TIPA AssessmentPresentation itSMF27092012 KMD Handout

27-09-2012 Handout itSMF Conference Danmark
I T P R O C E S S A S S E S S M E N T
TIPA Process Assessment

and Improvement
© Centre de Recherche Public Henri Tudor 2009-2012

04 October 2012 1
Process
TIPA Assessment
Process and Improvement
Assessment and Improvement
Presentation Outline
• KMD A/S – a Danish Commercial Licensed TIPA organization
• ITPreneurs – the Official training provider
• Centre de Recherche Public Henri Tudor – the developer
• Process Assessment Approach
• Steps
• Features
• Process Descriptions
• Process Maturity Levels
• Assessment in practice
• Assessment Results
• Improvement Preparation
TIPA® is an initiative of the Centre de Recherche Public Henri Tudor.
The TIPA Toolbox is (c) Centre de Recherche Public Henri Tudor, 2009-2012.

© Centre de Recherche Public Henri Tudor 2009-2012 2
04 October 2012
Workshop Presentation - TIPA Process Assessment and Improvement - 1

Lars Kristian Larsen - lkl@kmd.dk
KMD A/S –
Lars Kristian Larsen lkl@kmd.dk
Principal Consultant, IT Service Management
Certified TIPA Lead Assessor
itSMF Workshop Presentation 27/9/2012
TIPA Process Assessment and Improvement

04 October 2012 3
Process
TIPA Assessment
Presentation of KMD A/S - IT with insight

KMD is one of the largest IT service and software companies in
Denmark, with more than 3000 dedicated employees in
Copenhagen HQ and Aarhus, Odense and Aalborg branch
offices . I T P R O C E S S A S S E S S M E N T
The majority of KMD’s business derives from

• software solution development supporting the local and
central government, and private markets.
• outsourcing of IT service provisioning, maintenance, payroll
and HR administration and printing
• as well as consultancy services within ITC expertises
supporting the customer’s total IT service performance.
• KMD - Insight supporting the welfare state
04 October 2012

Process Assessment Approach

with ISO/IEC 15504

04 October 2012 5
Process
TIPA Assessment
A ITIL process is a structured set of Activities designed to accomplish a specific Objective.

• A Process takes one or more defined inputs and turns them into defined outputs.
• A Process may include any of the Roles, responsibilities, tools and management Controls
required to reliably deliver the outputs.
• A Process may define Policies, Standards, Guidelines, Activities, and Work Instructions if
they are needed.
Process I T P R O C E S S A S S E S S M E N T
• Input • procedures
• Output Process • guides / instructions
• Process purpose
• Process expected results
• Activities
• Roles and responsibilities
• Control points
• Process measurement

04 October 2012

Process
TIPA Assessment
Assessment Versus Audit

Assessment is part of an improvement approach.
• Assessment goals:
o Have a check-up.
o Identify the Strengths and Weaknesses of assessed processes.
o Identify whether assessed processes achieve their Expected Results.
• Results based on aI Rating
T Scale
P R O C E S S A S S E S S M E N T
• Bottom-up approach
• Voluntary and participative approach
• Initialization of an improvement program
Audit (versus assessment):
• Audit goal: Check compliance with a standard.
• Control approach
• Binary results: OK or KO
• Top-down approach
The improvement approach is based on an assessment:
• The quality of the improvement program depends on your honesty and your
collaboration during the assessment.

04 October 2012
Process
TIPA Assessment
Process Assessment Features

TIPA is a structured Process Assessment method compliant
with the ISO/IEC 15504 standard.
• Proven Process Assessment method
• Objectivity and confidentiality
• Repeatability:
o Easy comparison between assessment results
• Clear description of processes to be assessed: The process models
o The focus is on the “What,” not on the “How”
• Process Maturity Levels
• Rating Scale:
o “Not”/“Partially”/“Largely”/“Fully”
• Clear way of presenting results:
o The Process Profile

04 October 2012

Process
TIPA Assessment
Assessment Uses
Two contexts of use for assessment results
Process improvement (internal)
• To identify strengths and weaknesses to target improvement
• To measure the improvement
o Comparison with previous assessment results
Capability determination (internal/external)
• To support provider selection according to business goals and customer
requirements
• To analyse and control risks

