CWDS

Problem Management High Level Design

Created By:

Project Name: CWDS Service Desk Support Services

Document ID: Problem Management High Level Design
Version: 1.0
Issue Date: 3/2/2018
Problem Management ITIL High Level Design

Revision History
Date Version Description Author
02/01/2018 1.0 Problem Management ITIL High Jim McKennan
Level Design Plan

Approvals
Approver Name Department/Role Signature Date

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Problem Management ITIL High Level Design

Table Of Contents

1. Introduction 1

2. Problem Management High Level Process Flow 1

3. Problem Management High Level Process Activity Descriptions 3

4. Problem Management High Level Responsibility Matrix 5

5. Global Process Policies For Problem Management 6

6. Guidelines for invoking Problem Management 10

7. Applicable COBIT Controls 11

8. Integration With Other Processes & Functions 13

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Problem Management ITIL High Level Design

1. Introduction
The purpose of this document is to provide a high level or management view of the CWDS
Problem Management (PM) process. The PM High Level Process flow diagram is the focal point
for this document, with a corresponding section that defines each of the PM High Level Process
activities.

Global Process Policies that span the entire PM Process define the expected behavior for each
Service Provider (internal and external). These Policies are decided upon and agreed to by the
CWDS PM Process Team and have responsibilities for the day-to-day process operations.

Touch points with other service management processes are listed in the final section. These
touch points identify process inputs and outputs that are necessary for successful PM operations.
The PM Process Team should consider these inputs and outputs, regardless of organizational
plans to fully implement additional processes.

The content within this document is based on the best practices of the ITIL® framework1.

2. Problem Management High Level Process Flow

At a very high level, ITIL defines eleven (11) activities for the PM Process. These process
activities are illustrated in the PM High Level Process flow below. There are additional
definitions for Proactive PM’s.

1
ITIL® is a registered trade mark of AXELOS Limited.
Excerpts from the Cabinet Office ITIL® books © Crown copyright 2011 reproduced under license from the
Cabinet Office.

COBIT® is a Registered Trade Mark of the Information Systems Audit and Control Association (ISACA) and the IT
Governance Institute (ITGI).

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Problem Management ITIL High Level Design

Problem Management High Level Process Flow

11.0
Event Incident Proactive Problem Supplier or
Service Desk
Management Management Management Contractor

1.0
Problem Detection

2.0
Problem Logging

3.0
Problem
Categorization

4.0
Problem
Prioritization

5.0
Problem
CMS Investigation &
Diagnosis

Incident 6.0 5.1

Y Workaround
Management Workarounds needed?

N Supplier or
Contractor
7.0
Raise Known Error Known Error
Record Database
(if required)
Release &
Deployment
Management
Change Request For Change 7.1
Y Change needed?
Management

8.0
Problem Resolution

8.1
N Problem
resolved?

9.0
Problem Closure

SKMS

10.0
9.1
Major Problem? Y Major Problem
Review
Continual
Service
© Crown copyright 2011. N
Improvement
Reproduced under license from the Cabinet Office.
Based on figure 4.7 Service Operation 4.4.5 End

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Problem Management ITIL High Level Design

3. Problem Management High Level Process Activity

Descriptions
The following table provides a description of each activity in the Problem Management (PM)
high level process flow diagram:

Activity Description
1.0 Identify problems from the following activities:
Problem
 Incident Matching
Detection
 Trend Analysis

Review problem alerts raised by Incident Management and other processes.

2.0 All relevant information relating to the nature of the problem must be
Problem logged so that a full historical record is maintained. The following details
Logging are input during problem logging, if available:
 ServiceNow Problem record #
 Date/Time recorded
 Cross reference to related incidents
 User details
 Service details
 Configuration Item (CI) details
 Priority and category details
 Description of incident symptoms that resulted in problem identification
 Details of diagnostic or attempted recovery actions taken
3.0 Properly categorize the problem to indicate what expertise may be required
Problem for problem investigation and diagnosis and so it enhances management
Categorization reporting.
4.0 Problems should be prioritized using the same priority matrices for impact
Problem and urgency that are used for incidents. Prioritization provides the order for
Prioritization working on problems.
5.0 Properly investigate, diagnose, test and verify the root cause of the problem
Problem and determine the associated CIs. Problem analysis, diagnosis and solving
Investigation & techniques should be used to facilitate finding the root cause.
Diagnosis
6.0 The Known Error Database (KEDB) can be searched to match the problem
Workarounds against any known errors and possible workarounds. Existing workarounds
should be identified and assessed as possible resolutions for incidents
related to the problem. This activity will also define new workaround(s), if
feasible, to take the place of existing workaround(s), or to define a
workaround if one does not exist.

