Maximize Business Value From IT Through Benefits Realization

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  • Parent Category Name: IT Governance, Risk & Compliance
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  • IT and the business are often misaligned because business value is not well defined or communicated.
  • Decisions are made without a shared perspective of value. This results in cost misallocation and unexploited opportunities to improve efficiency and drive innovation.

Our Advice

Critical Insight

  • IT exists to provide business value and is part of the business value chain. Most IT organizations lack a way to define value, which complicates the process of making value-based strategic business decisions.
  • IT must link its spend to business value to justify its investments. IT doesn’t have an established process to govern benefits realization and struggles to demonstrate how it provides value from its investments.
  • Pursue value, not technology. The inability to articulate value leads to IT being perceived as a cost center.

Impact and Result

  • Ensure there is a common understanding within the organization of what is valuable to drive growth and consistent strategic decision making.
  • Equip IT to evaluate, direct, and monitor investments to support the achievement of organizational values and business benefits.
  • Align IT spend with business value through an enhanced governance structure to achieve cost optimization. Ensure IT visibly contributes to the creation and maintenance of value.

Maximize Business Value From IT Through Benefits Realization Research & Tools

Start here – read the Executive Brief

Read our concise Executive Brief to find out why you should establish a benefits realization process, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

Besides the small introduction, subscribers and consulting clients within this management domain have access to:

1. Understand business value

Ensure that all key strategic stakeholders hold a current understanding of what is valuable to the organization and a sense of what will be valuable based on future needs.

  • Maximize Business Value from IT Through Benefits Realization – Phase 1: Understand Business Value
  • Business Value Statement Template
  • Business Value Statement Example
  • Value Statement Email Communication Template
  • Feedback Consolidation Tool

2. Incorporate benefits realization into governance

Establish the process to evaluate spend on IT initiatives based on expected benefits, and implement the methods to monitor how well the initiatives achieve these benefits.

  • Maximize Business Value from IT Through Benefits Realization – Phase 2: Incorporate Benefits Realization into Governance
  • Business Value Executive Presentation Template

3. Ensure an accurate reference of value

Re-evaluate, on a consistent basis, the accuracy of the value drivers stated in the value statement with respect to the organization’s current internal and external environments.

  • Maximize Business Value from IT Through Benefits Realization – Phase 3: Ensure an Accurate Reference of Value
[infographic]

Workshop: Maximize Business Value From IT Through Benefits Realization

Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

1 Understand Business Value

The Purpose

Establish the business value statement.

Understand the importance of implementing a benefits realization process.

Key Benefits Achieved

Unified stakeholder perspectives of business value drivers

Establish supporters of the initiative

Activities

1.1 Understand what governance is and how a benefits realization process in governance will benefit the company.

1.2 Discuss the mission and vision of the company, and why it is important to establish the target state prior to defining value.

1.3 Brainstorm and narrow down organization value drivers.

Outputs

Stakeholder buy-in on benefits realization process

Understanding of interrelations of mission, vision, and business value drivers

Final three prioritized value drivers

Completed business value statement

2 Incorporate Benefits Realization Into Governance

The Purpose

Establish the intake, assessment and prioritization, and output and monitoring processes that are involved with implementing benefits realization.

Assign cut-over dates and accountabilities.

Establish monitoring and tracking processes.

Key Benefits Achieved

A thorough implementation plan that can be incorporated into existing governance documents

Stakeholder understanding of implemented process, process ownership

Activities

2.1 Devise the benefits realization process.

2.2 Establish launch dates, accountabilities, and exception handling on processes.

2.3 Devise compliance monitoring and exception tracking methods on the benefits realization process.

Outputs

Benefits realization process incorporated into governance documentation

Actionable plan to implement benefits realization process

Reporting processes to ensure the successful delivery of the improved governance process

3 Ensure an Accurate Reference of Value

The Purpose

Implement a process to ensure that business value drivers remain current to the organization.

Key Benefits Achieved

Align IT with the business and business to its environment

Activities

3.1 Determine regular review cycle to reassess business value drivers.

3.2 Determine the trigger events that may cause off-cycle revisits to value.

3.3 Devise compliance monitoring on value definition.

Outputs

Agenda and tools to assess the business context to verify the accuracy of value

List of possible trigger events specific to your organization

Reporting processes to ensure the continuous adherence to the business value definition

AI Trends 2023

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  • Parent Category Name: Business Intelligence Strategy
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As AI technologies are constantly evolving, organizations are looking for AI trends and research developments to understand the future applications of AI in their industries.

Our Advice

Critical Insight

  • Understanding trends and the focus of current and future AI research helps to define how AI will drive an organization’s new strategic opportunities.
  • Understanding the potential application of AI and its promise can help plan the future investments in AI-powered technologies and systems.

Impact and Result

Understanding AI trends and developments enables an organization’s competitive advantage.

AI Trends 2023 Research & Tools

Besides the small introduction, subscribers and consulting clients within this management domain have access to:

1. AI Trends 2023 – An overview of trends that will continue to drive AI innovation.

  • AI Trends Report 2023
[infographic]

Further reading

AI Trends Report 2023

The eight trends:

  1. Design for AI
  2. Event-Based Insights
  3. Synthetic Data
  4. Edge AI
  5. AI in Science and Engineering
  6. AI Reasoning
  7. Digital Twin
  8. Combinatorial Optimization
Challenges that slowed the adoption of AI

To overcome the challenges, enterprises adopted different strategies

Data Readiness

  • Lack of unified systems and unified data
  • Data quality issues
  • Lack of the right data required for machine learning
  • Improve data management capabilities, including data governance and data initiatives
  • Create data catalogs
  • Document data and information architecture
  • Solve data-related problems including data quality, privacy, and ethics

ML Operations Capabilities

  • Lack of tools, technologies, and methodologies to operationalize models created by data scientists
  • Increase availability of cloud platforms, tools, and capabilities
  • Develop and grow machine learning operations (MLOps) tools, platforms, and methodologies to enable model operationalizing and monitoring in production

Understanding of AI Role and Its Business Value

  • Lack of understanding of AI use cases – how AI/ML can be applied to solve specific business problems
  • Lack of understanding how to define the business value of AI investments
  • Identify AI C-suite toolkits (for example, Empowering AI Leadership from the World Economic Forum, 2022)
  • Document industry use cases
  • Use frameworks and tools to define business value for AI investments

Design for AI

Sustainable AI system design needs to consider several aspects: the business application of the system, data, software and hardware, governance, privacy, and security.

It is important to define from the beginning how AI will be used by and for the application to clearly articulate business value, manage expectations, and set goals for the implementation.

Design for AI will change how we store and manage data and how we approach the use of data for development and operation of AI systems.

An AI system design approach should cover all stages of AI lifecycle, from design to maintenance. It should also support and enable iterative development of an AI system.

To take advantage of different tools and technologies for AI system development, deployment, and monitoring, the design of an AI system should consider software and hardware needs and design for seamless and efficient integrations of all components of the system and with other existing systems within the enterprise.

AI in Science and Engineering

AI helps sequence genomes to identify variants in a person’s DNA that indicate genetic disorders. It allows researchers to model and calculate complicated physics processes, to forecast the genesis of the universe’s structure, and to understand planet ecosystem to help advance the climate research. AI drives advances in drug discovery and can assist with molecule synthesis and molecular property identification.

AI finds application in all areas of science and engineering. The role of AI in science will grow and allow scientists to innovate faster.

AI will further contribute to scientific understanding by assisting scientists in deriving new insights, generating new ideas and connections, generalizing scientific concepts, and transferring them between areas of scientific research.

Using synthetic data and combining physical and machine learning models and other advances of AI/ML – such as graphs, use of unstructured data (language models), and computer vision – will accelerate the use of AI in science and engineering.

Event- and Scenario-Driven AI

AI-driven signal-gathering systems analyze a continuous stream of data to generate insights and predictions that enable strategic decision modeling and scenario planning by providing understanding of how and what areas of business might be impacted by certain events.

AI enables the scenario-based approach to drive insights through pattern identification in addition to familiar pattern recognition, helping to understand how events are related.

A system with anticipatory capabilities requires an event-driven architecture that enables gathering and analyzing different types of data (text, video, images) across multiple channels (social media, transactional systems, news feeds, etc.) for event-driven and event-sequencing modeling.

ML simulation-based training of the model using advanced techniques under the umbrella of Reinforcement Learning in conjunction with statistically robust Bayesian probabilistic framework will aid in setting up future trends in AI.

AI Reasoning

Most of the applications of machine learning and AI today is about predicting future behaviors based on historical data and past behaviors. We can predict what product the customer would most likely buy or the price of a house when it goes on sale.

Most of the current algorithms use the correlation between different parameters to make a prediction, for example, the correlation between the event and the outcome can look like “When X occurs, we can predict that Y will occur.” This, however, does not translate into “Y occurred because of X.”

The development of a causal AI that uses causal inference to reason and identify the root cause and the causal relationships between variables without mistaking correlation and causation is still in its early stages but rapidly evolving.

Some of the algorithms that the researchers are working with are casual graph models and algorithms that are at the intersection of causal inference with decision making and reinforcement learning (Causal Artificial Intelligence Lab, 2022).

Synthetic Data

Synthetic data is artificially generated data that mimics the structure of real-life data. It should also have the same mathematical and statistical properties as the real-world data that it is created to replicate.

Synthetic data is used to train machine learning models when there is not enough real data or the existing data does not meet specific needs. It allows users to remove contextual bias from data sets containing personal data, prevent privacy concerns, and ensure compliance with privacy laws and regulations.

Another application of synthetic data is solving data-sharing challenges.

Researchers learned that quite often synthetic data sets outperform real-world data. Recently, a team of researchers at MIT built a synthetic data set of 150,000 video clips capturing human actions and used that data set to train the model. The researchers found that “the synthetically trained models performed even better than models trained on real data for videos that have fewer background objects” (MIT News Office, 2022).

Today, synthetic data is used in language systems, in training self-driving cars, in improving fraud detection, and in clinical research, just to name a few examples.

Synthetic data opens the doors for innovation across all industries and applications of AI by enabling access to data for any scenario and technology and business needs.

Digital Twins

Digital twins (DT) are virtual replicas of physical objects, devices, people, places, processes, and systems. In Manufacturing, almost every product and manufacturing process can have a complete digital replica of itself thanks to IoT, streaming data, and cheap cloud storage.

All this data has allowed for complex simulations of, for example, how a piece of equipment will perform over time to predict future failures before they happen, reducing costly maintenance and extending equipment lifetime.

In addition to predictive maintenance, DT and AI technologies have enabled organizations to design and digitally test complex equipment such as aircraft engines, trains, offshore oil platforms, and wind turbines before physically manufacturing them. This helps to improve product and process quality, manufacturing efficiency, and costs. DT technology also finds applications in architecture, construction, energy, infrastructure industries, and even retail.

Digital twins combined with the metaverse provide a collaborative and interactive environment with immersive experience and real-time physics capabilities (as an example, Siemens presented an Immersive Digital Twin of a Plant at the Collision 2022 conference).

Future trends include enabling autonomous behavior of a DT. An advanced DT can replicate itself as it moves into several devices, hence requiring the autonomous property. Such autonomous behavior of the DT will in turn influence the growth and further advancement of AI.

Edge AI

A simple definition for edge AI: A combination of edge computing and artificial intelligence, it enables the deployment of AI applications in devices of the physical world, in the field, where the data is located, such as IoT devices, devices on the manufacturing floor, healthcare devices, or a self-driving car.

Edge AI integrates AI into edge computing devices for quicker and improved data processing and smart automation.

The main benefits of edge AI include:

  • Real-time data processing capabilities to reduce latency and enable near real-time analytics and insights.
  • Reduced cost and bandwidth requirements as there is no need to transfer data to the cloud for computing.
  • Increased data security as the data is processed locally, on the device, reducing the risk of loss of sensitive data.
  • Improved automation by training machines to perform automated tasks.

Edge AI is already used in a variety of applications and use cases including computer vision, geospatial intelligence, object detection, drones, and health monitoring devices.

Combinatorial Optimization

“Combinatorial optimization is a subfield of mathematical optimization that consists of finding an optimal object from a finite set of objects” (Wikipedia, retrieved December 2022).

Applications of combinatorial optimization include:

  • Supply chain optimization
  • Scheduling and logistics, for example, vehicle routing where the trucks are making stops for pickup and deliveries
  • Operations optimization

Classical combinatorial optimization (CO) techniques were widely used in operations research and played a major role in earlier developments of AI.

The introduction of deep learning algorithms in recent years allowed researchers to combine neural network and conventional optimization algorithms; for example, incorporating neural combinatorial optimization algorithms in the conventional optimization framework. Researchers confirmed that certain combinations of these frameworks and algorithms can provide significant performance improvements.

The research in this space continues and we look forward to learning how machine learning and AI (backtracking algorithms, reinforcement learning, deep learning, graph attention networks, and others) will be used for solving challenging combinatorial and decision-making problems.

