Đẩy mạnh hoạt động quản trị CNTT(MIS) tại ngân hàng TMCP việt nam thịnh vượng (VPBank)E

LUẬN VĂN THẠC SĨ Đẩy mạnh hoạt động quản trị CNTT(MIS) Ngân hàng TMCP Việt Nam Thịnh Vượng (VPBank) ENHANCING MANAGEMENT OF INFORMATION TECHNOLOGY SYSTEM (MIS) AT PROSPERITY JOINT-STOCK COMMERCIAL BANK (VPBANK) Page i DECLARATION Thesis of “Enhancing Management of Information Technology System (MIS) at Prosperity Joint-Stock Commercial Bank (VPBank)” is my own work The data and result in this thesis are definitely true; in addition, research results mentioned in this thesis have not been announced or used in any project before Page ii TABLE OF CONENTS DECLARATION ii TABLE OF CONENTS .iii LIST OF ABBREVIATION iv LIST OF FIGURES v LIST OF TABLES .vi LIST OF GRAPH .vii INTRODUCTION CHAPTER 1: ARGUMENT BASIS CHAPTER 2: CURRENT STATUS OF MANAGEMENT OF INFORMATION TECHNOLOGY SYSTEM AT VPBANK 23 CHAPTER 3: SUGGESTIONS AND SOLUTIONS 49 CONCLUSION 60 REFERENCES 61 APPENDICES .63 Page iii LIST OF ABBREVIATION ISO International Standards Organisation ITC Information Technology Central ITGI Information Technology Governance Institute ITIL Information Technology Infrastructure Library ITSM Information Technology Service Management SDP Services Desk Plus COBIT Control Objectives for Information and related Technologies VPBank Vietnam Prosperity Joint-Stock Commercial Bank OGC Office of Government Commerce MIS Management of information Technology ATM Automatic teller machine CRM Customer relationship management ERP Enterprise resource planning Page iv LIST OF FIGURES Figures 1.1 Basic model of information system Figures 1.2: The main components of the information system Figures 1.3: PDCA model 10 Figures 1.4: Some standards, methods of management of IT systems 12 Figures 1.5: Four target areas 15 Figures 1.6: Model of IT Orientation, management and operations 19 Figures 1.7: Interactive factors of IT systems management 21 Figures 2.8: Model of operating information technology systems in the IT sector 26 Figures 2.9: Model of Infrastructure 35 Figures 2.10: Model of IT supply services in VPB 45 Page v LIST OF TABLES Table 2.1: Sort of qualifications 32 Table 2.2: Table of The growth level of management processes 43 Table 2.3: Current status of service supply in the information technology division 46 Table 2.4: Process table has been applied 47 Page vi LIST OF GRAPH Graph 2.1: Rate of the criteria to be applied in system management 34 Graph 2.2: The growth level of the change management process 38 Graph 2.3: The growth level of problem management process .38 Graph 2.4: The growth level of incident management process .39 Graph 2.5: The growth level of service desk results 40 Graph 2.6: The growth level of Capacity management results .41 Graph 2.7: The growth level of Service level management process 42 Graph 2.8: The growth level of Configuration Management Process 42 Page vii Page viii INTRODUCTION The Necessity of theme Management of Information technology (IT) system is a hot topic today for any business organization, especially for enterprises that all their business activities depend on information technology such as banking and finance field Bank is the type of business that every business activity are based on information technology Banking activities are activities to provide services Bank uses information technology to provide banking services to customers and uses information technology as a tool to support operational activities, management decision support Bank created a competitive advantage or not is likely due to its application of information technology Management of Information technology system under management framework or the standard procedures is essential for any organization, especially in providing services in the information technology platform in banking, however, there are not many researches to apply the standards, administration framework of information technology in the bank, so IT administration in banks is also shortcomings led to the loss of system disruption, many system errors occurred, the customers are not satisfied with the service provided by the bank Research and development of process of information technology system administration under the standards and ITIL, COBIT management framework or research and development of tools to support IT administration is one of the targets that banks are aiming at in order to promote IT systems administration in the direction of the process, standardization to measure and control the supply of services, as well as risk control to bring the satisfaction to customers using banking services on information technology platform Page With the importance of management of information technology system as mentioned above and to solve those difficulties, the author proposed research project " Enhancing Management of Information Technology System (MIS) at Vietnam Prosperity Joint-Stock Commercial Bank (VPBank)" Research questions To achieve the research results of the theme, the following questions will be - addressed What are the problems and challenges of management of information technology - system in banks now? What are the main issues that need to be addressed to the management of - information technology systems effectively? The impacts when promoting the management of information technology systems - Purpose of theme Systematize background theoretical basis of management of information systems - technology Deeply analyse the practice of management of information system technology and the applying the standard processes according to the framework of information technology management at VPBank to point out irrationality and reasons to - enhancing management From the analysis results, suggest the deployment application of standard process, - the best management tool of IT system to support information technology for Objects and scope of theme Research on the management of information technology systems in information - technology division- Vietnam Prosperity Joint - Stock Commercial Bank (VP Bank) In space, focusing on operational management of IT system in information technology division - Vietnam Prosperity Joint- Stock Commercial Bank (VPBank) About time, research within years and some suggestions for coming years Research methodology Using the comparative collective analysis method, descriptive analysis Structure of theme Structure of theme includes: Introduction: Page 45 Does PM exchange information with Capacity Management for potential implications of planning options, and the likely effect on problem trends? