Improving IT Governance Through Formal Change Management

My Role at Marquette Change Manager Head of the PMO ITIL Practitioner in release & control (change, configuration & release management) Head of the PMO PMP certification

Why Did We Start? Stabilize the infrastructure

Audit Questions Change Management and Program Development Controls Change Management policy and procedure documentation (requirements for requesting, documenting, testing, approving, and migrating/implementing changes to the production environment). Emergency change procedure documentation. List of all requested changes (development and configuration changes) made to the financial reporting applications and underlying environment (between 6/1/06 – present). Program development methodology (SDLC) and formal testing procedure documentation (if exist and different from Change Management Policy) System generated evidence (access control list, etc) showing users that have access to modify system code or system configurations for the production environment

What is Governance There is no universal definition COBIT The need for assurance about the value of IT, the management of IT-related risks and increased requirements for control over information are now understood as key elements of enterprise governance. Value, risk and control constitute the core of IT governance.

Gartner Definition "The processes that ensure the effective and efficient use of IT in enabling an organization to achieve its goals." This definition contains certain key concepts: ITG is composed of processes with the inputs, outputs, roles and responsibilities that are inherent in a process definition (however, the definition does not talk about how these processes might be implemented). The role of ITG "ensures," as opposed to "executes." The goal of ITG is defined as a business goal, not just IT-related. Key performance measures, identified as effectiveness and efficiency, together represent business value.

COBIT Governance Management Control Audit 1996 1998 2000 2005

Perspective of Frameworks and Standards COSO, ISO 9001,King II, Sarbanes-Oxley, Industry BEE Charter What COBIT Domains Plan & Organize Acquire & Implement Deliver & Support Monitor & Evaluate What This may be clarified by considering some of the major frameworks and standards: • COSO Internal Control—Integrated Framework—This report from the Committee of Sponsoring Organizations of the Treadway Commission (COSO) consists of four volumes dedicated to improving the quality of financial reporting and ethics through effective internal control (corporate governance). • ISO 9001—This international quality standard from the International Organization for Standardization is used to increase customer satisfaction and address regulatory requirements (corporate governance). • IT Infrastructure Library (ITIL)—A collection of best practices in IT service management, it is focused on the service processes of IT and considers the central role of the user. • ISO 17799, Code of Practice for Information Security Management—This international standard is based on BS 7799-1. It is presented as best practice for implementing information security management. • COBIT—This framework and its supporting tools reach beyond information security and beyond IT service management into general practices for secure, efficient, auditable and effective IT governance. It covers all IT processes, including strategy, finance and human resources. Based on these descriptions, this slide COBIT into perspective relative to the major standards and frameworks with regard to corporate and IT governance. Based on these descriptions, this slide places COBIT and ITIL into perspective relative to the major Bus Alignment TOGAF PMBOK CMMI SDLC ITIL ISO17799 NIST 800 Balanced Scorecard IASCA Audit Standards Board briefing IT Governance How Project Methodology COBIT Focus April 2007 Volume 1

Hype Cycle Removed at Gartner’s Request http://www.gartner.com A Hype Cycle is a graphic representation of the maturity, adoption and application of specific technologies. Technology Trigger breakthrough, product launch or other event that generates significant press and interest. Peak of Inflated Expectations A frenzy of publicity typically generates over-enthusiasm and unrealistic expectations. There may be some successful applications of a technology, but there are typically more failures. Trough of Disillusionment Technologies fail to meet expectations and quickly become unfashionable. Slope of Enlightenment Some institutions experiment to understand the benefits and practical application of the technology. Plateau of Productivity Benefits of it become widely demonstrated and accepted. The technology becomes increasingly stable and evolves in second and third generations http://www.gartner.com

Hype Cycle Removed at Gartner’s Request http://www.gartner.com

ITIL ITIL is not a temporary fashion – ISO20000 It’s not about tests and certification Going from a technology focus – to a customer service focus Short term costs will be balanced by long-term gains Other cultures have benefited from adopting ITIL It is easier to sell a best practice than an idea

ITIL Managing service levels from the customer’s perspective instead of insular technology or infrastructure perspective Going beyond reactive break/fix – to proactive management of service requests and service support Actively managing infrastructure components (assets) and systematically managing changes (planned and un-planned) Remember ITIL concentrates on Continuous Improvement – Deming A non-proprietary set of best practices – public domain

ITIL Service Management v2

Continual Service Improvement ITIL v3 Service Strategy Business Requirements Policies Resource Constraints Service Design Solutions Standards Architectures Service Transition Transition Plans Testing Service Operation Operational Plans Operational services Continual Service Improvement

Service Services are a means of delivering value to customers by facilitating outcomes customers want to achieve, without the ownership of specific costs and risks. ITILv3 Road show

Marquette IT Governance We have a PMO that is based on PMBOK and we have our own Project Methodology We also have begun to implement ITIL

Marquette Process Incident Change Config How incidents and requests are handled Change How changes to the production system are handled Config Components of the IT infrastructure Data Center Working on getting all university owned PCs in the CMDB

Incident Management The goal of Incident Management is to restore normal service operation as quickly as possible and minimize the adverse effect on business operations, thus ensuring that the best possible levels of service quality and availability are maintained.

Configuration Management Configuration Management is a process that tracks all of the individual Configuration Items (CI) in a system. A Configuration Item (CI) is an IT asset or a combination of IT assets that may depend and have relationships with other IT processes

Change Management The goal of Change Management is to ensure that standardized methods and procedures are used for efficient handling of all changes, in order to minimize the impact of change-related incidents and to improve day-to-day operations.

What is a Change? A service may become unavailable or degraded during service hours, The functionality of a service to become different, or The CMDB to require an update.

High-Level Change Process Change Coordinator Change Manager Register the change Complete R&I Work Orders Develop Change Plan Review Change Plan Assign Imp Work Orders Get Approval(s)

Types of Change Templates Application Mod Develop mod, Test, Back-out, UAT, Move to Prod, Verify, Update CMDB MAC (Move Add Change) Risk assessment, Service Provide, UAT, Move to Prod, Verify, Update CMDB Emergency Update capacity, Inform Service Provider, Update CMDB

Change Metrics

Communications In addition to the UAT Forward Schedule of Changes

What did we get? More stable infrastructure More proactive less reactive Better alignment with University needs Better communication Internal IT University units Better support Finance audit

Lessons Learned More of a culture change than technology change Mostly IT, but functional users also Objections It will slow us down More “paperwork” Management doesn’t trust us People may leave the organization

Lessons Learned Adopt a best practice framework (ITIL) Attend local itSMF chapter and learn from others Start with an obtainable scope Minimize the bureaucracy Process first then tool, but with an eye towards the tool

Questions?

References http://www.itsmfusa.org http://www.gartner.com/ http://www.isaca.org