References

“AI Can Power Scenario Planning for Real-Time Strategic Insights.” The Wall Street Journal, CFO Journal, content by Deloitte, 7 June 2021. Accessed 11 Dec. 2022.
Ali Fdal, Omar. “Synthetic Data: 4 Use Cases in Modern Enterprises.” DATAVERSITY, 5 May 2022. Accessed
11 Dec. 2022.
Andrews, Gerard. “What Is Synthetic Data?” NVIDIA, 8 June 2021. Accessed 11 Dec. 2022.
Bareinboim, Elias. “Causal Reinforcement Learning.” Causal AI, 2020. Accessed 11 Dec. 2022.
Bengio, Yoshua, Andrea Lodi, and Antoine Prouvost. “Machine learning for combinatorial optimization: A methodological tour d’horizon.” European Journal of Operational Research, vol. 290, no. 2, 2021, pp. 405-421, https://doi.org/10.1016/j.ejor.2020.07.063. Accessed 11 Dec. 2022.
Benjamins, Richard. “Four design principles for developing sustainable AI applications.” Telefónica S.A., 10 Sept. 2018. Accessed on 11 Dec. 2022.
Blades, Robin. “AI Generates Hypotheses Human Scientists Have Not Thought Of.” Scientific American, 28 October 2021. Accessed 11 Dec. 2022.
“Combinatorial Optimization.” Wikipedia article, Accessed 11 Dec. 2022.
Cronholm, Stefan, and Hannes Göbel. “Design Principles for Human-Centred Artificial Intelligence.” University of Borås, Sweden, 11 Aug. 2022. Accessed on 11 Dec. 2022
Devaux, Elise. “Types of synthetic data and 4 real-life examples.” Statice, 29 May 2022. Accessed 11 Dec. 2022.
Emmental, Russell. “A Guide to Causal AI.” ITBriefcase, 30 March 2022. Accessed 11 Dec. 2022.
“Empowering AI Leadership: AI C-Suite Toolkit.” World Economic Forum, 12 Jan. 2022. Accessed 11 Dec 2022.
Falk, Dan. “How Artificial Intelligence Is Changing Science.” Quanta Magazine, 11 March 2019. Accessed 11 Dec. 2022.
Fritschle, Matthew J. “The Principles of Designing AI for Humans.” Aumcore, 17 Aug. 2018. Accessed 8 Dec. 2022.
Garmendia, Andoni I., et al. Neural Combinatorial Optimization: a New Player in the Field.” IEEE, arXiv:2205.01356v1, 3 May 2022. Accessed 11 Dec. 2022.
Gülen, Kerem. “AI Is Revolutionizing Every Field and Science is no Exception.” Dataconomy Media GmbH, 9 Nov. 9, 2022. Accessed 11 Dec. 2022
Krenn, Mario, et al. “On scientific understanding with artificial intelligence.” Nature Reviews Physics, vol. 4, 11 Oct. 2022, pp. 761–769. https://doi.org/10.1038/s42254-022-00518-3. Accessed 11 Dec. 2022.
Laboratory for Information and Decision Systems. “The real promise of synthetic data.” MIT News, 16 Oct. 2020. Accessed 11 Dec. 2022.
Lecca, Paola. “Machine Learning for Causal Inference in Biological Networks: Perspectives of This Challenge.” Frontiers, 22 Sept. 2021. Accessed 11 Dec. 2022. Mirabella, Lucia. “Digital Twin x Metaverse: real and virtual made easy.” Siemens presentation at Collision 2022 conference, Toronto, Ontario. Accessed 11 Dec. 2022. Mitchum, Rob, and Louise Lerner. “How AI could change science.” University of Chicago News, 1 Oct. 2019. Accessed 11 Dec. 2022.
Okeke, Franklin. “The benefits of edge AI.” TechRepublic, 22 Sept. 2022, Accessed 11 Dec. 2022.
Perlmutter, Nathan. “Machine Learning and Combinatorial Optimization Problems.” Crater Labs, 31 July 31, 2019. Accessed 11 Dec. 2022.
Sampson, Ovetta. “Design Principles for a New AI World.” UX Magazine, 6 Jan. 2022. Accessed 11 Dec. 2022.
Sgaier, Sema K., Vincent Huang, and Grace Charles. “The Case for Causal AI.” Stanford Social Innovation Review, Summer 2020. Accessed 11 Dec. 2022.
“Synthetic Data.” Wikipedia article, Accessed 11 Dec. 2022.
Take, Marius, et al. “Software Design Patterns for AI-Systems.” EMISA Workshop 2021, CEUR-WS.org, Proceedings 30. Accessed 11 Dec. 2022.
Toews, Rob. “Synthetic Data Is About To Transform Artificial Intelligence.” Forbes, 12 June 2022. Accessed
11 Dec. 2022.
Zewe, Adam. “In machine learning, synthetic data can offer real performance improvements.” MIT News Office, 3 Nov. 2022. Accessed 11 Dec. 2022.
Zhang, Junzhe, and Elias Bareinboim. “Can Humans Be out of the Loop?” Technical Report, Department of Computer Science, Columbia University, NY, June 2022. Accessed 11 Dec. 2022.

Contributors

Irina Sedenko Anu Ganesh Amir Feizpour David Glazer Delina Ivanova

Irina Sedenko

Advisory Director

Info-Tech

Anu Ganesh

Technical Counselor

Info-Tech

Amir Feizpour

Co-Founder & CEO

Aggregate Intellect Inc.

David Glazer

VP of Analytics

Kroll

Delina Ivanova

Associate Director, Data & Analytics

HelloFresh

Usman Lakhani

DevOps

WeCloudData

Improve Your IT Recruitment Process

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  • Parent Category Name: Attract & Select
  • Parent Category Link: /attract-and-select

Business and IT leaders aiming to recruit and select the best talent need to:

  • Get involved in the talent acquisition process at key moments.
  • Market their organization to top talent through an authentic employer brand.
  • Create engaging and accurate job ads.
  • Leverage purposeful sourcing for anticipated talent needs.
  • Effectively assess candidates with a strong interview process.
  • Set up new employees for success.

Our Advice

Critical Insight

To create a great candidate experience, IT departments must be involved in the process at key points, recruitment and selection is not a job for HR alone!

Impact and Result

  • Use this how-to guide to articulate an authentic (employee value proposition) EVP and employer brand.
  • Perform an analysis of current sourcing methods and build an action plan to get IT involved.
  • Create an effective and engaging job ad to insure the right people are applying.
  • Train hiring managers to effectively deliver interviews that correctly assess candidate suitability.
  • Get links to in-depth Info-Tech resources and tools.

Improve Your IT Recruitment Process Research & Tools

Besides the small introduction, subscribers and consulting clients within this management domain have access to:

1. Improve Your IT Recruitment Process – A guide to help you attract and select the best talent.

Train your IT department to get involved in the recruitment process to attract and select the best talent.

  • Improve Your IT Recruitment Process Capstone Deck

2. Improve Your IT Recruitment Process Workbook – A tool to document your action plans.

Use this tool in conjunction with the Improve you IT Recruitment Process to document your action plans

  • Improve Your IT Recruitment Process Workbook

3. Interview Guide Template – A template to organize interview questions and their rating scales, take notes during the interview, and ensure all interviews follow a similar structure.

To get useful information from an interview, the interviewer should be focused on what candidates are saying and how they are saying it, not on what the next question will be, what probes to ask, or how they will score the responses. This Interview Guide Template will help interviewers stay focused and collect good information about candidates.

  • Interview Guide Template

4. IT Behavioral Interview Question Library – A tool that contains a complete list of sample questions aligned with core, leadership, and IT competencies.

Hiring managers can choose from a comprehensive collection of core, functional, and leadership competency-based behavioral interview questions.

  • IT Behavioral Interview Question Library

5. Job Ad Template – A template to allow complete documentation of the characteristics, responsibilities, and requirements for a given job posting in IT.

Use this template to develop a well-written job posting that will attract the star candidates and, in turn, deflect submission of irrelevant applications by those unqualified.

  • Job Ad Template

6. Idea Catalog – A tool to evaluate virtual TA solutions.

The most innovative technology isn’t necessarily the right solution. Review talent acquisition (TA) solutions and evaluate the purpose each option serves in addressing critical challenges and replacing critical in-person activities.

  • Idea Catalog: Adapt the Talent Acquisition Process to a Virtual Environment
[infographic]

Workshop: Improve Your IT Recruitment Process

Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

1 Employee Value Proposition and Employer Branding

The Purpose

Establish the employee value proposition (EVP) and employer brand.

Key Benefits Achieved

Have a well-defined EVP that you communicate through your employer brand.

Activities

1.1 Gather feedback.

1.2 Build key messages.

1.3 Assess employer brand.

Outputs

Content and themes surrounding the EVP

Draft EVP and supporting statements

A clearer understanding of the current employer brand and how it could be improved

2 Job Ads and Sourcing

The Purpose

Develop job postings and build a strong sourcing program.

Key Benefits Achieved

Create the framework for an effective job posting and analyze existing sourcing methods.

Activities

2.1 Review and update your job ads.

2.2 Review the effectiveness of existing sourcing programs.

2.3 Review job ads and sourcing methods for bias.

Outputs

Updated job ad

Low usage sourcing methods identified for development

Minimize bias present in ads and sourcing methods

3 Effective Interviewing

The Purpose

Create a high-quality interview process to improve candidate assessment.

Key Benefits Achieved

Training on being an effective interviewer.

Activities

3.1 Create an ideal candidate scorecard.

3.2 Map out your interview process.

3.3 Practice behavioral interviews.

Outputs

Ideal candidate persona

Finalized interview and assessment process

Practice interviews

4 Onboarding and Action Plan

The Purpose

Drive employee engagement and retention with a robust program that acclimates, guides, and develops new hires.

Key Benefits Achieved

Evaluation of current onboarding practice.

Activities

4.1 Evaluate and redesign the onboarding program.

Outputs

Determine new onboarding activities to fill identified gaps.

Further reading

Improve Your IT Recruitment Process

Train your IT department to get involved in the recruitment process to attract and select the best talent.

Own the IT recruitment process

Train your IT department to get involved in the recruitment process to attract and select the best talent.

Follow this blueprint to:

  • Define and communicate the unique benefits of working for your organization to potential candidates through a strong employer brand.
  • Learn best practices around creating effective job postings.
  • Target your job posting efforts on the areas with the greatest ROI.
  • Create and deliver an effective, seamless, and positive interview and offer process for candidates.
  • Acclimate new hires and set them up for success.

Get involved at key moments of the candidate experience to have the biggest impact


Employee Value Proposition (EVP) and Employer Brand



Job Postings and a Strong Sourcing Program

Effective Interviewing

Onboarding: Setting up New Hires For Success

Awareness Research Application Screening Interview and Assessment Follow Up Onboarding

RECRUIT QUALITY STAFF

Hiring talent is critical to organizational success

Talent is a priority for the entire organization:

Respondents rated “recruitment” as the top issue facing organizations today (McLean & Company 2022 HR Trends Report).

37% of IT departments are outsourcing roles to fill internal skill shortages (Info-Tech Talent Trends 2022 Survey).

Yet bad hires are alarmingly common:

Hiring is one of the least successful business processes, with three-quarters of managers reporting that they have made a bad hire (Robert Half, 2021).

48% of survey respondents stated improving the quality of hires was the top recruiting priority for 2021 (Jobvite, 2021).

Workshop overview

Prework

Day 1

Day 2

Day 3

Day 4

Post work

Current Process and Job Descriptions Documented

Establish the Employee Value Proposition (EVP) and Employer Brand

Develop Job Postings and Build a Strong Sourcing Program

Effective Interviewing

Onboarding and Action Planning

Putting the Action Plan Into Action!

Activities

  • Recruitment Process Mapped Out and Stakeholders Identified
  • Prepare a JD and JP for Four Priority Jobs
  • Collect Information on Where Your Best Candidates Are Coming From

1.1 Introduce the Concept of an EVP

1.2 Brainstorm Unique Benefits of Working at Your Organization

1.2 Employer Brand Introduction

2.1 What Makes an Attractive Job Posting

2.2 Create the Framework for Job Posting

2.3 Improve the Sourcing Process

2.4 Review Process for Bias

3.1 Creating an Interview Process

3.2 Selecting Interview Questions

3.3 Avoiding Bias During Interviews

3.4 Practice Interviews

4.1 Why Onboarding Matters

4.2 Acclimatize New Hires and Set Them Up for Success

4.3 Action Plan

5.1 Review Outputs and Select Priorities

5.2 Consult With HR and Senior Management to Get Buy-In

5.3 Plan to Avoid Relapse Behaviors

Deliverables

  1. EVP draft completed
  2. Employer brand action plan
  1. Organization-specific job posting framework
  2. Sourcing Plan Template for four priority jobs
  3. Sourcing action plan
  1. Completed Interview Guide Template
  2. Managers practice a panel interview
  1. Onboarding best practices
  2. Action plan

Enhance Your Recruitment Strategies

The way you position the organization impacts who is likely to apply to posted positions.

Develop a strong employee value proposition

What is an employee value proposition?

And what are the key components?

The employee value proposition is your opportunity to showcase the unique benefits and opportunities of working at your organization, allowing you to attract a wider pool of candidates.

AN EMPLOYEE VALUE PROPOSITION IS:

AN EMPLOYEE VALUE PROPOSITION IS NOT:

  • An authentic representation of the employee experience
  • Aligned with organizational culture
  • Fundamental to all stages of the employee lifecycle
  • A guide to help investment in programs and policies
  • Short and succinct
  • What the employee can do for you
  • A list of programs and policies
  • An annual project

THE FOUR KEY COMPONENTS OF AN EMPLOYEE VALUE PROPOSITION

Rewards

Organizational Elements

Working Conditions

Day-to-Day Job Elements

  • Compensation
  • Health Benefits
  • Retirement Benefits
  • Vacation
  • Culture
  • Customer Focus
  • Organization Potential
  • Department Relationships
  • Senior Management Relationships
  • Work/Life Balance
  • Working Environment
  • Employee Empowerment
  • Development
  • Rewards & Recognition
  • Co-Worker Relationships
  • Manager Relationships

Creating a compelling EVP that presents a picture of your employee experience, with a focus on diversity, will attract a wide pool of diverse candidates to your team. This can lead to many internal and external benefits for your organization.

How to collect information on your EVP

Existing Employee Value Proposition: If your organization or IT department has an existing employee value proposition, rather than starting from scratch, we recommend leveraging that and moving to the testing phase to see if the EVP still resonates with staff and external parties.

Employee Engagement Results: If your organization does an employee engagement survey, review the results to identify the areas in which the IT organization is performing well. Identify and document any key comment themes in the report around why employees enjoy working for the organization or what makes your IT department a great place to work.

Social Media Sites. Prepare for the good, the bad, and the ugly. Social media websites like Glassdoor and Indeed make it easier for employees to share their experiences at an organization honestly and candidly. While postings on these sites won’t relate exclusively to the IT department, they do invite participants to identify their department in the organization. You can search these to identify any positive things people are saying about working for the organization and potentially opportunities for improvement (which you can use as a starting point in the retention section of this report).

1.1 Gather feedback

  1. Download the Improve Your IT Recruitment Workbook.
  2. On tab 1.1, brainstorm the top five things you value most about working at the organization. Ask yourself what would fall in each category and identify any key themes. Be sure to take note of any specific quotes you have.
  3. Brainstorm limitations that the organization currently has in each of those areas.

Download the Recruitment Workbook

Input

Output
  • Employee opinions
  • Employee responses to four EVP components
  • Content for EVP

Materials

Participants

  • Recruitment Workbook
  • Diverse employees
  • Different departments
  • Different role levels

1.2 Build key messages

  1. Go to tab 1.2 in your workbook
  2. Identify themes from activity 1.1 that would be considered current strengths of you organization.
  3. Identify themes from activity 1.2 that are aspirational elements of your organization.
  4. Identify up to four key statements to focus on for the EVP, ensuring that your EVP speaks to at least one of the five categories above.
  5. Integrate these into one overall statement.

Examples below.

Input

Output
  • Feedback from focus groups
  • EVP and supporting statements

Materials

Participants

  • Workbook handout
  • Pen and paper for documenting responses
  • IT leadership team

Sample EVPs

Shopify

“We’re Shopify. Our mission is to make commerce better for everyone – but we’re not the workplace for everyone. We thrive on change, operate on trust, and leverage the diverse perspectives of people on our team in everything we do. We solve problems at a rapid pace. In short, we get shit done.”

Bettercloud

“At Bettercloud, we have a smart, ambitious team dedicated to delighting our customers. Our culture of ownership and transparency empowers our team to achieve goals they didn’t think possible. For all those on board, it’s going to be a challenging and rewarding journey – and we’re just getting started.”

