
1o Custome .
1.,. 5etrics
.et ic
P ocess t ac,ing met ics E of incidents b! t!"e3 status3 and custome B see detail unde )eports and 5eetings Purpose To dete mine if incidents a e being " ocessed in easonable time f ame3 f e:uenc! of s"ecific t!"es of incidents3 and dete mine 5he e bottlenec,s e@ist.
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".1. Categori7ation
The goals of " o"e catego i2ation a e& #dentif! Se *ice im"acted and a"" o" iate S=A and escalation timelines #ndicate 5hat su""o t g ou"s need to be in*ol*ed P o*ide meaningful met ics on s!stem eliabilit!
0o each incident the s"ecific se *ice 8as listed in the "ublished Se *ice Catalog9 5ill be identified. #t is c itical to establish 5ith the use the s"ecific a ea of the se *ice being " o*ided. 0o e@am"le3 if it<s Peo"leSoft3 is it 0inancial3 Cuman /esou ces3 o anothe a ea? #f it<s Peo"leSoft 0inancials3 is it fo 1ene al =edge 3 Accounts Pa!able3 etc.? #dentif!ing the se *ice " o"e l! establishes the a"" o" iate Se *ice =e*el Ag eement and ele*ant Se *ice =e*el Ta gets. #n addition3 the se*e it! and im"act of the incident need to also be established. All incidents a e im"o tant to the use 3 but incidents that affect la ge g ou"s of "e sonnel o mission c itical functions need to be add essed befo e those affecting 1 o 2 "eo"le. %oes the incident cause a 5o , sto""age fo the use o do the! ha*e othe means of "e fo ming thei )ob? An e@am"le 5ould be a b o,en lin, on a 5eb "age is an incident but if the e is anothe na*igation "ath to the desi ed "age3 the incident<s se*e it! 5ould be lo5 because the use can still "e fo m the needed function. The incident ma! c eate a 5o , sto""age fo onl! one "e son but the im"act is fa g eate because it is a c itical function. An e@am"le of this scena io 5ould be the "e son " ocessing "a! oll ha*ing an issue 5hich " e*ents the "a! oll f om " ocessing. The im"act affects man! mo e "e sonnel than )ust the use .
' + =o5
#m"act
(ne o t5o "e sonnel %eg aded Se *ice =e*els but still " ocessing 5ithin S=A const aints
' + =o5
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2 + .edium
.ulti"le "e sonnel in one "h!sical location %eg aded Se *ice =e*els but not " ocessing 5ithin S=A const aints o able to "e fo m onl! minimum le*el of se *ice #t a""ea s cause of incident falls ac oss multi"le functional a eas All use s of a s"ecific se *ice Pe sonnel f om multi"le agencies a e affected Public facing se *ice is una*ailable An! item listed in the C isis /es"onse tables
2 + .edium
2 + .edium
1 + Cigh
1 + Cigh
1 + Cigh
1 + Cigh
1 + Cigh
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)ole
Step
Description #f the necessa ! info mation to esol*e the incident is not in the Ino5ledge Hase3 the incident must be immediatel! assigned to an a"" o" iate " o*ide g ou" fo fu the su""o t. The assignee 5ill then esea ch the issue to dete mine cause and emediation o"tions. Afte a "ossible esolution has been dete mined eithe f om the Ino5ledge Hase o th ough esea ch3 attem"t the esolution. Je if! 5ith the custome that the esolution 5as satisfacto ! and the custome is able to "e fo m thei 5o ,. An incident esolution does not e:ui e that the unde ling cause of the incident has been co ected. The esolution onl! needs to ma,e it "ossible fo the custome to be able to continue thei 5o ,. #f the custome is satisfied 5ith the esolution3 " oceed to closu e3 othe 5ise continue in*estigation and diagnosis. #ncident Closu e The Se *ice %es, should chec, that the incident is full! esol*ed and that the use s a e satisfied and 5illing to ag ee the incident can be closed. The Se *ice %es, should also chec, the follo5ing& Closure categori7ation. Chec, and confi m that the initial incident catego i2ation 5as co ect o 3 5he e the catego i2ation subse:uentl! tu ned out to be inco ect3 u"date the eco d so that a co ect closu e catego i2ation is eco ded fo the incident B see,ing ad*ice o guidance f om the esol*ing g ou"8s9 as necessa !. ;ser satisfaction sur%ey. Ca ! out a use satisfaction call+bac, o e+mail su *e! fo the ag eed "e centage of incidents. Incident documentation. Chase an! outstanding details and ensu e that the #ncident /eco d is full! documented so that a full histo ic eco d at a sufficient le*el of detail is com"lete. #ngoing or recurring problem? %ete mine 8in con)unction 5ith esol*e g ou"s9 5hethe it is li,el! that the incident could ecu and decide 5hethe an! " e*enti*e action is necessa ! to a*oid this. #n con)unction 5ith P oblem .anagement3 aise a P oblem /eco d in all such cases so that " e*enti*e action is initiated. 4ormal closure. 0o mall! close the #ncident /eco d.
