TIPA Assessor for ITIL Instructor Guide

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This product includes TIPA, which is used by permission of the Centre de Recherche Public Henri Tudor. All rights reserved.

© Centre de Recherche Public Henri Tudor 2011

The information contained in this classroom material is subject to change without notice.

This material contains proprietary information that is protected by copyright.

No part of this material may be photocopied, reproduced, or translated to another language without the prior consent of ITpreneurs Nederland B.V.

© Copyright 2012 by ITpreneurs Nederland B.V. All rights reserved.

The language used in this course is US English. Our sources of reference for grammar, syntax, and mechanics are The Chicago Manual of Style, The American Heritage Dictionary, and the Microsoft Manual of Style for Technical Publications.

ITIL® is a registered trade mark of the Cabinet Offi ce.

The Swirl logo™ is a trade mark of the Cabinet Offi ce.

All content in italics and quotes © Crown Copyright 2011 Reproduced under licence from Cabinet Offi ce.

All info graphics © Crown Copyright 2011 Reproduced under licence from Cabinet Offi ce, unless

otherwise noted.

ITIL® Qualifi cation Scheme Copyright © 2011 APM Group. All rights reserved.

Glossaries/Acronyms © Crown Copyright of Cabinet Offi ce.

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Contents

LIST OF TABLES V

LIST OF DIAGRAMS VII

LIST OF ICONS IX

ACKNOWLEDGEMENTS XIII

COURSE INTRODUCTION 1

Course Introduction 3

Course Learning Objectives 4

Unique Nature of the Course 5

Course and Exam Requirements 9

Course agenda 10

MODULE 1: TIPA FOR PROCESS ASSESSMENT OF IT SERVICE MANAGEMENT 15

1.1: Benefits of Mature Processes 18

1.2: What Is TIPA? 22

1.3: Process Maturity 35

Assignment 1: Match the Process Maturity Level name to the definition 36

Assignment 2: Match the Process Maturity Name to the Process Maturity Level 39

1.4: What Is Process Assessment? 45

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Assignment 3: Experiencing the TIPA Rating Scale 52

1.5: Summary 56

MODULE 2: ROLES IN THE TIPA PROJECT 57

2.1: Roles in the TIPA Project 60

2.2: RACI in TIPA Project Phases 63

2.3: Role of the Assessor in a TIPA Project 66

2.4: Roles and RACI in TIPA Project – Summary 67

MODULE 3: DEFINITION AND PREPARATION PHASES 69

3.1: LARIPS – Briefing of the Assessment Team 72

3.2: Definition Phase – Overview and Objectives 82

3.3: Definition Phase – Critical Success Factors 87

3.4: Preparation Phase – Overview and Objectives 89

3.5: Preparation Phase – Critical Success Factors 93

3.6: Definition and Preparation Phases – Summary 95

MODULE 4: ASSESSMENT PHASE 99

4.1: Assessment Phase – Purpose and Objectives 102

4.2: TIPAAssessment Foundation 105

Assignment 4: TIPA Process Model 113

4.3: Assessment Technique 115

Assignment 5: Interview Rating Exercise at LARIPS – Part 1 128

4.4: Process Attributes 131

Assignment 6: Teach-Back The Other Process Attributes 140

Assignment 7: Interview Rating Exercise at LARIPS – Part 2 150

4.5: Process Rating 152

Assignment 8: Process Rating at LARIPS 156

4.6: Maturity Level Determination 161

Assignment 9: Maturity Level Determination 163

4.7: Assessment Phase – Critical Success Factors 1654.8: Assessment Phase – Summary 166

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MODULE 5: ANALYSIS PHASE 167

5.1: Analysis Phase – Overview and Objectives 169

5.2: Analysis Technique 172

Assignment 10: SWOTS & Recommendations in Tool T12 180

Assignment 11: LARIPS – SWOT and Recommendations 182

184186Assignment 12: Overall SWOTS and Recommendations in Tool T16 188

5.3: Analysis Phase – Critical Success Factors 189

5.4: Analysis Phase – Summary 190

MODULE 6: RESULTS PRESENTATION AND CLOSURE PHASES 191

6.1: Results Presentation Phase 193

Assignment 13: Assessment Report template (T17) 199

Assignment 14: LARIPS – Assessment Report 202

Assignment 15: Assessment Results Presentation template (T18) 204

Assignment 16: Presenting the Assessment Results at LARIPS 206

6.2: Results Presentation Phase – Critical Success Factors 208

6.3: Closure Phase – Overview and Objectives 209

6.4: Closure Phase – Critical Success Factors 213

MODULE 7: SIMULATION 215

7.1: Introduction to the Role-Play Simulation 218

7. 2: Roles in the LARIPS Simulation 221

7.3: Interview Plan 252

7.4: PAM Extract 253

Assignment 17: TIPA PAM for Change Management process 253

7.5: Instructions 254

Assignment 18: Simulation Instructions – Prepare and Conduct Interviews 255

Assignment 19: Simulation Instructions – Rate and Analyze the Process 257

MODULE 8: MOCK EXAM 259

LIST OF ACRONYMS 287

ADDITIONAL READINGS A: SYLLABUS 289

ADDITIONAL READINGS B: MACRO VIEWS 293

RELEASE NOTES 313

INSTRUCTOR FEEDBACK FORM 315

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Copyright © 2012, ITpreneurs Nederland B.V. All rights reserved. v

List of Tables

LIST OF TABLES

Table 1.1: Sample Table describing a Task 26

Table 1.2: Difference Between Assessment and Audit 51

Table 2.1: Roles in the Organization Conducting the Assessment 62

Table 2.2: Roles in the Organization Being Assessed 62

Table 2.3: RACI in the Defi nition and Preparation Phases 63

Table 2.4: RACI in the Assessment and Analysis Phases 64

Table 2.5: RACI in the Results Presentation and Closure Phases 65

Table 3.1: Overview of the Three Processes at LARIPS 79

Table 3.2: LARIPS – Interview Plan 81

Table 4.1: ASMT.1 Conduct Interviews 117

Table 4.2: ASMT.3 Rate Interviews 122

Table 4.3: ASMT.5 Document Review 130

Table 4.4: Generic Practices of the Process Defi nition Attribute and Their Implementation for Incident Management 136

Table 4.5: Generic Practices of the Work Product Management Attribute and Their Implementation for Incident Management 139

Table 4.6: Generic Practices of the Performance Management Attribute 142

Table 4.7: Generic Practices of the Process Deployment Attribute 143

Table 4.8: Generic Practices of the Process Measurement Attribute 144

Table 4.9: Generic Practices of the Process Control Attribute 145

Table 4.10: Generic Practices of the Process Innovation Attribute 146

Table 4.11: Generic Practices of the Process Optimization Attribute 147

Table 4.12: ASMT.7: Process Rating 152

Table 4.13: ASMT.8 Determine Process Maturity Level 161

Table 4.14: Determination of Maturity Level Reached 162

Table 5.1: ANA.1 SWOT for Each Process 173

Table 5.2: ANA.2 Improvement Recommendations 177

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Table 5.3: Global SWOT Analysis 184

Table 5.4: Examples of Global SWOTs 185

Table 5.5: ANA.4 Determine Overall Recommendations 186

Table 6.1: RES.2 Write the Assessment Report 198

Table 6.2: RES.4 Prepare the Assessment Results Presentation 204

Table 6.3: RES.8 Present the Assessment Results 207

Table 7.1: Simulation Schedule 219

Table 7.2: Interview Schedule 220

Table 7.3: Interview Plan 252

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Copyright © 2012, ITpreneurs Nederland B.V. All rights reserved. vii