Ellevest

“As a team member at Ellevest, you can expect to make a difference through your work, to have a direct impact on the achievement of a very meaningful mission, to significantly advance your career trajectory, and to have room for fun and fulfillment in your daily life. We know that achieving a mission as critical as ours requires incredible talent and teamwork, and team is the most important thing to us.”

Sources: Built In, 2021; Workology, 2022

Ensure your EVP resonates with employees and prospects

Test your EVP with internal and external audiences.

INTERNAL TEST REVOLVES AROUND THE 3A’s

EXTERNAL TEST REVOLVES AROUND THE 3C’s

ALIGNED: The EVP is in line with the organization’s purpose, vision, values, and processes. Ensure policies and programs are aligned with the organization’s EVP.

CLEAR: The EVP is straightforward, simple, and easy to understand. Without a clear message in the market, even the best intentioned EVPs can be lost in confusion.

ACCURATE: The EVP is clear and compelling, supported by proof points. It captures the true employee experience, which matches the organization’s communication and message in the market.

COMPELLING: The EVP emphasizes the value created for employees and is a strong motivator to join this organization. A strong EVP will be effective in drawing in external candidates. The message will resonate with them and attract them to your organization.

ASPIRATIONAL: The EVP inspires both individuals and the IT organization as a whole. Identify and invest in the areas that are sure to generate the highest returns for employees.

COMPREHENSIVE: The EVP provides enough information for the potential employee to understand the true employee experience and to self-assess whether they are a good fit for your organization. If the EVP lacks depth, the potential employee may have a hard time understanding the benefits and rewards of working for your organization.

Want to learn more?

Recruit IT Talent

  • Improve candidate experience to hire top IT talent.

Recruit and Retain More Women in IT

  • Gender diversity is directly correlated to IT performance.

Recruit and Retain People of Color in IT

  • Good business, not just good philanthropy.

Enhance Your Recruitment Strategies

The way you position the organization impacts who is likely to apply to posted positions.

Market your EVP to potential candidates: Employer Brand

Employer brand includes how you market the EVP internally and externally – consistency is key

The employer brand is the perception internal and external stakeholders hold of the organization and exists whether it has been curated or not. Curating the employer brand involves marketing the organization and employee experience. Grounding your employer brand in your EVP enables you to communicate and market an accurate portrayal of your organization and employee experience and make you desirable to both current and potential employees.

The image contains a picture of several shapes. There is a trapezoid that is labelled EVP, and has a an arrow pointing to the text beside it. There is also an arrowing pointing down from it to another trapezoid that is labelled Employer Brand.

The unique offering an employer provides to employees in return for their effort, motivating them to join or remain at the organization.

The perception internal and external stakeholders hold of the organization.

Alignment between the EVP, employer brand, and corporate brand is the ideal branding package. An in-sync marketing strategy ensures stakeholders perceive and experience the brand the same way, creating brand ambassadors.

The image contains three circles that are connected. The circles are labelled: EVP, Employer Brand, Corporate Brand.

Ensure your branding material creates a connection

How you present your employer brand is just as important as the content. Ideally, you want the viewer to connect with and personalize the material for the message to have staying power. Use Marketing’s expertise to help craft impactful promotional materials to engage and excite the viewer.

Visuals

Images are often the first thing viewers notice. Use visuals that connect to your employer brand to engage the viewer’s attention and increase the likelihood that your message will resonate. However, if there are too many visuals this may detract from your content – balance is key!

Language

Wordsmithing is often the most difficult aspect of marketing. Your message should be accurate, informative, and engaging. Work with Marketing to ensure your wording is clever and succinct – the more concise, the better.

Composition

Integrate visuals and language to complete your marketing package. Ensure that the text and images are balanced to draw in the viewer.

Case Study: Using culture to drive your talent pool

This case study is happening in real time. Please check back to learn more as Goddard continues to recruit for the position.

Recruiting at NASA

Goddard Space Center is the largest of NASA’s space centers with approximately 11,000 employees. It is currently recruiting for a senior technical role for commercial launches. The position requires consulting and working with external partners and vendors.

NASA is a highly desirable employer due to its strong culture of inclusivity, belonging, teamwork, learning, and growth. Its culture is anchored by a compelling vision, “For the betterment of Humankind,” and amplified by a strong leadership team that actively lives their mission and vision daily.

Firsthand lists NASA as #1 on the 50 most prestigious internships for 2022.

Rural location and no flexible work options add to the complexity of recruiting

The position is in a rural area of Eastern Shore Virginia with a population of approximately 60,000 people, which translates to a small pool of candidates. Any hire from outside the area will be expected to relocate as the senior technician must be onsite to support launches twice a month. Financial relocation support is not offered and the position is a two-year assignment with the option of extension that could eventually become permanent.

The image contains a picture of Steve Thornton.

“Looking for a Talent Unicorn: a qualified, experienced candidate with both leadership skills and deep technical expertise that can grow and learn with emerging technologies.”

Steve Thornton

Acting Division Chief, Solutions Division, Goddard Space Flight Center, NASA

Case Study: Using culture to drive your talent pool

A good brand overcomes challenges.

Culture takes the lead in NASA's job postings, which attract a high number of candidates. Postings begin with a link to a short video on working at NASA, its history, and how it lives its vision. The video highlights NASA's diversity of perspectives, career development, and learning opportunities.

NASA's company brand and employer brand are tightly intertwined, providing a consistent view of the organization.

The employer vision is presented in the best place to reach NASA's ideal candidate: usajobs.gov, the official website of the United States Government and the “go-to” for government job listings. NASA also extends its postings to other generic job sites as well as LinkedIn and professional associations.

The image contains a picture of Robert Leahy.

Interview with Robert Leahy

Chief Information Officer, Goddard Space Flight Center, NASA

2.1 Assess your organization’s employer brand

  1. Go to tab 2.1 in the Improve Your IT Recruitment Workbook.
  2. Put yourself in the shoes of someone on the outside looking in. If they were to look up your organization, what impression would they be given about what is like to work there?
  3. Run a Google search on your organization with key words “jobs,” “culture,” and “working environment” to see what a potential candidate would see when they begin researching your organization.
  4. You can use sites like:

  • Glassdoor
  • Indeed company pages
  • LinkedIn company pages
  • Social media
  • Your own website
  • Identify what your organization is doing well and record that under the “Continue” box in your workbook.
  • Record anything your organization should stop doing under the “Stop” box.
  • Brainstorm some ideas that your organization should think about implementing to improve the employer brand under the “Start” Box.
  • Input Output
    • Existing branding material on the internet
    • A clearer understanding of the current employer brand and how it could be improved
    Materials Participants
    • Workbook handout
    • Senior IT Leaders

    Want to learn more?

    Recruit IT Talent

    • Improve candidate experience to hire top IT talent.

    Recruit and Retain More Women in IT

    • Gender diversity is directly correlated to IT performance.

    Recruit and Retain People of Color in IT

    • Good business, not just good philanthropy.

    Enhance Your Recruitment Strategies

    The way you position the organization impacts who is likely to apply to posted positions.

    Create engaging job ads to attract talent to the organization

    We have a job description; can I just post that on Indeed?

    A job description is an internal document that includes sections such as general job information, major responsibilities, key relationships, qualifications, and competencies. It communicates job expectations to incumbents and key job data to HR programs.

    A job ad is an externally facing document that advertises a position with the intent of attracting job applicants. It contains key elements from the job description as well as information on the organization and its EVP.

    Write an Effective Job Ad

    • Ensure that your job ad speaks to the audience you are targeting through the language you use.
      • E.g. If you are hiring for a creative role, use creative language and formatting. If you are writing for students, emphasize growth opportunities.
    • Highlight the organization’s EVP.
    • Paint an accurate picture of key aspects of the role but avoid the nitty gritty as it may overwhelm applicants.
    • Link to your organization’s website and social media platforms so applicants can easily find more information.

    A job description informs a job ad, it doesn’t replace it. Don’t be lulled into using a job description as a posting when there’s a time crunch to fill a position. Refer to job postings as job advertisements to reinforce that their purpose is to attract attention and talent.

    An effective job posting contains the following elements:

    Position Title
    • Clearly defined job titles are important for screening applicants as this is one of the first things the candidate will read.
    • Indicating the earnings range that the position pays cuts out time spent on reviewing candidates who may never accept the position and saves them from applying to a job that doesn’t match what they are looking for.
    Company
    • Provide a brief description of the organization including the products or services it offers, the corporate culture, and any training and career development programs.
    Summary Description
    • Describe briefly why the position exists. In other words, what is the position's primary purpose? The statement should include the overall results the job is intended to produce and some of the key means by which the position achieves these results.
    Responsibilities
    • Use bullet points to list the fundamental accountabilities of the position. Candidates want to know what they will be doing on a day-to-day basis.
    • Begin each responsibility or accountability statement with an action word and follow with a brief phrase to describe what is done to accomplish the function.
    Position Characteristics
    • Give examples of key problems and thinking challenges encountered by the position. Describe the type of analysis or creativity required to resolve these problems.
    • Provide examples of final decision-making authority. The examples should reflect the constraints placed on the position by people, policies, and/or procedures.
    Position Requirements
    • List all formal education and certifications required.
    • List all knowledge and experience required.
    • List all personal attributes required.
    Work Conditions
    • List all work conditions that the employee must accommodate. This could include any sensory, physical, or mental requirements of the position or any special conditions of employment, such as hours.
    Process to Apply
    • Include the methods in which the organization wants to receive applications and contact information of who will receive the applications.

    Bottom Line: A truly successful job posting ferrets out those hidden stars that may be over cautious and filters out hundreds of applications from the woefully under qualified.

    The do’s and don’ts of an inclusive job ad

    DON’T overlook the power of words. Avoid phrases like “strong English language skills” as this may deter non-native English speakers from applying and a “clean-shaven” requirement can exclude candidates whose faith requires them to maintain facial hair.

    DON’T post a long requirements list. A study showed that the average jobseeker spends only 49.7 seconds reviewing a listing before deciding it's not a fit.*

    DON’T present a toxic work culture; phrases such as “work hard, play hard” can put off many candidates and play into the “bro- culture” stereotype in tech.

    Position Title: Senior Lorem Ipsum

    Salary Band: $XXX to $XXX

    Diversity is a core value at ACME Inc. We believe that diversity and inclusion is our strength, and we’re passionate about building an environment where all employees are valued and can perform at their best.

    As a … you will …

    Our ideal candidate ….

    Required Education and Experience

    • Bachelor’s degree in …
    • Minimum five (5) years …

    Required Skills

    Preferred Skills

    At ACME Inc. you will find …

    DO promote pay equity by being up front and honest about salary expectations.

    DO emphasize your organization’s commitment to diversity and an inclusive workplace by adding an equity statement.

    DO limit your requirements to “must haves” or at least showcase them first before the “nice-to-haves.”

    DO involve current employees or members of your employee resource groups when creating job descriptions to ensure that they ask for what you really need.

    DO focus on company values and criteria that are important to the job, not just what’s always been done.

    *Source: Ladders, 2013

    Before posting the job ad complete the DEI job posting validation checklist

    Does the job posting highlight your organization’s EVP

    Does the job posting avoid words that might discourage women, people of color, and other members of underrepresented groups from applying?

    Has the position description been carefully reviewed and revised to reflect current and future expectations for the position, rather than expectations informed by the persons who have previously held the job?

    Has the hiring committee eliminated any unnecessary job skills or requirements (college degree, years or type of previous experience, etc.) that might negatively impact recruitment of underrepresented groups?

    Has the hiring committee posted the job in places (job boards, websites, colleges, etc.) where applicants from underrepresented groups will be able to easily view or access it?

    Have members of the hiring committee attended job fairs or other events hosted by underrepresented groups?

    Has the hiring committee asked current employees from underrepresented groups to spread the word about the position?

    Has the hiring committee worked with the marketing team to ensure that people from diverse groups are featured in the organization’s website, publications, and social media?

    es the job description clearly demonstrate the organization’s and leadership’s commitment to DEI?

    *Source: Recruit and Retain People of Color in IT

    3.1 Review and update your job ads

    1. Download the Job Ad Template.
    2. Look online or ask HR for an example of a current job advertisement you are using.
    • If you don’t have one, you can use a job description as a starting point.
  • Review all the elements of the job ad and make sure they align with the list on the previous slide, adding or changing, as necessary. Your job ad should be no more than two pages long.
  • Using the tools on the previous two slides, review your first draft to ensure the job posting is free of language or elements that will discourage diverse candidates from applying.
  • Review your job advertisement with HR to get feedback or to use as a template going forward.
  • Input Output
    • Existing job ad or job description
    • Updated job ad
    Materials Participants
    • Job ad or job description
    • Job Ad Template
    • Hiring Managers

    Want to learn more?

    Recruit IT Talent

    • Improve candidate experience to hire top IT talent.

    Recruit and Retain More Women in IT

    • Gender diversity is directly correlated to IT performance.

    Recruit and Retain People of Color in IT

    • Good business, not just good philanthropy.

    Enhance Your Recruitment Strategies

    Focus on key programs and tactics to improve the effectiveness of your sourcing approach.

    Get involved with sourcing to get your job ad seen

    To meet growing expectations, organizations need to change the way they source

    Social Media

    Social media has trained candidates to expect:

    • Organizations to stay in touch and keep track of them.
    • A personalized candidate experience.
    • To understand organizational culture and a day in the life.

    While the focus on the candidate experience is important throughout the talent acquisition process, social media, technology, and values have made it a critical component of sourcing.

    Technology

    Candidates expect to be able to access job ads from all platforms.

    • Today, close to 90% of candidates use a mobile platform to job hunt (SmartRecruiters, 2022).
    • However, only 36% of organizations are optimizing their job postings for mobile. (The Undercover Recruiter, 2021)

    Job ads must be clear, concise, and easily viewed on a mobile device.

    Candidate Values

    Job candidate’s values are changing.

    • There is a growing focus on work/life balance, purpose, innovation, and career development. Organizations need to understand candidate values and highlight how the EVP aligns with these interests.

    Authenticity remains important.

    • Clearly and accurately represent your organization and its culture.

    Focus on key programs and tactics to improve the effectiveness of your sourcing approach

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    Take advantage of your current talent with an internal talent mobility program

    What is it?

    Positioning the right talent in the right place, at the right time, for the right reasons, and supporting them appropriately.

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    ITM program benefits:

    1. Retention
    2. Provide opportunities to develop professionally, whether in the current role or through promotions/lateral moves. Keep strong performers and high-potential employees committed to the organization.

    3. Close Skills Gap
    4. Address rapid change, knowledge drain due to retiring Baby Boomers, and frustration associated with time to hire or time to productivity.

    5. Cost/Time Savings
    6. Reduce spend on talent acquisition, severance, time to productivity, and onboarding.

    7. Employee Engagement
    8. Increase motivation and productivity by providing increased growth and development opportunities.