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level 5: Customer Interface M 42 Do you check with the customer that the activities performed by Problem Management adequately support their business needs? M 43 Do you check with the customer that they are happy with the services provided? M 44 Are you actively monitoring trends in customer satisfaction? M 45 Are you feeding customer survey information into the service improvement agenda? M 46 Are you monitoring the customer's value perception of the services provided to them? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions FAIL Assess the maturity level of configuration process management ITIL Service Support Self Assessment: Configuration Management (Y)es or (N)o Level 1: Pre-requisites M Are at least some configuration management activities established within the organisation, e.g registering Configuration Items (CIs)? M Have you identified some of the CI attributes, e.g location, current status, service component relationships? Is there existing configuration data held in hard copy, local spreadsheets or databases? Is there a high level configuration management plan? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 1.5: Management Intent M Has the purpose and benefits of configuration management been disseminated within the organisation? Has the scope of configuration management activity been established within the organisation? Is there a suitable budget for configuration management tools and a commitment to resource configuration management activities? Does the organisation have procedures covering the registration of CIs? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 2: Process Capability Page 66 FAIL M Have responsibilities for various configuration management activities been assigned? M 10 Have configuration item naming conventions been agreed? M 11 Are there procedures for identifying, controlling, updating, auditing and analysing configuration item information? 12 Is configuration data routinely used in performing impact assessments? 13 Are CIs recognised in terms of service component relationships? 14 Is configuration data used routinely when building or releasing new CIs? 15 Are there procedures covering housekeeping, licence management, archiving and retention periods for CIs? 16 For planned releases, is the configuration baseline determined in advance? 17 Are the configuration management activities reviewed on a regular basis? 18 Are configuration audits performed on a regular basis? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 2.5: Internal Integration M 19 Have measure been taken to avoid duplication and anomalies with CI records? 20 Is configuration data used routinely for capacity planning purposes, e.g to ascertain the actual growth of CI's within the organisation? 21 Is there interface control between configuration management and third parties? 22 Are there links and interfaces between configuration management and other Service Management systems? 23 Do service support and service delivery personnel regularly retrieve configuration data to facilitate their activities? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 3: Products M 24 Are standard reports concerning CI information produced regularly? 25 Is there a configuration management database? 26 Are there controlled environments available within which CI's are manipulated? 27 Are build and release schedules produced on the basis of the CI records? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 3.5: Quality Control M 28 Are the standards and other quality criteria applicable for the registration of CIs made explicit and applied? M 29 Are the personnel responsible for configuration management activities suitably trained? 30 Does the organisation set and review either targets or objectives for Configuration Management? 31 Does the organisation use any tools to support the configuration management process? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 4: Management Information M 32 Do you provide management with information concerning configuration items affected by major changes? Page 67 FAIL M 33 Do you provide management with information concerning information on the achievement of targets and objectives set for Configuration Management? 34 Do you provide management with information concerning database and record growth usage? 35 Do you provide management with information concerning exceptional problems regarding specific CIs / types of CI? 36 Do you provide management with information concerning nonconformance to standards? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4.5: External Integration M 37 Do you hold regular meetings with interested parties in which Configuration Management matters are discussed? M 38 Do you receive notification from, or provide information to Change management relating to every CI to be changed or introduced? M 39 Is information exchanged with Release Management in order to keep the Definitive Software Library (DSL) consistent with the CMDB? 40 Is configuration information made available to the Service Desk regarding new CIs? 41 Does Configuration Management exchange information with Problem Management concerning details of CIs relating to problems, suppliers, customers and changes? 42 Does Configuration Management exchange information with Financial Management for IT Services regarding new cost and charging codes and other attributes? 43 Is configuration information made available to IT Service Continuity Management regarding CIs and backup details, and other security and contingency matters? 44 Is configuration information made available to Capacity Management concerning growth estimates based on the CMDB? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 5: Customer Interface M 45 Do you check with the customer that the activities performed by Configuration Management adequately support their business needs? M 46 Do you check with the customer that they are happy with the services provided? M 47 Are you actively monitoring trends in customer satisfaction? M 48 Are you feeding customer survey information into the service improvement agenda? M 49 Are you monitoring the customers value perception of the services provided to them? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions FAIL Assess the maturity level of change process management ITIL Service Support Self Assessment: Change Management (Y)es or (N)o Level 1: Pre-requisites M Are at least some change management activities established in the organisation, e.g logging of change requests, change assessments, change planning, change implementation reviews? Page 68 Are change management activities assigned to specific individuals or functional areas? Is there a procedure for raising and issuing requests for change? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' PASS Level 1.5: Management Intent M Has the purpose and benefits of change management been disseminated within the organisation? Has the scope of change management activity been established within the organisation? Does the organisation have standards or other quality criteria for the raising and registering of changes? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' PASS Level 2: Process Capability M Have responsibilities for various change management activities been assigned? M Are the procedures for initiating change always adhered to? Is there a procedure for approving, verifying and scheduling changes? 10 Are the business and technical impacts of changes always assessed? 11 Is change progress monitored adequately by Change Management? 12 Is the successful implementation of a change confirmed by Change Management? M 13 Is there a procedure for the review of all changes? 14 Are adequate change management reports produced? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' PASS Level 2.5: Internal Integration M 15 Are all changes initiated through the agreed change management channels, for example a Change Advisory Board? M 16 Are changes planned and prioritised, centrally or by common agreement? 17 Are change records maintained to reflect the progress of changes? 18 Are the reasons for change failure explicitly recorded and evaluated? 19 Are successful changes reviewed against the original business needs? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' PASS Level 3: Products M M 20 Are formal change records maintained? 21 Is a change schedule of approved changes routinely issued? 22 Are standard reports on changes produced on a regular basis? 23 Are there established standards for documenting changes? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 3.5: Quality Control M 24 Are there standards and other quality criteria for the documentation of change made explicit and applied? M 25 Are the personnel responsible for change management activities suitably trained? 26 Does the organisation set and review either targets or objectives for Change Management? 27 Does the organisation use any tools to support the change management process? Page 69 PASS Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4: Management Information M 28 Does Change Management provide pertinent information concerning requests for change received (e.g a breakdown of reasons for changes)? M 29 Does Change Management provide pertinent information concerning the change schedule? 30 Does Change Management provide pertinent information concerning number and % of changes? 31 Does Change Management provide pertinent information concerning number of successful and failed changes? 32 Does Change Management provide pertinent information concerning business impact of changes? 33 Does Change Management provide pertinent information concerning change slippage (including backlogs and bottlenecks)? 34 Does Change Management provide pertinent information concerning number of problem record initiated changes? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4.5: External Integration M 35 Do you hold regular meetings with interested parties in which Change Management matters are discussed? M 36 Does CM exchange information with Configuration Management regarding change progress and change closure? M 37 Does CM exchange information with Configuration Management regarding change impact assessment on configuration items? M 38 Does CM exchange information with Problem Management regarding changes required to resolve problems / known errors? 39 Does CM exchange information with Problem Management regarding progress reporting and for receiving problem escalation reports? 40 Does CM exchange information with Problem Management regarding obtaining problem information relating to change? M M 41 Does CM exchange information with the Service Desk for notification of change progress? 42 Does CM exchange information with the Service Desk for notification of change schedule? 43 Does CM exchange information with the Service Desk for assessing impact of change on Service Desk support levels? 44 Does CM exchange information with the Service Desk for obtaining information concerning incidents and calls relating to change? 45 Does CM exchange information with Release Management concerning change implementation? 46 Does CM exchange information with Release Management concerning the notification and scheduling of software and hardware releases? 47 Does CM exchange information with Service Level Management regarding the change schedule? 48 Does CM exchange information with Service Level Management regarding potential change impact on service level agreements? 49 Does CM exchange information with IT Service Continuity Management for notification of change schedule? 50 Does CM exchange information with IT Service Continuity Management for assessing impact of change on contigency plans? 51 Does CM exchange information with Capacity Management regarding performance and capacity issues relating to change? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Page 70 FAIL Level 5: Customer Interface M 52 Do you check with the customer if the activities performed by Change Management adequately support their business needs? M 53 Do you check with the customer that they are happy with the services provided? M 54 Are you actively monitoring trends in customer satisfaction? M 55 Are you feeding customer survey information into the service improvement agenda? M 56 Are you monitoring the customers value perception of the services provided to them? FAIL Minimum score to achieve this level: 'Y' for all mandatory ('M') questions Assess the maturity level of Incident process management ITIL Service Delivery Self Assessment: Incident Management (Y)es or (N)o Level 1: Pre-requisites Are incident records maintained for all reported incidents? Are incidents currently assessed and classified by the Service Desk prior to referring them to a specialist? Is there an incident manager responsible for managing and escalating incidents? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 1.5: Management Intent Is the business committed to reducing the impact of incidents by their timely resolution? Have management commitment, budget and resource been made available for incident management? Have Incident Management been made aware of the business drivers and needs which will drive the priority for dealing with incidents? Has an education and training programme been conducted for the Service Desk and incident managers outlining their relationships and interfaces with each other and with problem, change and configuration management? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 2: Process Capability Is an incident database maintained recording details for all reported incidents? Are all incidents managed in conformance with the procedures documented in SLAs? 10 Is there a procedure for classifying incidents, with a detailed set of classification, prioritisation and impact codes? 11 Is there a procedure for assigning, monitoring and communicating the progress of incidents? 12 Does incident management provide the Service Desk or Customer/User with progress updates on the status of incidents? 13 Is there a procedure for the closure of incidents? 14 Does incident management provide the Service Desk with management information and recommendations for service improvement? 15 Are incident managers empowered to enforce agreed customer service levels with second line support and third party suppliers? 16 Do incident managers co-ordinate problem management, support staff and IT services management when a major incident occurs? Page 71 FAIL 17 Has a study of the workload mix been conducted to determine the required staff levels, skill type and the associated costs of incident management? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 2.5: Internal Integration 18 Does incident management match incidents against the problem and known error database? 19 Does incident management inform the Service Desk and problem management of work-arounds? 20 Are incidents which breach agreed service level targets identified and the incident resolution team informed of the breach? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 3: Products 21 Are incident records maintained for all reported incidents (including resolution and/or workaround)? 22 Are requests for changes produced, if necessary, for incident resolution? 23 Are resolved and closed incident records updated and clearly communicated to the Service Desk, customers and other parties? 24 Are reports regularly produced for all the teams contributing to the incident resolution process, concerning incident status? 25 Is a workload analysis produced to help determine staffing levels? 26 Are management reviews held to highlight escalated incident details? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 3.5: Quality Control 27 Are the standards and other quality criteria applicable for the registration of incidents and for call handling made clear to the incident management team? 28 Are Service Level Agreements available and understood by incident management? 29 Are the personnel responsible for incident management suitably trained? 30 Does the organisation set and review either targets or objectives for incident management? 31 Are there suitable tools in use to support the Incident Management function? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4: Management Information 32 Do you provide management with information concerning trend analysis in incident occurrence and resolution? 33 Do you provide management with information concerning escalated incidents? 34 Do you provide management with information concerning percentage of Incidents handled within agreed response time 35 Do you provide management with information concerning percentage of incidents closed by Service Desk without reference to other levels of support Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 4.5: External Integration 36 Do you hold regular meetings with the Service Desk to discuss incidents raised, progressed, escalated and closed? 37 Have the interfaces between the Service Desk and incident management been defined and communicated? Page 72 FAIL 38 Does incident management exchange information with Problem Management concerning related problems and / or known errors? 39 Does incident management exchange information with Configuration Management regarding ease of use of configuration records, configuration anomalies and the potential flagging of configuration item, e.g as 'failed' (or equivalent)? 40 Does incident management receive information from Change Management regarding impending changes to services? 41 Does incident management exchange information with Change Management regarding the details of possible changes to resolve particular incidents / problems? 42 Does incident management exchange information with Service Level Management concerning breaches in service level agreements and the service and support commitments they contain? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level 5: Customer Interface 43 Do you check with the customer if the activities performed by Incident Management Management adequately support the business needs? 