1. Roles and Responsibilities
Examples

2. Introduction Standards and Frameworks: Functional Divisions Examples
ISO/IEC 20000
COBIT 5
ITIL®
MOF 4
Functional Divisions
Examples
Defining specific roles and responsibilities can be difficult because organizations are not designed the same. Even when two organizations are using the same framework for service management, their maturity may create additional roles not specifically mentioned by the framework. Additionally, major frameworks may be similar but not consistent because they are focused on different aspects of service management: for instance, COBIT 5 will delve more into governance-based roles than operational-based roles like MOF4.
Despite this difficulty, this presentation is created to present several commonly implemented roles and responsibilities from several major standards and frameworks in IT service management; namely ISO/IEC 20000, COBIT5, ITIL, and Microsoft Operational Framework 4 (MOF4). The roles identified by these frameworks will be divided into functional categories and several roles will be examined to identify key responsibilities.
Before moving forward, some words on each of the framework:
ISO/IEC is the only available standard for IT service management; therefore, the role requirements for ISO/IEC will always be mentioned.
COBIT 5 is an enterprise framework for governance and management of IT; therefore, its roles are primarily concerns with the upper levels of the organizational structure and provides greater insight into the business and technical aspects of IT management.
ITIL is a framework for best practices in IT service management and focuses on the stages of the service lifecycle and the relevant service management processes. ITIL has some overlap with all other frameworks.
MOF4 is a framework specifically designed for managing Microsoft products and services, but the roles can be easily applied to other platforms. The focus of MOF4 roles are operational in nature and are identified in terms of accountability to the service.
Copyright: The Art of Service 2008

3. ISO/IEC 20000 Top Management Management Representative
Business Relationship Manager
Supplier Manager
Incident Manager
Auditor
While ISO/IEC is a standard for IT service management, it does not attempt to define too many “must have” roles for a service provider. There are six roles which can be identified within the standard: three are defined in greater detail, while the other three are not (in fact, they are not even given a label by the standard).
Copyright: The Art of Service 2008

4. COBIT 5 (Governance Roles)
Board
Chief Executive Officer
Chief Financial Officer
Chief Operating Officer
Business Executives
Business Process Owners
Strategy Executive Committee
Steering Committee
Project Management Office
Value Management Office
Chief Risk Officer
Chief Information Security Officer
Architecture Board
Enterprise Risk Committee
Head Human Resources
Compliance
Audit
COBIT5, or version 5 of the Control Objectives for Information and Related Technologies, is a business framework designed to allow managers to align and manage control requirements to address technical issues and business risks. The framework identifies 31 processes essential to the governance and management of enterprise IT. For each process, COBIT5 identifies the areas of accountability and authority of several roles within the business and technical spectrum of IT service management. For our purposes, we will relate to the business aspect of IT as governance and very little exploration of these roles will be conducted at this time. This direction does not minimize the importance of the governance; it only recognizes the unique perspective of the COBIT framework.
Copyright: The Art of Service 2008

5. COBIT 5 (Management Roles)
Chief Information Officer
Head Architect
Head Development
Head IT Operations
Head IT Administration
Service Manager
Information Security Manager
Business Continuity Manager
Privacy Officer
The technical aspect of COBIT still focuses on the management hierarchy of IT: thus identifying key roles of accountability at the top level. In practice, an IT environment is composed of several architectures, platforms, and technologies with management roles required to manage each according to their specialized requirements; therefore, many of the management roles identified by COBIT are either generic or are intended to be hihg level to drive consistency across the environment.
Copyright: The Art of Service 2008

6. ITIL Generic Roles Specific Roles (Strategy) Service Owner
Process Owner
Process Manager
Process Practitioner
Business Strategy Manager
IT Steering Group
IT Director
Business Relationship Manager
The Information Technology Infrastructure Library (ITIL) is a set of IT best practices designed in terms of commonly found service management processes. It relies heavily on the implementation of the service lifecycle: a means of relating to a service based on its development from strategy to practical operational state. Many of the roles identified by ITIL are related to specific processes which support the different stages of the service lifecycle.
ITIL introduces some key roles which are generic in construct but fulfill specific responsibilities when applied to individual processes. These roles include:
Service Owner
Process Owner
Process Manager
Process Practitioner
Each of these generic roles will be covered in more detail in later slides. Over the next few slides, different roles called out by ITIL will be identified. It is important to realize that ITIL also identified specific responsibilities to process owner and process manager as the generic role is applied to each of the 26 service management processes supported in ITIL.
Copyright: The Art of Service 2008