04 October 2012
Process
TIPA Assessment
Process Maturity Levels

Optimizing
The process is continuously 5 OPTIMIZING (Continuous Improvement)
improved to meet relevant current
Organization view
5.2 Process Optimization

and projected business goals. 5.1 Process Innovation
Predictable
The process is enacted 4 PREDICTABLE (Quantitatively Managed)
I T P R 4.2
O Process
C E Control
S S A S S E S S M E N T
consistently within defined limits. 4.1 Process Measurement
Established
A defined process is 3 ESTABLISHED (Well Defined)
used and based on a 3.2 Process Deployment
standard process. 3.1 Process Definition
2 MANAGED (Planned and Monitored) Managed

The process is managed and
Instance view
2.2 Work Product Management

2.1 Performance Management Work Products are established,
controlled, and maintained.
1 PERFORMED (Informal) Performed

1.1 Process Performance The process is implemented and
achieves its Process Purpose.
Incomplete
0 INCOMPLETE The process is not implemented
or fails to achieve its purpose.

04 October 2012

Process
TIPA Assessment
Process Maturity Levels (1/3)

Level 0 INCOMPLETE
The process is not implemented, or fails to achieve its process purpose
At this level there is little or no evidence of any systematic achievement of
the process purpose I T P R O C E S S A S S E S S M E N T
Level 1 PERFORMED
The implemented process achieves its process purpose
The process achieves its defined Expected Results
Process activities are performed, but the process is not really monitored and
repeatable
The results of the process often depend on “heroes”
The “process performance” is assessed

04 October 2012
Process
TIPA Assessment

Level 2 MANAGED
The performed process is now implemented in a managed fashion: performance of
the process is planned, monitored and adjusted
Its work products are appropriately established, controlled and maintained
There is no coherence checks
I T from
P R anO organizational
C E S S Apoint
S SofE view.
S S Each
M E team
N T can
achieve the expected results in a different way.
The “process performance management” and the “work product management”
features are assessed
Level 3 ESTABLISHED
The managed process is now implemented using a standard process definition
capable of achieving its process expected results
A standard definition of the process is established
Institutionalised deployment of the process: it is used and known by everyone
The “process definition” and the “process deployment” features are assessed

04 October 2012

Process
TIPA Assessment

Level 4 PREDICTABLE
The established process now operates within defined limits to achieve its process
expected results.
Measurement results are used to ensure that performance of the process supports
the achievement of relevant
I T process
P R Operformance
C E S S objectives
A S S EinSsupport
S M E ofN defined
T
business goals.
The process is quantitatively managed to produce a process that is stable, capable,
and predictable within defined limits.
The organization is able to identify and correct the causes of the variations of the
process
The “process measurement” and the “process control” features are assessed
Level 5 OPTIMIZING
The predictable process is continuously improved to meet current and projected
business goals.
• Innovative ideas and technologies are used to improve the process
The “process innovation” and the “process optimisation” features are assessed

04 October 2012
Process
TIPA Assessment
TIPA ITIL 2011 Process Map

04 October 2012

Process
TIPA Assessment
Standard Process Description

For each process
A Purpose
• The high level objectives of performing the process
Expected results
• Observable and measurable results of process
• Necessary and sufficient to demonstrate successful achievement of the
process purpose (artefact, significant changes of state, compliance to
specified constraints, requirements )
Base Practices
• Typical activities performed to achieve the process purpose
Work products
• Typical inputs and outputs of the process

04 October 2012
Process
TIPA Assessment
Example of Process Description

Incident Management
• Process Purpose
The purpose of the Incident Management process is to restore normal service
operation as quickly as possible within agreed levels of service quality, and
minimize the adverse
I TimpactP on
R business
O C E S operations.
S A S S E S S M E N T
• Process Expected Results

1. Incidents and their resolution are documented.
2. Incident management priorities are aligned with those of the business.
3. Incidents are resolved within agreed service levels to restore the normal
service operation.
4. Actions are taken to minimize impact on the business.
5. Incidents are tracked through each stage of their lifecycle.
6. Interested parties are kept informed of incidents’ progress and corresponding
service level targets.