    9. EVP
    10. Align with the organization’s offering and what is important to the employees from a development perspective.

    11. Employee & Leadership Development
    12. Support and develop employees from all levels and job functions.

    Leverage social media to identify and connect with talent

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    What is it? The widely accessible electronic tools that enable anyone to publish and access information, collaborate on common efforts, and build relationships.

    Learning to use social media effectively is key to sourcing the right talent.

    • Today, 92% of organizations leverage social media for talent acquisition.
    • 80% of employers find passive candidates through social media – second only to referrals.
    • 86% percent of job seekers used social media for their most recent job search.
    (Ku, 2021)

    Benefits of social media:

    • Provides access to candidates who may not know the organization.
    • Taps extended networks.
    • Facilitates consistent communication with candidates and talent in pipelines.
    • Personalizes the candidate experience.
    • Provides access to extensive data.

    Challenges of social media:

    With the proliferation of social media and use by most organizations, social media platforms have become overcrowded. As a result:

    • Organizations are directly and very apparently competing for talent with competitors.
    • Users are bombarded with information and are tuning out.

    “It is all about how we can get someone’s attention and get them to respond. People are becoming jaded.”

    – Katrina Collier, Social Recruiting Expert, The Searchologist

    Reap the rewards of an employee referral program

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    What is it? Employees recommend qualified candidates. If the referral is hired, the referring employee typically receives some sort of reward.

    Benefits of an employee referral program:

    1. Lower Recruiting Costs
    2. 55% of organizations report that hiring a referral is less expensive that a non-referred candidate (Clutch, 2020).

    3. Decreased time to fill
    4. The average recruiting lifecycle for an employee referral is 29 days, compared with 55 days for a non referral (Betterup, 2022).

    5. Decreased turnover
    6. 46% percent of employees who were referred stay at their organization for a least one year, compared to 33% of career site hires (Betterup, 2022).

    7. Increased quality of hire
    8. High performers are more likely to refer other high performers to an organization (The University of Chicago Press, 2019).

    Avoid the Like Me Bias: Continually evaluate the diversity of candidates sourced from the employee referral program. Unless your workforce is already diverse, referrals can hinder diversity because employees tend to recommend people like themselves.

    Tap into your network of former employees

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    What is it? An alumni referral program is a formalized way to maintain ongoing relationships with former employees of the organization.

    Successful organizations use an alumni program:

    • 98% of the F500 have some sort of Alumni program (LinkedIn, 2019).

    Benefits of an alumni program:

    1. Branding
    • Alumni are regarded as credible sources of information. They can be a valuable resource for disseminating and promoting the employer brand.
  • Source of talent
    • Boomerang employees are doubly valuable as they understand the organization and also have developed skills and industry experience.
      • Recover some of the cost of turnover and cost per hire with a pool of prequalified candidates who will more quickly reach full productivity.
  • Referral potential
    • Developing a robust alumni network provides access to a larger network through referrals.
    • Alumni already know what is required to be successful in the organization so they can refer more suitable candidates.

    Make use of a campus recruiting program

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    What is it? A formalized means of attracting and hiring individuals who are about to graduate from schools, colleges, or universities.

    Almost 70% of companies are looking to employ new college graduates every year (HR Shelf, 2022).

    Campus recruitment benefits:

    • Increases employer brand awareness among talent entering the workforce.
    • Provides the opportunity to interact with large groups of potential candidates at one time.
    • Presents the opportunity to identify and connect with high-quality talent before they graduate and are actively looking for positions.
    • Offers access to a highly diverse audience.

    Info-Tech Insight

    Target schools that align with your culture and needs. Do not just focus on the most prestigious schools: they are likely more costly, have more intense competition, and may not actually provide the right talent.

    Identify opportunities to integrate non-traditional techniques

    Internal Talent Mobility (ITM) Program

    Social Media Program

    Employee Referral Program

    Alumni Program

    Campus Recruiting Program

    Other Sourcing Tactics

    1. Professional industry associations
    • Tap into candidates who have the necessary competencies.

    5. Not-for-profit intermediaries

    • Partner with not-for-profits to tap into candidates in training or mentorship programs.
    • Example:
      • Year Up (General)
      • Bankwork$ (Banking)
      • Youth Build (Construction)
      • iFoster (Grocery)

    American Expresscreated a boot camp for software engineers in partnership with Year Up and Gateway Community College to increase entry-level IT hires.

    Results:

    • Annually hire 80-100 interns from Year Up.
    • Improved conversion rates: 72% of Year Up interns versus 60% of traditional interns.
    • Increased retention: 44 (Year Up) versus 18 months (traditional).
    (HBR, 2016)

    2. Special interest groups

    • Use for niche role sourcing.
    • Find highly specialized talent.
    • Drive diversity (Women in Project Management).

    6. Gamification

    • Attract curiosity and reaffirm innovation at your organization.
    • Communicate the EVP.
    3. Customers
    • Access those engaged with the organization.
    • Add the employer brand to existing messaging.

    PwC (Hungary) created Multiploy, a two-day game that allows students to virtually experience working in accounting or consulting at the organization.

    Results:

    • 78% of students said they wanted to work for PwC.
    • 92% indicated they had a more positive view of the firm.
    • Increase in the number of job applicants.
    (Zielinski, 2015)

    4. Exit interviews

    • Ask exiting employees “where should we recruit someone to replace you?”
    • Leverage their knowledge to glean insight into where to find talent.

    Partner with other organizational functions to build skills and leverage existing knowledge

    Use knowledge that already exists in the organization to improve talent sourcing capabilities.

    Marketing

    HR

    Marketing knows how to:

    • Build attention-grabbing content.
    • Use social media platforms effectively.
    • Effectively promote a brand.
    • Use creative methods to connect with people.

    HR knows how to:

    • Organize recruitment activities.
    • Identify the capabilities of various technologies available to support sourcing.
    • Solve issues that may arise along the way

    To successfully partner with other departments in your organization:

    • Acknowledge that they are busy. Like IT, they have multiple competing priorities.
    • Present your needs and prioritize them. Create a list of what you are looking for and then be willing to just pick your top need. Work with the other department to decide what needs can and cannot be met.
    • Present the business case. Emphasize how partnering is mutually beneficial. For example, illustrate to Marketing that promoting a strong brand with candidates will improve the organization’s overall reputation because often, candidates are customers.
    • Be reasonable and patient. You are asking for help, so be moderate in your expectations and flexible in working with your partner.

    Info-Tech Insight

    Encourage your team to seek out, and learn from, employees in different divisions. Training sessions with the teams may not always be possible but one-on-one chats can be just as effective and may be better received.

    5.1 Review the effectiveness of existing sourcing programs

    1. As a group review the description of each program as defined on previous slides. Ensure that everyone understands the definitions.
    2. In your workbook, look for the cell Internal Talent Mobility under the title; you will find five rows with the following
    • This program is formally structured and documented.
    • This program is consistently applied across the organization.
    • Talent is sourced this way on an ad hoc basis.
    • Our organization currently does not source talent this way.
    • There are metrics in place to assess the effectiveness of this program.
  • Ask everyone in the group if they agree with the statement for each column; once everyone has had a chance to answer each of the questions, discuss any discrepancies which exist.
  • After coming to a consensus, record the answers.
  • Repeat this process for the other four sourcing programs (social media, employee referral program, alumni network program, and campus recruiting program).
  • InputOutput
    • Existing knowledge on sourcing approach
    • Low usage sourcing methods identified for development
    MaterialsParticipants
    • Workbook
    • Hiring Managers

    Want to learn more?

    Recruit IT Talent

    • Improve candidate experience to hire top IT talent.

    Recruit and Retain More Women in IT

    • Gender diversity is directly correlated to IT performance.

    Recruit and Retain People of Color in IT

    • Good business, not just good philanthropy.

    Enhance Your Recruitment Strategies

    Interviews are the most often used yet poorly executed hiring tool.

    Create a high-quality interview process to improve candidate assessment

    Everyone believes they’re a great interviewer; self-assess your techniques, and “get real” to get better

    If you…

    • Believe everything the candidate says.
    • Ask mostly hypothetical questions: "What would you do in a situation where…"
    • Ask gimmicky questions: "If you were a vegetable, what vegetable would you be?"
    • Ask only traditional interview questions: "What are your top three strengths?”
    • Submit to a first impression bias.
    • Have not defined what you are looking for before the interview.
    • Ignore your gut feeling in an attempt to be objective.
    • Find yourself loving a candidate because they are just like you.
    • Use too few or too many interviewers in the process.
    • Do not ask questions to determine the motivational fit of the candidate.
    • Talk more than the interviewee.
    • Only plan and prepare for the interview immediately before it starts.

    …then stop. Use this research!

    Most interviewers are not effective, resulting in many poor hiring decisions, which is costly and counter-productive

    Most interviewers are not effective…

    • 82% of organizations don’t believe they hire highly talented people (Trost, 2022).
    • Approximately 76% of managers and HR representatives that McLean & Company interviewed agreed that the majority of interviewers are not very effective.
    • 66% of hiring managers come to regret their interview-based hiring decisions (DDI, 2021).

    …because, although everyone knows interviewing is a priority, most don’t make it one.

    • Interviewing is often considered an extra task in addition to an employee’s day-to-day responsibilities, and these other responsibilities take precedence.
    • It takes time to effectively design, prepare for, and conduct an interview.
    • Employees would rather spend this time on tasks they consider to be an immediate priority.

    Even those interviewers who are good at interviewing, may not be good enough.

    • Even a good interviewer can be fooled by a great interviewee.
    • Some interviewees talk the talk, but don’t walk the walk. They have great interviewing abilities but not the skills required to be successful in the specific position for which they are interviewing.
    • Even if the interviewer is well trained and prepared to conduct a strong interview, they can get caught up with an interviewee that seems very impressive on the surface, and end up making a bad hire.

    Preparing the Perfect Interview

    Step 5: Define decision rights

    Establish decision-making authority and veto power to mitigate post-interview conflicts over who has final say over a candidate’s status.

    Follow these steps to create a positive interview experience for all involved.

    Step 1: Define the ideal candidate profile; determine the attributes of the ideal candidate and their relative importance

    Define the attributes of the ideal candidate…

    Ideal candidate = Ability to do the job + Motivation to do the job + Fit

    Competencies

    • Education
    • Credentials
    • Technical skills
    • Career path
    • Salary expectations
    • Passion
    • Potential
    • Personality
    • Managerial style/preference

    Experiences

    • Years of service
    • Specific projects
    • Industry

    Data for these come from:

    • Interviews
    • Personality tests
    • Gut instinct or intuition

    Data for these come from:

    • Resumes
    • Interviews
    • Exercises and tests
    • References

    Caution: Evaluating for “organizational or cultural fit” can lead to interviewers falling into the trap of the “like me” bias, and excluding diverse candidates.

    …then determine the importance of the attributes.

    Non-negotiable = absolutely required for the job!

    Usually attributes that are hard to train, such as writing skills, or expensive to acquire after hire, such as higher education or specific technical skills.

    An Asset

    Usually attributes that can be trained, such as computer skills. It’s a bonus if the new hire has it.

    Nice-to-have

    Attributes that aren’t necessary for the job but beneficial. These could help in breaking final decision ties.

    Deal Breakers: Also discuss and decide on any deal breakers that would automatically exclude a candidate.

    The job description is not enough; meet with stakeholders to define and come to a consensus on the ideal candidate profile

    Definition of the Ideal Candidate

    • The Hiring Manager has a plan for the new hire and knows the criteria that will best fulfill that mandate.
    • The Executive team may have specific directives for what the ideal candidate should look like, depending on the level and critical nature of the position.
    • Industry standards, which are defined by regulatory bodies, are available for some positions. Use these to identify skills and abilities needed for the job.
    • Competitor information such as job descriptions and job reviews could provide useful data about a similar role in other organizations.
    • Exit interviews can offer insight into the most challenging aspects of the job and identify skills or abilities needed for success.
    • Current employees who hold the same or a similar position can explain the nuances of the day-to-day job and what attributes are most needed on the team.

    “The hardest work is accurately defining what kind of person is going to best perform this job. What are their virtues? If you’ve all that defined, the rest is not so tough.”

    – VP, Financial Services

    Use a scorecard to document the ideal candidate profile and help you select a superstar

    1. Download the Workbook and go to tab 6.1.
    2. Document the desired attributes for each category of assessment: Competencies, Experiences, Fit, and Motivation. You can find an Attribute Library on the next tab.
    3. Rank each attribute by level of priority: Required, Asset, or Nice-to-Have.
    4. Identify deal breakers that would automatically disqualify a candidate from moving forward.
    InputOutput
    • Job description
    • Stakeholder input
    • Ideal candidate persona
    MaterialsParticipants
    • Workbook
    • Hiring Managers

    To identify questions for screening interviews, use the Screening Interview Template

    A screening interview conducted by phone should have a set of common questions to identify qualified candidates for in-person interviews.

    The Screening Interview Template will help you develop a screening interview by providing:

    • Common screening questions that can be modified based on organizational needs and interview length.
    • Establishing an interview team.
    • A questionnaire format so that the same questions are asked of all candidates and responses can be recorded.

    Once completed, this template will help you or HR staff conduct candidate screening interviews with ease and consistency. Always do screening interviews over the phone or via video to save time and money.

    Info-Tech Insight

    Determine the goal of the screening interview – do you want to evaluate technical skills, communication skills, attitude, etc.? – and create questions based on this goal. If evaluating technical skill, have someone with technical competency conduct the interview.

    The image contains screenshots of the Screening Interview Template.

    Step 2: Choose interview types and techniques that best assess the ideal candidate attributes listed on the position scorecard

    There is no best interview type or technique for assessing candidates, but there could be a wrong one depending on the organization and job opening.

    • Understanding common interviewing techniques and types will help inform your own interviewing strategy and interview development.
    • Each interview technique and type has its own strengths and weakness and can be better suited for a particular organizational environment, type of job, or characteristic being assessed.
    The image contains a diagram to demonstrate the similarities and differences of Interview Technique and Interview Type. There is a Venn Diagram, the right circle is labelled: Interview Technique, and the right is: Interview Type. There is a double sided arrow below that has the following text: Unstructure, Semi-Structured, and Structured.

    Unstructured: A traditional method of interviewing that involves no constraints on the questions asked, no requirements for standardization, and a subjective assessment of the candidate. This format is the most prone to bias.

    Semi-Structured: A blend of structured and unstructured, where the interviewer will ask a small list of similar questions to all candidates along with some questions pertaining to the resume.

    Structured: An interview consisting of a standardized set of job-relevant questions and a scoring guide. The goal is to reduce interviewer bias and to help make an objective and valid decision about the best candidate.

    No matter which interview types or techniques you use, aim for it to be as structured as possible to increase its validity

    The validity of the interview increases as the degree of interview structure increases.