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Problem Management ITIL High Level Design

Activity Description
7.0 Once the root cause has been determined, the CI has been discovered and a
Raise Known workaround or permanent fix is identified, a known error record must be
Error Record created and recorded in the known error database (KEDB). Depending on
the tools used, creating a known error record may be equivalent to changing
a status of a problem record to ‘Known Error.’
8.0 As soon as a resolution is found, it should be applied to resolve the problem.
Problem This resolution may lead to initiation of a Request For Change (RFC) and
Resolution approval through the Change Management Process before the resolution can
be applied. In some cases the cost and/or impact of resolving the problem
cannot be justified. In that case a decision may be made to leave the
problem open and continue to resolve subsequent incidents using a validated
workaround. This decision is usually made by the Change Advisory Board
(CAB) as part of the Change Management Process.
9.0 The known error and associated problems will be closed by PM after
Problem successful implementation of the resolution and Post Implementation
Closure Review (PIR) by Change Management.
10.0 Major A review to identify lessons learned should be conducted with all
Problem Review appropriate parties soon after any major problem is resolved.
11.0 Trend analysis against incident records and other IT Service Management
Proactive processes is used to proactively identify problems that might otherwise be
Problem missed.
Management

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Problem Management ITIL High Level Design

4. Problem Management High Level Responsibility Matrix

A responsibility matrix (RACI, see legend below) is a tool used to help understand which
parties are involved in activities and their level of involvement. Because this is a high
level view, there are several levels of involvement shown. More detailed RACIs are
provided in the detailed design.

Problem Management

Problem Management

Management Process

Service Stakeholder
Support/Problem
Process Manager

Problem Analyst
Process Owner
Process Roles

Service Desk
Practitioner
N-Level
Activities Within Process
1.0 Problem Detection A R R
2.0 Problem Logging A R R R/C/I R/I C/I
3.0 Problem Categorization A R R C
4.0 Problem Prioritization A R R I I I
5.0 Problem Investigation and Diagnosis A R R/C R/C/I C/I C
6.0 Workarounds A R R R C
7.0 Raise Known Error Record (if
A R R R C/I C
required)
8.0 Problem Resolution A R R R/C C/I C
9.0 Problem Closure A R R C I C/I
10.0 Major Problem Review A R R/C/I R/C/I I C/I
11.0 Proactive Problem Management A R/C R/C R/C C/I C/I

Legend:
R = Responsible: Executes the task
A = Accountable: Accountable for final result
C = Consulted: Consulted about the task to provide additional information
I = Informed: Needs to be kept up-to-date on activities/tasks

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Problem Management ITIL High Level Design

5. Global Process Policies For Problem Management

PM Global Process Policies represent decisions made by the PM Process Owner and PM/Service
Stakeholders for end-to-end management and execution of the PM Process. All technologies,
organizations and staff defined in CWDS’s PM Scope are expected to adhere to these Global
Policies.

The PM Global Process Policies are designed to ensure that all Service Provider organizations
(internal and external) work together to successfully meet CWDS’s PM Objectives. Policies
required to support external regulations (i.e., legislation) and/or business/customer requirements
are also included.

The PM Global Process Policies are owned and monitored by the PM Process Owner. They will
provide Management Information to senior and mid-level managers to demonstrate overall
process effectiveness and efficiency, compliance at an organizational level and compliance at a
department and individual level. The PM Process Owner is also accountable for ensuring that
Global Policies add value to the organization and are reviewed and updated on a regular basis.

The following table provides a list of Best Practice Global Process Policies for PM. These should
be discussed, modified (if necessary) and agreed upon between the PM Process Owner and the
PM/Service Stakeholders. The PM Process Owner is accountable to ensure end-to-end
compliance to these policies. In this position the PM Process Manager must have the authority
to make sure middle-management holds its teams accountable for effective and efficient
execution of PM activities.

Policy Statement Reason For Policy Benefits

One PM process based on ITIL Provide effectiveness and  Improved data
guidance will be utilized efficiency in performing collection
throughout OSI. PM activities.  Improved management
information
 Improved resource
utilization
The PM Process Owner is Provides a single point of Ensures consistency in the
accountable for the entire PM accountability for the PM execution of PM across
Process and has the authority to Process across OSI. OSI.
develop policies and procedures
pertaining to the process.

