Defra Un ITy SMM 305 Service Management Conceptual

Defra Un. ITy SM-M 305 Service Management Conceptual Architecture Date : 27 th July 2016 Version 1. 0 Classification: OFFICIAL

Service Management Objectives Area Service Management Programme Objectives Procurement Replace two major ICT contracts that are due to expire in 2017 and 2018 (reprocurement) Delivery Implement a function to manage and assure delivery of all Un. ITy work stream solutions Transition Low risk transition from the current contracts providing continuity of service, reliable and robust ICT, to allow the in scope organisations to discharge their front-line operational delivery and legislative obligations. . Service Model Implement a new single ‘One Defra’ service model to replace business-aligned service models. Area Service Management Work Stream Objectives Procurement Complete four procurements, Consultancy Partner, Delivery Partner, Service Management toolset and Service Desk Delivery & Service Model Design and implement a common Service Management Operational Model capability Transition Implement in a phased approach, Initial Operations Capability, ITSM toolset and Service desk to achieve the Defra IT Service Model Programme scope derived from Un. ITy scope and SM proposition paper 2 - OFFICIAL

Service Management Scope Services Scope of Workstream Architecture Service Management Operational Model Defined the functional model and responsibilities of the Defra retained IT operational organisation, suppliers and service partners Initial Operational Capability Implement an Initial Operational Capability to provide a management solution for all agreed Defra pipeline projects, Un. ITy early deliverables and agreed Digital Transformation initiatives ITSM Tool Implement and configure an IT Service Management toolset to be used by all core suppliers Service Desk Integrate a Service Desk service into the overall service model and operational Service Management model Outsource Service Management IT services As an extended part of the Service Desk, Integrate a ITIL service delivery function into the overall architecture and operational Service Management model On-Boarding of Services On-Board in to the Defra Service Model new Un. ITy and Interim services that have completed their service readiness obligations Transition of Service Management Transition legacy IT Service Management provide by the incumbent suppliers to the Defra Service Model Integration of Defra initiatives (Digital Transformation) Cooperate with Digital transformation and any other programmes to implement supporting Service Management services 3 - OFFICIAL

Design Principles for Service Management design principles have been derived from the following: Services Scope of Workstream Architecture Work-stream scope Un. ITy BOARD PAPER - Un. ITy Programme Scope Proposition Paper Un. ITy Service Management Work-stream Proposition paper Architecture Principals Network Architecture Design Board - Interim Architecture Principles v 0. 4 Architecture Scope Technical Reference Model Taxonomy v 0. 12 Service Management Scope Service Management, High Level Target Operating Model 20 th May 2016 4 - OFFICIAL

Service Management CMO Characteristics The current mode of operations to be replaced by the Un. ITy programme is based on two full outsource contracts, key elements of these contracts are; • Independent Digital Data Technology Services (DDTS) & Corporate Information Services (CIS) outsource service via IBM & Capgemini • Supplier provided • • Service Desk Life cycle management of IT services Operational management ITSM tools and process management Architecture management services Service Reporting Service Design and implementation • Pipeline services coordinated by joint DDTS / CIS support • Contractual relationship managed via Defra • Rural Payments Agency (RPA) utilise IBM infrastructure services • Business functions and application suppliers provide additional support and management services 5 - OFFICIAL

CMO Architecture Three IT service desks in operation today supporting delivery of incumbent EA, DEFRA and RPA services. 6 - OFFICIAL

TMO Characteristics The Transition Mode of Operations will introduce a Defra management and coordination function between the incumbent suppliers to provide a management interface for new services. • Incumbent Suppliers (IBM, Capgemini) Service management and Service desks continue support • The Defra Group Services, Initial Operational Capability (IOC) established • Pipeline support service migrated to the IOC • Service Management Delivery Partner • Develop operational and management capability • Phased development to match IOC demand • ITSM development • Provide interim resource to operate IOC • Legacy supplier operational interface established • ITSM • IT Service Management toolset platform implemented • Single point of reference and record for IOC activity • Configuration to support IOC operation and supplier management 7 - OFFICIAL

TMO Architecture The proposed transition approach for service management will consist of 3 phases through an iterative approach to build the new organisation. The first transition phase Initial Operating Capability (IOC) will run in parallel with current BAU operations and will support new pipeline services such as IDM and MDM. Subsequently the IOC will be scaled up to take on service management responsibility for early Un. ITy services such as Managed Print. 8 - OFFICIAL

