Group Assignment 3 - Gap Analysis report

There are various quality related issues the IT management of ElectricWorks

at hand is struggling with and it is under pressure from senior usiness
managers to clear up their act or face wide scale outsourcing! The IT manager
wants to improve the quality of service delivery issues y implementing
I"#$IE% &'''' to show senior usiness management that there is no need to
outsource them!
The management team is very positive aout your knowledge aout I"#$IE%
&'''' and has asked if you can come up with a structure for a gap analysis
report that will identify the gaps etween the current and required maturity to
pass an I"#$IE% &'''' audit y an (%)!
Give a rief outline of the structure of your proposed report* with e+amples of
content!
,reparation- &' minutes preparation for the presentation
,resentation- .a+imum /' minutes 0presentation and discussion1
Target audience- IT management team ElectricWorks
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Context
Objective
Report back
Time allowed
Answer key 4 Group assignment 3 - Gap Analysis report
]Gap analysis Report
5ame %lient
Version :
Autor :
!ate :
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Table o" Contents
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&!3! "%#,E!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
&!:! A,,(#A%;!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
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3.1.1. Management responsibility....................................................................3
3.1.2. Documentation requirements................................................................3
3.1.3. Competence, awareness and training...................................................3
3!&! ,>A55I5G A56 I.,>E.E5TI5G "E(9I%E .A5AGE.E5T!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!3
3.2.1. Plan service management (Plan..........................................................3
3.2.2. !mplement service management and provide t"e service (Do.............3
3.2.3. Monitoring, measuring and reviewing (C"ec#......................................3
3.2.$. Continual improvement (%ct.................................................................3
3!3! ,>A55I5G A56 I.,>E.E5TI5G 5EW #( %;A5GE6 "E(9I%E"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!3
3!:! "E(9I%E 6E>I9E(= ,(#%E""E"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!3
3.$.1. &ervice 'evel Management...................................................................3
,(#%E"" "%#,E!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
A%TI9ITIE"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
3.$.2. &ervice (eporting.................................................................................. 3
3.$.3. &ervice Continuity and %vailability management...................................3
3.$.$. )udgeting and %ccounting *or !+ services.............................................3
3.$.,. Capacity Management.......................................................................... 3
3.$.-. !n*ormation &ecurity Management.........................................................3
3!?! (E>ATI#5";I, ,(#%E""E"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
3.,.1. )usiness relations"ip management.......................................................3
3.,.2. &upplier management........................................................................... 3
3!3! (E"#>7TI#5 ,(#%E""E"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!3
3.-.1. !ncident Management............................................................................ 3
3.-.2. Problem Management........................................................................... 3
3!@! %#5T(#> ,(#%E""E"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
3...1. Con*iguration Management...................................................................3
3...2. C"ange Management............................................................................ 3
3!A! (E>EA"E ,(#%E""E"!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3
3./.1. (elease Management........................................................................... 3
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2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
!ocument )istory
Version Date Comment, Status

2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
&ana9ement +ummary and conclusions
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
*ntroduction
*ntroduction
5ame %lient is aiming for I"#$IE% &'''' certification! With this certification 5ame %lient
wants to e+pand its market share and create additional usiness opportunities for its e+isting
set of services!
This report is the result of a gap analysis that was conducted for 5ame %lient and provides
5ame %lient with information regarding the gap etween current and desired maturity level
ased on the I"#$IE% &''''-/!
Objectives
The oCective of the gap analysis is to-
Assess how the IT service management processes of 5ame %lient compare with those
descried in I"#$IE%&''''-/D
Identify any gaps etween the current practises of 5ame %lient and the requirements of
I"#$IE%&''''-/D
A list of recommendations and potential risks!
(ecommend a series of practical steps for improving any shortfalls identified y the gap
analysis
#ptional-
A high level plan of approach to implement the recommendations!
A clear path $ne+t steps towards achieving I"#$IE%&'''' certification
+cope
The focus of this gap analysis is on The IT "ervice .anagement "ystem that covers the
provision of service E with thatFs provided from location A and location ) of 5ame %lient!