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Problem Management ITIL High Level Design

Policy Statement Reason For Policy Benefits

The following criteria must be A clear definition of Consistent criteria for
used to identify and create a problem criteria will limit defining and creating
problem record: the scope of PM and problem records.
ensure that the appropriate
Multiple incidents showing the energy and time are
same symptoms where the cause allocated to actual
is unknown. problems.
- or -
Where a single significant
incident has been identified based
on the Major Incident criteria
within the Major Incident Policy.
ServiceNow will be used for To provide effectiveness  Improved data
logging and tracking of problems and efficiency to the PM collection
and known errors. Process.  Improved management
information
 Improved decision
making capability
PM will periodically attempt to To ensure that proper  Improved matching of
match open incidents to known information is being input incidents
errors or defined problems. in problem tickets for  Reduced number of
During the problem identification matching by the Incident new problems that
and logging activity, PM will also Management process. have to be recorded
attempt to match single or  Improved
multiple incidents to existing understanding of the
Known Errors (KE) or defined impact of incidents
problems.  Better resource
utilization
Each support group who works on To ensure proper  Improved
a problem will be responsible for collection of work is communication
updating the problem ticket on an generated and provide the  Ongoing record of
ongoing basis. ability to properly actions taken and status
communicate the status of of problem
the problem.  Improved and more
accurate management
reporting
All problems will be prioritized Ensure that the right  Improved resource
based upon impact and urgency problems are being utilization
defined in the priority model that worked on in the right  Improved decision
has been defined for Incident, order. making capability
Problem and Change  Improved management
Management. reporting

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Problem Management ITIL High Level Design

Policy Statement Reason For Policy Benefits

PM will review workarounds that To ensure that the defined  Fewer incidents caused
have been submitted by Incident workarounds are feasible, by poor workarounds
Management and other processes are in the best interest of  Improved
or functional groups. OSI and are validated and service/system
populated in the PM availability
database.  Proper resource/skill
set utilized to validate
workaround
Support teams with specific To ensure that the  Helps define skill
Subject Matter Experts (SME) appropriate resource(s) are requirements to
will be assigned to conduct root assigned to work on perform root cause
cause analysis activities. SMEs problem diagnosis. To analysis
should use structured root cause ensure that PM doesn’t  Improved time to
analysis techniques for more become an extension of identify root cause
effective diagnosis. Incident Management  Focus on identifying
resources. root cause vs. restoring
service
After successful identification of Provide a clear indication  Help with
the root cause, which CI is at fault that the root cause has communication of the
and identification of a workaround been identified and efforts status of the problem
or temporary fix, the problem will at identifying a permanent  Improved reporting on
be closed and a known error resolution can proceed. the PM activities
record opened. Once a root cause
is known the problem record
status will change to “Known
Error.”
Known errors and associated Ensure known errors are  Improved management
problems will only be closed after not closed prematurely, reporting
the successful implementation of a nor kept open forever.  Consistent procedure
RFC, including verification that on when to close the
incidents related to the specific known error
problem are no longer occurring.
Decisions to resolve a problem, To ensure that proper  Improved financial and
through raising a RFC, should be financial decisions are resource utilization
based on cost to implement that applied to the PM Process.  Improved decision
change versus cost and impact to making
OSI if the problem is left
unresolved. Any decision to
refrain from resolving a problem
should be documented and
communicated to the appropriate
stakeholders.

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Problem Management ITIL High Level Design

Policy Statement Reason For Policy Benefits

An RFC must be completed and Following the policies of  Change is reflected on
submitted to Change Management Change Management the change schedule
in order to facilitate the change ensures that there is a  Improved ability to
that has been identified to remove structured approach to assess the impact, risk
the error from the infrastructure. implementing the required and cost of the change
change.  Improved Change
Management reporting
 Improved tracking of
change
PM metrics and management Assess performance  Identifies Service
reports will be provided to measures (e.g., efficiency Provider performance
management, staff and customers and effectiveness) and for end-to-end incident
in accordance with outlined compliance to the PM resolution
procedures and agreements. Process, including creating  Identifies opportunities
RFCs to resolve problems for improvement
requiring a change to the
infrastructure.
Reviews are conducted by the PM Maximize process benefits  Identifies opportunities
Process Owner on a regular basis. and reduce costs. for process, tool and
Reviews will focus on the process staff improvements
consistency and repeatability and  Identifies opportunities
Key Performance Indicators for staff training on
(KPIs). process and tools

