Policies and Procedure

Policies and Procedure

Metrics & Reports

Example metrics and reports linked to the requirements in ISO/IEC 20000 – 1 is given below in Table 1. This list is not intended to be comprehensive but illustrates the type of information that is generally beneficial for effective management of services. Many of the metrics and reports are partly text, and the list has not been limited to reports such as those produced by the service level management process on actual service levels and workloads.

Many metrics and reports can only be produced by the integration of processes, for example, by passing information between the PDCA cycle and a service management process (such as Incident and Problem, Capacity and IT Budgeting and Accounting). For this reason, some metrics could be shown against more than one clause in TABLE 1, but are only produced once.

Table 1

Type / Purpose
Clause 4.1 Management responsibilities
Number/percentage of staff attending communication sessions / 4.1.1 Management shall:
c) communicate the importance of fulfilling the service management objectives;
d) communicate the importance of fulfilling statutory and regulatory requirements and contractual obligations;
Staff survey results on quality of management communications
Actual vs. planned headcount and costs / e) ensuring the provision of resources;
Percentage of posts vacant, supported by reasons for unfilled posts.
Staff turnover rates
Review of management processes, especially the effectiveness role of senior responsible owner and process owners / f) conduct management reviews at planned intervals;
Number of risks assessed, managed, and mitigated / g) ensure that risks to services are assessed and managed;
Review of service management policy / 4.1.2 Top management shall ensure that the service management policy:
f) is reviewed for continuing suitability
Report on the percentage of roles and responsibilities defined, current and correct / 4.1.3 Top management shall ensure that:
a)  Service management authorities and responsibilities are defined and maintained
Appointment of management representative / 4.1.4 Top management shall appoint a member of the service provider’s management who, irrespective of other responsibilities…
Type / Purpose
Clause 4.2 Governance of processes operated by other parties
Number or percentage of processes, or parts of processes, operated by other parties / Service providers shall identify all processes, or parts of processes, which are operated by other parties.
Percentage of processes operated by other parties which are documented with correct cross-references between policy, process and procedure / The Service Provider shall demonstrate governance of processes operated by other parties by:
a)  Demonstrating accountability for the processes and authority to require adherence to the processes;
b)  Controlling the definition of the processes, and interfaces to other processes;
Number of service reports reflecting other parties performance in operating processes / c)  Determining process performance and compliance with process requirements;
Number or percentage of improvements for processes operated by other parties / d)  Controlling the planning and prioritizing of process improvement.
Type / Purpose
Clause 4.3 Documentation Management
Business/customer sign-off requirements, specifications, service level agreements and service management plan / 4.3.1 The service providers shall establish and maintain documents, including records, to ensure effective planning, operation and control of the SMS
Number or percentage of services and systems adequately documented, including user manuals, operations documents and training materials.
Cost of producing and maintaining user documentation, operational documentation and training materials.
Number of documented policies / …documents shall include…
c) documented policies and plans created for specific processes as required by this part of the ISO/IEC 20000;
Project/program management reports
Number of SLAs per customer against total number of SLAs / e)  documented SLAs;
Percentage of processes documented with correct cross-references between policy, process and procedure / f)  documented service management processes;
g)  documented procedures and records required by this part of ISO/IEC 20000;
Report on changes (approved and unapproved) to a document library, such as new, changed and deleted documents / 4.3.2 Documents required by the SMS shall be controlled
Type / Purpose
Clause 4.4 Resource Management
Report on the percentage of resources requested, planned, and provided to support service delivery / 4.4.1 The service provider shall determine and provide the human, technical, information and financial resources needed to:
a) Establish, implement and maintain the SMS and services…
Report on the percentage of resources (human, technical, information, and financial) used in continual improvement activities. / …and continually improve their effectiveness;
Report on the resource optimization for delivery of services / b)  Enhanced customer satisfaction by delivering services that fulfill service requirements.
Review results quantified as the percentage that meet requirements / 4.4.2 The service provider shall:
a) determine the necessary competence for personnel;
b) where applicable, provide training or take other actions to achieve the necessary competence;
c) evaluate the effectiveness of actions taken;
Report on effectiveness of training to meet minimum competencies in a process or functional area
Report on effectiveness of hiring qualified personnel
Quality and effectiveness of senior management communications, e.g. from staff surveys etc. / d) ensure that its personnel are aware of how they contribute to the achievement of the service management objectives and fulfillment of service requirements
Frequency of communications on service management from the senior responsible owner or process owner.
Report on the percentage of personnel records related to education is established, current and correct. / e)  maintain appropriate records of education, training, skills and experience
Type / Purpose
Clause 4.5 Establish and improve the SMS
4.5.1 Define Scope
Report on the scope, its accuracy and currency, of the service management system, including the percentage of services delivered under this scope. / The service provider shall define and include the scope of the SMS in the service management plan.
Type / Purpose
Clause 4.5.2 Plan the SMS
Management report on development of a plan for service management / The service provider shall create, implement and maintain a service management plan.
Report on the alignment of process-specific plans against the service management plan / Plans created for specific processes shall be aligned with the service management plan
Review of service management plan and aligned process-specific plans / The service management plan and plans created for specific processes shall be reviewed at planned intervals…
Type / Purpose
Clause 4.5.3 Implement and operate the SMS
Financial reports and project/program reports / The service provide shall implement and operated the SMS to for the design, transition, delivery and improvement of services according to the service management plan, through activities including at least:
a)  allocation and management of funds and budgets
Number or percentage of roles assigned vs. assigned to qualified personnel / b)  assignment of authorities, responsibilities and process roles;
Report on resource management issues and resolutions, including effectiveness of resolutions / c)  management of human, technical, and information resources;
Report on risk management issues and resolutions, including the effectiveness of resolutions / d)  Identification, assessment and management of risks to the service;
Report on performance, nonconformities, and improvements of each service management process defined by ISO/IEC 20000 / e)  Management of service management processes;
f)  Monitoring and reporting on performance of service management activities
Type / Purpose
Clause 4.5.4 Monitor and review the SMS
Report on the purpose, schedule, and effectiveness of all internal audits and management reviews / The objectives of all internal audits and management reviews shall be documented…
...The results of internal audits and management reviews, including nonconformities, concerns, and actions identified, shall be recorded
Decrease in percentage of nonconformities, e.g. ISO/IEC 20000 requirements, SMS requirements, service requirements / Nonconformities shall be identified against the requirements in ISO/IEC 20000, the SMS requirements identified by the service provider or the service requirements.
Report on the development of an audit program / An audit program shall be planned.
Credentials of the proposed auditor / The selection of auditors and conduct of audits shall ensure objectivity and impartiality of the audit. Auditors shall not audit their own work
Report on management response to nonconformities against expectations and estimates. / The management responsible for the area being audited shall ensure that any corrections and corrective actions are taken without undue delay to eliminate nonconformities and their cause
Review of SMS and services / Top management shall review the SMS and the services at planned intervals to ensure their continued suitability and effectiveness.
Type / Purpose
Clause 4.5.5 Maintain and improve the SMS
Review of the continual improvement policy / There shall be a policy on continual improvement of the SMS and the services.
Number or percentage of opportunities for improvement adequately documented. / Opportunities for improvement, including corrective and preventive actions, shall be documented.
Type / Purpose
Clause 5 Design and Transition of new or changed services
5.1 General
Number of new services or changes to existing services with a major impact made by the service provider. / The service provider shall use this process for all new services and changes to services with the potential to have a major impact on services or the customer.
Number or percentage of planning and design outputs rejected, with reasons for rejections. / The service provider shall review outputs from the planning and design activities for new or changed services…. Based on the review, the service provider shall accept or reject the outputs.
Number or percentage of new or changed services transitioned according to plan/design. / The service provider shall take necessary actions to ensure that the development and transition of the new or changed services can be performed effectively, using the accepted outputs.
Percentage variance from estimated costs
Service delivered within estimated time, resource and costs
Number of errors introduced to the live IT service from the new or changed service
Change management reports on changes to services / Assessment, approval, scheduling and reviewing of new or changed services… shall be controlled by the change management process
Configuration management reports on CIs impacted to service changes / The CIs affected by new or changed services… shall be controlled by the configuration management process
Type / Purpose
5.2 Plan new or changed services
Report on the acceptance of documented service requirements for new or changed service and intended service solutions to meet those requirements / Planning for the new or changed service shall be agreed with the customer and interested parties.
Number or percentages of new or changed service requests properly assessed. / As input to planning, the service provider shall take into consideration the potential financial, organizational, and technical impact of delivering the new or changed services,… also…the potential impact…on the SMS
Type / Purpose
5.3 Design and development of new or changed services
Number or percentages of new or changed service designs which adequately fulfill service requirements without subsequent changes / The service provider shall ensure that the design enables the new or changed services to fulfill the service requirements
Type / Purpose
5.4 Transition of new or changed services
Number or percentage of new or changed services tested and meet service acceptance criteria. / The new or changed services shall be tested to verify that they fulfill the service requirements and documented design
Report on achievement of new or changed service outcomes after transition. / Following the completion of the transition activities, the service provider shall report to interested parties on the outcomes achieved against the expected outcomes.
Type / Purpose
Clause 6.1SLM
Report on the number of percentage of SLA’s agreed and in draft status / For each service delivered, one or more SLAs shall be agreed (defined and documented) with the customer
Status of catalogue of services / The Service provider shall agree a catalogue of services with the customer.
Change management reports on changes to SLAs and agreements, service requirements, and catalogue of service. / Changes to the documented service requirements, catalogue of services, SLAs, and other documented agreements shall be controlled by the change management process
Report on review of SLAs with any supporting action plans / The service provider shall review services and SLAs with the customer at planned intervals.
Number of nonconformities or opportunities for improvement found in monitoring trends and performance against service targets. / The service provider shall monitor trends and performance against service targets…Results shall be recorded and reviewed…