7. ITIL (cont.) Specific Roles (Design) Specific Roles (Transition)
IT Planner
Architect (IT designer)
Service Transition Manager
Change Initiator
Change Authority
Configuration Analyst
Configuration Librarian
Build and Test Environment Manager

8. ITIL (cont.) Specific Roles (Operations) Specific Roles (CSI)
First-line Analyst
Second-line Analyst
Third-line Analyst
Problem Analyst
Request Fulfillment Analyst
Functional Roles Applicable
Reporting Analyst
The ITIL operations roles are reliant on the functions of the organization, which are expanded upon by MOF4. In a few slides, we will look at roles from a functional perspective.
Copyright: The Art of Service 2008

9. MOF 4 Support Accountability Operations Accountability
Customer Service Representative
Incident Resolver
Incident Coordinator
Problem Analyst
Problem Manager
Customer Service Manager
Operator
Administrator
Technology Area Manager
Monitoring Manager
Scheduling Manager
Operations Manager
Microsoft Operational Framework 4 looks at the development, implementation, management, and improvement of Microsoft products and services from the perspective of different accountabilities. While the responsibilities are platform-based, the roles themselves can be easier aligned with the other frameworks. Often, the MOF4 roles simply show the level of detail required at lower levels of the organizational chart.
The next few slides focus on the different roles in 7 accountabilities. MOF4 does not take a process perspective in categorizing roles.
Copyright: The Art of Service 2008

10. MOF 4 (cont.) Service Accountability Compliance Accountability
Supplier Manager
Portfolio Manager
Account Manager
Service Level Manager
IT Executive Officer
IT Manager
Risk and Compliance
Assurance and Reporting
Internal Control Manager
Legal
IT Policy Manager

11. MOF 4 (cont.) Architecture Accountability Solutions Accountability
Architecture Manager
Reliability Manager
Architect
Solution Manager
Program Manager
Developer
Tester
Product Manager
User Experience
Release Management
Operations Experience
Test Manager

12. MOF 4 (cont.) Management Accountability IT Executive Officer
IT Manager
IT Policy Manager
IT Risk and Compliance Manager
Assurance and Reporting
Change Manager
Configuration Administrator

13. Functional Division of Roles
Executive Management
IT Management
Service Desk
IT Operations Management
When combining the conceptual divisions of each of the frameworks, a functional model for roles can be established. At the top level is Executive Management, or the business aspect of the company. For ISO/IEC 20000, this is simply referred to as top management. The roles within this general role are expanded further by COBIT. ITIL has a couple of roles assigned in this area, the most prevalent being the IT Steering Committee. MOF4 roles focus more on other functions.
IT Management is comprised of a large number of roles related to managing the service management system, service management processes, and the services themselves, but not the operational, non-management staff in the service environment. Many of the roles categorized here have strategic and tactical functions, deal with policy making and compliance, support the design, development, and transition of a service, and produces reports, reviews, and opportunities for improvement.
The operational aspect of IT service management can be divided into the remaining functions. The model presented here is used in ITIL to demonstrate the level of complexity in the organization. Essentially, there are two major functions: Service Desk and IT Operations Management. But IT Operations can be further divided into shared functions for all technologies and the individual support areas of each technology or application. More on this separation later.
Technical Management
Application Management
IT Operations Control
Facilities Management
Copyright: The Art of Service 2008

14. Examples of Roles

15. Slide Format Function Label Other Names Related Processes
Responsibilities
Individual roles will be presented based on the most natural functional area they can be found in. The role will be labeled based on one of the frameworks presented in this presentation. If multiple framework have similar roles but use different names, the other labels will be mentioned. Some roles can be directly attributed to a specific process and such associations will be made using the ISO/IEC service management processes. Then the major responsibilities for each role will be provided starting with those responsibilities consistent with more than one framework.
Not all roles will be highlighted in the slides: the focus of these examples are to provide the organization with a good foundation for establishing roles and responsibilities within the service environment.
Copyright: The Art of Service 2008

