1 Incident Management Process

International Journal of Information Technology and Business Management
29th June 2014. Vol.26 No.1

2012- 2014 JITBM & ARF. All rights reserved
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A REVISED MODEL FOR THE IMPLEMENTATION OF THE ITIL

INCIDENT MANAGEMENT PROCESS IN BROADCAST
TECHNOLOGY OPERATIONS
Tristan K. ODwyer
Anglia Ruskin University
tristankarol@yahoo.com
Abstract
IT service management frameworks seek to provide and specify a set of tools and best practices for the
successful delivery of quality information technology services. The Information Technology Infrastructure
Library (ITIL) is probably the best known ITSM framework, and it is widely implemented across public sector
bodies in the UK. This paper discusses the implementation of the ITIL incident management process at BBC
Technology Operations within the conceptual framework of relevant operations theory. It argues that the
process is unsuitable for use in broadcast organisations with heterogeneous user-bases and divergent
technological needs. It proposes a revised model and a modified process.
Keywords: ITIL, IT Service Management, Operations Management, Broadcast Technology, Incident
Management
especially with regard to quality and efficiency, and

by Cater-Steel et al (2006) who, in replicating some
of Hochsteins research, arrived at similar
conclusions. Barafort et al (2002) and Spremic et al
(2008) have also confirmed the operational benefits
of ITIL implementation and Gacenga et al (2010, p.
28) claim that the view that ITIL can deliver
operational efficiencies is widely accepted by
Information Technology service managers.
While ITIL implementation has been
shown to deliver operational benefit and is
extremely useful in providing the how for service
management aspects (Nastase et al, 2009, p. 2),
Pollard and Cater-Steel (2009, p. 164) point out
that not all ITIL implementations are successful.
Implementing ITIL successfully is not without its
challenges (Tan et al, 2010; de Sousa Pereira and
da Silva, 2010) and there are numerous examples
of ITIL implementation projects failing (Sharifi et
al, 2008; Ahmad et al, 2013). Even where ITIL has
been successfully implemented, it is vital that
mechanisms are in place to ensure its performance
efficiency (Lucio-Nieto et al, 2012).
The ITIL process with the broadest
implementation
across
BBC
Technology
Operations is the incident management process.
Incidents are defined as an interruption to, or a
reduction in, service and are generally understood
as errors or technical failures (Bashir and Soomro,
2010). Addy (2007, p. 112) defines incident
INTRODUCTION
BBC Technology Operations provides
technology support to programme makers and
journalists working across divergent technical
platforms including television, radio and online
(Wallace, 2013). Its purpose is to facilitate
programme making by ensuring the high levels of
technical dependability which are essential to a
broadcasting organization (Slack et al, 2007, p. 53).
In common with many technology departments
within large organizations, it has made the
transition from a technology management to a
service based management model with the aim of
delivering strategic advantage to the business (Tang
and Todo, 2013).
In making the transition to a service based
management model, BBC Technology Operations
has
implemented
the
ITIL
(Information
Technology Infrastructure Library) framework, a
process-based set of best practices aimed at
increasing
service
delivery
and
service
management effectiveness (Kanagi, 2012).
Marrone and Kolbe (2011) argue that IT service
management frameworks are too easily imitated to
provide a competitive advantage, but concede that
ITIL implementation does deliver operational
benefits. The idea that ITIL delivers operational
benefit is echoed by Hochstein et al (2005),
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management in much simpler terms as getting

systems and people up and running again when
something goes wrong. Addy goes on to identify a
list of common incident management issues, some
of which are evident in BBC Technology
Operations implementation of the ITIL incident
management process. These include extended
resolution times, inconsistent service delivery and
routing (assignment) errors.
This paper will seek to demonstrate that
the problems of extended resolution times and
inconsistent service delivery as identified by Addy
are a result of non-automatic routing of incidents
from the help desk agent (HDA) to the specialist
engineering agent (SEA), the lack of a facility for
routing of incidents to the relevant SEA type based
on skills type, and incorrect priority classification
of incidents. It proposes a modified process flow
with the aim of improving service quality.
Figure 1 ITIL Incident Management Process
Source: Computing Nebula (2010)
THE EXISTING PROCESS