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Problem Management ITIL High Level Design

6. Guidelines for invoking Problem Management

The rules for invoking Problem Management can vary and are at the discretion of OSI. The
activities described would be executed by the OSI staff member that the incident is assigned to.
Some general situations where it may be desired to invoke Problem Management might include
situations where:
 Incident Management cannot match an incident to existing problems and known errors.
 Trend analysis of logged incidents reveals an underlying problem exists (from proactive
Problem Management reviews)
 A major incident has occurred where Problem Management activities need to be
undertaken to identify the root cause. (A major incident is the highest category of impact
for an incident. A major incident results in significant disruption to the business. It is,
therefore, an incident with the greatest impact and urgency. Special procedures, with
shorter timescales and greater urgency for major incidents are outlined in the Incident
Management ITIL Detailed Design plan. But if the cause of the incident needs to be
investigated at the same time, then Problem Management would be involved as well.
However, the Incident Manager must ensure that service restoration, by Incident
Management, and underlying cause, by Problem Management are kept separate)
 Major incident reviews which are trying to prevent the recurrence of any major incident
can provide identification of an underlying cause or underlying error. Problem
management would likely participate in these reviews. When causes or errors are
identified during these reviews, Problem Management would initiate the appropriate
corrective action. If changing a Configuration Item is necessary to correct the underlying
error, Problem Management would fill out a RFC and submit it to the Change
Management process. Change Management would assess and evaluate the change, and if
approved, would authorize Release and Deployment Management to build, test and
deploy the release to correct the error.
 Other IT functions identify that a problem condition exists
 The Service Desk may have resolved an incident but has not determined a definitive
cause and suspects that the incident is likely to recur
 Analysis of an incident by a support group which reveals that an underlying problem
exists, or is likely to exist
 A notification from a (third-party) supplier that a problem exists and has to be resolved
 A single incident occurs that has Special Circumstances. (Special Circumstances are
purposely not defined so that we can be flexible in its meaning so that Problem
Management can be invoked whenever it is deemed necessary. It is then up to the
Problem Management Process Owner to decide if a root cause investigation needs to be
initiated)
 Multiple Incidents have occurred that may indicate they are all related to a single
technical fault. (These are usually discovered through proactive Problem Management
activities such as trending analysis of historical incident records).

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Problem Management ITIL High Level Design

7. Applicable COBIT Controls

The COBIT 4.1 controls that correspond most closely2 to the ITIL Problem Management
process are the following3:
DS Deliver and Support
DS10 Manage Problems
DS10.1 Identification and Classification of Problems
Implement processes to report and classify problems that have been identified
as part of incident management. The steps involved in problem classification
are similar to the steps in classifying incidents; they are to determine category,
impact, urgency and priority. Categorize problems as appropriate into related
groups or domains (e.g., hardware, software, support software). These groups
may match the organizational responsibilities of the user and customer base,
and should be the basis for allocating problems to support staff.
DS10.2 Problem Tracking and Resolution
Ensure that the problem management system provides for adequate audit trail
facilities that allow tracking, analyzing and determining the root cause of all
reported problems considering:
• All associated Configuration Items
• Outstanding problems and incidents
• Known and suspected errors
• Tracking of problem trends
Identify and initiate sustainable solutions addressing the root cause, raising
change requests via the established Change Management process. Throughout
the resolution process, Problem Management should obtain regular reports
from Change Management on progress in resolving problems and errors.
Problem Management should monitor the continuing impact of problems and
known errors on user services. In the event that this impact becomes severe,
Problem Management should escalate the problem, perhaps referring it to an
appropriate board to increase the priority of the RFC or to implement an
urgent change as appropriate. Monitor the progress of problem resolution
against SLAs.
DS10.3 Problem Closure
Put in place a procedure to close problem records either after confirmation of
successful elimination of the known error or after agreement with OSI on how
to alternatively handle the problem.