16. Top Management (ISO/IEC 20000) Governance Roles (COBIT 5)
Executive Management
Top Management (ISO/IEC 20000)
Governance Roles (COBIT 5)
IT Steering Committee (COBIT 5 and ITIL)
The roles of Executive Management will be top management and general governance responsibilities.
Copyright: The Art of Service 2008

17. Top Management Responsibilities
Must show evidence of:
Commitment to IT service management
Establishing scope, policy and objectives for service management
Creation, implementation, and maintenance of a service management plan
Communicating importance and roles of fulfilling requirements
Provisioning resources
Conducting management reviews
Assessing and managing risks
Top Management is a generic encapsulation of the business aspects of the IT service management. When IT is provided internally for a company, top management is relatively far removed from the service environment. With external service providers, the technical knowledge of the executives may allow a greater connection with IT service management issues and solutions.
The fundamental responsibilities of top management is to be committed to the best possible IT capabilities and improvements, which includes the creation of a plan and system for managing IT services to support the customer. Many of the activities of top management is the result of strategic planning, or reviewing the state of the service environment against agreed decisions for supporting the business.
Copyright: The Art of Service 2008

18. Governance Responsibilities
Must show evidence of compliance by service personnel , suppliers, and end-users to:
Standards
Regulations
Policies
Processes
Architectures
Technologies
COBIT5 makes a clear distinction between governance and management; recognizing the need for different activities, structures, and purposes to be defined and maintained. COGIT5 perceives governance as the means of ensuring “stakeholder needs, conditions, and options are evaluated to determine balanced, agreed-on enterprise objectives to be achieved; setting direction though prioritization and decision making; and monitoring performance and compliance against agreed-on direction and objectives.” Management, on the other hand, will plan, build, run, and monitor “activities in alignment with the direction set by the governance body to achieve the enterprise objectives.” In a simple analogy, management will drive the service to its destination, while governance is the GPS for service management.
In practice, executive management and governance bodies, like IT steering committees, will make decisions which need to be assimilated into the service environment. These decisions can be related to choosing standards or technologies to used, establishing policies, determining how to address regulatory requirements, defining the architectures to standardize, or suggesting improvements to services and processes. The extent of their responsibilities is to ensure their decisions are accepted and action taken in the service environment to honor these decisions. To ensure they are effective, evidence must be gathered by the service environment to demonstrate compliance to the various decisions made. Anyone within the service environment may need to show compliance, including the customer and end-user.
Copyright: The Art of Service 2008

19. Management Representative (ISO/IEC 20000)
IT Management
Management Representative (ISO/IEC 20000)
Business Relationship Manager (ISO/IEC 20000)
Supplier Manager (ISO/IEC 20000)
Management Roles (COBIT 5)
Generic Roles (ITIL)
Strategy Roles (ITIL)
Design Roles (ITIL)
CSI Roles (ITIL)
Service Accountability (MOF4)
Compliance Accountability (MOF4)
Architecture Accountability (MOF 5)
Management Accountability (MOF4)
IT management is an extensive category of activities which range over the majority of the service lifecycle and across multiple accountabilities.
Copyright: The Art of Service 2008

20. Process Practitioner Responsibilities include:
Performing one or more activities within a process.
Understanding how their role contributes to the deliver of a service and the value to the business and/or customer.
Working with stakeholders to ensure contributions are effective
Ensuring the inputs, outputs and interfaces for their activities are correct
Creating or updating records to show activities
The role of process practitioner is sufficiently generic and critical to focus on. Every process has practitioners and every role is a practitioner of a specific process. Though not defined explicitly, top management and governing bodies will create processes which will define, support, and communicate their responsibilities as they interact with the rest of the service organization. Some people may fulfill several roles, mostly because they are participating in multiple processes. Because of this, each person should clear understand their contribution as a practitioner of a process and strive to ensure they understand and fulfill their responsibilities in all situations.
According to the ITIL defined responsibilities of a process practitioner, the following should be answered for each role:
What activities are performed?
What is the contribution for performing these activities?
Who are the stakeholders, or who must be satisfied with the contribution?
What are the inputs, outputs, and interfaces for each activity?
How will a person demonstrate completion of activity?
Copyright: The Art of Service 2008