Approac
The following approach was conducted! In the appendi+ list of persons interviewed is
included!
nr +teps Aim: results
/ ,reparation y reading provided
material
)eing effective from the first day we start at 5ame %lient
& Bick off session .eeting with sponsor and other key stakeholders! Getting the
scope* attention points and key targets of assessment clear
3 Interviews with line managers and
process managers
Getting insight in the effectiveness of the processes
: Interviews with process involved
0key1 employees
Get insight in the maturity and improvement potential of all
individual processes!
? Writing the preliminary report Write* ased on the outcomes of the interviews a preliminary
report!
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
nr +teps Aim: results
3 ,resent preliminary results ,resent the preliminary results to the key stakeholders*
providing the opportunity to include the feedack in the final
report!
@ ,erform some additional inquiries$
interviews
If necessary some additional inquiries may e necessary to
solve any gaps in the information already availale!
A Write final report Write* ased on the outcomes of the presentation and
additional information the final report!
G ,resent final report ,resent the final report to the key stakeholders!
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Gap analysis
Each principle question is provided with a HreferenceI field! This is designed to record cross
reference information to support the answer given!
(eferences are-
,rocedures which address the question and indicate compliance
Information on the proCect* team or individual currently working ons process improvement
0especially for Hin progressI answers1
The chapter and section numers of appropriate instructions within quality manuals or
procedures
The name of Co title of the person responsile 0e!g! the process owner1
.emos* e-mails etc* addressing the issue!
All the questions permit one of four answers
=es
5o
In ,rogress 0,rog1
5ot Applicale 05$A1
Also per requirement it shows e+plicitly the section of I"#$IE% &''''-/ addressed y each
question! The first column shows where a question directly relates to a clause or suclause
within I"#$IE% &''''-/! Where an ordinal numer is given this is the relevant paragraph
within the stated clause or suclause!
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Re;uirements "or a mana9ement system
&ana9ement responsibility
*+O0#### ,es (o 1ro
(<
A
Remark
a1 6o service management plans define-
/1 the scope of service management within the organiJationK 2$. a1
&1 the processes to e e+ecutedK 2$. c1
31 the framework of management roles and responsiilities*
including process ownersK
2$. d1
:1 the oCectives and requirements to e achievedK 2$. 1
?1 the interfaces etween service management processes and how
activities are to e co-ordinatedK
2$. e1
31 an approach to identifying* assessing and managing issues and
risks to achieving the defined oCectivesK
2$. f1
@1 an approach to interfacing with proCects delivering new* or
modifying e+isting* servicesK
2$. g1
A1 required udget* facilities and other resourcesK 2$. h1
G1 provide an approach to managing* auditing and continuously
improving the quality of service managementK
2$. C1
/'1 define key roles and responsiilities within the service
management teamK
//1 where appropriate* address the use of third-party suppliers
within the serviceK
2$. d1
(e*erence-
1 Are all specific process plans compatile with the service
management planK
2$.* 3
rd
(e*erence-
!ocumentation re;uirements
L!!
Competence: awareness and trainin9
L!!
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
1lannin9 and implementin9 service mana9ement
1lan service mana9ement =1lan>
L!!
*mplement service mana9ement and provide te service =!o>
L!!
&onitorin9: measurin9 and reviewin9 =Ceck>
L!!
Continual improvement =Act>
L!!
1lannin9 and implementin9 new or can9ed services
L!!