The parts of the process model that sit
inside the grey area represent the escalation process.
In a pure ITIL model, the escalation is functional.
If the second line function cannot resolve the
incident, it is passed up the chain to support
functions with more specialist knowledge (Van
Bon et al, 2008).
The diverse nature of the technology
supported by BBC technology operations renders
the ITIL escalation model ineffective. Broadcast
technology is simultaneously divergent in that radio
and television engineering require different skills
and expertise, and convergent in that broadcast
technology is increasingly merging with IT
technology (Charleson, 2006). In the absence of a
process for correctly assigning incidents to SEAs in
the appropriate technology function, the divergent
nature of the skills-base means that a linear
escalation process
is
inappropriate.
The
shortcomings of the ITIL model in this regard are
recognized by Brenner (2006), who proposes that
ITIL service management processes should be
supported with suitable tools for workflow
management.
The consequence of this linear method of
escalation, combined with a lack of automatic
selection, is that incidents routinely remained
unassigned and lacking in ownership (Czegal,
1999) which in turn leads to the extended
resolution times and inconsistent delivery described
by Addy (2008). The negative impact of incorrect
assignment on service delivery has also been noted
by Barash et al (2007) and Bartolini et al (2009).
End-user frustration with the process often
results in users bypassing the help desk, a common
Ferreira and Mira da Silva (2008) describe

the process of incident management within an ITIL
framework. An incident is reported, normally by
telephone to a helpdesk, where it is recorded. The
incident is then classified by the HDA in terms of
type, impact and urgency. These classifications
determine the priority class of the incident.
The next step is described as matching,
which occurs when a solution exists for a known
problem or error. This process is sometimes
referred to as case-based retrieval (Simoudis, 1992).
If an incident cannot be matched to a known
solution then the next step is diagnosis, where all
the available information is gathered in order to
arrive at a solution. The application of the solution
leads to resolution and once normal service is
resumed the incident is closed.
During the diagnosis phase, the incident
undergoes a process termed escalation where it is
passed to various levels of support for investigation
and resolution (Bartolini and Salle, 2004). The
incident escalation process is cumulatively
hierarchic insofar as the incident passes through
various levels of specialization from general to
specific (First line to Nth Line) until resolution
(Long, 2008)
The following diagram illustrates the ITIL
incident management process flow:

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problem in technology service management noted

by Niessink and Van Vliet (2000) Marquina et al
(2000), Ignatiadis and Nandhakumar (2007) and
Carney-Morris and Young (2012) and symptomatic
of a deep customer dissatisfaction with the current
system. The result of end users bypassing the help
desk is the decreased value of metrics and the
capturing of incomplete and distorted data (Donko
and Traljic, 2009)
The following diagram breaks down the
escalation process further. Incidents judged to be of
low or medium priority are placed in a general
ticketing queue. These incidents are then selfselected by SEAs monitoring the queue. The
process of self-selection is problematic in itself.
Incidents with no clear resolution are sometimes
ignored, simple incidents receive more attention as
they improve performance metrics and certain
technological areas are monopolized by individuals.
Addy (2008, p. 133) describes the potential
organizational impact of self-selection in terms of
misrepresentation of the value of an individuals
contribution, the creation of silos of knowledge
and expertise and inaccurate user satisfaction
metrics.
If an incident is classified as a high
priority, the HDA makes a direct call to the
engineering office to escalate a resolution. If the
phone is unattended then the agent will visit the
office in person. If an SEA with expertise in the
relevant technology function is not present then an
attempt will be made to contact an SEA in the field,
but this is an ad-hoc process.
A
REVIEW
OF
RELEVENT
OPERATIONS THEORY
The Theory of Constraints
Of relevance to the process in question is
the theory of constraints (Goldratt and Cox, 1984)
which suggests that a system or process is limited
in achieving its goals by a number of constraints.
The theory of constraints is widely applied in
project management (Blackstone et al, 2009; Tsou,
2012) and Gupta and Boyd (2008) go as far as to
suggest that the theory of constraints can act as a
general unifying theory of operations management.
Sale and Samuel Sale (2013) point to a lack of
empirical support for the theory of constraints, in
spite of its widespread adoption by practitioners,
while Naor et al (2013) question if the theory of
constraints satisfies the consensual definition of a
theory in an academic sense. Oglethorpe and Heron
(2013), however, hold that it can be effectively
applied to supply-chain management and Chou et
al (2012) demonstrated that the theory of
constraints could be used to improve inventory
management.
Six Sigma
Six Sigma is an approach used to
eliminate variability from processes through the use
of statistical tools and techniques. It has evolved
into an approach to process and quality
improvement since its introduction by Motorola in
1986 (Coronado and Anthony, 2002) and it is of
relevance to the process in question because of its
emphasis on business process mapping as a
technical tool (Pyzdek and Keller, 2009). Six
Sigma was developed in the context of
manufacturing and some dispute its applicability to
other sectors (Denk, 2005). Goh (2010, p. 302)
calls the belief in Six Sigmas universal
applicability its Achilles heel and its efficacy
has been called into question (Goh, 2012; Yuksel,
2012). However, the Six Sigma approach has
gained widespread acceptance among practitioners,
with numerous studies demonstrating its benefits
(Jou et al, 2010; Mahdi and Almsafir, 2012; Shafer
and Moeller, 2012; Gutierrez, 2012) while others
have demonstrated its applicability to service
operations (Johannsen et al, 2011; De la Lama et al,
2013, El-Banna, 2013)
Figure 2 Incident Escalation Process