FMO Characteristics The Final Mode of operations moves to a single operational management model coordinating multiple suppliers via common processes and a single ITSM toolset • End User • Single point of contact via Service Desk • Service Request catalogue • User tools, Chat, self service, Knowledge portal • Service Desk • Partner provided service • Core ITIL process execution • ITSM Tool • Orchestration of all processes • Dashboards, reports and service views • Operational model • Service Management Operational model organisation resourced by Defra & Partners • Suppliers • Un. ITy suppliers on-boarded and delivering services • Commodity & non Un. ITy suppliers integrated 9 - OFFICIAL

FMO Architecture • A thin retained organisation who owns and controls the overall service management model (processes, tools and integration) as well as supporting a small number of noncommodity services. • A new Service Desk supplier providing a single point of contact for all End Users and providing core service operational management for an agreed set of processes. 10 - OFFICIAL

Service Management Operational Model 11 OFFICIAL

Service Catalogue • The Service Catalogue publishes IT services defining the functional scope, performance and governance model relating to all services provided to end users or business functions. • The services will consume the functional capabilities of the Service Register. • Service grouping: • Functional services (Knowledge worker solution) • Technical Service (Vm’s, site connectivity) • Operational Services (Moves, Changes, new users) • Service Attributes • Hours of service • Availability Band • Priority criteria mapped to Resolution/response matrix • Catalogue service definition • For each service a catalogue service definition will be created as per the agreed template 12 - OFFICIAL

Service Level monitoring and compliance • Service SLA monitoring of catalogue services • Usage, fulfilment targets and performance against SLA • Compliance to service obligations for application & infrastructure services • Service Delivery against SLA • ITSM process execution • Incidents • Requests • Process execution • Catalogue services • Service performance (Availability, Resolution, Fulfilment) • Supplier contribution, • Supplier performance • Service component • Process compliance 13 - OFFICIAL

Service performance reporting presentation (1 of 2) • Performance dash boards • Business and Service performance view • Adhoc reporting via the ITSM toolset • Business context views • • • Defra group performance Defra business unit reporting and performance SLA compliance OLA performance Financial • Formatted paper reports • Reports for distribution to non ITSM users 14 - OFFICIAL

Service performance reporting presentation (2 of 2) • Service suppliers will deliver service to defined contractual levels and be measured against SLA & KPI performance metrics via the ITSM toolset. • End User & Technical Services may comprise of a number of contributing supplier services. Therefore, the service and performance levels offered to Defra must take account of the performance capabilities of the contributing services • A strategy for End User & Technical Business services will be developed through consultation with relevant stakeholders and introduced through the IOC. • The Un. ITy ITSM tool provides a platform via a layered approach to service definition that could support definition of a Business Services Catalogue by mapping IT services to business functions, processes and operational capabilities. • The Business Service Catalogue is outside the scope of Un. ITy. 15 - OFFICIAL

Service Desk & ITIL Services • A new single Service Desk service will be procured via a specialist supplier who will provide the resources and systems to support delivery of the Service Desk service using the Defra ITSM toolset and process model. • The service desk will: • Use the Defra ITSM toolset • Use supplier provided tools and systems to resolve incidents at first contact and fulfil standard requests • Provide a single point of contact for all End Users, supplier and support functions. • Orchestrate, process management and delivery activity as detailed in the Defra process model • A Defra common core process set will be used by all core suppliers 16 - OFFICIAL

TOM – Defra End User interfaces Interface Summary Service Request Catalogue A web presented catalogue of product and services that can be filtered to show only relevant items for defined user groups. Provide descriptions, supplementary information relevant to the content. Shopping basket to select and request and drive approvals. End User portal Provide fulfilment status information Web presented method to raise Requests and Incidents via a structured form to constrain and aid the users input Self help Provide fulfilment/ resolution status information Web presented method to search a Knowledgebase Orchestration An interface to enable user to self-serve standard request or resolutions Chat Web presented chat interface with ability to generate Incidents/Requests from the chat content Notifications Ability to push notifications to all or groups of users Email Send status/information emails Status Web presented service status portal Customer Satisfaction Method to generate satisfaction surveys and format the request with information relevant to the service provided 17 - OFFICIAL