+ervice !elivery processes
+ervice /evel &ana9ement
Process overview
*+O0####
,e
s
(o 1ro (<A
Remarks
a1 Is each service defined* agreed and documented in at least one
">AK
?$.* /
st
(e*erence0
1 ;ave ">As een documented and agreed with all relevant partiesK
-$0 1D ?$.*
/
st
(e*erence0
c1 Are there formal agreements* agreed y all parties* for all services
that support ">As and are supplied from outside the service
providerFs management controlK
?$.* /
st
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
*+O0####
,e
s
(o 1ro (<A
Remarks
(e*erence0
d1 Are there documented agreements* agreed y all parties* for all
services that support ">As and are provided internally within the
organiJationK
?$.* /
st
(e*erence0
1rocess scope
*+O0####
,e
s
(o 1ro (<A
Remark
a1 Is there a service catalogue showing the full range of IT services
availale to customersK
?$.* /
st
(e*erence0
1 ;ave all parties concerned agreed the content of the service
catalogueK
?$.* /
st
(e*erence0
c1 ;ave all underpinning support services relevant to ">As een
identifiedK
?$.* /
st
(e*erence0
Activities
*+O0####
,e
s
(o 1ro (<A
Remark
a1 6o all relevant parties agree and record underpinning operational
service oCectives and corresponding proceduresK
?$.* /
st
(e*erence0
1 Is there agreement on the service level targets and e+pected
service workload characteristicsK
?$.* /
st
(e*erence0
c1 6o all formal agreements-
/1 descrie the service to e provided in terms of the usiness
requirementsK
&1 reflect the potential need for changes to the service* workload or
service levels y including a mechanism for changing the
agreementsK
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
*+O0####
,e
s
(o 1ro (<A
Remark
(e*erence0
d1 6oes the ">. process consider the costs of delivering the service
and usiness Custification of those costsK
(e*erence0
e1 Is there co-ordination with other service management support
functions* including third-party suppliersK
(e*erence0
f1 Is there a procedure for the agreement of temporary variations to
the serviceK
(e*erence0
g1 Are ">As signed y senior customer and service provider
representativesK
(e*erence0
h1 Are all services covered y ">As also covered y formal change
control proceduresK
(e*erence0
i1 Are the targets against which the delivered service is measured
e+pressed in terms of the customerFs usinessK
(e*erence0
C1 Is there a manageale set of targets within the ">AsK
(e*erence0
k1 Are #>As and underpinning contracts regularly reviewed and
renegotiated as part of significant change controlK
(e*erence0
l1 Are the reasons for non-conformance to targets-
/1 reportedK ?$.* :
th
&1 reviewedK ?$.* :
th
31 inputs to the service improvement planK ?$.* :
th
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
*+O0####
,e
s
(o 1ro (<A
Remark
(e*erence0
Control, reporting and auditing
*+O0####
,e
s
(o 1ro (<A
Remark
a1 Are there at least annual reports on the "ervice Improvement
,rogramme targets and the results produced and are these made
availale as appropriateK
(e*erence0
1 Is there monitoring and reporting* current and trend information on-
/1 the service levels achievedK ?$.* :
th
&1 the resources usedK
31 the cost of the serviceK
(e*erence0
c1 Are ">As under change controlK ?$.* &
nd
(e*erence0
d1 Are all service levels measuraleK
(e*erence0
e1 Is there agreed responsiility for every measurement referred toK
(e*erence0
f1 Are reports on reviews and audits considered at "ervice >evel
Agreement review meetingsK
(e*erence0
+ervice Reportin9
L!!
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
+ervice Continuity and Availability mana9ement
L!!
6ud9etin9 and Accountin9 "or *T services
L!!
Capacity &ana9ement
L!!
*n"ormation +ecurity &ana9ement
L!!
Relationsip 1rocesses
6usiness relationsip mana9ement
L!!
+upplier mana9ement
L!!
Resolution 1rocesses
*ncident &ana9ement
L!!
1roblem &ana9ement
L!!
Control 1rocesses
Con"i9uration &ana9ement
L!!
Can9e &ana9ement
L!!
Release processes
Release &ana9ement
L!!
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Conclusions
(on con"ormances
Mdescrie non conformances against I"#$IE% &''''-/N
Observations < Areas "or improvement
Mdescrie the areas of improvements you have foundN
1otential risks
Mdescrie potential risks you have foundN
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Recommendations
M(ecommend a series of practical steps for improving any shortfalls identified y the gap
analysisN
#ptional-
A high level plan of approach to implement the recommendations!
A clear path $ne+t steps towards achieving I"#$IE%&'''' certification
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course
Appendix A 5 Glossary
In this report the following terms and definition are used including itFs e+planation-
Appendix 6 5 list o" interviews
The information in this report is ased on interviews with the following people-
5ame ,ersons
2uint Wellington (edwood &''3
I"#$IE% &'''' %ase .aterial 4 Auditor course