21. Management Representative
Other Names
Chief Information Officer
IT Executive Officer
IT Director
Responsibilities include:
Ensure requirements are identified, documented, and fulfilled
Assigning authorities and responsibilities for service and process lifecycle requirements
Ensuring processes are integrated with service management system
Ensuring assets are managed according to requirements
Reporting performance and compliance to top management
The management representative is appointed by top management. This person will already have a position within the service environment and as a result of the appointment, have the authority and responsibilities for the activities listed. While the management representative is a generic term provided by ISO/IEC 20000, other frameworks have similar roles called Chief Information Officer (CIO), IT Executive Officer, or IT Director.
The Management Representative is the top level manager of the IT Management function. Their core responsibility is ensuring the decisions made in executive management are assimilated into the service environment and to report to top management on the performance and compliance of the environment in the context of these decisions. Based on the size and complexity of the organization, the responsibilities may be delegated to other managers, but accountability will always fall on the management representative: for instance, a company which has multiple regional offices may have a IT Director for each region responsible for ensuring the compliance of the regional environment, but they must answer to a senior manager who is accountable to the compliance of the entire enterprise.
Copyright: The Art of Service 2008

22. Service Owner Responsibilities include:
Ensures services meet customer requirements
Establishes communication structures to address service issues and questions
Supports the creation of service models and assists in assessing impact of service changes
Identifies opportunities for improvement in services
Work with process owners during service lifecycle
Ensures proper controls, measurements and reporting is in place for service
Participate in incident, problem, and change management processes for service.
A service owner is accountable to the service being delivered to the customer(s). A service owner is assigned to each service and works closely with the Business Relationship Manager, Service Level Manager, Supplier Manager, and Process Owners to ensure the service is delivered effectively and efficiently to the customer. While the service owner may not directly engage the customer, they are available to answer inquiries and issues related to the service. T service owner also performs this function for questions and issues coming from the service environment.
The service owner is a practitioner and stakeholder of every service management process as it applies to the service they represent.
Copyright: The Art of Service 2008

23. Process Owner Responsibilities include:
Sponsoring the process and tis performance metrics
Defining strategy for the process
Assisting with process design
Defining and documenting policies and standards.
Performing process audits
Providing resources to support process activities
Ensuring process practitioners have appropriate level of competence
Identifying opportunities for improvement
The process owner is responsible for the strategy and effectiveness of the specific process they are assigned. While the may not be involved in the execution of the process, they are accountable to the process’ operational success: which may require them to participate in service design, training, resource management, and continual improvement.
The process owner role is generic in scope and should be expanded as it is applied to each service management process.
Copyright: The Art of Service 2008

24. Process Manager Other names: Responsibilities include: IT Manager
Plan and coordinate all process activities
Ensure process activities are performed as required
Assign people to process roles
Monitoring and reporting on process performance
Identifying opportunities for improvement
Manages risk and IT value
The process manager is an extension of the process owner role and focuses on the operational aspects of the process. Typically, a service provider will have multiple customers and, in this situation, a process owner is responsible for a process as it applies to every customer and the process manager is responsible for how the process applies to an individual customer.
Often, the process manager role may be called a different name based on the process. For example:
Change Management – Change Manager
Availability Management – Availability Manager
Incident Management – Incident Manager
Business Relationship Management – Business Relationship Manager
Supplier Management – Supplier Manager
Essentially, the process manager role can be applied to IT manager positions; though not every IT manager will be a process manager, some will focus on managing a technology or service within the service environment.
Copyright: The Art of Service 2008

25. Architect Responsibilities include:
Propose solutions based on decisions and standards
Design future state of service environment
Create a holistic solution for services including:
Service solutions for new or changed services
Management information systems and tools
Technology architectures
Service management processes
Measurement methods and metrics
The Architect is the primary role for aligning technical solutions with business decisions. Typically, each technology or architecture may have an architect who specialized in this area with lead architects who are responsible for bring diverse technologies together. The architect is accountable for designing reliability, dependability, and trust into a given solution.
Copyright: The Art of Service 2008

26. Business Relationship Manager
Other names
Account Manager
Process – Business Relationship Management
Responsibilities include:
Managing the customer relationship and customer satisfaction
Identifies customer requirements on services
Works with Service Level Manager to ensure services are delivering on requirements
Is primary business contact for customer
The Business Relationship Manager role is accountable for ensuring the customer and service managers are working together to deliver services effectively to the customer and to ensure the satisfaction of the customer in these services. They may perform a number of activities outside of the business management process as it relates to handling questions, issues, and complaints in services.
Copyright: The Art of Service 2008