IT Service Management toolset • The ITSM toolset will be provide by a service tooling platform supplier specialist. • The toolset will be used by all supplier for the core processes • Interfaces will be provided for: • Event Management • Configuration Management • Service Catalogue orchestration • The tool will provide as a minimum: • ITIL Process Orchestration • Single point of record for all processes • Configuration Management System (CMDB) federated to suppliers CMDBs • Monitor SLA/OLA performance via process execution • API to support data & process integration with supporting suppliers 20 OFFICIAL

Supporting material Annex A 19 - OFFICIAL

ITSM – Event Monitoring 20 - OFFICIAL

ITSM – Configuration Management 21 - OFFICIAL

ITSM – Incident Management 22 - OFFICIAL

ITSM – Availability & Capacity Management 23 - OFFICIAL

ITSM – Change Management 24 - OFFICIAL

ITSM – Service Catalogue 25 - OFFICIAL

ITSM – Service Performance Management 26 - OFFICIAL

ITSM – Reporting 27 - OFFICIAL

ITSM – Request Fulfilment 28 - OFFICIAL

Principles of Operation – Supplier Integration Four levels of Supplier functional interface: • Use – Unity Work-stream supplier will utilise the Defra native ITSM tool and conform and contribute to standard operational processes. • Integrate – To supplement ‘Use’ suppliers may use their existing ITSM tool solution, but will integrate and contribute via a technical interface for key process data and configuration. • Interface – The Service Management function will through agreed process interfaces, replicate key process data and configuration in to the Un. ITy ITSM solution. • Exclude – Suppliers who offer functional services will prescribed services solutions with little or no alignment to our Service Management model e. g. Microsoft. The Service Management function will perform the integration, limited to the provided interface. 29 - OFFICIAL

Supplier Engagement model example • Software Delivery Life Cycle example of engagement by suppliers in Service Management process. • Core suppliers follow integrated process model and comply to manage risk for service delivery • Web Ops team engage at a level that support their way of working and manages the risk 30 - OFFICIAL

SMOM - Operational Products The following are expected to be produced to support the implementation of the Service Management Operating Model • Principles, policies • Are the vehicle to translate the desired behaviour into practical guidance for day-to-day management. • Processes • Describe an organised set of practices and activities to achieve certain objectives and produce a set of outputs in support of achieving overall IT-related goals. • Functional Organisational structures • Who does what, interface to whom. • Information to support SM delivery • All information produced and used by the enterprise to enable services to be managed and delivered. • Catalogue of Services, infrastructure and applications • Including the infrastructure, technology and applications that provide the enterprise with information technology processing and services. • People skills and competencies • Identify the attributes required for successful completion of all activities and for making correct decisions and taking corrective actions. 31 - OFFICIAL

TOM – Service Desk Element Defra Retained responsibility Supplier responsibility Incident Operate and monitor an ITIL aligned Incident process Use the Defra Process and ITSM toolset Major Incident Operate and monitor an ITIL aligned Major Incident process Use the Defra Process and ITSM toolset Problem Operate and monitor an ITIL aligned Problem process Use the Defra Process and ITSM toolset, contribute to solution development. Request fulfilment Ability to initiate automated tools execution or activity and predefined tasks executed to an defined plan. Define fulfilment tasks within the Defra ITSM tool and operate the agreed OLA Service Management interface Operate and monitor an ITIL aligned Request process Enable third parties to access via an interface operational management tools and systems to enable management of their services Provide access to operational tools and systems, controlled privileged access, RTO, logs etc. Service Performance and Governance Enable definition and monitoring of service metrics, KPI’s, SLA’s Document and agree measurement method for all SLA/OLA’s Supplier services Deliver services to defined levels of performance, capacity and availability Deliver services as per contract 32 - OFFICIAL

TOM – Service Management Control Element Defra Retained responsibility Supplier responsibility Service strategy & planning Maintain and develop the Service strategy. Collaborate to support development and offer innovation opportunities Service architecture policies and standards Create and maintain all Policies, define standards Comply with and demonstrate compliance Service Governance and assurance Define and operate Operational Governance structure Collaborate with Defra, support activity Vendor contract management Manage the interface with all IT service suppliers Cooperate with the IT Vendor management function Financial management for Provide conformation to Defra finance on IT Services consumption of services Provide granularity of data required to support invoice approvals Service Measurement and Correlate data from suppliers to create Defra Provide service performance reports, reporting service management reports, dashboards, supporting data and where relevant access scorecards. Calculate performance of suppliers and to monitoring/performance tools. services. Operational Risk management 33 - OFFICIAL Manage the impact of Risk associated with IT services Manage Risk to service delivery, engage with the overarching Defra Risk management