List of Diagrams

LIST OF DIAGRAMS

Diagram 1.1: TIPA Processes Map 24

Diagram 1.2: TIPA Method 28

Diagram 1.3: TIPA Project Phases 30

Diagram 1.4: Process Maturity Levels – Summary 41

Diagram 1.5: Process Attributes 43

Diagram 1.6: TIPA Rating Scale 47

Diagram 1.7: Process Profi le 48

Diagram 3.1: TIPA Project Phases 82

Diagram 3.2: Defi nition Phase 83

Diagram 3.3: DEF Defi nition Phase 86

Diagram 3.3: DEF Defi nition Phase (Contd.) 86

Diagram 3.4: Preparation Phase 89

Diagram 3.5: Preparation Phase 92

Diagram 3.5: Preparation Phase (Contd.) 92

Diagram 4.1: TIPA Assessment Phase 100

Diagram 4.2: ASMT Assessment Phase 104

Diagram 4.2: ASMT Assessment Phase (Contd.) 104

Diagram 4.3: Rate a Single Interview at Level 1 124

Diagram 4.4: Process Rating Sheets (T12) 126

Diagram 4.5: Process Maturity Levels with Their Attributes 131

Diagram 4.6: PA 3.1 Process Defi nition Attribute 134

Diagram 4.7: PA 2.2 Work Product Management Attribute 137

Diagram 4.8: PA 2.1 Performance Management Attribute 142

Diagram 4.9: PA 3.2 Process Deployment Attribute 143

Diagram 4.10: PA 4.1 Process Measurement Attribute 144

Diagram 4.11: PA 4.2 Process Control Attribute 145

Diagram 4.12: PA 5.1 Process Innovation Attribute 146

Diagram 4.13: PA 5.2 Process Optimization Attribute 147

Diagram 4.14: Rate a Single Interview for Levels 2 to 5 148

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Diagram 4.15: Process Rating: General Rule 153

Diagram 4.16: Process Rating: The 80/20 Rule 154

Diagram 4.17: Process Rating: Cross-Checking 160

Diagram 5.1: TIPA Analysis Phase 169

Diagram 5.2: ANA Analysis Phase 171

Diagram 6.1: Results Presentation Phase 194

Diagram 6.2: RES Results Presentation Phase 197

Diagram 6.3: The Closure Phase 209

Diagram 6.4: CLO Closure Phase 212

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Copyright © 2012, ITpreneurs Nederland B.V. All rights reserved. ix

List of Icons

ACTIVITY ICONS AND DESCRIPTIONS

Activity

Generally, the instructor asks participants to do a match-the-following activity, fi ll up a blank diagram, answer the given question(s) in their Workbook, or watch a movie on how to populate an Assessment Report.

Case-Study-Based Exercise

Real-world cases are used to provide context to apply the TIPA framework. The instructor and the students play different roles. The instructor assigns roles to the students based on real-life situations/problems and asks them to act out their roles in an assessment project. These are particularly valuable for participants to understand their roles and responsibilities as an Assessor.

Concept Jog

The instructor asks a “Rapid-Fire” round of questions to students for 2 minutes. Participants do not have to write in the Workbook but state their answer(s) in class.

Rapid-Fire Quiz

The instructor asks a “Rapid-Fire” round of questions to students. Participants may or may not have to write their answers in the Workbook and the activity may last from 2 to 10 minutes.

Self-Study

This is usually used for supplemental material after a topic has been covered. It is also used to create diversifi cation of teaching techniques in order to keep students engaged in class.

Teach Back

This encourages greater retention of topics through self-study and preparation, to teach the concepts back to fellow classmates. The instructor plays a key role to ensure that the teach-back session refl ects appropriate content.

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Overview

Gives an overview of the characteristics of the TIPA framework.

Roles

Refers to content related to the various roles that take part in a TIPA Assessment Project.

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List of Icons

ICONS IN THE COURSE AND THEIR DESCRIPTIONS

Alert

Refers to content that the instructor and participant(s) have to keep track of while learning the training materials

Delivery Instructions

Refers to instructions meant for the instructor to lecture or do an activity in class

Expert Advice

Refers to content or tips from the experts that are meant for participants to keep in mind while doing an assessment project

Forget Me Not

Refers to content that must be mandatorily kept in mind and is meant for participants in an assessment project

Info Nugget

Refers to small bits of information from the TIPA Toolbox that is meant for participants

Note for Instructor

Refers to content that is meant for the instructor to remember before conducting an activity or lecturing in class

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Note for Learner

Refers to content that is meant for the participant(s) to remember while doing an activity

Speaking Points

Refers to content that is meant for the instructor to lecture in class

TIPA Tool

Refers to content that is part of the TIPA Toolbox

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Copyright © 2012, ITpreneurs Nederland B.V. All rights reserved. xiii

Assessor

We would like to sincerely thank the experts who have contributed to and shaped ITpreneurs’ TIPA Assessor for ITIL©

ITpreneurs’ Course ReviewersMarion Lepmets

ITpreneurs’ Course Exercise AuthorsValerie Betry

Stéphane Cortina

Michel Picard

Alain Renault

ACKNOWLEDGEMENTS

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Copyright © 2012, ITpreneurs Nederland B.V. All rights reserved. 1

Course Introduction

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1. Welcome the participants to the training course and introduce yourself.2. Be sure to give the students background information that establishes you as a credible expert on the

learning material. Please share with the class your experience and background in TIPA assessment projects.

It is important to understand the level of each student because it indicates the following challenges that the students may face:

Diffi culty in understanding the concepts taught because applying “best practices” is unfamiliar territory Helping students overcome the infl uence of “too much experience” in their current way of operating and

any resistance to the thought-pattern changes required with TIPA assessment projects.To overcome these challenges, you must question the students about their expectations for the course.

You can record the students’ expectations on a fl ipchart. The expectations may range from passing the exam to wanting to become an Assessor. As the expectations are stated and recorded, you can begin to manage them within the scope of this training. You can also use this exercise to start to introduce the key concepts that will be taught as part of the course.


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Course Introduction | Instructor

COURSE INTRODUCTION

Alright, so now let us quickly understand what we will be learning during the course of this training.This section will only briefl y cover what you will be learning during this training. In the following modules, we will cover each topic listed on the overview slide in detail.

OverviewStudent Reference Material — Pg. 3

TIPA is an IT Service Management (ITSM) Process Assessment method that provides a full assessment methodology. TIPA is built from the combination of the ISO standard for Process Assessment (ISO/IEC 15504) and ITIL.

During this training, we will learn about the six phases of the TIPA method, which are:

1. Defi nition Phase2. Preparation Phase3. Assessment Phase4. Analysis Phase5. Results Presentation Phase6. Closure Phase

We will also learn about the roles involved in the TIPA assessment project and the responsibilities of each of these roles in the project. In the end, we will learn how to do an assessment project, as one would do in real-life situation, through a simulation exercise.Sample

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COURSE LEARNING OBJECTIVES

The slide lists the objectives of the TIPA Assessor course.

Talk through the bulleted list, and answer any questions that participants may have. Take a moment to establish the connection between the Course Overview and Learning Objectives slides, emphasizing the key words and phrases.