2
COBIT® Control mapping from COBIT® Mapping: Mapping of ITIL v3 With COBIT® 4.1, 2008, IT Governance Institute
3 COBIT® Control language is from COBIT® 4.1, 2007, IT Governance Institute

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Problem Management ITIL High Level Design

DS10.4 Integration of Configuration, Incident and Problem Management

Integrate the related processes of configuration, incident and problem
management to ensure effective management of problems and enable
improvements.
AI Acquire and Implement
AI2 Acquire and Maintain Application Software
AI2.4 Application Security and Availability
Address application security and availability requirements in response to
identified risks and in line with the organization’s data classification,
information architecture, information security architecture and risk tolerance.
AI4 Enable Operation and Use
AI4.4 Knowledge Transfer to Operations and Support Staff
Transfer knowledge and skills to enable operations and technical support staff
to effectively and efficiently deliver, support and maintain the system and
associated infrastructure.

These COBIT® control numbers may be cited in the detailed design procedure descriptions. See
the official COBIT® 4.1 documentation at [Link] for more details.

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Problem Management ITIL High Level Design

8. Integration With Other Processes & Functions

As each process is designed, it is important to recognize that there are key integrations between
processes. Even if the goal is not to reach integration, there is a certain level of integration
(inputs become outputs) that naturally takes place.

The following tables describe key areas where PM integrates with other processes. The ‘Key
Actions’ column shows activities or triggers from one process/function to the other. The ‘Key
Information’ column describes the data or output that is transferred to the other processes
functions, for information or for reporting purposes.

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Access  Oversee Access Management  Problem and known error
Management problems and known errors to records
closure  Requests for action or
 Direct access problems and known input
errors to Access Management for  Problem Management
action policies and procedures,
 Solicit Access Management roles and responsibilities
involvement in Problem
Management activities that may
benefit from Access Management
input or action
 Accept proactive access-based
problems
Application  Collaborate with Application  Management
Management Management to solve problems that information: trend
are application related information
 Identify problems that are related to  Problem and known error
the services and components records
supported by Application  Major problem review
Management records
 Assist Application Management in  Problem Management
the resolution of major incidents and policies and procedures,
problems roles and responsibilities
 Assist with continual improvement

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Availability  Oversee Availability Management  Problem and known error
Management problems and known errors to records
closure  Requests for action or
 Direct availability problems and input
known errors to Availability  Problem Management
Management for action policies and procedures,
 Solicit Availability Management roles and responsibilities
involvement in PM activities that
may benefit from Availability
Management input or action
 Accept proactive availability-based
problems
Capacity  Oversee Capacity Management  Problem and known error
Management problems and known errors to records
closure  Requests for action or
 Direct capacity problems and known input
errors to Capacity Management for  PM policies and
action procedures, roles and
 Solicit Capacity Management responsibilities
involvement in PM activities that
may benefit from Capacity
Management input or action
 Accept proactive capacity-based
problems

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Change  Associate problem and known error  Problem and known error
Management records with changes suspected of records referencing RFCs
causing the associated incident(s)  RFCs
 Associate problem and known error  Success criteria for
records with RFCs submitted to problem related changes
investigate and/or resolve the
incident(s)  PM policies and
procedures, roles and
 Ensure that all resolutions or responsibilities
workarounds requiring a change to a
CI are handled in compliance with
Change Management policies and
procedures
 Rectify any situations caused by
unsuccessful changes
 Participate in the CAB
 Participate in PIRs
Demand  Oversee Demand Management  Problem and known error
Management problems and known errors to records
closure  Requests for action or
 Send demand problems and known input
errors to Demand Management for  PM policies and
action procedures, roles and
 Solicit Demand Management responsibilities
involvement in PM activities that
may benefit from Demand
Management input or action
 Accept proactive demand-based
problems
Event  Provide PM monitoring  PM monitoring, event
Management requirements and logging requirements
 Suggest Event Management process  Event log access requests
and technology improvements  PM policies and
procedures, roles and
responsibilities

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Financial  Historical data for computing cost of  Management information
Management for problems, known errors: time, about the cost of
IT Services material, hardware, people, software resolving and preventing
 Cost of workarounds problems
 Cost of analysis and resolution  PM policies and
procedures, roles and
 Cost of implementing or not responsibilities
implementing a change initiated by
PM
Incident  Problems raised because multiple  Information on problems
Management incidents can be solved to prevent and known errors
further incidents from occurring  Workarounds and
 PM staff may provide education and temporary solutions
training to Incident Management  Reports on major
staff (e.g., the Service Desk) on problem reviews
investigation and diagnosis
 Incident associations with
problems and known
errors
 PM policies and
procedures, roles and
responsibilities
Information  Report all security related problems  Problems related to
Security to Information Security Information Security
Management Management Management
 Maintain restricted access to  Problem data related to
security problems and known errors information security
 Comply with Information Security  PM policies and
policies procedures, roles and
 Maintain Information Security responsibilities
process access controls