    Components of a highly structured interview include:

    1. Interview questions are derived from a job analysis (they are job related).
    2. Interview questions are standardized (all applicants are asked the same questions).
    3. Prompting, follow-up questioning, probing, and/or elaboration on questions are limited. Try to identify all prompts, follow-ups, and probes beforehand and include them in the interview guide so that all candidates get the same level of prompting and probing.
    4. Interview questions focus on behaviors or work samples rather than opinions or self-evaluations.
    5. Interviewer access to ancillary information (e.g. resumes, letters of reference, test scores, transcripts) is controlled. Sometimes limiting access to these documents can limit interviewer biases.
    6. Questions from the candidate are not allowed until after the interview. This allows the interviewer to stay on track and not go off the protocol.
    7. Each answer is rated during the interview using a rating scale tailored to the question (this is preferable to rating dimensions at the end of the interview and certainly preferable to just making an overall rating or ranking at the end).
    8. Rating scales are “anchored” with behavioral examples to illustrate scale points (e.g. examples of a “1,” “3,” or “5” answer).
    9. Total interview score is obtained by summing across scores for each of the questions.

    The more of these components your interview has, the more structured it is, and the more valid it will be.

    Step 3: Prepare interview questions to assess the attributes you are looking for in a candidate

    The purpose of interviewing is to assess, not just listen. Questions are what help you do this.

    Preparing questions in advance allows you to:

    • Match each question to a position requirement (included in your scorecard) to ensure that you assess all required attributes. Everything assessed should be job relevant!
    • Determine each question’s weighting, if applicable.
    • Give each candidate a chance to speak to all their job-relevant attributes.
    • Keep records should an unselected candidate decide to contest the decision.

    If you don’t prepare in advance:

    • You’ll be distracted thinking about what you are going to ask next and not be fully listening.
    • You likely won’t ask the same questions of all candidates, which impacts the ability to compare across candidates and doesn’t provide a fair process for everyone.
    • You likely won’t ask the questions you need to elicit the information needed to make the right decision.
    • You could ask illegal questions (see Acquire the Right Hires with Effective Interviewing for a list of questions not to ask in an interview).

    Use the Interview Question Planning Guide tab in the Candidate Interview Strategy and Planning Guide to prepare your interview questions.

    Use these tips to draft interview questions:

    • Use job analysis output, in particular the critical incident technique, to develop structured interview questions.
    • Search online or in books for example interview questions for the target position to inform interview question development. Just remember that candidates access these too, so be sure to ask for specific examples, include probing questions, and adapt or modify questions to change them.
    • Situational questions: The situation should be described in sufficient detail to allow an applicant to visualize it accurately and be followed by “what would you do?” Scoring anchors should reflect effective, typical, and ineffective behaviors.
    • Behavioral questions: Should assess a behavioral dimension (e.g. meeting deadlines) and apply to a variety of situations that share the underlying dimension (e.g. at work or school). Scoring anchors should be applicable to a variety of situations and reflect effective, typical, and ineffective behavior.

    Conduct an effective screening interview by listening to non-verbal cues and probing

    Follow these steps to conduct an effective screening interview:

    Introduce yourself and ask if now is a good time to talk. (Before calling, prepare your sales pitch on the organization and the position.)

    You want to catch candidates off guard so that they don’t have time to prepare scripted answers; however, you must be courteous to their schedule.

    Provide an overview of the position, then start asking pre-set questions. Take a lot of notes.

    It is important to provide candidates with as much information as possible about the position – they are deciding whether they are interested in the role as much as you are deciding whether they are suitable.

    Listen to how the questions are answered. Ask follow-up questions when appropriate and especially if the candidate seems to be holding something back.

    If there are long pauses or the candidate’s voice changes, there may be something they aren’t telling you that you should know.

    Be alert to inconsistencies between the resume and answers to the questions and address them.

    It’s important to get to the bottom of issues before the in-person interview. If dates, titles, responsibilities, etc. seem to be inconsistent, ask more questions.

    Ask candidates about their salary expectations.

    It’s important to ensure alignment of the salary expectations early on. If the expectations are much higher than the range, and the candidate doesn’t seem to be open to the lower range, there is no point interviewing them. This would be a waste of everyone’s time.

    Answer the applicant’s questions and conclude the interview.

    Wait until after the interview to rate the applicant.

    Don’t allow yourself to judge throughout the interview, or it could skew questions. Rate the applicant once the interview is complete.

    When you have a shortlist of candidates to invite to an in-person interview, use the Candidate Communication Template to guide you through proper phone and email communications.

    Don’t just prepare top-level interview questions; also prepare probing questions to probe to gain depth and clarity

    Use probing to drill down on what candidates say as much as possible and go beyond textbook answers.

    Question (traditional): “What would you identify as your greatest strength?”

    Answer: Ability to work on a team.

    Top-level interview questions set the stage for probing.

    Your interview script should contain the top two levels of questions in the pyramid and a few probes that you will likely need to ask. You can then drill down further depending on the candidate’s answers.

    Follow-Up Question:

    “Can you outline a particular example when you were able to exercise your teamwork skills to reach a team goal?”

    Probing questions start with asking what, when, who, why, and how, and gain insight into a candidate’s thought process, experiences, and successes.

    Probing Level 1:

    Probe around the what, how, who, when, and where. “How did you accomplish that?”

    How to develop probes? By anticipating the kinds of responses that candidates from different backgrounds or with different levels of experience are likely to give as a response to an interview question. Probes should provide a clear understanding of the situation, the behavior, and the outcome so that the response can be accurately scored. Common probes include:

    • What did you do? What was the outcome?
    • When did this take place (and how long did it take)?
    • Who was involved?
    • Were you leading or being led?
    • How did you accomplish what you did?
    • Why did you take those steps?

    Tailor probes to the candidate’s answers to evoke meaningful and insightful responses.

    Probing Level 2:

    Allow for some creativity.

    “What would you do differently if you were to do it again?”

    Conduct effective interviews and assessments

    Mitigate inherent biases of assessors by integrating formal assessments with objective anchors and clear criteria to create a more inclusive process.

    Consider leveraging behavioral interview questions in your interview to reduce bias.

    • In the past, companies were pushing the boundaries of the conventional interview, using unconventional questions to find top talent, e.g. “what color is your personality?” The logic was that the best people are the ones who don’t necessarily show perfectly on a resume, and they were intent on finding the best.
    • However, many companies have stopped using these questions after extensive statistical analysis revealed there was no correlation between candidates’ ability to answer them and their future performance on the job.
    • Asking behavioral interview questions based on the competency needs of the role is the best way to uncover if the candidates will be able to execute on the job.

    Assessments are created by people that have biases. This often means that assessments can be biased, especially with preferences towards a Western perspective. Even if the same assessments are administered, the questions will be interpreted differently by candidates with varying cultural backgrounds and lived experiences. If assessments do not account for this, it ultimately leads to favoring the answers of certain demographic groups, often ones similar to those who developed the assessment.

    Creating an interview question scorecard

    Attribute you are evaluating

    Probing questions prepared

    Area to take notes

    The image contains a screenshot of an Interview question scorecard.

    Exact question you will ask

    Place to record score

    Anchored scale with definitions of a poor, ok and great answer

    Step 4: Assemble an interview team

    HR and the direct reporting supervisor should always be part of the interview. Make a good impression with a good interview team.

    The must-haves:

    • The Future Manager should always be involved in the process. They should be comfortable with the new hire’s competencies and fit.
    • Human Resources should always be involved in the process – they maintain consistency, legality, and standardization. It’s their job to know the rules and follow them. HR may coordinate and maintain policy standards and/or join in assessing the candidate.
    • There should always be more than just one interviewer, even if it is not at the same time. This helps keep the process objective, allows for different opinions, and gives the interviewee exposure to multiple individuals in the company. But, try to limit the number of panel members to four or less.

    “At the end of the day, it’s the supervisor that has to live with the person, so any decision that does not involve the supervisor is a very flawed process.” – VP, Financial Services

    The nice-to-haves:

    • Future colleagues can offer benefits to both the interviewee and the colleague by:
      • Giving the candidate some insight into what their day-to-day job would be.
      • Relaxing the candidate; allowing for a less formal, less intimidating conversation.
      • Introducing potential teammates for a position that is highly collaborative.
      • Offering the interviewer an excellent professional development opportunity – a chance to present their understanding of what they do.
    • Executives should take part in interviewing for executive hiring, individuals that will report to an executive, or for positions that are extremely important. Executive time is scarce and expensive, so only use it when absolutely necessary.

    Record the interview team details in the Candidate Interview Strategy and Planning Guide template.

    Assign interviewers roles inside and outside the actual interview

    Define Interview Process Roles

    Who Should… Contact candidates to schedule interviews or communicate decisions?

    Who Should… Be responsible for candidate welcomes, walk-outs, and hand-offs between interviews?

    Who Should… Define and communicate each stakeholder’s role?

    Who Should… Chair the preparation and debrief meetings and play the role of the referee when trying to reach a consensus?

    Define Interview Roles

    • Set a role for each interviewer so they know what to focus on and where they fit into the process (e.g. Interviewer A will assess fit). Don’t ad hoc the process and allow everyone to interview based on their own ideas.
    • Consider interviewer qualifications and the impact of the new employee on each interviewer, when deciding the roles of each interviewer (i.e. who will interview for competency and who will interview for fit).
      • For example, managers may be most impacted by technical competencies and should be the interviewer to evaluate the candidate for technical competency.

    “Unless you’ve got roles within the panel really detailed and agreed upon, for example, who is going to take the lead on what area of questions, you end up with a situation where nobody is in charge or accountable for the final interview assessment." – VP, Financial Services

    Info-Tech Insight

    Try a Two Lens Assessment: One interviewer assesses the candidate as a project leader while another assesses them as a people leader for a question such as “Give me an example of when you exercised your leadership skills with a junior team member.”

    Step 5: Set decision rights in stone and communicate them in advance to manage stakeholder expectations and limit conflict

    All interviewers must understand their decision-making authority prior to the interview. Misunderstandings can lead to resentment and conflict.

    It is typical and acceptable that you, as the direct reporting manager, should have veto power, as do some executives.

    Veto Power

    Direct Supervisor or Manager

    Decision Makers: Must Have Consensus

    Other Stakeholders

    Direct Supervisor’s Boss

    Direct Supervisor

    Contributes Opinion

    HR Representative

    Peer

    After the preliminary interview, HR should not be involved in making the decision unless they have a solid understanding of the position.

    Peers can make an unfair assessment due to perceived competition with a candidate. Additionally, if a peer doesn’t want a candidate to be hired and the direct supervisor does hire the candidate, the peer may hold resentment against that candidate and set the team up for conflict.

    The decision should rest on those who will interact with the candidate on a daily basis and who manage the team or department that the candidate will be joining.

    The decisions being made can include whether or not to move a candidate onto the next phase of the hiring process or a final hiring decision. Deciding decision rights in advance defines accountability for an effective interview process.

    Create your interview team, assessments, and objective anchor scale

    1. Download the Behavioral Interview Question Library as a reference.
    2. On tab 9 of your workbook, document all the members of the team and their respective roles in the interview process. Fill in the decision-making authority section to ensure every team member is held accountable to their assigned tasks and understands how their input will be used.
    3. For each required attribute in the Ideal Candidate Scorecard, chose one to two questions from the library that can properly evaluate that attribute.
    4. Copy and paste the questions and probing questions into the Interview Guide Template.
    5. Create an objective anchor scale and clearly define what a poor, ok, and great answer to each question is.

    Download the Behavioral Interview Question Library

    Input Output
    • List of possible team members
    • Ideal Candidate Scorecard
    • Finalized hiring panel
    • Finalized interview and assessment process
    Materials Participants
    • IT Behavioral Interview Question Library
    • Workbook
    • Interview Guide Template
    • IT leadership team
    • IT staff members

    Conduct an effective, professional, and organized in-person interview

    Give candidates a warm, genuine greeting. Introduce them to other interviewers present. Offer a drink. Make small talk.

    “There are some real advantages to creating a comfortable climate for the candidate; the obvious respect for the individual, but people really let their guard down.”

    – HR Director, Financial Services

    Give the candidate an overview of the process, length, and what to expect of the interview. Indicate to the candidate that notes will be taken during the interview.

    If shorter than an hour, you probably aren’t probing enough or even asking the right questions. It also looks bad to candidates if the interview is over quickly.

    Start with the first question in the interview guide and make notes directly on the interview guide (written or typed) for each question.

    Take lots of notes! You think you’ll remember what was said, but you won’t. It also adds transparency and helps with documentation.

    Ask the questions in the order presented for interview consistency. Probe and clarify as needed (see next slide).

    Keep control of the interview by curtailing any irrelevant or long-winded responses.

    After all interview questions are complete, ask candidates if there was anything about their qualifications that was missed that they want to highlight.

    Lets you know they understand the job and gives them the feeling they’ve put everything on the table.

    Ask if the candidate has any questions. Respond to the questions asked.

    Answer candidate questions honestly because fit works both ways. Ensure candidates leave with a better sense of the job, expectations, and organizational culture.

    Review the compensation structure for the position and provide a realistic preview of the job and organization.

    Provide each candidate with a fair chance by maintaining a consistent interview process.

    Tell interviewees what happens next in the process, the expected time frame, and how they will be informed of the outcome. Escort them out and thank them for the interview.

    The subsequent slides provide additional detail on these eight steps to conducting an effective interview.

    Avoid these common biases and mistakes

    Common Biases

    Like-me effect: An often-unconscious preference for, and unfairly positive evaluation of, a candidate based on shared interests, personalities, and experiences, etc.

    Status effect: Overrating candidates based on the prestige of previously held positions, titles, or schools attended.

    Recency bias: Placing greater emphasis on interviews held closer to the decision-making date.

    Contrast effect: Rating candidates relative to those who precede or follow them during the interview process, rather than against previously determined data.

    Solution

    Assess candidates by using existing competency-based criteria.

    Common Mistakes

    Negative tone: Starting the interview on a negative or stressful note may derail an otherwise promising candidate.

    Poor interview management: Letting the candidate digress may leave some questions unanswered and reduce the interview value.

    Reliance of first impressions: Basing decisions on first impressions undermines the objectivity of competency-based selection.

    Failure to ask probing questions: Accepting general answers without asking follow-up questions reduces the evidentiary value of the interview.

    Solution

    Follow the structured interview process you designed and practiced.

    Ask the questions in the order presented in the interview guide, and probe and clarify as needed

    Do...

    Don’t…

    Take control of the interview by politely interrupting to clarify points or keep the interviewee on topic.

    Use probing to drill down on responses and ask for clarification. Ask who, what, when, why, and how.

    Be cognizant of confidentiality issues. Ask for a sample of work from a past position.

    Focus on knowledge or information gaps from previous interviews that need to be addressed in the interview.

    Ensure each member of a panel interview speaks in turn and the lead is given due respect to moderate.