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UNIQUE NATURE OF THE COURSE

This course will not be delivered in the traditional mode of “technical training,” where the instructor presents and lectures on slide after slide. Instead, the training is designed in such a way that the participants must actively play a part in the role-play exercises for their learning experiences to be more effective in the real-world scenario.During the training, the participants will be required to play an active role in the LARIPS Bank scenario exercises, where they will play the Assessor role and understand the responsibilities of the role in an assessment project. This is to ensure that participants internalize the learning, sit for the fi nal examination successfully, and apply their new practical experience(s) in a real environment while assessing the Maturity Level of a process in an organization.

In addition, some assignments in this training material are presented in movie format. Participants will be required to view the movie carefully and understand each step of the assignment shown in the movie so that the steps can be replicated in the exercises/assignments.

ALERT

Note to Instructor

In Mod 6, there is a movie fi le attached with the classroom presentation slides. To play the movie, download the movie fi le along with classroom presentation slides. Macintosh user can directly view the movie by clicking on the movie fi le icon. Windows user or users without Quicktime player in their machines need to download the player. The link

to download the player is provided on the slide.

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Student MaterialsStudent Reference Material — Pg. 5

The Student Material consists of three parts:

Student Reference Material – contains all course content Student Workbook – contains all exercises done in class Annexure Book – contains essential reading for assignments

In the Student Reference Material, you will fi nd all content that the instructor covers in class. We recommend that you use the Reference Material to study each evening, after class, to prepare for the fi nal exam.

The Student Workbook contains all the exercises that participants will do in class. For exercise(s), you are required to refer to “Assignment Readings” section of the Annexure Book (Part A). You will fi nd the instructions for every “Assignment X” in your Workbook and Reference Material.

Take this introductory time to also walk through the student materials with your students. Explain where they will fi nd information and how best to participate in the training session.


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The Annexure Book is divided into Parts A and B. In Part A, you will fi nd all the essential reading that you need to refer to before doing the assignments.

Part B contains all the sample answers of the activities.

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The additional readings section of the Student Reference Material contains the following: The course syllabus The zoomed diagrams

At the end of the Student Reference Material, you can fi nd the Feedback form that you will use at the end of the course to give your feedback about this session.

LARIPS Bank Case StudyStudent Reference Material — Pg. 7

The aim of all activities in this course is to help the participants become familiar with the Assessor role and responsibilities. The activities are constructed around the LARIPS Bank scenario to establish the real-life connect for an assessment project. Each exercise will require the participants to be actively involved in the role-play exercises.

The active involvement of the participants in all activities is necessary so that at the end of the training, the participants are familiar with all the required documents and templates, the structure and procedures of an assessment, how to use the TIPA toolbox, and so on. To pass the exam and become well-equipped Assessors, participants MUST mandatorily perform the roles assigned to them during the activity.

Mock ExamThe Exam Preparation Guide (EPG) contains a sample exam released by Centre de Recherche Public Henri Tudor. The Mock Exam consists of a Sample Paper (a complete set with scenarios + question-and-answer options with their rationale). On the last day of the course, you will have the opportunity to attempt the Mock Exam questions, which will help you prepare for the fi nal exam.Sam

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COURSE AND EXAM REQUIREMENTS

In addition, it is strongly recommended that participants taking this course must: Be able to demonstrate familiarity with IT terminology and understand the context of ITIL/ITSM

in their own business environment. Have exposure working in the Service Management capacity within a service provider

environment.

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COURSE AGENDA

Note: Refer to the Workbook for the Course Agenda.

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Note: Personal Study Recommendation for StudentsWe would like to recommend that you take time after class each day to read the sections covered in class that day. This would refresh your memory and reinforce the concepts learned in class.

Remark: While this would signifi cantly contribute to the student’s learning, it is not mandatory.

1. Review the 3-day course agenda with the participants. Use the course agenda that suits your situation (starting at 8:00 or at 9:00).

2. Inform the students that there will be a 1-hour lunch break each day (or 45 minutes if time is of issue and lunch is available onsite).

3. Encourage the students to set time aside to study and review the material each evening to prepare for the fi nal exam.


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*For the detailed simulation agenda, refer to the table below.

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Module 1TIPA FOR PROCESS ASSESSMENT

OF IT SERVICE MANAGEMENT

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“Fire” questions at participants rapidly, just as in a television quiz show. The objective here is to warm the participants up to the concepts that they will be learning in the course. Keep this short and peppy. The “dialog” above is indicative and, of course, you would use expressions that you are most comfortable with. When you ask the question to participants, individually call the participants’ names or point to participants if you do not know their names. After you receive a couple of responses, lead them to the topic overview in their Reference Material.


Alright, so can anyone quickly tell me what you understand by the term “process?” And what do you understand by the term “Process Maturity?” Finally, what do you understand by the term “Process Assessment?”Anyone?

So! Each of you has a mission to accomplish when you get out of this training session! I am glad to hear that you are all clear… you want to become trained and qualifi ed as IT Service Management (ITSM) Process Assessors!

I want to tell you that this is a practical skill. So, as much practical exercise and engagement you can get right here, you would be that much more “ready” when you get out there. This course is designed for exactly this and is full of such opportunities. You need to make the most of it, by participating fully and by getting your teeth into each one of the exercises.

Of course, there is an immense body of knowledge behind all that skill. And it is critical for you to be fully aware of this body of knowledge. It will give you the “whats” and the “whys” behind everything you will do as an Assessor. So, do pay attention to the theory; there is quite a bit of it! But believe me, it’ll all be very handy when you get out there and perform your fi rst assessment! That said, without further ado, let us dive straight in!

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TIPA for Process Assessment of IT Service Management | Instructor

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Overview Student Reference Material — Pg. 12

In this module, you will learn about the benefi ts of mature processes, improved in a general way to understand how TIPA fi ts in this context. Then, you will discover what Process Maturity is, and fi nally, grasp what Process Assessment is.

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1.1: BENEFITS OF MATURE PROCESSES

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In this topic, you will learn about the characteristics of a process to make sure we are all on the same page. We will discuss process standards and how it can be benefi cial to implement standards. Then you will understand the benefi ts of improving processes, and you will be able to understand how TIPA contributes to a process improvement approach.

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Alright, now it’s time for some self-study! Let’s put on our reading hats and get cracking!

Activity Learning OutcomesAt the end of this activity, participants will be able to:

Describe the characteristics of a process. Explain what a process standard is. List the benefi ts of standardizing processes. Explain what will be gained by improving processes.

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1. Ask the students to read through the content in detail and note down their queries.2. Let them know that you will answer their queries and clarify doubts regarding the content.3. There might be times when you do not have enough time to answer all questions. In this case, answer

only one or two questions, and either write the other questions down or request the students to give their questions in writing/e-mail to you.

Suggested Activity Duration: 5 minutes, followed by 2 minutes of Q&A


What is a process?Student Reference Material — Pg. 14

A process is a set of interrelated activities that transforms inputs into outputs.

A process has a purpose, a general goal it fulfi ls.

A process can be described in a structured process description.

A process description is quite high-level. The description of a process is different from a detailed procedure or working instructions, where you defi ne the detailed tasks, step by step, with their sequence, conditions, and interaction.

In a procedure, you would describe that if task A’s result is yes, you proceed to task B. If task A’s result is no, you proceed to task C.

At the process level, usually to achieve the process purpose, you just indicate that the following activities are conducted without sequence or detail.

That being said, any activity could be considered a process itself if you place the focus at a more detailed level. For example, HR Management could be considered a process and recruiting an activity. But you could also consider recruiting as an entire process, and then the recruiting interview would be the activity.