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
IT Operations  Collaborate with IT Operations  Management
Management Management to solve problems that information: trend
are related to facilities and information
component issues for which they are  Problem and known error
responsible records
 Identify problems that are related to  Major problem review
the services and components records
supported by IT Operations
Management  PM policies and
procedures, roles and
 Assist IT Operations Management responsibilities
in the resolution of major incidents
and problems in which they are
engaged
 Assist with continual improvement
IT Service  Warn IT Service Continuity  PM procedures
Continuity Management (ITSCM) of problems  Problem records
Management or known errors that have a high
impact, a high risk of recurrence,  PM policies and
and cannot be expediently resolved procedures, roles and
responsibilities
 Oversee ITSCM problems and
known errors to closure
 Direct ITSCM problems and known
errors to ITSCM for action
 Solicit ITSCM involvement in PM
activities that may benefit from
ITSCM input or action
 Accept proactive ITSCM based
problems
Knowledge  Provide Knowledge Management  Knowledge Management
Management data utilization and feedback data entry and access feedback
 PM policies and
procedures, roles and
responsibilities

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Release &  Oversee Release & Deployment  Problem and known error
Deployment problems and known errors to records
Management closure  Workarounds
 Direct Release & Deployment  PM policies and
Management problems and known procedures, roles and
errors to Release & Deployment responsibilities
Management for action
 Solicit Release & Deployment
Management involvement in PM
activities that may benefit from
Release & Deployment
Management input or action
 Accept proactive Release &
Deployment Management based
problems
Request  Ensure that all workarounds that can  Problem and known error
Fulfillment be fulfilled via a service request are records
available in ServiceNow  PM policies and
 Participate in evaluation of service procedures, roles and
request list responsibilities
 Oversee Request Fulfillment
problems and known errors to
closure
 Direct Request Fulfillment problems
and known errors to Request
Fulfillment for action
 Solicit Request Fulfillment
involvement in PM activities that
may benefit from Request
Fulfillment input or action
 Accept proactive Request
Fulfillment based problems

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Service Asset &  Associate problem and known error  Problem and known error
Configuration records with symptom, cause, records with CI links
Management workaround, and fixed CIs and  PM policies and
affected service CIs procedures, roles and
 Oversee Service Asset & responsibilities
Configuration Management
problems and known errors to
closure
Service Catalog  Provide access to information  Number of currently
Management requested outstanding problems and
 Oversee Service Catalog known errors by urgency
Management problems and known and impact
errors to closure  Problem closure rate over
 Direct Service Catalog Management a rolling meaningful
problems and known errors to interval
Service Catalog Management for  PM policies and
action procedures, roles and
 Solicit Service Catalog Management responsibilities
involvement in PM activities that
may benefit from Service Catalog
Management input or action
 Accept proactive Service Catalog-
based problems
Service Desk  Oversee Service Desk problems and  PM policies and
known errors to closure procedures, roles and
 Direct Service Desk problems and responsibilities
known errors to Service Desk for  Training
action  Problem and known error
 Solicit Service Desk involvement in records
PM activities that may benefit from  Workaround information
Service Desk input or action
 Accept proactive Service Desk
based problems

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Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Service Level  Notify Service Level Management  Problems and known
Management of status and resolution of problems errors affecting service
and known errors affecting service levels
levels  PM information for
 Provide status of service problems service reviews
and known errors as input for  PM policies and
service level reviews and Service procedures, roles and
Improvement Program (SIPs) responsibilities
Service Portfolio  Provide known error defect  Number of problems and
Management feedback on implemented services known errors and their
 Provide access to information impact and status by
requested implemented service
 Propose known error elimination or  Known error mitigation
mitigation projects or elimination project
requests
 PM policies and
procedures, roles and
responsibilities
Service Provide problem summary data for  Problem data following
Validation & future testing criteria and service new deployments for
Testing validation analysis future testing criteria
 PM policies and
procedures, roles and
responsibilities
Seven-Step Provide problem data and PM Process  Problem and known error
Improvement measures for the Seven-Step records
Improvement process  PM Process measures and
targets
 PM policies and
procedures, roles and
responsibilities