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al, 1994; Earl et al, 1995; Janz et al, 1997), which
propose a more holistic approach based on strategic
alignment.
Queueing Theory
Queueing theory applies mathematical
models in scenarios where demand for a service
exceeds availability, in an effort to identify the
limitations of a service (Gross et al, 2008). It is of
particular interest to technology support functions
where demand is cyclic and random (Green et al,
2003). Queueing theory grew out of research
conducted by Erlang (1909) in the context of
telephone exchanges and it has found particular
application in the analysis of customer support and
technology help desks, (Betts et al, 2000;
Jongbloed and Koole, 2001; Garnett et al, 2002;
Koole and Mandelbaum, 2002; Ridley et al, 2003;
Brown et al, 2005; Nah and Kim, 2013) so it has
specific relevance to the process in question.
The Application of Six Sigma

Six Sigma provides a number of tools,
which could be successfully applied to the
improvement of the process in question. The
DMAIC cycle (define, measure, analyze, improve
and control) is a core Six Sigma tool (Pande et al,
2002) which could provide a valuable framework
when applied to the incident management process.
The control stage of the cycle could be of particular
value in evaluating the success of the process
change ex post-facto. However, it is less clear what
the value of the statistical elements of Six Sigma
might be when applied to the incident management
process and how these might be applied in practice.
Chakraborty and Tan (2012) cite practical
difficulties in applying Six Sigma to service
organizations as service organizations tend to
prefer the use of soft tools to rigorous statistical
tools. The practical difficulties in applying Six
Sigma to service processes are also noted by
Antony et al (2007)
Decision Theory
Peterson (2008, p. 1) calls decision theory
the theory of rational decision making. Arrow
(1957, p. 765) describes it as the formalization of
the problems involved in making optimal choices.
It is of relevance to this process as a decision is
made by the HDA at the point of categorization and
again at the point of escalation and the modified
operational model discussed later adds an extra
point of decision to the process. The normative
theory, what Bell et al (1988) call the ought of
decision-making is applicable to this process and
numerous models of the decision making process
have been proposed (Beach and Mitchell, 1978;
Einhorn and Hogarth, 1981; Schwenk, 1984).
The Application of Queueing Theory

The general incident management ticket
queue illustrated in figure 2 is an example of a
multiclass queueing network. A MCQN is a
network where different jobs with different service
requirements and routes to completion are held
(Harrison, 1988). As well as holding multiple
classes of job, the queueing system employs a
priority model intended to achieve an optimal
trade-off between the consequences of various
levels of technical failure rather than an equitable
first-come-first-served system (Federgruen and
Groenevelt, 1988). The priority class of the
incident is determined by the HDA, and the priority
classification in turn determines the process of
escalation, as illustrated in figure 2.
Stolletz and Helber (2004) describe a
queueing model based on customer profiles and
agent characteristics, which forms the basis for the
suggested revised model of the incident
management system, which is detailed later. The
Stolletz and Helber model is directly applicable to
the incident management process because it
describes an inbound support centre with
heterogeneous customers and heterogeneous agents.
Of particular interest is the concept of routing
policies, where an agent selection policy describes
A COMPARISON OF THE THEORY

WITH THE PROCESS
The Application of the Theory of Constraints
In the theory of constraints, constraints are
usually said to be internal or external (Cox and
Schleier, 2010) and in this case the incident
management process is constrained internally by
the assignment procedures in the escalation stage.
The application of TOC to the incident
management process would involve focusing on
and improving or removing this stage of the
process (Dettmer, 1997), and an alternative
assignment and escalation phase that removes this
constraint is considered later. The concept of
focusing on specific system constraints is what
differentiates TOC from other forms of business
process reengineering, such as that proposed by
Hammer (1990) and described by others (Dixon et
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how the call is routed and the customer selection