What are process standards?World over, in many domains, process standards are defi ned. These standards give a common defi nition of processes in a particular domain.

Such standards can result from international standardization activities at the ISO (International Organization for Standardization) for example. They can also emerge from public organizations or from the private sector. IT Infrastructure Library (ITIL) in the domain of IT Service Management is one such (de facto) standard.

These standards gather best practices in the domain and propose a common defi nition for a reference process.

Why standardize processes?There are several benefi ts of using standardized processes:

There is no need to start from scratch. Use the best practices available on the market. Find effi cient answers to issues that others commonly have. Reuse an already defi ned common vocabulary. Standardize activities and working habits. Implement standard roles and responsibilities.Sample

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Why improve processes?In the past decades, there has been a shift in quality theories.

When the economy was mostly about developing products, the fi rst focus of quality was on quality control — checking that the products did not have defects. Then, quality theories shifted to quality assurance — making sure along the product lifecycle that everything is organized to ensure high quality.

This theory is even more accurate for services. You render a high-quality service if the process producing this service is of high quality.

So, improving processes consists of improving the quality of processes.

When you improve your processes, you go from not very mature processes to mature processes. With immature processes, you have:

Practices that are not repeatable. Results that are achieved thanks to heroes. Events that are unpredictable.

On the other hand, mature processes are defi ned, controlled, and measured, with repeatable and expected activities.

Improving your processes will help you:

Gain productivity and effi ciency. Improve decision-making through better defi nition of roles and responsibilities. Attain better communication and experience sharing by using the same terminology. Improve trust from clients and partners. Develop your ability to take risks or take up new challenges. Enhance the achievement of strategic objectives.

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“Fire” the questions listed on the slide very rapidly, like in a TV quiz show. It would help to practice this a bit prior to class. The quicker and sharper you are, the more effective this would be! Point to participants at random in the class. You could solicit answers from more than one participant for each Concept Jog question.

You don’t need to capture participant responses on the whiteboard or fl ip chart. Once your Concept Jog round is over, and you would like to move on to the lecture, ask participants to remember all of their responses, and try to relate to them as you go through the reasons for improving processes.


Alright, to verify your learning of processes that you have just read up on as a Self-Study exercise, quickly answer the Rapid-Fire questions I will ask you now.

1. What is a process?2. What is the difference between a process and a procedure?3. What are standard processes?4. Where do they come from?5. Why would you use a standard process?6. What is the point of improving processes?7. What benefi ts do you get from improving your processes?

Just Concluded T R A N S I T I O N

1.3What Is TIPA?

1.2Benefi ts of Mature Processes

Coming Up

1.2: WHAT IS TIPA?

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In this topic, you will discover what TIPA is, what the components of this framework are, and when it can be used. You will then fi nd out about the phases of a TIPA project. We will discuss the benefi ts of using TIPA and fi nally, you will learn how TIPA was constructed.

Topic Learning Roadmap

1.2.1Introduction to TIPA

1.2.2TIPA Components

1.2.3TIPA Use Cases

1.2.4TIPA Project Phases

1.2.5Benefi ts of Using TIPA

1.2.6Construction of TIPA

1.2.1: INTRODUCTION TO TIPA

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Introduction to TIPAStudent Reference Material — Pg. 18

TIPA is an ITSM Process Assessment framework. It is built from the combination of the ISO standard for Process Assessment (ISO/IEC 15504) and ITIL.

TIPA provides a full assessment method combining the standard principles of Process Assessment of ISO/IEC15504 and the ITSM best practices included in ITIL.

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TIPA ProcessesStudent Reference Material — Pg. 19

Diagram 1.1 on the slide displays the TIPA Processes Map. It lists the processes that are covered by the TIPA method.

These processes are grouped into fi ve groups:

Service Strategy group: Provides guidance on how to view service management not only as an organizational capability but as a strategic asset.

Service Design group: Provides guidance for the design and development of services and service management practices. It covers design principles and methods for translating strategic objectives into portfolios of services and service assets.

Service Transition group: Provides guidance for the development and improvement of capabilities for introducing new or changed services into supported environments. It ensures that the value(s) identifi ed in the service strategy, and encoded in service design, are effectively transitioned so that they can be realized in service operation.

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Service Operation group: Provides guidance on achieving effectiveness and effi ciency in the delivery and support of services to ensure value for the customer, the users and the services provider. It also provides guidance on how to maintain stability in service operations, allowing for changes in design, scale, scope and service levels.

Continual Service Improvement: Provides guidance on creating and maintaining value for customers through better strategy, design, transition and operation of services. It combines principles, practices and methods from quality management, change management and capability improvement.

1.2.2: TIPA COMPONENTS

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An assessment project that follows the TIPA method is composed of six phases:

1. Defi nition of project scope2. Preparation for the project3. Assessment of the processes 4. Analysis of the processes fi ndings5. Results presentation 6. Closure of the project

You will learn in detail what these phases are in the following modules.

Each phase is composed of tasks that are performed to achieve the objectives of the phase.

Standard roles are defi ned in the TIPA method to describe the various profi les involved in the assessment project. Responsibilities are associated with each role.

During a task, standard TIPA tools are used to produce the outputs of the task. The output of a task can be the input of another task.

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TIPA Method ComponentsStudent Reference Material — Pg. 21

Each task is defi ned in a table with a number within the phase, a name, the roles involved, the tools used during that task, and the outputs produced during that task.

The table you see on the slide is a sample of such a task table.

You will see many of these tables during the training as we go over the different tasks that the Assessor performs during an assessment project.

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TIPA ResourcesStudent Reference Material — Pg. 22

The TIPA framework is described in the TIPA Handbook.

An overview of the framework is available on the Web site: www.tipaonline.org

The TIPA Assessor training and TIPA Lead Assessor training are the basis to become certifi ed TIPA Assessors and TIPA Lead Assessors.

The TIPA Toolbox provides document templates to prepare the documents that are necessary during each phase of the TIPA assessment project.

You can share your experience using TIPA and learn more about the method on the “TIPA - Tudor IT Process Assessment” group on LinkedIn.

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TIPA MethodStudent Reference Material — Pg. 23

Each phase (the green column in the middle) relies on standard tools available in the TIPA Toolbox (the orange column on the left). Standard Tools are referenced as T1, T2, and so on.

Each phase produces output documents (the grey column on the right). These documents are produced using the standard tools. These output documents are referenced as D1, D2, and so on.

We will soon see the content of each of these phases.

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1.2.3: TIPA USE CASES

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Based on the diagram provided on the slide, describe the typical use cases (internal or external) for performing a TIPA assessment.


TIPA Use CasesStudent Reference Material — Pg. 24

You can perform a TIPA assessment in different cases, such as:

You can determine the maturity of your organization internally: o To know where you stand compared to ITIL. o To determine process maturity. o To prepare for ISO/IEC 20000 certifi cation.

You can prepare for process improvement: o By determining the strengths and weaknesses of processes. o By identifying process improvement possibilities. o By structuring the improvement initiative.

You can determine the capability of a partner: o To select the most capable supplier. o To benchmark suppliers against ITIL.

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1.2.4: TIPA PROJECT PHASESThe different phases of the TIPA Project Assessment are represented in the diagram below.

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TIPA Project PhasesThe slide shows the six phases of the TIPA project: Defi nition, Preparation, Assessment, Analysis, Results Presentation, and Closure.