20
Problem Management ITIL High Level Design

By: Problem Management For: Process/Function

Key Information Provided
Recipient Process/ Key Actions Taken By Problem To Process/Function By
Function Management For Process/Function Problem Management
Supplier  Provide training for and integration  Problem information and
Management of supplier support teams triggers to supplier
 Provide interfaces and integrations support teams
between supplier and organization  PM policies and
PM processes and tools procedures, roles and
responsibilities
Technical  Collaborate with Technical  Problem information
Management Management to solve problems that  Problem and known error
are related to the services and records
components which they support
 Major problem review
 Identify problems that are related to records
the services and components
supported by Technical  PM policies and
Management procedures, roles and
responsibilities
 Assist Technical Management in the
resolution of major incidents and
problems
 Assist with continual improvement

21
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
Access Management  Notify PM of any new or updated access  Access data
related problems  Access Management
 Provide assistance in resolving problems policies and procedures,
related to access roles and responsibilities
Application  Perform PM tasks and activities as  Recommended
Management requested and in conformance with resolutions for application
respective policies and procedures related problems
 Perform assigned root cause analysis,  Answers to requests for
identification, testing, mitigation planning information
and tasks in the application domain  Acknowledgement of
requests
 Request completion
notice
 Application Management
policies and procedures,
roles and responsibilities
Availability  Notify PM of any new or updated  Availability data
Management availability related problems  Availability plans and
 Provide assistance in resolving problems policies
related to availability  Availability Management
policies and procedures,
roles and responsibilities
Capacity  Notify PM of any new or updated capacity  Capacity data
Management related problems  Capacity plans and
 Provide assistance in resolving problems policies
related to capacity  Capacity and utilization
 Monitor utilization versus capacity history and forecasts
 Determine utilization drivers  Demand/capacity
 Conduct “what-if” capacity/demand forecasts
assessments  Capacity Management
policies and procedures,
roles and responsibilities

22
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
Change  Provide PM access to the change history  RFC records and logs
Management records to conduct point-in-time problem  PIR reports
and known error root cause investigation  Change schedule
and analysis, and to conduct risk  Change information to
assessments and root cause close problem records
elimination/mitigation planning activities  Change Management
 Inform PM of problem requested change policies and procedures,
status and outcome roles and responsibilities
Continual Service  Provide PM related vision and targets  Vision
Improvement  Solicit PM improvement input  As-Is assessment
 Support PM improvement initiatives  To-Be targets
 As-Is re-assessments
 Continual Service
Improvement policies and
procedures, roles and
responsibilities
Demand  Notify PM of any new or updated demand  Service demand drivers
Management related problems and patterns
 Provide assistance in resolving problems  Demand history and
that related to demand forecasts
 Provide service demand drivers and driver  Demand/capacity
patterns forecasts
 Monitor demand  Demand Management
 Conduct “what-if” capacity/demand policies and procedures,
assessments roles and responsibilities
Event Management Provides IT environment and service status  Logged event records
indicators to PM Process Manager for  Event Management
problem forensics policies and procedures,
roles and responsibilities
Financial Provide procedures for budgeting, IT  Budget information
Management for IT Accounting and Charging related to approving
Services spend for resolving and
preventing Problems
 Financial Management
policies and procedures,
roles and responsibilities

23
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
Incident  Warning of potential problems  Current incidents
Management  Incident Management may provide  Resolution steps
resolution steps or workarounds to PM for  Potential impact
validation and acceptance into the  Identification of change
problem database impact
 Provide incident records for PM  Priorities and required
processing time scales
 Incidents to be matched to
existing problems or to
spawn new problems
 Incident Management
policies and procedures,
roles and responsibilities
Information  Notify PM of any new or updated security  Information Security
Security related problems policies, standards and
Management  Provide assistance in resolving problems guidelines
related to security  Information Security
 Monitor security operations and exception forensic data
parameters  Training
 Provide Information Security policies,  Information Security
standards and guidelines Management policies and
 Participate in problem and known error procedures, roles and
resolution whenever Information Security responsibilities
is affected or at risk
 Collaboration in major incident reviews
related to Information Security