TOM – Service Design Element Defra Retained responsibility Supplier responsibility Capacity Management Availability Management Manage and ensure necessary capacity is available to deliver all Defra IT service Maintain end to end service availability, optimisation of supporting supplier service performance. Manage and ensure necessary capacity is available to deliver supplied services Ensure services perform to contracted Availability target, provide information to Defra to support end to end Availability ITSCM Orchestrate and record activity to invoke continuity solutions Cooperate with Defra to test and implement Service continuity solutions. Service Level Management Provide Service management data to support process. Monitor performance against defined levels provide warnings of potential breach Provide life cycle management of catalogue services from design through to retirement. Maintain a portfolio of End user, business, technical and operational services Orchestrate activity to address Security Incidents. Record security incidents and activity relating to there resolution. Deliver the ITSM tool, ensuring its availability and suppliers operational process requirements are maintained. Manage Service delivery performance, provide information to Defra Service Catalogue Management IT Security Management ITSM Tooling Design and Interface Cooperate to publish services in the Defra Service Catalogue Comply with Defra security policy Maintain any supplier interfaces, . Contribute to the development, improvement of ITSM processes and configuration Service Design End to end Service Design for all services published via Address the requirements of the Management the Service catalogue assuring acceptance into service. Deployed Service Architecture 34 Work with the Defra Service Integration function which will support for resolution or investigation assistance by orchestrating suppliers to technically functions Provide tools, systems and access necessary to enable authorised suppliers to manage and maintain end to end service

TOM – Service Transition Element Defra Retained responsibility Supplier responsibility Transition Planning and Support Responsible for Service transition planning, scheduling and execution Support Defra in all activities relating to suppliers services Service Asset and Configuration Provide a Configuration management system including a CMDB, verify and audit CMS system. Provide an interface to suppliers configuration tools. Support the Change management process Provide the CMS to support the suppliers operational and management activates. Interface with the Defra ITSM CMS synchronise agreed CI’s & attributes Use the Defra Change management processes and ITSM tool. Release and Deployment Management Knowledge Management Support the Release and deployment management process Comply with the Defra Release policy and processes Environment Management Create and maintain site and environment policies Change Evaluation and Management Provide a searchable Knowledge base Create an maintain and publish knowledge capable of sorting information on new services articles in the Defra KM system Service Validation and Assure testing Testing 35 - OFFICIAL Comply with Defra site and environment policy Create test plans and perform tests

TOM – Operations Element Defra Retained responsibility Supplier responsibility Service Operations Management Provide a method to Orchestrate, record all operational activity performed by suppliers and support functions. Perform operational processes in line with operational procedures. Event Management Provide an interface to receive qualified events from external systems. Correlate the events impact on published Defra services. Classify and record events as Incidents Provide Service management data to support process Notify Defra of service impacting events Prioritise and direct CSI activity. Provide Service management data to support process Cooperate with Defra to support CSI activity Operational Security Management CSI Orchestrate and record activity addressing CSI objectives 36 - OFFICIAL Comply with Security policy

TOM – Governance Element Defra Retained responsibility Supplier responsibility Operational Governance Provide Service management data to support process Service Process Control and Management Provide a method to orchestrate and record Cooperate with Defra Service Process Control and report on activity associated with process and Management control 37 - OFFICIAL Cooperate with Defra Operational Governance

TOM – Strategy & Planning Element Defra Retained responsibility Supplier responsibility Portfolio Management Create and maintain the Portfolio management policy. Support Defra in delivery of Portfolio management Demand Management Provide Service management data to support process Enterprise Architecture Business Relationship Provide Service management data to support process Record the relationships between business entities, services, functions and service levels Provide a method to orchestrate and record and report on activity associated with business relationships Information Security Strategy Provide Service management data to support process Programme Management Provide Service management data to support process Risk Management and Provide Service management data to support Compliance process 38 - OFFICIAL Cooperate with Defra to maintain Information Security Strategy

TOM – Suppliers Element Defra Retained responsibility Interface Provide an interface to enable ITSM systems to be integrated enabling exchange of data in near real-time for the core processes Service Performance Provide a solution to enable individual supplier performance to be recorded, monitored and reported on 39 - OFFICIAL Supplier responsibility