27. Supplier Manager Process – Supplier Management
Responsibilities include:
Managing the relationship, contract, and performance of a supplier
Monitors and reviews supplier performance with supplier
Understands and supports the relationships between suppliers
Suppliers are external parties who provide some or all of a service on behalf of the service provider. Suppliers must adhere to the service targets set with the customer. The supplier manager works with the service level manager and the supplier to understand and ensure the service requirements on the supplier are understood and fulfilled.
Copyright: The Art of Service 2008

28. Service Level Manager Process – Service Level Management
Responsibilities include:
Accountable for managing the alignment between the business and IT.
Develops and obtain agreement from SLAs, OLAs, and UCs (with supplier manager)
Maintains a service catalog
Represents the interests of service provider in accordance to customer requirements
Works with Business Relationship Manager and Supplier Manager
The role of Service Level Manager can be a very complex and powerful one. Essentially, they are responsible for creating an agreement between the customer and the service provider about the function and reliability of the services provided. Given this basic accountability, they can easily touch every aspect of the service environment. An effective service level manager will utilize the knowledge and skills of service owners, process owners, IT managers, business relationship managers and supplier manager; and in doing so, will naturally limit their own power.
Copyright: The Art of Service 2008

29. Assurance and Reporting
Other names
Reporting Analyst
Auditor
Process – Service Reporting
Responsibilities include:
Validates the effective of IT solutions, processes, and controls
Reports on performance and compliance of the service environment
Recommends improvements
Assurance and Reporting represents any role responsible for reporting the current state of the environment against pre-defined standards and targets, thus including any monitoring, auditing, or reporting function with the service provider.
Copyright: The Art of Service 2008

30. IT Operations Management
Service Desk
Operations Roles (ITIL)
Support Accountability (MOF4)
IT Operations Management
Transition Roles (ITIL)
Operations Accountability (MOF4)
Solutions Accountability (MOF4)

31. First-Line Analyst Other Names
Customer Service Representative
Incident Resolver
Incident Coordinator
Request Fulfillment Analyst
Process - Incident and Service Request Management
Responsibilities include:
Handles first contact with end-user
Records calls (incident or service request)
Diagnoses, investigates, and resolves incidents
Fulfill service requests
The First-Line Analyst refers to the staff of the Service Desk, which is often the single point of contact for the end-user. Typically, a service desk will handle incidents and service requests to the service provider. A First Call Resolution measurement will define how much knowledge and competence the Service Desk must have to resolve incidents and fulfill requests. Anything that the Service Desk cannot handle they will escalate to a second-line analyst.
Copyright: The Art of Service 2008

32. Incident Manager Process – Incident and Service Request Management
Responsibilities include:
Ensures “major incidents” are managed appropriately and all interested parties are involved in decision-making related to resolving the incident or minimizing the impact of the incident.
The Incident Manager is a special role which normally exists when a major incident is occurring. The definition of a major incident must be determined between the customer and the service provider. Since a major incident is commonly associated with a significant level of impact and risk to the business and customer, several considerations must be addressed above the normal incident management process, including notifying the customer or engaging multiple technical areas to collaborate in the solution.
The Incident Manager finishes their responsibility after a review of the major incident has been conducted and recommendations for improvement have been made.
Copyright: The Art of Service 2008

33. Second Line Analyst Other Names Process – Problem Management
Incident Resolver
Problem Analyst
Operator
Administrator
Process – Problem Management
Requirements include:
Resolving escalated incidents and service requests
Diagnosing, investigating, and resolving problems
Performing operational maintenance duties
The Second Line Analyst incorporates every technical person in the service environment who is not assigned to the Service Desk. They perform any task which the Service Desk does not, including proactive activities required to maintain an effective service environment. They are generally identified and groups into different technical areas, including:
Mainframe
Server
Network
Storage
Database
Directory Services
Desktop
Middleware
Internet
Applications
Facilities
Copyright: The Art of Service 2008

34. Moving Forward
The example roles were made available to provide a means of starting the development of roles within the organization. Use these examples appropriately as they apply to the processes and technologies adopted by your organization.
Copyright: The Art of Service 2008