Incident management procedure EX

<Enter Company Logo>

Incident
Management
Procedure
<Enter Version No.>
<Enter Effective Date>

PREPARED BY:
<Enter Name>

APPROVED BY:
<Enter Name>
<Enter Name>


IT Service Management
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Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 2 of 19

REVISION HISTORY
Rev.
No.

Description of Change

Author

Date

Change Ref.
No.

<MM-DD-YY>
<MM-DD-YY>
<MM-DD-YY>

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 3 of 19

TABLE OF CONTENTS
INTRODUCTION......................................................................................................................4
1.1 Purpose................................................................................................................................................. 4
1.2 Scope.................................................................................................................................................... 4
1.3 Process Overview.................................................................................................................................. 4
1.4 Definition of Terms............................................................................................................................... 5

PROCESS FLOW......................................................................................................................1
1.5 Process Flow......................................................................................................................................... 1

PROCESS DESCRIPTION........................................................................................................1
ROLES & RESPONSIBILITIES and RACI Table....................................................................1
1.6 Roles and Responsibilities..................................................................................................................... 1
1.7 RACI Table........................................................................................................................................... 2

METRIC AND MEASUREMENT............................................................................................1
REFERENCES...........................................................................................................................1
1.8 Severity Levels...................................................................................................................................... 1
1.9 KEDB and Troubleshooting guidelines.................................................................................................. 1
1.10 Problem Management Procedure......................................................................................................... 1
1.11 Change Management Procedure........................................................................................................... 1
1.12 Request for Change Template (RFC)................................................................................................... 1
1.13 Project Handover Document................................................................................................................ 1

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.

IT Service Management
<Company Logo>

Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 4 of 19

INTRODUCTION
1.1

Purpose
The purpose of the Incident Management Procedure is to restore a Normal Service
Operation as quickly as possible and to minimize the impact on business operations,
thus ensuring that the best possible levels of service quality and availability are
maintained. 'Normal Service Operation' is defined here as Service Operation within
Service Level Agreement (SLA).

1.2

Scope
The Incident Management Process covers all operations environment of the computer
systems and networking for all <company>’s Customers from Vertical & Horizontal.

1.3

Process Overview
Incident management is a defined process for logging, recording and resolving
incidents.
The aim of Incident Management is to restore the service to the customer as quickly
as possible, often through a workaround or temporary fixes, rather than through trying
to find a permanent solution.
Inputs to the Incident Management process are:
 Incident classification based on Priority, Severity and Category
 Configuration details from the Configuration Management Database (CMDB)
 Any defined work-around
The major activities of Incident Management are:
 Incident Logging and Categorization
- <Enter Document Classification> -

This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
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Incident Management Procedure
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 Immediate Incident Resolution by 1st Level Support
 Incident Resolution by 2nd Level Support
 Handling of Major Incidents
 Incident Closure and Evaluation
 Incident Monitoring and Escalation
 Pro-Active User Information
 Incident Management Reporting
Outputs of the process are:
 A Request for Change (RFC)
 An updated Incident record (including a solution and/or any available workaround)
 Resolved Incident, a closed Incident record
 Response from Incident matching to Problems and Known Errors Management
information

1.4

Definition of Terms
Terms

Definition

PMS

Problem Management System

RCA

Root Cause Analysis

KEDB

Known Error Data Base

CMDB

Configuration Management Data Base

Work Around

Method of avoiding an Incident or Problem, either from a temporary fix
or from a technique that means the Customer is not reliant on a particular
aspect of a service that is known to have a problem

Resolution

Action that will resolve an Incident.

SLA

Service Level Agreement

SLM

Service Level Management

Known Error

An Incident or Problem for which the root cause is known and for which
a temporary Work-around or a permanent alternative has been identified.

- <Enter Document Classification> -

This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

SD Engineer

Service Desk Engineer

CTI

Computer Telephony Integration

PABX

Private Automatic Branch Exchange

CI

Configuration Item

Version: <X.ZZ>

Page 6 of 19

End of Section

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formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 1 of 19

PROCESS FLOW
1.5

Process Flow

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formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Incident Management Procedure

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Effective Date: <Month XX, YYYY>

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PROCESS DESCRIPTION
Entry Criteria

Received any call from Customer / Internal Team / Vendor / Network
Monitoring System generated alert which identifies an Incident.

Exit Criteria

All Incidents are resolved with user acknowledgement.

Inputs

Updated Incident Ticket with Description and Contact details.