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Policies and Procedure

Type / Purpose
Clause 6.2 Service Reporting
All SLA actuals against targets / Service reporting shall include:
a) performance against service targets;
Reports on major incidents, changes with major impact, releases, and invocations of service continuity plan(s) / b) Relevant information about significant events…
Workload volumes reports or exception reports when volumes vary / c) workload characteristics e.g. volume, resource utilization
Resource utilization compared to planned or projected utilization
Gap analysis reports and audit reports / d) detected nonconformities
Report on positive or negative trends in service delivery / e) trend information
Customer satisfaction survey reports / f) Customer satisfaction measurements, service complaints and results of the analysis of satisfaction measurements and complaints
Number and types of complaints
Action plans included in service reports / The service provider shall make decisions and take actions based on findings in service reports
Management communications on significant events, changes or plans / The agreed actions shall be communicated to interested parties
Type / Purpose
Clause 6.3 Service continuity& availability management
Risk Register / The service provider shall assess and document the risks to service continuity and availability of services.
Report on the development of a service continuity plan(s) / The service provider shall create, implement and maintain a service continuity plan(s)
Report on the development of an availability plan(s) / …and an availability plan(s).
Change management reports on changes to service continuity plan(s) and availability plan(s) / Changes to these plans shall be controlled by the change management process