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Phase Purpose ActivitiesDefi nition Phase To defi ne the scope of the

assessment project To identify the key actors To agree on a Service Offer To agree on the assessment

scope agreement

Process selection Assessment scope

defi nition

Preparation Phase To get ready for the assessment by preparing the Assessment Team, the supporting documents used during the assessment, and the people who will be interviewed

Organizational context discovery

Assessment planning and organization

Kick-off meeting

Assessment Phase To collect information by reviewing documents or interviewing people in the organization

To draw conclusions on the achieved maturity level of the assessed processes

Interviews Document reviews Results consolidation Process rating Maturity Level

determination

Analysis Phase To analyze the collected information

To perform a SWOT analysis To propose improvement

recommendations

Identifi cation of SWOT analysis

Proposition of Improvement Recommendations

Results Presentation Phase To present the results of the assessment project using various forms

Writing of detailed report of the results

Presentation to the management

Presentation to the interested parties

Closure Phase To close the assessment project in an appropriate way

Closing meetings

We will see these different phases in details in the following modules.

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1.2.5: BENEFITS OF USING TIPA

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Expected Benefi ts of Using TIPAStudent Reference Material — Pg. 27

If you use the TIPA assessment method for your ITSM processes, you can expect to have the following benefi ts:

Clear view of the current situation by avoiding value judgments and preferring an objective approach.

Improvements of ITSM practices based on objective results. Facilitated improvement by using a predefi ned and structured improvement path for a step-by-

step implementation toward (more) mature processes. Standardization and increased productivity by structuring the improvement of all processes

using the same approach. Reinforced motivation to set up ITIL processes effi ciently using an interview-based, bottom-up

approach. Better enforcement of ITSM processes. Repeatability and sharing of the TIPA method. Possibility to customize the description of the reference process according to the context.

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1.2.6: CONSTRUCTION OF TIPA

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ReadingsFor detailed information on the construction of TIPA, please refer to sub-topics below.

ContextStudent Reference Material — Pg. 29

TIPA is: An initiative of the Public Research Centre Henri Tudor (CRP Henri Tudor) in

Luxembourg. Is the result of a research project [AIDA (Assessment & Improvement integrateD

Approach (combined use of ITIL & ISO/IEC 15504)].

ProblemsIn 2001, ITIL v2 was composed of the Service Support and Service Delivery books, which had the following weaknesses:

The content was not appropriate for assessment. The content was either too voluminous, or not detailed, accurate, and technical enough. The self-assessment proposed by ITIL was too light. The market need for objective and repeatable assessment of ITIL processes was

identifi ed.

SolutionThe solution was:

To model the content of the ITIL books according to ISO/IEC 15504 requirements. To propose a full assessment method using ISO/IEC 15504 principles.

Steps for the Process DescriptionThe construction steps for the process description are:

« Bottom up » Empirical Approach to structure ITSM activities in a process model according to a process approach

Validation and recognition of the process model by the community of interest (ISO/IEC 15504, ITIL, and itSMF)

Experimentation of the TIPA process model during real assessment projects Further experimentation and usage by early adopters

The initial TIPA framework based on ITIL V2 was published in June 2005.The updated TIPA framework based on ITIL V3 was published in June 2010.The updated TIPA framework based ITIL 2011 was published in July 2012.

Steps for the Process Assessment MethodThe construction steps for the process assessment method are:

Previous multiple Process Assessment experiences at Public Research Centre Henri Tudor

Defi nition and description of standard phases for a Process Assessment project Construction of standard tools supporting a Process Assessment project Customization to the standard phases and standard tools to adapt to the ITSM-specifi c

context Experimentation of the TIPA methodology and Toolbox during real assessment projects Further usage by early adopters

For more information on the construction of the TIPA method, you can visit the TIPA Web site (www.tipaonline.org) or read the book entitled “ITSM Process Assessment Supporting ITIL®” published by Van Haren Publishing.


1.3Process Maturity

1.2What Is TIPA?

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1.3: PROCESS MATURITY

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In this topic, you will discover what Process Maturity is and what Maturity Levels are. You will then fi nd out about Process Attributes and fi nally, you will learn about the difference between Process Maturity and organizational maturity.


1.3.1What Is Process Maturity?

1.3.2What Are Maturity Levels?

1.3.3What Are Process Attributes?

1.3.4Process Maturity v/s Organizational Maturity

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1.3.1: WHAT IS PROCESS MATURITY?

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ASSIGNMENT 1Activity Learning ObjectivesAt the end of this ac vity, par cipants will be able to:

Identify the names of the different Process Maturity Levels. Understand what is behind each name.

1. Point participants to Assignment 1 in their Workbook. Draw their attention to the fact that they have more information displayed in the last column of their table than on the slide.

2. Ask them to spend a couple of minutes analyzing the name of each Process Maturity Level and the defi nitions.

3. Encourage them to draw connector lines in the table provided in their Workbook.4. Let students know that they will fi nd the correct answers under Assignment 1 in the “Answers” section of

the Annexure book (PartB).Suggested Activity Duration: 5 minutes

Assignment 1 - Delivery Instructions

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ActivityQ1. Match the Process Maturity Level name to the defi nition described in the table below.

Process Maturity Level Name

Process Maturity Level Defi nition

A Incomplete 1 The process is quantitatively managed to become stable, capable, and predictable within defi ned limits.

The organization is capable of identifying and correcting the causes of the variations in the process.

B Predictable 2 The process is implemented and achieves its purpose. The process achieves its defi ned expected results. Process activities are performed, but the process is not really monitored and repeatable. The results of the process depend on “heroes,” people with the right competencies who are willing to work hard.

C Managed 3 The process is continuously improved to meet relevant current and projected business goals. The performance, defi nition, and management of the process are continually improved.

D Performed 4 The process is not implemented or fails to achieve its purpose. The performance of the process is often chaotic and the expected results are not achieved.

E Optimizing 5 A standard process is defi ned and used throughout the organization.

The standard defi nition of the process includes:

a) A standard process, including appropriate tailoring guidelines.

b) The sequence and interaction with other processes.

c) The required competencies and roles.

d) The required infrastructure and work environment.

e) Suitable methods for monitoring.

The standard process is institutionalized; it is used and known by everyone.

F Established 6 The performance of the process is planned, monitored, and adjusted. The results of the process are appropriately specifi ed, controlled, and maintained. There is still no coherence check from an organizational point of view. Each team can achieve the expected results in a different way.Sam

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Sample Answer: Refer to Assignment 1 in the “Answers” section.

Process Maturity Level Name

Process Maturity Level Defi nition

A Incomplete 4 The process is not implemented or fails to achieve its purpose. The performance of the process is often chaotic and the expected results are not achieved.

B Predictable 1 The process is quantitatively managed to become stable, capable, and predictable within defi ned limits.

The organization is capable of identifying and correcting the causes of the variations in the process.

C Managed 6 The performance of the process is planned, monitored, and adjusted. The results of the process are appropriately specifi ed, controlled, and maintained. There is still no coherence check from an organizational point of view. Each team can achieve the expected results in a different way.

D Performed 2 The process is implemented and achieves its purpose. The process achieves its defi ned expected results. Process activities are performed, but the process is not really monitored and repeatable. The results of the process depend on “heroes,” people with the right competencies who are willing to work hard.

E Optimizing 3 The process is continuously improved to meet relevant current and projected business goals. The performance, defi nition, and management of the process are continually improved.

F Established 5 A standard process is defi ned and used throughout the organization.

The standard defi nition of the process includes:

a) A standard process, including appropriate tailoring guidelines.

b) The sequence and interaction with other processes.

c) The required competencies and roles.

d) The required infrastructure and work environment.

e) Suitable methods for monitoring.