Outputs

•

Incident Ticket Number

•

Incident Report ( SLA)

•

Updated ticket with Resolution

•

Possible Problem Case

•

Possible CMDB Control Form

•

Possible RFC Case

Step

Task

Description

1.0

Log into PMS

SD Engineer receives Incident from
customer through call, fax and email or detect thru NMS. The
Incidents can be received from
Service Desk team.
All Incidents received are logged
into PMS. And Crosscheck with
CMDB for affected CI.

2.0

Incident
Classification
(Category,
Severity) and
Prioritization

Doer
SD Engineer

SLA / Service Catalog are used as SD Engineer
reference in determining the severity
of an Incident.
Incidents

are
diagnosed and
classified based on Category and
Impact and Priority must be
determined.

Template / Tool
•
•
•
•
•
•
•
•

PMS
CTI
PABX System
Lotus Notes
Service Desk
Procedure
CMDB
PMS
SLM
Procedure
(Service
Catalogue)

Category is based on affected

services e.g. WAN/LAN/DMS and
will be break down by affected
components e.g. as router for WAN,
printer for DMS. For Severity,
please refer to attachment.
- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Incident Management Procedure

Document No.: <Enter Doc. No.>

Step

Task

Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Description

Doer

Page 2 of 19

Template / Tool

3.0

Is incident a
Sey 1?

If the Incident received is a Severity SD Engineer /
1 then go to step 11.0, else go to step Coordinator
4.0.

•
•
•
•

PMS
SMS
Email
CTI

4.0

Resolution/
Workaround
Match Found
in KEDB?

Is there any workaround or

resolution found in the KEDB?
Check for Workaround in the
KEDB.
If Yes, go to step 5.0.
If No, go to Problem Management
Procedure.

SD Engineer

•
•

KEDB
Problem
Management
Procedure

5.0

Perform
Trouble
shooting at 1st
Level

First level troubleshooting is
performed in order to resolve the
Incident.

SD Engineer

•

Troubleshooti
ng Guideline
Known Error
Database

6.0

Is Incident
Resolved at
1st Level?

Has the Incident been solved at 1st
Level?
If Yes, go to step 11.0
If No, go to step 7.0

SD Engineer

•

PMS

7.0

Solved with
User
Concurrence?

SD representative has to confirm
with customer before closing the
Incident whether the Incident is
resolve to their satisfaction.
If Yes, go to 8.0
If No, go back to step 11.0

SD Engineer

•
•

CTI
PMS

8.0

User
Received
Notification

User will be informed that the
Incident will now be closed.

SD Engineer

•
•

CTI

PMS

9.0

Incident
Closure

SD representative will update log
SD Engineer
and check the validity of the Incident
Log such as verifying the Incident
Description, Resolution, Incident
Category, Severity, Language, and
Spelling, include disclaimer and
Bypass Temporary Solutions, and
make necessary correction before
closing the Incident Log.

10.0

Update
KEDB

SD representative will update KEDB
for any changes / new workaround
available.

•

KEDB

•

SD Engineer

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Incident Management Procedure

Document No.: <Enter Doc. No.>

Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Doer

Page 3 of 19

Step

Task

Description

Template / Tool

11.0

2nd level
Support Work
on the
Incident

Second Level Support will
troubleshoot and provide Incident
resolution to be updated in the PMS.

2nd level
support

•
•

PMS
CTI

12.0

Resolved at
2nd level?

Has the Incident been solved at
second level?

If Yes, go to step 13.0.
If No, go to step 14.0.

2nd level
support

•
•

PMS
Problem
Management
Procedure
Change
Management
Procedure

•

13.0

Update SD
Engineer,
PMS and
KEDB

Second level will update the
resolution taken to SD
representative, to be updated to the
PMS and KEDB.

Second level

•
•

PMS
CTI

14.0

Change
Request
Required?

Does the Incident need to raise a
change in order to resolve?
If Yes, go to predefined Change
Management Procedure.
If No, go to Predefined Problem
Management Procedure

2nd level
support

•

RFC

15.0

Change
Management
Procedure

If a change is required, the 2nd Level
Support will refer to Predefined
Change Management Procedure.

2nd level
support

•

Change
Management
Procedure

16.0

Problem
Management
procedure

If the incident is considered as a
problem, then the 2nd Level Support
will refer to the Predefined Problem
Management Procedure.