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1 + Cigh
*. . 2scalation <otifications!
An! time a case is escalated3 notification 5ill occu to *a ious indi*iduals o g ou"s de"ending u"on the " io it! of the incident. 0ollo5ing a e basic guidelines fo notifications& The default mechanism fo notification 5ill be b! email unless othe 5ise s"ecificall! stated. Whene*e escalation o notification b! "hone is indicated3 all ,no5n numbe s fo contact should be utili2ed3 lea*ing *oice mail on each until "e son is contacted. The maste sou ce fo on call info mation 5ill be the on+call files located in the #&K0unctionK(nCall folde . Senio management notification 5ill include C#(3 CT(3 and all functional manage s. 4scalation of a case does not emo*e the assignment f om an indi*idual. #t is u" to the manage of the " o*ide g ou" to ma,e ce tain the ight "e sonnel a e assigned. When additional "e sonnel need to be in*ol*ed3 the! ma! be added as inte ested "a ties. An! time a case is escalated3 the case 5ill be u"dated to eflect the escalation and the follo5ing notifications 5ill be "e fo med b! the Se *ice %es,& Custome 5ill ecei*e a standa d escalation email info ming them of the escalation. Pe son to 5hom case is cu entl! assigned 5ill be notified. .anage of functional g ou" to 5hom case is cu entl! assigned 5ill be notified
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Acti%ity
SP6 5gr
SP6 S52?s
SP6 1eam
Ser%ice Des' /
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,.1. )eports
,.1.1. Ser%ice Interruptions
A e"o t sho5ing all incidents elated to se *ice inte u"tions 5ill be e*ie5ed 5ee,l! du ing the o"e ational meeting. The "u "ose is to disco*e ho5 se ious the incident 5as3 5hat ste"s a e being ta,en to " e*ent eoccu ence3 and if oot cause needs to be "u sued.
,.1. . 5etrics
.et ics e"o ts should gene all! be " oduced monthl! 5ith :ua te l! summa ies. .et ics to be e"o ted a e& Total numbe s of #ncidents 8as a cont ol measu e9 H ea,do5n of incidents at each stage 8e.g. logged3 5o , in " og ess3 closed etc9 Si2e of cu ent incident bac,log 7umbe and "e centage of ma)o incidents .ean ela"sed time to achie*e incident esolution o ci cum*ention3 b o,en do5n b! im"act code Pe centage of incidents handled 5ithin ag eed es"onse time as defined b! S=A<s o #S% standa ds 7umbe of incidents eo"ened and as a "e centage of the total 7umbe and "e centage of incidents inco ectl! assigned 7umbe and "e centage of incidents inco ectl! catego i2ed Pe centage of #ncidents closed b! the Se *ice %es, 5ithout efe ence to othe le*els of su""o t 8often efe ed to as ;fi st "oint of contact<9 7umbe and "e centage the of incidents " ocessed "e Se *ice %es, agent 7umbe and "e centage of incidents esol*ed emotel!3 5ithout the need fo a *isit H ea,do5n of incidents b! time of da!3 to hel" "in"oint "ea,s and ensu e matching of esou ces.
,.1.". 5eetings
The >ualit! Assu ance .anage 5ill conduct sessions 5ith each se *ice " o*ide g ou" to e*ie5 "e fo mance e"o ts. The goal of the sessions is to identif!& P ocesses that a e 5o ,ing 5ell and need to be einfo ced. Patte ns elated to incidents 5he e su""o t failed to meet ta gets /eoccu ing incidents 5he e the unde l!ing " oblem needs to be identified and esolution acti*ities a e "u sued #dentification of 5o , a ound solutions that need to be de*elo"ed until oot cause can be co ected
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