44 Do you check with the customer that they are happy with the services provided? 45 Are you actively monitoring trends in customer satisfaction? 46 Are you feeding customer survey information into the service improvement agenda? 47 Are you monitoring the customers value perception of the services provided to them? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions FAIL Assess the maturity level of Service Desk process management ITIL Service Support Self Assessment: Service Desk (Y)es or (N)o Level - Pre-requisites Does a Service Desk exist which manages, co-ordinates and resolves incidents reported by customers? Is the Service Desk the recognised point of contact for all customer/user queries? Does the Service Desk provide information to customers regarding planned changes? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 1.5 - Management Intent Is the business need for a Service Desk clearly identified and understood? Is there sufficient management commitment, budget provision and resource available for the effective operation of the Service Desk? Is the Service Desk perceived as a strategic function by Senior Managers? Has the purpose and benefits of the Service Desk been disseminated within the organisation? Has an education and/or training programme been conducted for customers and users in the use of the Service Desk and its benefits Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level - Process Capability Have the functions of the Service Desk been agreed? Page 73 FAIL 10 Do Service Desk operators have a procedure or strategy for obtaining the required information from customers whilst call handling? 11 Does the Service Desk provide the customer/user with information on service availability, an incident number or reference for use in follow-up communications, and progress updates on any request being managed by the service team? 12 Does the Service Desk make an initial assessment of all requests received, attempting to resolve appropriate requests or referring them to someone who can, based on agreed service levels? 13 Does the Service Desk communicate planned and short-term changes of service levels to customers? 14 Does the Service Desk provide a status update to the customer on the closure of incidents? 15 Does the Service Desk provide management information and make recommendations for service improvement? 16 Has a study of the workload mix been conducted to determine the required staff levels, skill type and the associated costs of the Service Desk? 17 Are customer satisfaction surveys carried out by the Service Desk? 18 Is the Service Desk notified of new services or changes to existing services? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level 2.5 - Internal Integration 19 Does the Service Desk provide a single point of contact for all customer queries? 20 Does the Service Desk have access to a library of all product, hardware and software documentation and reference material used by customer / users? 21 Are major incidents/problems/changes from the previous week reviewed with customers? 22 Does a customer list exist and is it used to monitor customer satisfaction levels? 23 Are second-line support staff involved in the Service Desk, either on a full time or a rotational basis? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level - Products 24 Is a single source of customer / user and supplier details maintained? 25 Are standard pro-forma's available for capturing customer / user details and identification? 26 Are the services offered by the Service Desk clearly defined for customers and other parties? 27 Are reports regularly produced for all the teams contributing to the service provision process, concerning types of customer contacts? 28 Is a workload analysis produced to help determine staffing levels? 29 Are weekly management reviews held to highlight service availability, customer satisfaction and major incident areas? 30 Do management review Service Desk’s recommendations for service improvements? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 3.5 - Quality Control 31 Are the standards and other quality criteria applicable for the registration of incidents and for call handling made clear to Service Desk operators? 32 Are Service Level Agreements available and understood by Service Desk operators 33 Are the personnel responsible for Service Desk activities suitably trained? Page 74 FAIL 34 Does the organisation set and review either targets or objectives for the Service Desk? 35 Are there suitable tools in use to support the Service Desk function? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level - Management Information 36 Do you provide management with information concerning customer satisfaction with services? 37 Do you provide management with information concerning operational performance of the Service Desk? 38 Do you provide management with information concerning customer awareness/ training needs? 39 Do you provide management with information concerning trend analysis in incident occurrence and resolution? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4.5 - External Integration 40 Do you hold regular meetings with interested parties in which Service Desk matters are discussed? 41 Does the Service Desk control the Incident Management function and have the interfaces between the Service Desk and Incident management been defined and communicated? 42 Does the Service Desk receive information from Change Management regarding impending changes to services? 43 Does the Service Desk exchange information with Service Level Management concerning breaches in service level agreements and the service and support commitments they contain? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level - Customer Interface 44 Do you check with the customer if the activities performed by the Service Desk adequately support their business needs? 45 Do you check with the customer that they are happy with the services provided? 46 Are you actively monitoring trends in customer satisfaction? 47 Are you feeding customer survey information into the service improvement agenda? 