Dependencies Summary Responsible Workstream Architecture Delegated Scope All work-streams Provide service specific management tools, delivery/fulfilment processes necessary to operate a specific service. Service Integration Deliver service/solution architecture, design, integration and deployment to enable a service to perform to a defined performance, availability targets and have all necessary management and deployment capability. Service Integration Provide deployed architecture management, operation, maintenance and support Service Integration Ensure end to end services are capable of delivering the required levels of performance and functionality. All work-streams Creation of the Service Design for work-stream Un. ITy services All work-streams Provide service introduction, migration and transition activity required to implement any service under the TMO SM model to comply with the SM Service Readiness requirements. 40 - OFFICIAL

Design Principles for Service Management Services Scope of Workstream Architecture Multi-supplier co-ordination is Defra responsibility Defra will be accountable for multi-supplier co-ordination across all life cycle stages and for all processes. Defra provide vendor and commercial management Defra will be accountable for all vendor and commercial management. Supplier service performance Defra will be accountable for IT service performance across all suppliers Assurance for commodity services Defra will provide an assurance role for the management and delivery of the majority of commodity based services. Active management and delivery of non-commodity Defra will take a more active role in the management and delivery of non-commodity based services. Multi Supplier service and system integration will be provided by the retained IT origination Retained organisation is accountable for the design, delivery and performance of all end to end Services supported by each supplier Service Catalogue is co-ordinated and managed by the retained IT organisation supported by the suppliers Provides central view of all supplier services (including service level measures) presented via a single portal Derived from Un. ITy SM proposition paper 41 - OFFICIAL

Design Principles for Service Management Services Scope of Workstream Architecture Service Design through to Overall accountability for all services remains with the retained Service Acceptance is a retained organisation, with suppliers providing information, deploying and IT function responsibility operating their service according to their contract. supported by all suppliers A central view is maintained of asset and configuration information for all services. Authority will design and provide a central Configuration Management System which suppliers will interface to, populate, update and maintain. Change, release and deployment will need to be managed by the retained IT organisation A single IT supply chain forward schedule of change/release will be managed by the retained organisation supported by each supplier ensuring that releases can be managed in the most beneficial way for the business, managing conflict and ensuring that accountability is retained Knowledge Management will be co-ordinated and managed by the retained IT organisation with knowledge information provided by suppliers A central Knowledge Base will be provided by the Authority with Knowledge information provided and updated by suppliers for their services which will be made available to users, Service Desk and suppliers Service Continuity planning is managed by the retained IT organisation for all services End to end ITSCM plans for all commodity- and non-commodity services will be managed by the retained organisation 42 - OFFICIAL

Guardrails – Architectural Principles Principle Rational Implications ITSM as Saa. S Supplier access simplified Follows core principles Limitation on solution that are delivered as Saa. S ITSM variable Per seat Licencing Usage costs linked to actual usage May exclude framework service Defra own the ITSM tool, core supplier use it Intellectual property, management control retained Impact on suppliers standard service models Common core ITSM processes operated by all Single view of service performance, management control, Impact on suppliers standard service models Defra retained IT organisation to be accountable for all service delivery Proposition Paper direction Resources and skill required Management & risk and governance to operate the functions control Out-Source Service desk and commodity management Proposition Paper direction Leverage industry good practice Supplier and interface to be managed Defra implement an interim Service capability Support migration transition, minimise the dependency on incumbents Incumbents cooperation required 43 - OFFICIAL

Sustainability approach The Service Management Architecture views will address sustainability impacts of its service model. Processes will be optimised to minimise the impact where possible via the use of tools, self help, knowledge and remote support. Additionally, consideration will be given to ensure elements of the solution such as the Service Desk consider: • Staffing of service desks will be fair and in accordance with ILO best practice, Mitigate any reputational risk to Defra of these arrangements being exploitative e. g. long shifts without breaks, access to facilities, diversity, fair wages (living wage in UK ) 44 - OFFICIAL

Input – Requirements scope • Requirements from Defra that drive the scope and structure of the IT services and supporting supplier services. • Existing Service • Replace existing service scope • Frameworks (ITIL, COBIT, Togaf) • Good practice frameworks • Service Supplier • • Business services Governance Management control Assurance • Business needs • • • SLA’s Priority Capacity Availability Performance • Transitional 45 - OFFICIAL • IOC

Operational – Requirements approach • For each of the Service Management Model elements the following will be defined: • Process Description • Process Purpose statement • IT Service goals • related metrics • Process goals • related metrics • Functional responsibilities (RACSI) • Management practices • Activities • Inputs • Outputs 46 - OFFICIAL