    Be mean when probing. Intimidation actually works against you and is stressful for candidates. When you’re friendly, candidates will actually open up more.

    Interrupt or undermine other panel members. Their comments and questions are just as valid as yours are, and treating others unprofessionally gives a bad impression to the candidate.

    Ask illegal questions. Questions about things like religion, disability, and marital and family status are off limits.

    When listening to candidate responses, watch for tone, body language, and red flags

    Do...

    While listening to responses, also watch out for red and yellow flags.

    Listen to how candidates talk about their previous bosses – you want it to be mainly positive. If their discussion of past bosses reflects a strong sense of self-entitlement or a consistent theme of victimization, this could be a theme in their behavior and make them hard to work with.

    Red Flag

    A concern about something that would keep you from hiring the person.

    Yellow Flag

    A concern that needs to be addressed, but wouldn’t keep you from hiring the person.

    Pay attention to body language and tone. They can tell you a lot about candidate motivation and interest.

    Listen to what candidates want to improve. It’s an opportunity to talk about development and advancement opportunities in the organization.

    Not all candidates have red flags, but it is important to keep them in mind to identify potential issues with the candidate before they are hired.

    Don’t…

    Talk too much! You are there to listen. Candidates should do about 80% of the talking so you can adequately evaluate them. Be friendly, but ensure to spend the time allotted assessing, not chatting.

    If you talk too much, you may end up hiring a weak candidate because you didn’t perceive weaknesses or not hire a strong candidate because you didn’t identify strengths.

    What if you think you sense a red or yellow flag?

    Following the interview, immediately discuss the situation with others involved in the recruitment process or those familiar with the position, such as HR, another hiring manager, or a current employee in the role. They can help evaluate if it’s truly a matter of concern.

    Increase hiring success: Give candidates a positive perception of the organization in the interview

    Great candidates want to work at great organizations.

    When the interviewer makes a positive impression on a candidate and provides a positive impression of the organization it carries forward after they are hired.

    In addition, better candidates can be referred over the course of time due to higher quality networking.

    As much as choosing the right candidate is important to you, make sure the right candidate wants to choose you and work for your organization.

    The image contains a screenshot of a graph to demonstrate the percent of successful hires relates strongly to interviewers giving candidates a positive perception of the organization.

    Interview advice seems like common sense, but it’s often not heeded, resulting in poor interviews

    Don’t…

    Believe everything candidates say. Most candidates embellish and exaggerate to find the answers they think you want. Use probing to drill down to specifics and take them off their game.

    Ask gimmicky questions like “what color is your soul?” Responses to these questions won’t give you any information about the job. Candidates don’t like them either!

    Focus too much on the resume. If the candidate is smart, they’ve tailored it to match the job posting, so of course the person sounds perfect for the job. Read it in advance, highlight specific things you want to ask, then ignore it.

    Oversell the job or organization. Obviously you want to give candidates a positive impression, but don’t go overboard because this could lead to unhappy hires who don’t receive what you sold them. Candidates need to evaluate fit just as much as you.

    Get distracted by a candidate’s qualifications and focus only on their ability to do the job. Just because they are qualified does not mean they have the attitude or personality to fit the job or culture.

    Show emotion at any physical handicap. You can’t discriminate based on physical disability, so protect the organization by not drawing attention to it. Even if you don’t say anything, your facial expression may.

    Bring a bad day or excess baggage into the interview, or be abrupt, rushed, or uninterested in the interview. This is rude behavior and will leave a negative impression with candidates, which could impact your chances of hiring them.

    Submit to first impression bias because you’ll spend the rest of the interview trying to validate your first impression, wasting your time and the candidate’s. Remain as objective as possible and stick to the interview guide to stay focused on the task at hand.

    “To the candidate, if you are meeting person #3 and you’re hearing questions that person #1 and #2 asked, the company doesn’t look too hot or organized.” – President, Recruiting Firm

    Practice behavioral interviews

    1. In groups of at least three:
    • Assign one person to act as the manager conducting the interview, a second person to act as the candidate, and a third to observe.
    • The observer will provide feedback to the manager at the end of the role play based on the information you just learned.
    • Observers – please give feedback on the probing questions and body language.
  • Managers, select an interview question from the list your group put together during the previous exercise. Take a few minutes to think about potential probing questions you could follow up with to dig for more information.
  • Candidates, try to act like a real candidate. Please don’t make it super easy on the managers – but don’t make it impossible either!
  • Once the question has been asked and answered:
    • How did it go?
    • Were you able to get the candidate to speak in specifics rather than generalities? What tips do you have for others?
    • What didn’t go so well? Any surprises?
    • What would you do differently next time?
    • If this was a real hiring situation, would the information you got from just that one question help you make a hiring decision for the role?
  • Now switch roles and select a new interview question to use for this round. Repeat until everyone has had a chance to practice.
  • Input Output
    • Interview questions and scorecard
    • Practice interviews
    Materials Participants
    • IT Behavioral Interview Question Library
    • Workbook
    • Hiring Manager
    • Interview Panel Members

    Download the Behavioral Interview Question Library

    Record best practices, effective questions, and candidate insights for future use and current strategy

    Results and insights gained from evaluations need to be recorded and assessed to gain value from them going forward.

    • To optimize evaluation, all feedback should be forwarded to a central point so that the information can be shared with all stakeholders. HR can serve in this role.
    • Peer evaluations should be shared shortly after the interview. Immediate feedback that represents all the positive and negative responses is instructional for interviewers to consider right away.
    • HR can take a proactive approach to sharing information and analyzing and improving the interview process in order to collaborate with hiring departments for better talent management.
    • Collecting information about effective and ineffective interview questions will guide future interview revision and development efforts.

    Evaluations Can Inform Strategic Planning and Professional Development

    Strategic Planning

    • Survey data can be used to inform strategic planning initiatives in recruiting.
    • Use the information to build a case to the executive team for training, public relations initiatives, or better candidate management systems.

    Professional Development

    • Survey data from all evaluations should be used to inform future professional development initiatives.
    • Interview areas where all team members show weaknesses should be training priorities.
    • Individual weaknesses should be integrated into each professional development plan.

    Want to learn more?

    Recruit IT Talent

    • Improve candidate experience to hire top IT talent.

    Recruit and Retain More Women in IT

    • Gender diversity is directly correlated to IT performance.

    Recruit and Retain People of Color in IT

    • Good business, not just good philanthropy.

    Develop a Comprehensive Onboarding Plan

    Drive employee engagement and retention with a robust program that acclimates, guides, and develops new hires.

    Onboarding should pick up where candidate experience leaves off

    Do not confuse onboarding with orientation

    Onboarding ≠ Orientation

    Onboarding is more than just orientation. Orientation is typically a few days of completing paperwork, reading manuals, and learning about the company’s history, strategic goals, and culture. By contrast, onboarding is three to twelve months dedicated to welcoming, acclimating, guiding, and developing new employees – with the ideal duration reflecting the time to productivity for the role.

    A traditional orientation approach provides insufficient focus on the organizational identification, socialization, and job clarity that a new hire requires. This is a missed opportunity to build engagement, drive productivity, and increase organizational commitment. This can result in early disengagement and premature departure.

    Effective onboarding positively impacts the organization and bottom line

    Over the long term, effective onboarding has a positive impact on revenue and decreases costs.

    The benefits of onboarding:

    • Save money and frustration
      • Shorten processing time, reduce administrative costs, and improve compliance.
    • Boost revenue
      • Help new employees become productive faster – also reduce the strain on existing employees who would normally be overseeing them or covering a performance shortfall.
    • Drive engagement and reduce turnover
      • Quickly acclimate new hires to your organization’s environment, culture, and values.
    • Reinforce culture and employer brand
      • Ensure that new hires feel a connection to the organization’s culture.

    Onboarding drives new hire engagement from day one

    The image contains a graph to demonstrate the increase in overall engagement in relation to onboarding.

    When building an onboarding program, retain the core aims: acclimate, guide, and develop

    The image contains a picture of a circle with a smaller circle inside it, and a smaller circle inside that one. The smallest circle is labelled Acclimate, the medium sized circle is labelled Guide, and the biggest circle is labelled Develop.

    Help new hires feel connected to the organization by clearly articulating the mission, vision, values, and what the company does. Help them understand the business model, the industry, and who their competitors are. Help them feel connected to their new team members by providing opportunities for socialization and a support network.

    Help put new hires on the path to high performance by clearly outlining their role in the organization and how their performance will be evaluated.

    Help new hires receive the experience and training they require to become high performers by helping them build needed competencies.

    We recommend a three-to-twelve-month onboarding program, with the performance management aspect of onboarding extending out to meet the standard organizational performance management cycle.

    Info-Tech Insight

    The length of the onboarding program should align with the average time to productivity for the role(s). Consider the complexity of the role, the industry, and the level of the new hire when determining program length.

    For example, call center workers who are selling a straight-forward product may only require a three-month onboarding, while senior leaders may require a year-long program.

    Watch for signs that you aren’t effectively acclimating, guiding, and developing new hires

    Our primary and secondary research identified the following as the most commonly stated reasons why employees leave organizations prematurely. These issues will be addressed throughout the next section.

    Acclimate

    Guide

    Develop

    • Onboarding experience is misaligned from the employer’s brand.
    • Socialization and/or integration into the existing culture is left to the employee.
    • Key role expectations or role usefulness is not clearly communicated.
    • Company strategy is unclear.
    • Opportunities for advancement are unclear.
    • Coaching, counseling, and/or support from co-workers and/or management is lacking.
    • The organization fails to demonstrate that it cares about the new employee’s needs.

    “Onboarding is often seen as an entry-level HR function. It needs to rise in importance because it’s the first impression of the organization and can be much more powerful than we sometimes give it credit for. It should be a culture building and branding program.” – Doris Sims, SPHR, The Succession Consultant, and Author, Creative Onboarding Programs

    Use the onboarding tabs in the workbook to evaluate and redesign the onboarding program

    1. On tab 10, brainstorm challenges that face the organization's current onboarding program. Identify if they fall into the "acclimate," "guide," or "develop" category. Next, record the potential impact of this challenge on the overall effectiveness of the onboarding program.
    2. On tab 11, record each existing onboarding activity. Then, identify if that activity will be kept or if it should be retired. Next, document if the activity fell into the "acclimate," "guide," or "develop" category.
    3. On tab 12, document gaps that currently exist in the onboarding program. Modify the timeline along the side of the tab to ensure it reflects the timeline you have identified.
    4. On tab 13, document the activities that will occur in the new onboarding program. This should be a combination of current activities that you want to retain and new activities that will be added to address the gaps noted on tab 12. For each activity, identify if it will fall in the acclimate, guide, or develop section. Add any additional notes. Before moving on, make sure that there are no categories that have no activities (e.g. no guide activities).
    Input Output
    • Existing onboarding activities
    • Determine new onboarding activities
    • Map out onboarding responsibilities
    Materials Participants
    • Workbook
    • Hiring Managers
    • HR

    Review the administrative aspects of onboarding and determine how to address the challenges

    The image contains tabs, three main large tabs are labelled: Acclimate, Guide, and Develop. There are smaller tabs in between that are in relation to the three main ones.

    Sample challenges

    Potential solutions

    Some paperwork cannot be completed digitally (e.g. I-9 form in the US).

    Where possible, complete forms with digital signatures (e.g. DocuSign). Where not possible, begin the process earlier and mail required forms to employees to sign and return, or scan and email for the employee to print and return.

    Required compliance training material is not available virtually.

    Seek online training options where possible. Determine the most-critical training needs and prioritize the replication of materials in audio/video format (e.g. recorded lecture) and distribute virtually.

    Employees may not have access to their equipment immediately due to shipping or supply issues.

    Delay employee start dates until you can set them up with the proper equipment and access needed to do their job.

    New hires can’t get answers to their questions about benefits information and setup.

    Schedule a meeting with an HR representative or benefits vendor to explain how benefits will work and how to navigate employee self-service or other tools and resources related to their benefits.

    Info-Tech Insight

    One of the biggest challenges for remote new hires is the inability to casually ask questions or have conversations without feeling like they’re interrupting. Until they have a chance to get settled, providing formal opportunities for questions can help address this.

    Review how company information is shared during onboarding and how to address the challenges

    The image contains tabs, three main large tabs are labelled: Acclimate, Guide, and Develop. There are smaller tabs in between that are in relation to the three main ones.

    Sample challenges

    Potential solutions

    Key company information such as organizational history, charts, or the vision, mission, and values cannot be clearly learned by employees on their own.

    Have the new hire’s manager call to walk through the important company information to provide a personal touch and allow the new hire to ask questions and get to know their new manager.

    Keeping new hires up to date on crisis communications is important, but too much information may overwhelm them or cause unnecessary stress.

    Sharing the future of the organization is a critical part of the company information stage of onboarding and the ever-changing nature of the COVID-19 crisis is informing many organizations’ future right now. Be honest but avoid over-sharing plans that may change.

    New hires can’t get answers to their questions about benefits information and setup.

    Schedule a meeting with an HR representative or benefits vendor to explain how benefits will work and how to navigate employee self-service or other tools and resources related to their benefits.

    Review the socialization aspects of onboarding and determine how to address the challenges

    The image contains tabs, three main large tabs are labelled: Acclimate, Guide, and Develop. There are smaller tabs in between that are in relation to the three main ones.

    Sample challenges

    Potential solutions

    Team introductions via a team lunch or welcome event are typically done in person.

    Provide managers with a calendar of typical socialization events in the first few weeks of onboarding and provide instructions and ideas for how to schedule replacement events over videoconferencing.

    New hires may not have a point of contact for informal questions or needs if their peers aren’t around them to help.

    If it doesn’t already exist, create a virtual buddy program and provide instructions for managers to select a buddy from the new hire’s team. Explain that their role is to field informal questions about the company, team, and anything else and that they should book weekly meetings with the new hire to stay in touch.

    New hires will not have an opportunity to learn or become a part of the informal decision-making networks at the organization.

    Hiring managers should consider key network connections that new hires will need by going through their own internal network and asking other team members for recommendations.

    New hires will not be able to casually meet people around the office.

    Provide the employee with a list of key contacts for them to reach out to and book informal virtual coffee chats to introduce themselves.

    Adapt the Guide phase of onboarding to a virtual environment

    The image contains tabs, three main large tabs are labelled: Acclimate, Guide, and Develop. There are smaller tabs in between that are in relation to the three main ones.

    Sample challenges

    Potential solutions

    Performance management (PM) processes have been paused given the current crisis.

    Communicate to managers that new hires still need to be onboarded to the organization’s performance management process and that goals and feedback need to be introduced and the review process outlined even if it’s not currently happening.

    Goals and expectations differ or have been reprioritized during the crisis.

    Ask managers to explain the current situation at the organization and any temporary changes to goals and expectations as a result of new hires.

    Remote workers often require more-frequent feedback than is mandated in current PM processes.