04 October 2012

Process
TIPA Assessment
Example of Process Description

Base Practices (BPs):
• INCM.BP1: Detect and log the incidents.
Record relevant information on the incident whatever the way of logging, or reopen an existing incident
(in accordance with reopening rules).
• I Tthe incidents.
INCM.BP2: Categorize P R O (...)
C E S S A S S E S S M E N T
• INCM.BP3: Prioritize the incidents. (...)

• INCM.BP4: Provide initial diagnosis and support for the incidents. (...)
• INCM.BP5: Escalate the incidents to specialized support teams or to higher levels of
authority if needed. (...)
• INCM.BP6: Investigate and diagnose the incidents. (...)
• INCM.BP7: Select the best potential resolution. (...)
• INCM.BP8: Keep incident records up-to-date. (...)
• INCM.BP9: Implement the incident resolution. (...)
• INCM.BP10: Communicate on incident resolution progress. (...)
• INCM.BP11: Close the incidents. (...)

04 October 2012
Process
TIPA Assessment
Example of a Process Description - Inputs
Input Work Product

ID Name Expected results and related BPs
05_06 Event record I T P R O C E S S [Expected
A S Result
S E 1, S3, 5]S[INCM.BP1,
M E N 6]T
05_05 Configuration Management System (CMS) [Expected Result 1, 3, 4, 5] [INCM.BP6, 7]
08_01 Service Level Agreement (SLA) [Expected Result 1, 2, 3, 5, 6] [INCM.BP3,5, 10]
05_03 Known Error Database (KEDB) [Expected Result 1, 3, 4, 5] [INCM.BP4,6]
05_04 Incident knowledge base [Expected Result 3, 4, 5] [INCM.BP6]
05_02 Problem knowledge base [Expected Result 3, 4, 5] [INCM.BP6]
01_02 Incident management tool [Expected Result 1, 3, 5, 6] [INCM.BP1,2,10]
02_06 Incident Model [Expected Result 1, 2, 3, 5] [INCM.BP2, 3, 6]
02_07 Incident categories [Expected Result 1, 3] [INCM.BP2]

04 October 2012

Process
TIPA Assessment
Example of a Process Description - Outputs
Output Work Product

Name Expected results and related BPs
Incident record [Expected Result 1, 2, 3, 4, 5, 6] [INCM.BP1, 2, 3, 4, 9,
I T P R O C E 10,
S 11]
S A S S E S S M E N T
Incident knowledge base [Expected Result 1, 3, 4, 5] [INCM.BP9,11]
Incident management tool [Expected Result 1, 5] [INCM.BP1, 8]
Incident categories [Expected Result 1, 3] [INCM.BP2]
Customer satisfaction survey [Expected Result 6] [INCM.BP10]
Request for Change (RFC) [Expected Result 3, 5] [INCM.BP9]

04 October 2012
Process
TIPA Assessment
Phases of the Assessment Project

TIPA Phases
Closure
Results •Closing meetings
Presentation
•Detailed report of
Analysis the results
•Presentation to the
•Strengths,
Assessment management
Weaknesses,
Opportunities, and •Presentation to the
Preparation •Interviews Threats (SWOTs) interested parties
•Document reviews analysis
•Assessment •Results •Improvement
Definition planning and consolidation Recommendations
organization •Process rating
•Process selection
• Kick-off meeting •Maturity Level
•Organizational determination
context discovery
•Assessment scope
definition

04 October 2012

Process
TIPA Assessment

04 October 2012
Process
TIPA Assessment
Assessment in Practice
Minimum 2 assessors
Interview key people
• One or two interviewees without hierarchical relationship
Process instances to IbeT assessed
Evidences
• Collect documents before the assessment and give them to assessors
Process maturity determination
• Based on process attributes rating (Not, Partially, Largely, Fully)
In case of improvement objectives
• Identification of improvement opportunities: impact and importance
• Interviews focused on both process assessment and identification of best
practices