24
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
IT Operations  Assists in implementing PM process  Process metrics
Management  Identifies, collaborates on and resolves  Problem data related to IT
problems as well collaborating on major Operations
incidents and major problems and their  Monitoring
reviews  Operations logs
 Assists PM in assuring that problem  Operations reports
resolutions are cost effective and efficient  Facility access reports
 Collaborates on continual improvement  Value enhancement
opportunities for the PM Process information
 IT Operations
Management policies and
procedures, roles and
responsibilities
IT Service  Notify the PM of any new or updated  Business and IT Service
Continuity ITSCM related problems Continuity plans
Management  Provide assistance in resolving problems  ITSCM policies,
related to ITSCM standards and procedures
 Monitor continuity tests and readiness  ITSCM test results
 Participate in problem and known error  Business Impact
resolution whenever ITSCM is affected or Assessment (BIA) ratings
at risk for prioritization
 Provide ITSCM policies, standards and  IT Service Continuity
procedures to PM to ensure appropriate Management policies and
handling of high impact problems and procedures, roles and
known errors responsibilities
 Provide business and IT Service
Continuity plans to PM
 Major incidents may be coordinated by a
PM Process Manager. PM needs to know
the criteria for declaring a disaster
Knowledge  Audit PM knowledge entries  Knowledge Management
Management  Accept PM knowledge entries and entry entries for use in problem
assessments and known error
 Provide access paths to knowledge items resolution activities
for Problem Analysts and support teams  Knowledge Management
policies and procedures,
roles and responsibilities

25
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
Release &  Oversee the planning and execution of  Known errors associated
Deployment problem requested releases and with release development
Management deployments  Release & Deployment
 Inform PM of problem requested release schedule
and deployment status and outcome  Release & Deployment
policies and procedures,
roles and responsibilities
Request Fulfillment  Oversee service requests to implement  Service request records
workarounds and to fix known errors  Status communication
 Inform PM of problem service request  Request Fulfillment
status and outcome policies and procedures,
roles and responsibilities
Service Asset &  Provide PM access to the configuration  CIs and relationship
Configuration management database (CMDB) to conduct information
Management point-in-time problem and known error  Service Asset &
root cause investigation and analysis Configuration
 To conduct risk assessments and root Management policies and
cause elimination/mitigation planning procedures, roles and
activities responsibilities
Service Catalog  Present the number of currently Service Catalog
Management outstanding problems and known errors Management policies and
by urgency and impact procedures, roles and
 Present problem closure rate over a rolling responsibilities
meaningful interval
Service Desk  Registration of problems  Incident data
 Monitoring of problems  Problem data
 Communication of problems  Change data
 Escalation of problems  Service Desk policies and
 Incident matching procedures, roles and
responsibilities

26
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
Service Level  Provide PM with service level parameters  Parameters such as impact
Management from Service Level Agreements (SLAs), and risk information
Operational Level Agreements (OLAs) related to agreed service
and underpinning contracts (UCs) to levels
establish problem priority from impact  SIP status
and urgency  Service Level
 Inform PM of problem requested SIP Management policies and
status and outcome procedures, roles and
responsibilities
Service Portfolio Provide notice of change to service which  Advance notice of
Management may impact problem activities portfolio changes
affecting production
 Service Portfolio
Management policies and
procedures, roles and
responsibilities
Service Validation  Collaborate on PM test requirements for  Known errors for new or
& Testing services being changed or evaluated changed CIs
 Provide known errors or issues to PM for  Test results and analysis
newly tested CIs  Service Validation &
 Perform tests for changes made to identify Testing policies and
and/or isolate root causes procedures, roles and
 Perform tests for changes made to resolve responsibilities
known errors
Supplier  Collaborate on defining and fulfilling PM  Supplier contracts and
Management goals and requirements for supplier contacts
services  Requirements from users,
 Facilitate conflict resolution suppliers and organization
 Coordinate establishment of PM training  Supplier problem and
and execution coordination activities for escalation contact
supplier and PM information
 Conduct supplier satisfaction survey  Supplier satisfaction
surveys
 Supplier survey reports
 Supplier Management
policies and procedures,
roles and responsibilities

27
Problem Management ITIL High Level Design

By: Process/Function For: Problem Management

Key Information
Provided By
Provider Actions Taken By Process/Function For Process/Function To
Process/Function Problem Management Problem Management
Technical  Perform PM tasks and activities as  Root cause findings
Management requested and in conformance with  Root cause mitigation
respective policies and procedures plans
 Perform assigned root cause analysis,  Root cause mitigation test
identification, testing, mitigation planning results
and mitigation tasks in the technical  Answers to requests for
domain information
 Acknowledgement of
requests
 Request completion
notice
 Technical Management
policies and procedures,
roles and responsibilities

28