48 Are you monitoring the customer's value perception of the services provided to them? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions FAIL Assess the maturity level of Service Level process management ITIL Service Delivery Self Assessment: Service Level Management (Y)es or (N)o Level - Pre-requisites Are at least some service level management (SLM) activities established within the organisation, e.g service definition, negotiation of SLA's etc? Have you identified the customers for your IT services? Are service attributes identified? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 1.5 - Management Intent Has the purpose and benefits of service level management been disseminated within the organisation? Page 75 FAIL Has the appropriate data on which to base service levels been determined? Are there agreed procedures by which Service Level Agreements are negotiated and reviewed? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level - Process Capability Have responsibilities for service level management activities been assigned? Has a catalogue of existing services been compiled? Are there mechanisms for monitoring and reviewing existing service levels? 10 Does the service catalogue give a clear and accurate picture of all services being provided? 11 Are all customer service requests verified? 12 Do you have a mechanism leading to service improvement? 13 Are services prioritised in the service catalogue? 14 Do you have a mechanism for scheduling service implementations? 15 Are the majority of services covered by SLAs? 16 Have all existing SLAs been reviewed and agreed by customers? 17 Do the majority of SLAs have underpinning contracts and OLAs in place? 18 Are there mechanisms in place to monitor and measure all items in existing SLAs? 19 Are SLAs reviewed on a regular basis? 20 Are the majority of SLAs, OLAs and underpinning contracts current? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level 2.5 - Internal Integration 21 Do you compare service provision with the agreed service levels? 22 Do you have a mechanism for keeping your service catalogue in line with new/changed services? 23 Do you use service records to provide management and customers with meaningful information on the quality of service? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level - Products 24 Are standard service reports produced regularly? 25 Are the services and their components explicitly defined and what is excluded documented in SLA's? 26 Do SLAs have clearly identified key targets for service hours, availability, reliability, support, response times and change handling? 27 Are service components identified as configuration items (CIs)? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level 3.5 - Quality Control 28 Are the standards and other quality criteria for SLM documented? 29 Are the personnel responsible for SLM activities suitably trained? 30 Does the organisation set and review either targets or objectives for SLM? 31 Does the organisation use any tools to support SLM? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level - Management Information 32 Do you provide management with information concerning service targets and actual performance? 33 Do you provide management with information concerning trends in service level breaches? Page 76 FAIL 34 Do you provide management with information concerning standard service offerings? 35 Do you provide management with information concerning number of requests for new/changed services? 36 Do you provide management with information concerning trends in service level request? 37 Are SLA monitoring charts provided to give an overview of how achievements have measured up to targets? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4.5 - External Integration 38 Does SLM actively involve Availability Management regarding service levels? 39 When negotiating service levels does SLM consult other service delivery and support areas like Capacity Management, Financial Management for IT Services, Service Desk and Change Management? 40 Is SLM consulted by Change Management concerning potential impact of changes to agreed service levels? 41 Does SLM ensure that the service catalogue is integrated and maintained as part of the Configuration Management database (CMDB)? 42 Does SLM ensure that the incident and problem handling targets included in SLAs are the same as those in the Service Desk tools? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' FAIL Level - Customer Interface 43 Do you check with the customer if the activities performed by Service Level Management adequately support their business needs? 44 Do you check with the customer that they are happy with the services provided? 45 Are you actively monitoring trends in customer satisfaction? 46 Are you feeding customer survey information into the service improvement agenda? 47 Are you monitoring the customers value perception of the services provided to them? FAIL Minimum score to achieve this level: 'Y' for all mandatory ('M') questions Assess the maturity level of Capacity process management ITIL Service Delivery Self Assessment: Capacity Management (Y)es or (N)o Level 1: Pre-requisites Are at least some capacity management activities established within the organisation, e.g monitoring of usage and performance, capacity planning, sizing of service elements etc? Are capacity management activities assigned to specific individuals or functional areas? Are monitors available for hardware, software, networking & peripherals and does Capacity Management have access to them? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' Level 1.5: Management Intent Have the purpose and benefits of capacity management been disseminated within the organisation? Has the scope of capacity management been determined? Is the organisation committed to a corporate capacity management plan which includes future business requirements? Page 77 FAIL Is the organisation committed to producing a Capacity Plan? Is the organisation committed to the proactive management of the capacity of the network, servers and desk-top equipment? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 2: Process Capability Have responsibilities for capacity management activities been assigned? 