04 October 2012

Process
TIPA Assessment
Interview in practice
• Duration depends on the number of processes to be assessed,
• usually about 1.5 hours per process
• Presentation of the processes that will be assessed
• Reminder of confidentiality
I T
rules
• Handing over of documents prepared for the interview
• For each process, questions about
• Base practices : core business
• Generic practices : activity planning, documents management, process
description, training…
• Identification of improvement opportunities
• Conclusion
• Feedback form about the interview

04 October 2012
Process
TIPA Assessment
Key Success Factors

Be aware of the strategic objective of the Improvement Project:
• People are involved in the assessment to together build an effective
working environment.
Be involved:
• The Improvement I TPlan depends
P R O C on
E Sthe
S information
A S S E collected.
S S M E N T
• All collected information is agglomerated.

• Best practices are highlighted.
Keep in mind that a Process Assessment is not an assessment of individual
achievements.
Ensure the anonymity and confidentiality of interviews.
Make necessary resources and people available.

04 October 2012

Process Assessment Results

04 October 2012 25
Process
TIPA Assessment
TIPA Advantages
TIPA provides a general framework to assess Process Maturity.
TIPA intends to measure:
• If the Process Purpose is achieved.
• If processes are able
I T
to support the business
P R O C E S S
goals, by assessing the
A S S E S S M E N T
measure of the extent to which they are:
o Managed (planned and so on)
o Established (used in the same way by everybody)
o Predictable
o In constant optimization
TIPA provides a roadmap to process improvement:
• Process descriptions
• Generic Practices (GPs), generic Work Products

04 October 2012

Process
TIPA Assessment
Process/Organizational Maturity
2 notions
Process Maturity (capability)
• Each process is observed individually
Organizational Maturity (maturity)
• Each process is considered
• Results for all processes are combined to measure/reach the maturity
for the whole organization
• Processes are grouped by level
• In order to improve, we focus first on basic processes: foundations
• We cover then more complex processes
• ISO/IEC 15504 part 7 standard is in progress

04 October 2012
Process
TIPA Assessment
Elements to Measure
To measure the Maturity Level reached by a process:
• You rate some items at the lowest level of detail.
• You consolidate the rating of these items to determine the level reached.
Items that you can rate:
• Process Purpose I T P R O C E S S A S S E S S M E N T
• Process Expected Results
• Typical Practices
• Typical Documents
Rating Scale:
• You measure each item with a 4-point ordinal scale.
• N “Not,” P “Partially,” L “Largely,” F “Fully,” N/A “Not Applicable”
N P L F
0% 15% 16% 50% 51% 85% 86% 100%
Not Partially Largely Fully
Achieved Achieved Achieved Achieved

04 October 2012

Process
TIPA Assessment
Moving up levels
Largely
or Fully
Level 5
Fully
Level 4 Level 4
Level 3 Level 3 Level 3
Level 2 Level 2 Level 2 Level 2
Level 1 Level 1 Level 1 Level 1 Level 1
Reaching Reaching Reaching Reaching Reaching


04 October 2012
Process
TIPA Assessment
Assessment Results (1/2)

Performed Managed Established Predictable Optimizing
Process Perf ormance Work Product Process Process Process Process Process Process
Perf ormance Management Management Definition Deployment Measurement Control Innovation Optimisation
Incident Managem ent F L F P N
Service Level Managem ent F F F L L
Problem Managem ent L I T P P R LO C E LS S N A S S E S S M E N T
Legend Rates
"Fully" F Not Assessed
"Largely" L Not Applicable N.A.
"Partially" P
"Not" N

Performed Managed Established Predictable Optimizing
Incident Management R R U NA NA
Service Level Management R R R NA NA
Problem Management R U U NA NA
Legend
Level Achieved
Level Not Achieved
Not Assessed

04 October 2012

Process
TIPA Assessment
Assessment Results
Assessment Report
• Executive summary
• Overall analysis
• For each assessed process:
o Maturity ProfileI T P R O C E S S A S S E S S M E N T
o Strengths-Weaknesses-Opportunities-Threats (SWOTs) analysis

o Detailed analysis of assessment results
• For improvement context:
o Recommendations for process improvements
o Ideas for an improvement action plan
Presentations to the management and to the interested parties
• «Executive summary»
• Meeting to present results