The standard process is institutionalized; it is used and known by everyone.

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1.3.2: WHAT ARE MATURITY LEVELS?

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ASSIGNMENT 2Activity Learning OutcomesAt the end of this activity, participants will be able to:

Remember the different Process Maturity Levels. Know how these Maturity Levels are sequenced.

1. Point participants to Assignment 2 in their Workbook.2. Ask them to spend a couple of minutes analyzing the Process Maturity names and the levels. Encourage

them to use the defi nition from the previous exercise.3. Encourage them to draw connector lines in the table provided in their Workbook.4. Let students know that they will fi nd the correct answers under Assignment 2 in the “Answers” section.Suggested Activity Duration: 5 minutes


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ActivityQ1. Match the Process Maturity Name to the Process Maturity Level listed in the table below.

Process Maturity Level Process Maturity Name0 Maturity Level 0 A Incomplete

1 Maturity Level 1 B Predictable

2 Maturity Level 2 C Managed

3 Maturity Level 3 D Performed

4 Maturity Level 4 E Optimizing

5 Maturity Level 5 F Established


Process Maturity Level Process Maturity Name0 Maturity Level 0 A Incomplete

1 Maturity Level 1 D Performed

2 Maturity Level 2 C Managed

3 Maturity Level 3 F Established

4 Maturity Level 4 B Predictable

5 Maturity Level 5 E Optimizing

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1. Summarize what has been learned in the previous activities.


Process Maturity Levels – SummaryOn this slide, you can see a summary of the six Process Maturity Levels that describe the path to a mature process, from the incomplete stage to the continuous improvement one. Take a few minutes and revise the Maturity Levels quickly, as illustrated and described in the diagram on the slide.

Let’s take the example of the Incident Management process:

At Level 1: the incidents are effectively managed towards a timely resolution in order to minimize their adverse impact on business operations (check that the process purpose is achieved). To know if the process is at level 1, we check that the operational activities of the process are performed: incident recording, prioritization, analyzing…

At level 2: Among other things, the competencies required to manage the incidents are presents and owned by several persons (existence of backup persons). If only one person owns the relevant competencies (for a specifi c type of incident), backup is planned in case of absence of this person. To know if the process is at level 2, we look at what happens if an incident takes a very long time to be resolved, in particular, if incident resolution targets defi ned in SLAs are in jeopardy. We check also if the staff count and existing tools are enough (and not too much) regarding the volume of incoming incidents.

We check also the existence of documenting rules and/or template for the incident recording, analyzing and record updating. And we check if there are some reviews and validation of what is recorded in the incident documentation (quality control).

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At level 3: there are documents that describe the Incident Management process (main activities, incident documentation, quality check, interactions with the others processes…) and the competencies and resources (e.g. tool specifi cations) required to manage the incidents.

To know if the process is at level 3, we check if all what is documented about the Incident Management process is effectively implemented in the day-to-day activities. What you have verifi ed in the two fi rst levels should help you. The objective is to verify two things: the alignment between the reality in the fi eld and what is documented, and the consistency of the process execution through the whole organization.

At level 4: Among other things, the acceptable time for recording an incident is defi ned (maybe different for each type of incident and/or for each priority level) and is effectively measured on a day-to-day basis. In case of breach of this time limit, corrective actions are taken in order to control the process execution. For example, two staff members may be assigned to the incident analysis to speed up the incident resolution time and, fi nally, avoid breaching the incident resolution target (defi ned in the SLAs).

To know if the process is at level 4, you would check whether such measures exist and are controlled for all activities of the Incident Management process in order to allow the organization to quantitatively manage (and control) the process execution.

At level 5: the organization stands back in order to assess and improve the Incident Management process. Among other things, the organization keeps watch on the new incident management tools and best practices and evaluates the interest of implementing them to make the process more effi cient.

All measures collected during the previous level are analyzed to identifi ed trends and improvement opportunities. For example, the organization may identify that the time used to prioritize the incidents of a given category is always very short. The in-depth analysis may show that all these incidents have the same priority that is the lowest one. After a risk assessment, the organization may decide to remove the prioritization activity for this kind of incident and thus save time for the resolution of the more critical incidents.

To know if the process is at level 5, you would check whether improvement actions are collected and then check that all identifi ed improvements to the Incident Management process are well planned, implemented and their effectiveness is evaluated.

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1.3.3: WHAT ARE PROCESS ATTRIBUTES?Student Reference Material — Pg. 35

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The diagram “Process Attributes” is given as zoomed graphic in the “Additional Readings” section.

A Process Attribute (PA) represents a measurable characteristic of the maturity of a process.

Process Maturity Levels are composed of one or two Process Attributes.

Each Process Maturity Level is composed of one or two Process Attributes.

Maturity Level 1 has only one attribute.

Maturity Levels 2 to 5 each have two attributes.

A Process Attribute represents a measurable characteristic of the maturity of the process.

We will understand later why it is useful to decompose Maturity Levels into Process Attributes.

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1.3.4: PROCESS MATURITY V/S ORGANIZATIONAL MATURITY

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ReadingsFor an explanation of the difference between Process Maturity and organizational maturity, please refer to the sub-topics below.Process MaturityStudent Reference Material — Pg. 36

The aspects of Process Maturity are: TIPA measures Process Maturity. Process Maturity is also called Process Capability. When assessing Process Maturity, each process is observed individually. The results of the assessment are particular to one process. The results of one process do not infl uence the results of another. With the individual results of several processes, you cannot draw any conclusion about

the maturity of the entire organization.

Organizational MaturityOrganizational maturity goes one-step further:

Each process is considered individually. Processes are grouped by organization maturity levels. Results for all processes are combined to measure the maturity of the entire

organization. To improve the overall maturity, you fi rst focus on basic processes; that is, foundation

processes in lower organization maturity levels. Then, you cover more complex processes in higher organization maturity levels.


1.4What Is Process Assessment?

1.3Process Maturity

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1.4: WHAT IS PROCESS ASSESSMENT?

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In this topic, you will discover what assessing a process is. You will see the TIPA Rating Scale and a Process Profi le. You will then understand how to present the TIPA Assessment Results (Report and Presentation). Finally, you will learn the difference between assessment and audit, and have your fi rst experience with using the Rating Scale.


1.4.1Introduction to Process Assessment

1.4.2TIPA Rating Scale

1.4.3Process Profi le

1.4.4Assessment Report

1.4.5Presentation of Assessment Results

1.4.6Assessment v/s Audit

1.4.7Experiencing the Rating Scale

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1.4.1: INTRODUCTION TO PROCESS ASSESSMENT

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Process AssessmentStudent Reference Material — Pg. 38

Process Assessment is a technique that is used to compare the current practices regarding a particular process in an organization to a standard description of that process.

Process Assessment relies on a standard, structured, and textual description of the processes in a particular domain (ITSM in our case). A team of Assessors goes to an organization and interviews people from the organization to understand how they currently work. Assessors conduct the interviews with the standard process description as reference. They also ask questions on the various aspects of Process Maturity that we have discussed previously.

Gathering results from several interviews, Assessors can then draw conclusions on the matching of the actual practices to the reference process. They also identify the Maturity Level reached by the process.

Process Assessment aims mainly at determining whether the process achieves its purpose. It focuses on what is performed and what results are achieved and not on how activities are conducted. The precise steps that you go through to obtain these results or the specifi c tool you use to perform the activity are not assessed. You look at whether the activity is performed and most of all, whether its results are achieved.