2nd level

support

•

Problem
Management
Procedure

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Incident Management Procedure

Document No.: <Enter Doc. No.>

Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 1 of 19

ROLES & RESPONSIBILITIES AND RACI TABLE
1.6

Roles and Responsibilities

Role

Service Desk Engineer

Responsibility
•
•
•
•
•

Incident Manager

•
•
•

Second Level Support

•
•
•
•
•

Receives, logs, reports, dispatch and escalates the Incident
Provide Incident updates to the customer upon the customer’s
request.
Updates Incident records per advice of Service Support Engineers
Provides the necessary support skill in responding to Incidents or

technical issues and problems from the time of endorsement until
resolution.
Meet Service Level Agreement
Accountable for the implementation and management of the Incident
Management Process.
Delegate responsibility for execution of activities.
Ensure that Service Level is met.
Receives and verifies the Incident ticket
Provides second level support
Updates Incident Reports
Meet Service Level Agreement
Review / verify workaround / Permanent solution that will be
updated in KEDB.

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
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A=ACCOUNTABLE
C=CONSULTED
I=KEEP INFORMED
1.0

Log into PMS

2.0

Incident Classification (Category,
Severity) and Prioritization

3.0

Is incident a Sev 1?

4.0

Perform trouble shooting at 1st level

5.0

Resolution/Workaround match found in
KEDB?

6.0

Is Incident Resolved at 1st level?

7.0

Solved with User Concurrence?

8.0

User Received Notification

9.0

Incident Closure

10.0

Update KEDB

11.0

2nd Level Support Work on the Incident

12.0

Resolved at 2nd level?

13.0

Update SD Engineer, PMS and KEDB

14.0

Change Request Required?

Process Owner

Customer

R= RESPONSIBLE

Service Desk Manager

RACI Table
Service Desk Engineer

1.7

Incident Management Procedure

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Incident Management Procedure

Document No.: <Enter Doc. No.>

Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 1 of 19

METRIC AND MEASUREMENT
Key Performance
Indicator
Total No. of Incidents

Description
Number of Incidents captured per
month

Responsible

Template/Tool

Incident
Manager

PMS, CCC
Performance
Report

Incident
Manager

PMS, SLA
monthly report

Incident
Manager

PMS, CCC
Performance
Report

Incident
Manager

PMS, CCC
Performance
Report

Source of Data: PMS data with all
status (open, closed, cancel,
duplicate, reopen)
Frequency: Quarterly
Target/Objective: To monitor trend
of incoming Incidents by Incident
Classification
Average Percentage of
SLA Compliance

Average percentage of SLA
compliance for all Incidents
recorded by service type
Source of Data: PMS data, Service
Contract
Frequency: Monthly

Target/Objective: 97% SLA
Compliance

Percentage of First
Level Incident
Resolution

Percentage of Incidents resolved by
SD Engineer without routing to
second level.
Source of Data: PMS data
Frequency: Quarterly
Target/Objective: 60% of Overall
Incidents resolved at first level

Percentage of
Incidents with
Accurate
Classification

Percentage of Incidents that has
accurate classification (severity and
category) over total log created.
Source of Data: PMS data
Frequency: Quarterly
Target/Objective: 97% accurate
classification

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy

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IT Service Management
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Incident Management Procedure

Document No.: <Enter Doc. No.>

Key Performance
Indicator
Percentage of Idle
Incidents

Effective Date: <Month XX, YYYY>

Description
Percentage of Incidents that have no
update within 2 business days (16
hours)

Version: <X.ZZ>

Responsible

Page 2 of 19

Template/Tool

Incident
Manager

PMS, CCC
Performance
Report

Incident
Manager

PMS, NMS, CCC
Performance
Report

Source of Data: PMS data
Frequency: Quarterly
Target/Objective: 95% of updated
log within 2 business days (16
hours)
Percentage of WAN
Proactive Monitoring

Percentage of WAN Incidents
detected proactively through
Network Monitoring System (NMS)
Source of Data: PMS data, NMS
Frequency: Quarterly
Target/Objective: 60% proactive
monitoring for WAN Incidents

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 1 of 19

REFERENCES
1.8

Severity Levels

1.9

KEDB and Troubleshooting guidelines

1.10

Problem Management Procedure

1.11

Change Management Procedure

1.12

Request for Change Template (RFC)

1.13

Project Handover Document

End of Section

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.


IT Service Management
<Company Logo>

Document No.: <Enter Doc. No.>

Incident Management Procedure
Effective Date: <Month XX, YYYY>

Version: <X.ZZ>

Page 1 of 19

- <Enter Document Classification> This material is intended for <Company Name> use only. It must not be reproduced in whole or in part, in any form, or by any means without a
formal agreement or the written consent of the <Document Record Controller (DRC)> or <Department>. Any hard copy or unprotected soft copy
of this document shall be regarded as uncontrolled copy.