policy addresses the issue of customer priority.
The idea of skills based routing in a
queueing system is further explored by Garnett and
Mandelbaum (2000) and by Wallace and Whitt
(2005), who developed an algorithm to address the
problem of assigning jobs to agents with the
relevant skills. Garnett and Mandelbaum describe
the main elements of a skills based routing system
in terms of defining customer types, defining the
agent types (skills and numbers) and defining how
customers are routed to agents, which they call the
control policy. The application of these elements
will form part of the revised model for the incident
management system.
queueing model and by passing the decision on

priority classification up the chain towards SEAs.
The idea of the decision on priority
classification being determined by better informed
specialized agents is an important one in terms of
customer satisfaction. Ramasubbu et al (2008) link
customer satisfaction in technology support to the
technical skills of the support agent while Negash
et al (2002) identify assurance, in terms of the users
confidence in the ability of the agent, as a
contributing factor to customer satisfaction in
technology support services. The positive effect of
knowledgeable staff on customer satisfaction in
technology support environments and call centres is
well documented in the literature (Feinberg et al,
2000; Palson and Seidlitz, 2000; Abdullateef et al,
2011; Lau and Chan, 2012)
The Application of Decision Theory
TOWARDS A REVISED MODEL AND

A MODIFIED PROCESS
In the ITIL model, the HDA makes two

sets of decisions, the classification of the incident
priority class and the decision to escalate. In reality,
the decision to escalate occurs when the HDA is
unable to resolve the incident through matching or
case based retrieval and decision theory would
describe this as a decision forced by the lack of an
alternative decision (Rapoport and Wallsten, 1972).
The classification of the incident priority
class is a complex one as it is difficult for the HDA
to make a valid technical assessment and to
objectively evaluate the technical impact of the
incident because of the complexity of the systems
in question (Elmisalami et al, 2006). Classical
normative decision theory assumes a fully rational
decision maker who is fully informed (Resnik,
1987). However, a lack of cross training and the
generalist nature of the HDAs skills-set means
they often lack the specialist knowledge required to
make a fully informed decision on priority
classification (Adria and Chowdhury, 2002; Tekin
et al, 2009). The revised model proposes removing
the decision on priority classification from the
HDA and substituting a decision on skills based
routing as described by Stolletz and Helber (2004).
The revised process model calls for certain

changes to the ITIL incident management process
and ultimately arrives at a hybrid model, which sits
between ITIL and the model proposed by Stolletz
and Helber.
In the revised model the support functions
are divided into television, radio and online,
reflecting the platforms supported by BBC
Technology Operations. Rather than the linear
escalation process recommended by ITIL, the
incidents are escalated to the appropriate
technology function. In practice this means that any
incident that cannot be resolved by the HDA over
the phone is routed to an SEA working in the
appropriate technology function. This is the skillsbased routing described by Stolletz and Helber,
Garnett and Mandelbaum and Wallace and Whitt
and it is achieved by the use of an automatic call
distributer block, similar to that described by Gans
and Zhou (2007). The ACD routes the call to an
SEA within the appropriate support function. If the
call is not answered it is routed to another SEA
within the same technology function until an
engineer becomes available. Because the
assignment is automatic, it avoids many of the
problems associated with self-selection of incidents
described by Addy.
Once the call has been routed to an SEA
within the appropriate technology function, the
SEA makes the decision on priority classification.
This leads to an optimal decision on priority
classification because, under classical normative
decision theory, the SEA is this scenario is a fully
informed decision maker because of his specialist
A Brief Word on Quality and Customer

Satisfaction
In service operations, there is a direct
relationship between service quality and customer
satisfaction (Aguila et al, 2013; He and Li, 2011;
Sunayna, 2013; Yee et al, 2013). The proposed
process changes seek to improve service quality by
decreasing incident resolution times and improving
the consistency of service through the removal of
constraints, the implementation of an improved
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knowledge of the technology. The proposed new

approach recognizes that the primary constraint in
the current system is the linear escalation model,
which makes no provision for assigning incidents
to the correct technology function.
The revised model is built on the
recognition that incidents are rarely resolved in the
first instance by the helpdesk, and normally require
escalation. The suggested process therefore ensures
that incidents are escalated to the correct
technology function, ensuring a more rapid
resolution. The fact that technical support calls are
rarely resolved by HDAs in the first instance is
well documented (Cohen, 2006; Bellman, 2007;
Sisselman and Whitt, 2007; Fest, 2008; Hildebrandt,
2009), making an efficient escalation process all
the more imperative.
supported technology systems are homogeneous