    Revamp PM processes to include daily or bi-weekly touchpoints for managers to provide feedback and coaching for new hires for at least their first six months.

    Managers will not be able to monitor new hire work as effectively as usual.

    Ensure there is a formal approach for how employees will keep their managers updated on what they're working on and how it's going, for example, daily scrums or task-tracking software.

    For more information on adapting performance management to a virtual environment, see Info-Tech’s Performance Management for Emergency Work-From-Home research.

    Take an inventory of training and development in the onboarding process and select critical activities

    The image contains tabs, three main large tabs are labelled: Acclimate, Guide, and Develop. There are smaller tabs in between that are in relation to the three main ones.

    Categorize the different types of formal and informal training in the onboarding process into the following three categories. For departmental and individual training, speak to managers to understand what is required on a department and role basis:

    Organizational

    Departmental

    Individual

    For example:

    • Employee self-service overview
    • Health and safety/compliance training
    • Core competencies

    For example:

    • Software training (e.g. Salesforce)
    • Job shadowing to learn how to work equipment or to learn processes

    For example:

    • Mentoring
    • External courses
    • Support to work toward a certification

    In a crisis, not every training can be translated to a virtual environment in the short term. It’s also important to focus on critical learning activities versus the non-critical. Prioritize the training activities by examining the learning outcomes of each and asking:

    • What organizational training does every employee need to be a productive member of the organization?
    • What departmental or individual training do new hires need to be successful in their role?

    Lower priority or non-critical activities can be used to fill gaps in onboarding schedules or as extra activities to be completed if the new hire finds themselves with unexpected downtime to fill.

    Determine how onboarding training will be delivered virtually

    The image contains tabs, three main large tabs are labelled: Acclimate, Guide, and Develop. There are smaller tabs in between that are in relation to the three main ones.

    Who will facilitate virtual training sessions?

    • For large onboarding cohorts, consider live delivery via web conferencing where possible. This will create a more engaging training program and will allow new hires to interact with and ask questions of the presenter.
    • For individual new hires or small cohorts, have senior leaders or key personnel from across the organization record different trainings that are relevant for their role.
      • For example, training sessions about organizational culture can be delivered by the CEO or other senior leader, while sales training could be delivered by a sales executive.

      If there is a lack of resources, expertise, or time, outsource digital training to a content provider or through your LMS.

    What existing or free tools can be leveraged to immediately support digital training?

    • Laptops and PowerPoint to record training sessions that are typically delivered in-person
    • YouTube/Vimeo to host recorded lecture-format training
    • Company intranet to host links and files needed to complete training
    • Web conferencing software to host live training/orientation sessions (e.g. Webex)
    • LMS to host and track completion of learning content

    Want to learn more?

    Recruit IT Talent

    • Improve candidate experience to hire top IT talent.

    Recruit and Retain More Women in IT

    • Gender diversity is directly correlated to IT performance.

    Recruit and Retain People of Color in IT

    • Good business, not just good philanthropy.

    Adapt Your Onboarding Process to a Virtual Environment

    • Develop short-term solutions with a long-term outlook to quickly bring in new talent.

    Bibliography

    2021 Recruiter Nation Report. Survey Analysis, Jobvite, 2021. Web.

    “5 Global Stats Shaping Recruiting Trends.” The Undercover Recruiter, 2022. Web.

    Barr, Tavis, Raicho Bojilov, and Lalith Munasinghe. "Referrals and Search Efficiency: Who Learns What and When?" The University of Chicago Press, Journal of Labor Economics, vol. 37, no. 4, Oct. 2019. Web.

    “How to grow your team better, faster with an employee referral program.” Betterup, 10 Jan. 2022. Web.

    “Employee Value Proposition: How 25 Companies Define Their EVP.” Built In, 2021. Web.

    Global Leadership Forecast 2021. Survey Report, DDI World, 2021. Web.

    “Connecting Unemployed Youth with Organizations That Need Talent.” Harvard Business Review, 3 November 2016. Web.

    Ku, Daniel. “Social Recruiting: Everything You Need To Know for 2022.” PostBeyond, 26 November 2021. Web.

    Ladders Staff. “Shedding light on the job search.” Ladders, 20 May 2013. Web.

    Merin. “Campus Recruitment – Meaning, Benefits & Challenges.” HR Shelf, 1 February 2022. Web.

    Mobile Recruiting. Smart Recruiters, 2020. Accessed March 2022.

    Roddy, Seamus. “5 Employee Referral Program Strategies to Hire Top Talent.” Clutch, 22 April 2020. Web.

    Sinclair, James. “What The F*dge: That's Your Stranger Recruiting Budget?” LinkedIn, 11 November 2019. Web.

    “Ten Employer Examples of EVPs.” Workology, 2022. Web

    “The Higher Cost of a Bad Hire.” Robert Half, 15 March 2021. Accessed March 2022.

    Trost, Katy. “Hiring with a 90% Success Rate.” Katy Trost, Medium, 8 August 2022. Web.

    “Using Social Media for Talent Acquisition.” SHRM, 20 Sept. 2017. Web.

    Build Effective Enterprise Integration on the Back of Business Process

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    • Parent Category Name: Enterprise Integration
    • Parent Category Link: /enterprise-integration
    • Organizations undergoing growth, either organically or through M&A, tend to develop integration capabilities in a piecemeal and short-sighted fashion to preserve their view of agility.
    • Integration strategies that are focused solely on technological solutions are likely to complicate rather than simplify, as not enough consideration is given to how other systems and processes will be impacted.

    Our Advice

    Critical Insight

    • Define a path for your EI strategy. Establish the more pressing goal of enterprise integration: improving operational integrity or adding business intelligence/predictive analytics capability.
    • Combine multiple views of integration for a comprehensive EI strategy. Assess business process, applications, and data in tandem to understand where enterprise integration will fit in your organization.
    • Don’t start by boiling the ocean and get bogged down in mapping out the entire organization. For the purposes of the strategy, narrow your focus to a set of related high-value processes to identify ways to improve integration.

    Impact and Result

    • Begin your enterprise strategy formation by identifying if your organization places emphasis on enabling operational excellence or predictive modeling/analytics.
    • Enterprise integration needs to bring together business process, applications, and data, in that order. Kick-start the process of identifying opportunities for improvement by creating business process maps that incorporate how applications and data are coordinated to support business activities.
    • Revisit the corporate drivers after integration mapping activities to identify the primary use cases for improvement.
    • Prepare for the next steps of carrying out the strategy by reviewing a variety of solution options.
    • Develop a compelling business case by consolidating the outputs of your mapping activities, establishing metrics for a specific process (or set of processes), and quantifying the benefits.

    Build Effective Enterprise Integration on the Back of Business Process Research & Tools

    Start here – read the Executive Brief

    Read our concise Executive Brief to find out why you should create an enterprise integration strategy; review Info-Tech’s methodology that encompasses business process, applications, and data; and understand the four ways we can support you in completing this project.

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Position enterprise integration within the organization

    Begin strategy development by assigning roles and responsibilities for the team and establishing the initial direction for the strategy.

    • Build Effective Enterprise Integration on the Back of Business Process – Phase 1: Position Enterprise Integration Within Your Organization
    • Chief Enterprise Integration Officer
    • Enterprise Integration Strategy Drivers Assessment

    2. Explore the lenses of enterprise integration

    Create business process maps that incorporate how applications and data are coordinated to support business activities.

    • Build Effective Enterprise Integration on the Back of Business Process – Phase 2: Explore the Lenses of Enterprise Integration
    • Enterprise Integration Process Mapping Tool

    3. Develop the enterprise integration strategy

    Review your integration map to identify improvement opportunities, explore integration solutions, and consolidate activity outputs into a strategy presentation.

    • Build Effective Enterprise Integration on the Back of Business Process – Phase 3: Develop the Enterprise Integration Strategy
    • Enterprise Integration Strategy Presentation Template
    [infographic]

    Workshop: Build Effective Enterprise Integration on the Back of Business Process

    Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

    1 Position Enterprise Integration

    The Purpose

    Discuss the general approach for creating a holistic enterprise integration strategy.

    Define the initial direction and drivers.

    Key Benefits Achieved

    Strategy development team with responsibilities identified.

    Clear initial direction for the strategy based on senior stakeholder input.

    Activities

    1.1 Define the driving statements for your EI strategy.

    1.2 Develop a RACI chart.

    1.3 Discuss the current state of enterprise integration.

    1.4 Establish the initial direction of your strategy by surveying senior stakeholders.

    Outputs

    Vision, mission, and values for enterprise integration

    RACI chart for strategy development

    Documentation of past integration projects

    Chief Enterprise Integration Officer job description template

    2 Explore the Lenses of Enterprise Integration

    The Purpose

    Build a comprehensive map of what integration looks like for your target business processes.

    Key Benefits Achieved

    Clear documentation of the integration environment, encompassing process, data, and applications.

    Activities

    2.1 Develop level-0 and level-1 business capability diagrams.

    2.2 Identify the business processes of focus, based on relevance to overall corporate drivers.

    2.3 Complete process flow diagrams.

    2.4 Begin identifying the applications that are involved in each step of your process.

    2.5 Detail the connections/interactions between the applications in your business processes.

    2.6 Draw a current state diagram for application integration.

    2.7 Identify the data elements created, used, and stored throughout the processes, as well as systems of record.

    Outputs

    Business capability maps

    Business process flow diagrams

    Current state integration diagram

    Completed integration map

    3 Develop the Enterprise Integration Strategy

    The Purpose

    Review the outputs of the integration mapping activities.

    Educate strategy team on the potential integration solutions.

    Consolidate the findings of the activities into a compelling strategy presentation.

    Key Benefits Achieved

    Integration improvement opportunities are identified.

    Direction and drivers for enterprise integration are finalized.

    Understanding of the benefits and limitations of some integration solutions.

    Activities

    3.1 Discuss the observations/challenges and opportunities for improvement.

    3.2 Refine the focus of the strategy by conducting a more detailed stakeholder survey.

    3.3 Review the most common integration solutions for process, applications, and data.

    3.4 Create a future state integration architecture diagram.

    3.5 Define the IT and business critical success factors for EI.

    3.6 Articulate the risks with pursuing (and not pursuing) an EI strategy.

    3.7 Quantify the monetary benefits of the EI strategy.

    3.8 Discuss best practices for presenting the strategy and organize the presentation content.

    Outputs

    Critical success factors and risks for enterprise integration

    Monetary benefits of enterprise integration

    Completed enterprise integration strategy presentation

    Enable Omnichannel Commerce That Delights Your Customers

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    • Parent Category Name: Customer Relationship Management
    • Parent Category Link: /customer-relationship-management
    • Today’s customers expect to be able to transact with you in the channels of their choice. The proliferation of e-commerce, innovations in brick-and-mortar retail, and developments in mobile commerce and social media selling mean that IT organizations are managing added complexity in drafting a strategy for commerce enablement.
    • The right technology stack is critical in order to support world-class e-commerce and brick-and-mortar interactions with customers.

    Our Advice

    Critical Insight

    • Support the right transactional channels for the right customers: there is no “one-size-fits-all” approach to commerce enablement – understand your customers to drive selection of the right transactional channels.
    • Don’t assume that “traditional” commerce channels have stagnated: IoT, customer analytics, and blended retail are reinvigorating brick-and-mortar selling.
    • Don’t buy best-of-breed; buy best-for-you. Base commerce vendor selection on your requirements and use cases, not on the vendor’s overall performance.

    Impact and Result

    • Leverage Info-Tech’s proven, road-tested approach to using personas and scenarios to build strong business drivers for your commerce strategy.
    • Before selecting and deploying technology solutions, create a cohesive channel matrix outlining which channels your organization will support with transactional capabilities.
    • Understand evolving trends in the commerce solution space, such as AI-driven product recommendations and integration with other essential enterprise applications (i.e. CRM and marketing automation platforms).
    • Understand and apply operational best practices such as content optimization and dynamic personalization to improve the conversion rate via your e-commerce channels.

    Enable Omnichannel Commerce That Delights Your Customers Research & Tools

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Enable Omnichannel Commerce Deck – A deck outlining the importance of creating a cohesive omnichannel framework to improve your customer experience.

    E-commerce channels have proliferated, and traditional brick-and-mortar commerce is undergoing reinvention. In order to provide your customers with a strong experience, it's imperative to create a strategy – and to deploy the right enabling technologies – that allow for robust multi-channel commerce. This storyboard provides a concise overview of how to do just that.

    • Enable Omnichannel Commerce That Delights Your Customers – Phases 1-2

    2. Create Personas to Drive Omnichannel Requirements Template – A template to identify key customer personas for e-commerce and other channels.

    Customer personas are archetypal representations of your key audience segments. This template (and populated examples) will help you construct personas for your omnichannel commerce project.

    • Create Personas to Drive Omnichannel Requirements Template
    [infographic]

    Further reading

    Enable Omnichannel Commerce That Delights Your Customers

    Create a cohesive, omnichannel framework that supports the right transactions through the right channels for the right customers.

    Analyst Perspective

    A clearly outlined commerce strategy is a necessary component of a broader customer experience strategy.

    This is a picture of Ben Dickie, Research Lead, Research – Applications at Info-Tech Research Group

    Ben Dickie
    Research Lead, Research – Applications
    Info-Tech Research Group

    “Your commerce strategy is where the rubber hits the road, converting your prospects into paying customers. To maximize revenue (and provide a great customer experience), it’s essential to have a clearly defined commerce strategy in place.

    A strong commerce strategy seeks to understand your target customer personas and commerce journey maps and pair these with the right channels and enabling technologies. There is not a “one-size-fits-all” approach to selecting the right commerce channels: while many organizations are making a heavy push into e-commerce and mobile commerce, others are seeking to differentiate themselves by innovating in traditional brick-and-mortar sales. Hybrid channel design now dominates many commerce strategies – using a blend of e-commerce and other channels to deliver the best-possible customer experience.

    IT leaders must work with the business to create a succinct commerce strategy that defines personas and scenarios, outlines the right channel matrix, and puts in place the right enabling technologies (for example, point-of-sale and e-commerce platforms).”

    Stop! Are you ready for this project?

    This Research Is Designed For:

    • IT leaders and business analysts supporting their commercial and marketing organizations in developing and executing a technology enablement strategy for e-commerce or brick-and-mortar commerce.
    • Any organization looking to develop a persona-based approach to identifying the right channels for their commerce strategy.

    This Research Will Help You:

    • Identify key personas and customer journeys for a brick-and-mortar and/or e-commerce strategy.
    • Select the right channels for your commerce strategy and build a commerce channel matrix to codify the results.
    • Review the “art of the possible” and new developments in brick-and-mortar and e-commerce execution.

    This Research Will Also Assist:

    • Sales managers, brand managers, and any marketing professional looking to build a cohesive commerce strategy.
    • E-commerce or POS project teams or working groups tasked with managing an RFP process for vendor selection.