04 October 2012
Improvement Preparation

04 October 2012 32

Process
TIPA Assessment
Collaborative Structuring of Improvement Actions

Propositions for improvement structured in an improvement project
Collaborative approach to prepare the improvement plan
Objectives and strategy
Main improvement lines
Classification and prioritisation of the improvement actions
Building of an improvement plan composed of improvement projects
Importance of actors involvement for change management

04 October 2012
Process
TIPA Assessment
Risk management
Example
Process
of Action Plan
Resources Estimation
Maturity Levels
Business Plan
…
Specific and targeted
improvements
I T P R O C E S S A S Communication
S E S S M E N T
Organization for Quality
Operational improvements Quality Control

Initiatives
Processes,
activities,
work-products,
Internal Communication actors, guides,
Organizational acceptance
templates
Standardized use of
tools
Setup of the project

Current State framework Time
1 to 3 months 3 to 6 months 9 to 15 months
04 October 2012

Process
TIPA Assessment
Questions… and Answers !

Lars Kristian Larsen
lkl@kmd.dk +4541727701
Thank you for your attention
Next ITPreneurs TIPA Training Event

Oslo December 3-7th
Combined TIPA Assessor and Lead Assessor
Contact: anders.linde@itpreneurs.com

04 October 2012


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27-09-2012 Handout itSMF Conference Danmark

TIPA Process Assessment

© Centre de Recherche Public Henri Tudor 2009-2012

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 1

© Centre de Recherche Public Henri Tudor 2009-2012

Presentation of KMD A/S - IT with insight

The majority of KMD’s business derives from

Workshop Presentation - TIPA Process Assessment and Improvement - 2

Process Assessment Approach

© Centre de Recherche Public Henri Tudor 2009-2012

A ITIL process is a structured set of Activities designed to accomplish a specific Objective.

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 3

Assessment Versus Audit

© Centre de Recherche Public Henri Tudor 2009-2012

Process Assessment Features

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 4

© Centre de Recherche Public Henri Tudor 2009-2012

Process Maturity Levels

5.2 Process Optimization

2 MANAGED (Planned and Monitored) Managed

2.2 Work Product Management

1 PERFORMED (Informal) Performed

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 5

Process Maturity Levels (1/3)

© Centre de Recherche Public Henri Tudor 2009-2012

Process Maturity Levels (2/3)

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 6

Process Maturity Levels (3/3)

© Centre de Recherche Public Henri Tudor 2009-2012

TIPA ITIL 2011 Process Map

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 7

Standard Process Description

© Centre de Recherche Public Henri Tudor 2009-2012

Example of Process Description

• Process Expected Results

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 8

Example of Process Description

• INCM.BP3: Prioritize the incidents. (...)

© Centre de Recherche Public Henri Tudor 2009-2012

Example of a Process Description - Inputs

Input Work Product

08_01 Service Level Agreement (SLA) [Expected Result 1, 2, 3, 5, 6] [INCM.BP3,5, 10]

05_03 Known Error Database (KEDB) [Expected Result 1, 3, 4, 5] [INCM.BP4,6]

05_04 Incident knowledge base [Expected Result 3, 4, 5] [INCM.BP6]

05_02 Problem knowledge base [Expected Result 3, 4, 5] [INCM.BP6]

01_02 Incident management tool [Expected Result 1, 3, 5, 6] [INCM.BP1,2,10]

02_06 Incident Model [Expected Result 1, 2, 3, 5] [INCM.BP2, 3, 6]

02_07 Incident categories [Expected Result 1, 3] [INCM.BP2]

© Centre de Recherche Public Henri Tudor 2009-2012

Workshop Presentation - TIPA Process Assessment and Improvement - 9

Example of a Process Description - Outputs

Output Work Product

Incident knowledge base [Expected Result 1, 3, 4, 5] [INCM.BP9,11]

Incident management tool [Expected Result 1, 5] [INCM.BP1, 8]

Incident categories [Expected Result 1, 3] [INCM.BP2]

Customer satisfaction survey [Expected Result 6] [INCM.BP10]