and therefore makes no provision for skills based
escalation. It also has no provision for automatic
assignment and is therefore only suitable in support
functions where the support task is routine and
low in complexity (Shah and Bandi, 2003, p. 418).
While the incident management process
has been altered, it still sits inside the broader ITIL
framework, and is actually a hybrid model,
mapping Stolletz and Helbers skills based
escalation model onto the ITIL framework and
shifting
the
decision
regarding
priority
classification onto the SEAs. The new model
retains two ITIL tools, the configuration
management database and the known error
database, and integrates with the problem
management process, which seeks identify the root
cause where multiple incidents of a similar class
occur (Sutherland, 2012). The integration of the
new process and the ITIL framework is illustrated
in Figure 4.
The revised model successfully addresses
the issues of assignment, routing and priority
classification, which in turn should have a positive
effect on resolution times and service consistency.
The link between skills based routing and faster
resolution times and increased service delivery has
been documented by Bapat and Pruitte (1998);
Anton (2000); Mazzuchi and Wallace, (2004);
Whit (2006); Aksin et al (2009); Helber and
Henken (2010) and by Feldman and Mandelbaum
(2010).
Collins and Sisley (1994) demonstrated
that automatic assignment of service personnel
leads to better service delivery and Lazarov and
Shovai (2002) demonstrated that automatic
assignment is more efficient in most cases.
While the revised process shifts
responsibility for incident priority classification
from the HDA to the SEA, it still retains the ITIL
process for incident classification described earlier
as it recognizes that a policy for task prioritization
should be applied, especially where fast resolution
is critical for customer satisfaction (Zhao and Stohr,
1999) although it would recommend that skilled
practitioners be given some flexibility and
discretion in order to provide ensure optimum
service delivery (Patterson et al, 2011)
Figure 3 Revised Escalation Process
In the new model there is no ticket

assignment delay, as the incident is automatically
assigned to an SEA who then takes the decision on
priority classification. Ticket assignment delays
lead to extended resolution time and are a primary
contributing factor to service level agreement
failure in IT services (Cavalcante et al, 2013). The
new model also facilitates the heterogeneous nature
of the technology systems and acknowledges that
different end users have different support
requirements, depending on the sophistication of
the technology and their user characteristics in
terms of skill level (Mirani and King, 1994).
The shortcomings of the ITIL incident
management process are that it makes a number of
assumptions. Firstly it assumes a perfectly
informed HDA able to make an optimal decision on
priority classifications. Secondly it assumes that the

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Figure 4 Revised Escalation Process Mapped Onto ITIL
Framework
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International Journal of Information Technology and Business Management

29th June 2014. Vol.26 No.1

A REVISED MODEL FOR THE IMPLEMENTATION OF THE ITIL

especially with regard to quality and efficiency, and

International Journal of Information Technology and Business Management

management in much simpler terms as getting

Figure 1 ITIL Incident Management Process

Source: Computing Nebula (2010)

THE EXISTING PROCESS

Ferreira and Mira da Silva (2008) describe

International Journal of Information Technology and Business Management

problem in technology service management noted

Figure 2 Incident Escalation Process

International Journal of Information Technology and Business Management

The Application of Six Sigma

The Application of Queueing Theory

A COMPARISON OF THE THEORY

International Journal of Information Technology and Business Management

how the call is routed and the customer selection

queueing model and by passing the decision on

The Application of Decision Theory

TOWARDS A REVISED MODEL AND

In the ITIL model, the HDA makes two

The revised process model calls for certain

A Brief Word on Quality and Customer

International Journal of Information Technology and Business Management

knowledge of the technology. The proposed new

supported technology systems are homogeneous

Figure 3 Revised Escalation Process

In the new model there is no ticket

International Journal of Information Technology and Business Management

Abdullateef, A.O., Mokhtar, S.S.M.,

Anton, J (2000) The past, present and

International Journal of Information Technology and Business Management

Proceedings of the 2nd IEEE/IFIP

23. Carney-Morris, M., Young, E (2012)

International Journal of Information Technology and Business Management

Ramirez, J.A., Raya, A.L., Ramos, G

47. Feinberg, R.A., Kim, I.S., Hokama, L., de

International Journal of Information Technology and Business Management

60. Gupta, M.C., Boyd, L.H (2008) Theory of

of the key application problems.

International Journal of Information Technology and Business Management

81. Mazzuchi, T.A., Wallace, R.B (2004)

Industrial Ergonomics, Volume 4, Issue 4,

International Journal of Information Technology and Business Management

ITIL Implementation Failure. Proceedings

114. Tekin, E., Hopp, W.J., Van Oyen, M/P

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