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1.4.2: TIPA RATING SCALE

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TIPA Rating ScaleStudent Reference Material — Pg. 39

TIPA uses an ordinal scale against which all assessed items are measured. The scale is calibrated using four points; that is, “N” (“Not”), “P” (“Partially”), “L” (“Largely”), and “F” (“Fully”). The scale also includes “N.A.” for “Not Applicable.”

Let me explain the meaning of these four points:

“N” or “Not” achieved: There is little or no evidence of achievement of the item being assessed. “P” or “Partially” achieved: There is evidence of partial achievement of the item being assessed.

Some aspects of achievement may be unpredictable. “L” or “Largely” achieved: There is evidence of a sound, signifi cant achievement of the assessed

item. Signifi cant weaknesses still exist. “F” or “Fully” achieved: There is evidence of full achievement of the item being assessed. No

signifi cant weaknesses exist. “N.A.” or “Not Applicable”: In the current context, this item does not apply. Either the item should

not be rated or there is not enough information to rate it.The four points of the ordinal scale can be mapped to percentages as you can see on the slide.

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1.4.3: PROCESS PROFILE

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Explain the diagram presented on this slide.


Process Profi leStudent Reference Material — Pg. 40

This slide displays the Process Profi le of the Change Management process. In Diagram 1.7, the upper section depicts the resulting ratings for the assessment of this process. The rating of each Process Attribute is visible, for example, you can see that Process Performance is rated “F” and Process Defi nition is rated “P.”

In the lower section of the slide, you can also see a diagram that displays the Maturity Level reached by this process. In the diagram:

Black means the level is achieved. Gray means the level has been assessed and is not achieved. White means the level has not been assessed.

The diagram shows that the process has reached Maturity Level 1.

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1.4.4: ASSESSMENT REPORTStudent Reference Material — Pg. 41

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The Assessment Report is the main result of a TIPA assessment project. It is a detailed document produced during the Results Presentation Phase of the TIPA project. It records the detailed results of the assessment project. It shows the Process Profi le of each assessed process. It contains the SWOT of each process and summarizes the Improvement Recommendations.

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1.4.5: PRESENTATION OF ASSESSMENT RESULTS

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Presentation of Assessment ResultsStudent Reference Material — Pg. 42

The results of the assessment included in the Assessment Report are presented to interested parties during a presentation meeting.

The Assessment Team explains the goals of the assessment and the context. They present the overall Process Profi le for all assessed processes. Then, they drill down to the detailed results for each process by describing the main fi ndings, the SWOT, and the Improvement Recommendations.

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1.4.6: ASSESSMENT V/S AUDIT

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Student Reference Material — Pg. 43

ReadingsFor an explanation about the difference between assessment and audit, please refer to the table below.Table 1.2: Difference Between Assessment and Audit

Assessment Audit Is part of an improvement

approach. Is part of a certifi cation approach.

Goals: o Have a check-up. o Identify the strengths and

weaknesses of assessed processes.

o Identify whether assessed processes achieve their expected results.

Goal: o Check compliance with a

standard.

Results are based on a Rating Scale.

Has binary results: OK or not OK.

Follows a bottom-up approach. Follows a top-down approach. Has a voluntary and participative

approach. Unless the assessment is carried out for capability determination purposes.

Has a controlled approach.

Initiates an improvement program. Unless the assessment is carried out for capability determination purposes.

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1.4.7: EXPERIENCING THE TIPA RATING SCALE

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ASSIGNMENT 3Experiencing the TIPA Rating ScaleActivity Learning OutcomesAt the end of this activity, participants will be able to:

Identify the different points in the TIPA Rating Scale. Apply the different points in the Rating Scale.

Establish what a fair rating is (not too nice and not too strict).

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1. Ask the participants to study the interview transcript provided to them under Assignment 3 in the “Assignment Readings” section.

2. Start rating the fi rst two activities with the class to give them a fi rst feeling of the way of applying the rating scale.

3. Ask the participants to individually note down their ratings for the other activities in the “Rating Form” provided under Assignment 3 in their Workbook.

4. Ask participants at random to give/argue/defend their rating and you (the facilitator) summarize the ratings and rationales on the fl ipchart/whiteboard.

5. You write the correct ratings in the last column on the fl ipchart/whiteboard.6. After writing out your ratings, probe participants on reasons for their ratings.7. To increase engagement levels, it is a good idea to contradict the participants’ ratings every once in a while,

even if they are correct, just to push them to think through and articulate the reasons for their ratings.8. Let the participants know that they will fi nd the correct answers under Assignment 3 in the “Answers”

section.Total Suggested Activity Duration: 30 minutes — 10 minutes to read the text and rate each activity; 5 minutes to summarize the ratings on the fl ipchart/whiteboard; 15 minutes to discuss the differences between participants’ ratings and the correct ratings.

Pay attention

Do not let the class go into too many discussions. Do not spend more than 30 minutes on this activity.

If there are discussions, stop them by explaining that:

It is normal to be confused when using the rating scale for the fi rst time. It takes some time to adjust your “rating cursor”.

The sample answer provided is just a sample. There is no “correct” answer. In real life, you are 2 in the team and you have to discuss until you fi nd a consensus. In real life, you get more information during an interview than just a few lines on paper. In real life, you can go back to the Interviewee for more details. In real life, you have other interviews during which you can check the unclear information. In real life, if you do not have information or if you cannot fi nd a consensus, you can always rate “N.A”.


Alright, so we will now do an exercise where you will read a scenario and then rate each described activity in the scenario using the NPLF Rating Scale.

Assignment 3 Experiencing the TIPA Rating Scale1. Read the context provided under Assignment 3 in the “Assignment Readings” section.2. Discuss the rating for the fi rst two activities with the class.3. Rate individually each remaining activity in your Workbook under Assignment 3 using the

NPLF Rating Scale.4. Justify each rating.5. Discuss your fi ndings with the class. Sam

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ASSIGNMENT 3Q1. Rate each described activity in the scenario using the NPLF Rating Scale. Justify each rating

and discuss your fi ndings with the class.

Rating FormService Level Management

Activity Name Description Findings/Supporting Evidence Individual Rating

SLM.1 Determine, Document and Agree on Service Level Requirements

Determine, document and agree on service level requirements for services being developed, changed or procured. The SLRs should be an integral part of the overall service design criteria which also include the functional or “utility” specifi cations.

NOTE 1: Representatives of other processes need to be consulted to determine which targets can be realistically achieved.

SLM.2 Negotiate, Document and Agree upon SLAs for Operational Services

Draft, negotiate, and then agree on SLAs, detailing the service level targets to be achieved and specifying the responsibilities of both the IT service provider and the customer.

SLM.3 Monitor Service Performance against SLAs

Monitor and measure service performance achievements of all operational services against targets within SLAs.

NOTE 2: Monitoring capabilities are established, reviewed and upgraded to assist with the service performance measurement

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Activity Name Description Findings/Supporting Evidence Individual Rating

SLM.4 Provide Service Reporting to Customers

Produce and communicate service reports to customer, based on agreed mechanisms, report format, and intervals (service achievement report, operational reports, and where possible, exception reports should be produced whenever an SLA has been broken).

NOTE 3: Service Reports should be reviewed with the customer on a regular basis.

SLM.5 Conduct Service Reviews and Discuss Improvements

Hold review meetings on a regular basis with customers to review the service achievement in the past period, to anticipate any issues for the coming period and to identify potential improvements.