10 Is there a process in place to ensure future business requirements for IT services are incorporated into capacity management plans? 11 Does the organisation have a process to ensure that there is sufficient capacity to support planned services? 12 Are services detailed in SLA's monitored, measured and growth/performance predicted? 13 Are there mechanisms for analysing system usage and for reporting on performance? 14 Are service elements both defined and sized for new services? 15 Is actual performance against agreed service levels recorded? 16 Do you model systems behaviour under various workloads and provide tuning recommendations? 17 Is Capacity Management incorporated into all change and project planning processes? 18 Is the utilisation of each resource and service monitored on an on-going basis? 19 Are end-to-end service response times monitored? 20 Is trend analysis conducted to predict future resource management? 21 Do you perform market testing of new and emerging technologies? 22 Does the capacity management process provide input to the business continuity process? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 2.5: Internal Integration 23 Do you analyse business plans to ensure that there is sufficient capacity to support planned services in anticipated time-scales? 24 Do you analyse usage and performance data in order to optimise resource utilisation? 25 Are required service levels and forecasts used to define and size service elements? 26 Do you identify variances, trends and deviations from plans in the utilisation of resources? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 3: Products 27 Do you have a Capacity Management Database? 28 Do you maintain a Capacity Plan? 29 Is the Capacity Management Database aligned with the Configuration Management Database? 30 Are standard reports concerning performance produced on a regular basis? 31 Are standard reports concerning the use and allocation of key resources produced on a regular basis? 32 Do you produce forecasts of new workloads and their resource requirements? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' Level 3.5: Quality Control 33 Are the standards and other quality criteria applicable to capacity management activities explicit and applied? Page 78 FAIL 34 Are the personnel responsible for capacity management activities suitably trained? 35 Does the organisation set and review either targets or objectives for capacity management? 36 Does the organisation have suitable tools to support capacity management activities? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4: Management Information 37 Does Capacity Management provide information concerning resource utilisation? 38 Does Capacity Management provide information concerning infrastructure requirements for maintaining service levels? 39 Does Capacity Management provide information concerning performance trends? 40 Does Capacity Management provide information concerning utilisation of chargeable resources? 41 Does Capacity Management provide information concerning details of proposed new workloads? 42 Does Capacity Management provide information concerning recommendations based on technology trends / emerging technology? 43 Does Capacity Management provide information concerning variances between planned and actual capacity utilisation? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answer 'Y' FAIL Level 4.5: External Integration 44 Do you hold regular meetings with interested parties in which capacity management matters are discussed? 45 Does Capacity Management exchange information with Service Level Management concerning services and workloads to be monitored? 46 Does Capacity Management exchange information with Service Level Management concerning proposed service levels for new workloads? 47 Does Capacity Management exchange information with Financial Management for IT Services concerning chargeable resource utilisation? 48 Does Capacity Management exchange information with Configuration Management to obtain details of IT components and workload deployment across them? 49 Does Capacity Management exchange information with Change Management for details of any changes proposed to existing workloads and to feed back the results of a performance impact analysis? 50 Does Capacity Management exchange information with IT Service Continuity Management to incorporate ITSCM requirements for all recovery options into the Capacity Plan? 51 Does Capacity Management exchange information with IT Service Continuity Management to assess the impact of RFCs on recovery options? 52 Does Capacity Management share use of the CMDB and other common tools for planning, monitoring and alerting with Availability Management? 53 Does Capacity Management exchange information with Applications Management regarding the development of new and existing systems? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions + other answers 'Y' Level 5: Customer Interface 54 Do you check with the customer if the activities performed by Capacity Management adequately support their business needs? 55 Do you check with the customer if they are happy with the services provided? 56 Are you actively monitoring trends in customer satisfaction? Page 79 FAIL 57 Are you feeding customer survey information into the service improvement agenda? 58 Are you monitoring the customers value perception of the services provided to them? Minimum score to achieve this level: 'Y' for all mandatory ('M') questions Page 80 FAIL ... technology division- Vietnam Prosperity Joint - Stock Commercial Bank (VP Bank) In space, focusing on operational management of IT system in information technology division - Vietnam Prosperity Joint-... proposed research project " Enhancing Management of Information Technology System (MIS) at Vietnam Prosperity Joint-Stock Commercial Bank (VPBank)" Research questions To achieve the research... Services Desk Plus COBIT Control Objectives for Information and related Technologies VPBank Vietnam Prosperity Joint-Stock Commercial Bank OGC Office of Government Commerce MIS Management of information