SLM.6 Review SLAs, OLAs, and UCs

Review SLAs and service scope periodically (at least annually), to ensure that they are still aligned to business needs and strategy. Ensure that service levels defi ned in Operational Level Agreements (OLAs) and Underpinning Contracts (UCs) are kept aligned.

NOTE 4: SLRs and SLAs should be reviewed jointly.

NOTE 5: SLM should assist Supplier Management with the review of all supplier agreements and UCs to ensure that targets are aligned with SLA targets.

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1.5Summary

1.4What Is Process Assessment?

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1.5: SUMMARY

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TIPA SummaryStudent Reference Material — Pg. 45

TIPA is a structured Process Assessment method for ITSM following the ISO/IEC 15504 standard. It consequently relies on a proven Process Assessment method developed by an international group of experts.

This assessment method ensures objectivity, confi dentiality, and repeatability of assessments. It allows an easy comparison between assessment results and permits objective benchmarking.

TIPA relies on a clear description of the ITIL processes to be assessed, which serves as a reference. TIPA focuses on “what,” not on “how.” It evaluates the process ability to achieve its objective.

TIPA allows determining the Maturity Level reached by the process, placing the process on the 6-Level Process Maturity scale.

The TIPA assessment measures the achievement using a progressive Rating Scale with NPLF.

The TIPA method proposes a clear way of presenting results with the Process Profi le, Assessment Report, and Results Presentation.

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Module 2ROLES IN THE TIPA PROJECT

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To understand how a TIPA project is organized, you need to know how the key actors in the project are involved in this type of project. In this module, you will learn about the various roles involved in a TIPA project. You will also understand the responsibilities of each role and its involvement in each phase of the project. Finally, you will focus on the role of the Assessor.

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Roles in the TIPA Project | Instructor

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The slide lists the topics that will be covered in this module.

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2.1: ROLES IN THE TIPA PROJECT

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The roles involved in a TIPA project can be split into two groups: Roles belonging to the organization conducting the assessment Roles belonging to the organization being assessed

The slide lists roles in the organization conducting the Assessment and roles in the organization being assessed.

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Roles in a TIPA ProjectStudent Reference Material — Pg. 50

Alright, now it’s time for some self-study! Let’s put on our reading hats and get going!

Activity Learning OutcomesAt the end of this activity, participants will be able to:

List the various roles involved in a TIPA project Explain the major responsibilities of each role

1. Ask the participants to read through the content in detail, and note down their queries.2. Let them know that you will answer their queries and clarify doubts regarding the content.3. There might be times when you do not have enough time to answer all the questions. In this case, answer

only one or two questions, and either write the other questions down or request the participants to give their questions in writing/e-mail to you.

4. Encourage the class to discuss the topic being taught.Suggested Activity Duration: 1 min, followed by 1 min of Q&A


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Table 2.1 Roles in the Organization Conducting the Assessment

Organization Conducting the AssessmentRole Key Responsibilities

Sales Manager Presents the TIPA process assessment approach Conducts the fi rst meetings to defi ne the service offer

Lead Assessor Manages the TIPA assessment project Ensures conformity with the TIPA methodology Can also be an Assessor

Assessor

Conducts the assessment interviews Analyzes the results Draws conclusions on the assessed process maturity Produces the assessment report

Observer

Attends the interviews and ratings as a silent participant Learns how to assess processes Can come from the assessment team or from the

organization being assessed

Assessment Team Composed of the Lead Assessor and all the Assessors, including optional Observers

Table 2.2 Roles in the Organization Being Assessed

Organization Being AssessedRole Key Responsibilities

Assessment Sponsor

Usually a member of the management Is the person or entity who requests the TIPA assessment Is internal or external to the assessed organizational unit Has the authority to push or support the assessment project

in the organization Provides fi nancial and other resources to the project

Assessment Coordinator Manages the TIPA assessment logistics within the

organization being assessed (schedules meetings, books rooms, and so on)

Is the interface between the Assessment Team and the organization being assessed

Interviewee Member of the organization where the process assessment

takes place Is interviewed on the way the process is performed

Management Members of the management of the organization being assessed


2.2RACI in TIPA Project Phases

2.1Roles in the TIPA Project

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2.2: RACI IN TIPA PROJECT PHASES

We learned about the different roles involved in the TIPA project. However, for these roles to function effectively, you must defi ne the RACI structure of these roles appropriately.

RACI in TIPA Project PhasesStudent Reference Material — Pg. 53

The RACI chart ensures that the different roles involved in the TIPA project have clearly defi ned responsibilities. RACI is important for the roles to be successful because it helps in quick decision making on issues that might arise during an assessment project and in executing decisions effectively.

On the next three slides, you’ll fi nd out who does what in a typical assessment project.

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Take a quick minute to see who’s involved, and what they do, in the Defi nition and Preparation Phases of an assessment project.

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And now to the Assessment and Analysis Phases... These are at the core of a TIPA assessment. As you can see, the roles have become fewer here. The Assessors and the Lead Assessor are the key actors of these phases.

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With the Results Presentation and Closure Phases, we bring back all the actors back on to the stage. As you can see, it’s like an hourglass structure. It starts with several people from the Assessment team as well as the client organization playing a role in getting the project started. Then, it narrows down to the core business of the Assessment team, where you fi nd much fewer actors. Finally, it broadens out to more roles as the project wraps up.


2.3Role of the Assessor in a TIPA Project

2.2RACI in TIPA Project Phases

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2.3: ROLE OF THE ASSESSOR IN A TIPA PROJECT

Alright, you have just had an overview of the involvement of each role in the various phases of the TIPA project. You have also seen that, while all the roles and their responsibilities are essential to the TIPA project and during the TIPA project phases, the role of the Assessor is critical to the success of an assessment project.We will now understand this role in each phase of the TIPA project.

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Role of the Assessor in a TIPA ProjectStudent Reference Material — Pg. 55

1. During the Defi nition Phase, Assessors are not selected yet. They do not take part in this phase.2. During the Preparation Phase, Assessors are selected and briefed by the Lead Assessor

on the context of the project. The Assessor helps prepare the documents used to conduct the assessment interviews. The Assessor takes part in the kick-off meeting as part of the Assessment Team.

3. During the Assessment Phase, the Assessor is highly involved. He conducts interviews. Then, he reviews collected documents. The Assessor is responsible for rating interviews and processes as well as determining the Maturity Level of the process.

4. During the Analysis Phase, the Assessor is highly involved. He analyzes the information collected during interviews and identifi es the strengths, weaknesses, opportunities, and threats related to the process. The Assessor then determines improvement recommendations.

5. During the Results Presentation Phase, the Assessor writes parts of the assessment report and presents parts of the assessment results during the presentation meeting.

6. During the Closure Phase, the Assessor shares lessons learned with the rest of the Assessment Team.

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2.4Roles and RACI in TIPA Project — Summary

2.3Role of the Assessor in a TIPA Project

Coming Up

2.4: ROLES AND RACI IN TIPA PROJECT — SUMMARYStudent Reference Material — Pg. 56

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In this module, we learned about the roles involved in and the RACI structure of the TIPA project assessment. The roles involved in the TIPA projects are grouped into two categories, as listed on the slide.We also learned in detail about the role of the Assessor in the different phases of the TIPA assessment project.

This brings us to the end of this module. We will learn about the Defi nition and Preparation Phases in the next module.

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TIPA Assessor for ITIL Instructor Guide

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Transcript of TIPA Assessor for ITIL Instructor Guide