    This Research Will Help Them:

    • Build a persona-centric commerce strategy.
    • Understand key technology trends in the brick-and-mortar and e-commerce space.

    Executive Summary

    Your Challenge

    Today’s customers expect to be able to transact with you in the channels of their choice.

    The proliferation of e-commerce, innovations in brick-and-mortar retail, and developments in mobile commerce and social media selling mean that IT organizations are managing added complexity in drafting a strategy for commerce enablement.

    The right technology stack is critical to support world-class e-commerce and brick-and-mortar interactions with customers.

    Common Obstacles

    Many organizations do not define strong, customer-centric drivers for dictating which channels they should be investing in for transactional capabilities.

    As many retailers look to move shopping experiences online during the pandemic, the impetus for having a strong e-commerce suite has markedly increased. The proliferation of commerce vendors has made it difficult to identify and shortlist the right solution, while the pandemic has also highlighted the importance of adopting new vendors quickly and efficiently: companies need to understand the top players in different commerce market landscapes.

    IT is receiving a growing number of commerce platform requests and must be prepared to speak intelligently about requirements and the “art of the possible.”

    Info-Tech’s Approach

    • Leverage Info-Tech’s proven, road-tested approach to using personas and scenarios to build strong business drivers for your commerce strategy.
    • Before selecting and deploying technology solutions, create a cohesive channel matrix outlining which channels your organization will support with transactional capabilities.
    • Understand evolving trends in the commerce solution space, such as AI-driven product recommendations and integration with other essential enterprise applications (i.e. customer relationship management [CRM] and marketing automation platforms).
    • Understand and apply operational best practices such as content optimization and dynamic personalization to improve the conversion rate via your e-commerce channels.

    Info-Tech Insight

    • Support the right transactional channels for the right customers: there is no “one-size-fits-all” approach to commerce enablement – understand your customers to drive selection of the right transactional channels.
    • Don’t assume that “traditional” commerce channels have stagnated: IoT, customer analytics, and blended retail are reinvigorating brick-and-mortar selling.
    • Don’t buy best-of-breed; buy best-for-you: base commerce vendor selection on your requirements and use cases, not on the vendor’s overall performance.

    A strong commerce strategy is an essential component of a savvy approach to customer experience management

    A commerce strategy outlines an organization’s approach to selling its products and services. A strong commerce strategy identifies target customers’ personas, commerce journeys that the organization wants to support, and the channels that the organization will use to transact with customers.

    Many commerce strategies encompass two distinct but complementary branches: a commerce strategy for transacting through traditional channels and an e-commerce strategy. While the latter often receives more attention from IT, it still falls on IT leaders to provide the appropriate enabling technologies to support traditional brick-and-mortar channels as well. Traditional channels have also undergone a digital renaissance in recent years, with forward-looking companies capitalizing on new technology to enhance customer experiences in their stores.

    Traditional Channels

    • Physical Stores (Brick and Mortar)
    • Kiosks or Pop-Up Stores
    • Telesales
    • Mail Orders
    • EDI Transactions

    E-Commerce Channels

    • E-Commerce Websites
    • Mobile Commerce Apps
    • Embedded Social Shopping
    • Customer Portals
    • Configure Price Quote Tool Sets (CPQ)
    • Hybrid Retail

    Info-Tech Insight

    To better serve their customers, many companies position themselves as “click-and-mortar” shops – allowing customers to transact at a store or online.

    Customers’ expectations are on the rise: meet them!

    Today’s consumers expect speed, convenience, and tailored experiences at every stage of the customer lifecycle. Successful organizations strive to support these expectations.

    58%
    of retail customers admitted that their expectations now are higher than they were a year ago (FinancesOnline).

    70%
    of consumers between the ages of 18 and 34 have increasing customer expectations year after year (FinancesOnline).

    69%
    of consumers now expect store associates to be armed with a mobile device to deliver value-added services, such as looking up product information and checking inventory (V12).

    73%
    of support leaders agree that customer expectations are increasing, but only…

    42%
    of support leaders are confident that they’re actually meeting those expectations.

    How can you be sure that you are meeting your customers’ expectations?

    1. Offer more personalization throughout the entire customer journey
    2. Practice quality customer service – ensure staff have up-to-date knowledge and offer quick resolution time for complaints
    3. Focus on offering low-effort experiences and easy-to-use platforms (i.e. “one-click buying”)
    4. Ensure your products and services perform well and do what they’re meant to do
    5. Ensure omnichannel availability – 9 in 10 consumers want a seamless omnichannel experience

    Info-Tech Insight

    Customers expect to interact with organizations through the channels of their choice. Now more than ever, you must enable your organization to provide tailored commerce and transactional experiences.

    Omnichannel commerce is the way of the future

    Create a strategy that embraces this reality with the right tools!

    Get ahead of the competition by doing omnichannel right! Devise a strategy that allows you to create and maintain a consistent, seamless commerce experience by optimizing operations with an omnichannel framework. Customers want to interact with you on their own terms, and it falls to IT to ensure that applications are in place to support and manage both traditional and e-commerce channels. There must also be consistency of copy, collateral, offers, and pricing between commerce channels.

    71%
    of consumers want a consistent experience across all channels, but only…

    29%
    say that they actually get it.

    (Source: Business 2 Community, 2020)

    Omnichannel is a “multichannel approach that aims to provide customers with a personalized, integrated, and seamless shopping experience across diverse touchpoints and devices.”
    Source: RingCentral, 2021

    IT is responsible for providing technology enablement of the commerce strategy: e-commerce platforms are a cornerstone

    An e-commerce platform is an enterprise application that provides end-to-end capabilities for allowing customers to purchase products or services from your company via an online channel (e.g. a traditional website, a mobile application, or an embedded link in a social media post). Modern e-commerce platforms are essential for delivering a frictionless customer journey when it comes to purchasing online.

    $6.388
    trillion dollars worth of sales will be conducted online by 2024 (eMarketer, 14 Jan. 2021).

    44%
    of all e-commerce transactions are expected to be completed via a mobile device by 2024 (Insider).

    21.8%
    of all sales will be made from online purchases by 2024 (eMarketer, 14 Jan. 2021).

    Strong E-Commerce Platforms Enable a Wide Range of Functional Areas:

    • Product Catalog Management
    • Web Content Delivery
    • Product Search Engine
    • Inventory Management
    • Shopping Cart Management
    • Discount and Coupon Management
    • Return Management and Reverse Logistics
    • Dynamic Personalization
    • Dynamic Promotions
    • Predictive Re-Targeting
    • Predictive Product Recommendations
    • Transaction Processing
    • Compliance Management
    • Commerce Workflow Management
    • Loyalty Program Management
    • Reporting and Analytics

    An e-commerce solution boosts the effectiveness and efficiency of your operations and drives top-line growth

    Take time to learn the capabilities of modern e-commerce applications. Understanding the “art of the possible” will help you to get the most out of your e-commerce platform.

    An e-commerce platform helps marketers and sales staff in three primary ways:

    1. It allows the organization to effectively and efficiently operate e-commerce operations at scale.
    2. It allows commercial staff to have a single system for managing and monitoring all commercial activity through online channels.
    3. It allows the organization to improve the customer-facing e-commerce experience, boosting conversions and top-line sales.

    A dedicated e-commerce platform improves the efficiency of customer-commerce operations

    • Workflow automation reduces the amount of time spent executing dynamic e-commerce campaigns.
    • The use of internal or third-party data increases conversion effectiveness from customer databases across the organization.

    Info-Tech Insight

    A strong e-commerce provides marketers with the data they need to produce actionable insights about their customers.

    Case Study

    INDUSTRY - Retail
    SOURCE - Salesforce (a)

    PetSmart improves customer experience by leveraging a new commerce platform in the Salesforce ecosystem

    PetSmart

    PetSmart is a leading retailer of pet products, with a heavy footprint across North America. Historically, PetSmart was a brick-and-mortar retailer, but it has placed a heavy emphasis on being a true multi-channel “click-and-mortar” retailer to ensure it maintains relevance against competitors like Amazon.

    E-Commerce Overhaul Initiative

    To improve its e-commerce capabilities, PetSmart recognized that it needed to consolidate to a single, unified e-commerce platform to realize a 360-degree view of its customers. A new platform was also required to power dynamic and engaging experiences, with appropriate product recommendations and tailored content. To pursue this initiative, the company settled on Salesforce.com’s Commerce Cloud product after an exhaustive requirements definition effort and rigorous vendor selection approach.

    Results

    After platform implementation, PetSmart was able to effortlessly handle the massive transaction volumes associated with Black Friday and Cyber Monday and deliver 1:1 experiences that boosted conversion rates.

    PetSmart standardized on the Commerce Cloud from Salesforce to great effect.

    This is an image of the journey from Discover & Engage to Retain & Advocate.

    Case Study

    Icebreaker exceeds customer expectations by using AI to power product recommendations

    INDUSTRY - Retail
    SOURCE - Salesforce (b)

    Icebreaker

    Icebreaker is a leading outerwear and lifestyle clothing company, operating six global websites and owning over 5,000 stores across 50 countries. Icebreaker is focused on providing its shoppers with accurate, real-time product suggestions to ensure it remains relevant in an increasingly competitive online market.

    E-Commerce Overhaul Initiative

    To improve its e-commerce capabilities, Icebreaker recognized that it needed to adopt a predictive recommendation engine that would offer its customers a more personalized shopping experience. This new system would need to leverage relevant data to provide both known and anonymous shoppers with product suggestions that are of interest to them. To pursue this initiative, Icebreaker settled on using Salesforce.com’s Commerce Cloud Einstein, a fully integrated AI.

    Results

    After integrating Commerce Cloud Einstein on all its global sites, Icebreaker was able to cross-sell and up-sell its merchandise more effectively by providing its shoppers with accurate product recommendations, ultimately increasing average order value.

    IT must also provide technology enablement for other channels, such as point-of-sale systems for brick-and-mortar

    Point-of-sale systems are the “real world” complement to e-commerce platforms. They provide functional capabilities for selling products in a physical store, including basic inventory management, cash register management, payment processing, and retail analytics. Many firms struggle with legacy POS environments that inhibit a modern customer experience.

    $27.338
    trillion dollars in retail sales are expected to be made globally in 2022 (eMarketer, 2022).

    84%
    of consumers believe that retailers should be doing more to integrate their online and offline channels (Invoca).

    39%
    of consumers are unlikely or very unlikely to visit a retailer’s store if the online store doesn’t provide physical store inventory information (V12).

    Strong Point-of-Sale Platforms Enable a Wide Range of Functional Areas:

    • Product Catalog Management
    • Discount Management
    • Coupon Management and Administration
    • Cash Management
    • Cash Register Reconciliation
    • Product Identification (Barcode Management)
    • Payment Processing
    • Compliance Management
    • Basic Inventory Management
    • Commerce Workflow Management
    • Exception Reporting and Overrides
    • Loyalty Program Management
    • Reporting and Analytics

    E-commerce and POS don’t live in isolation

    They’re key components of a well-oiled customer experience ecosystem!

    Integrate commerce solutions with other customer experience applications – and with ERP or logistics systems – to handoff transactions for order fulfilment.

    Having a customer master database – the central place where all up-to-the-minute data on a customer profile is stored – is essential for traditional and e-commerce success. Typically, the POS or e-commerce platform is not the system of record for the master customer profile: this information lives in a CRM platform or customer data warehouse. Conceptually, this system is at the center of the customer-experience ecosystem.

    Strong POS and e-commerce solutions orchestrate transactions but typically do not do the heavy lifting in terms of order fulfilment, shipping logistics, economic inventory management, and reverse logistics (returns). In an enterprise-grade environment, these activities are executed by an enterprise resource planning (ERP) solution – integrating your commerce systems with a back-end ERP solution is a crucial step from an application architecture point of view.

    This is an example of a customer experience ecosystem.  Core Apps (CRM, ERP): MMS Suite; E-Commerce; POS; Web CMS; Data Marts/BI Tools; Social Media Platforms

    Case Study

    INDUSTRY - Retail
    SOURCES - Amazon, n.d. CNET, 2020

    Amazon is creating a hybrid omnichannel experience for retail by introducing innovative brick-and-mortar stores

    Amazon

    Amazon began as an online retailer of books in the mid-1990s, and rapidly expanded its product portfolio to nearly every category imaginable. Often hailed as the foremost success story in online commerce, the firm has driven customer loyalty via consistently strong product recommendations and a well-designed site.

    Bringing Physical Retail Into the Digital Age

    Beginning in 2016 (and expanding in 2018), Amazon introduced Amazon Go, a next-generation grocery retailer, to the Seattle market. While most firms that pursue an e-commerce strategy traditionally come from a brick-and-mortar background, Amazon upended the usual narrative: the world’s largest online retailer opening physical stores to become a true omnichannel, “click-and-mortar” vendor. From the get-go, Amazon Go focused on innovating the physical retail experience – using cameras, IoT capabilities, and mobile technologies to offer “checkout-free” virtual shopping carts that automatically know what products customers take off the shelves and bill their Amazon accounts accordingly.

    Results

    Amazon received a variety of industry and press accolades for re-inventing the physical store experience and it now owns and operates seven separate store brands, with more still on the horizon.

    Case Study

    INDUSTRY - Retail
    SOURCES - Glossy, 2020

    Old Navy

    Old Navy is a clothing and accessories retail company that owns and operates over 1,200 stores across North America and China. Typically, Old Navy has relied on using traditional marketing approaches, but recently it has shifted to producing more digitally focused campaigns to drive revenue.

    Bringing Physical Retail Into the Digital Age

    To overcome pandemic-related difficulties, including temporary store closures, Old Navy knew that it had to have strong holiday sales in 2020. With the goal of stimulating retail sales growth and maximizing its pre-existing omnichannel capabilities, Old Navy decided to focus more of its holiday campaign efforts online than in years past. With this campaign centered on connected TV platforms, such as Hulu, and social media channels including Facebook, Instagram, and TikTok, Old Navy was able to take a more unique, fun, and good-humored approach to marketing.

    Results

    Old Navy’s digitally focused campaign was a success. When compared with third quarter sales figures from 2019, third quarter net sales for 2020 increased by 15% and comparable sales increased by 17%.

    Info-Tech offers various levels of support to best suit your needs

    DIY Toolkit

    “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

    Guided Implementation

    “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

    Workshop

    “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

    Consulting

    “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

    Diagnostics and consistent frameworks used throughout all four options

    Guided Implementation

    What does a typical GI on this topic look like?

    Phase 1 Phase 2 Phase 3 Phase 4 Phase 5

    Call #1: Scope requirements, objectives, and your specific challenges.

    Call #2: Assess current maturity.

    Call #4: Identify relationship between current initiatives and capabilities.

    Call #6: Identify strategy risks.

    Call #8: Identify and prioritize improvements.

    Call #3: Identify target-state capabilities.

    Call #5: Create initiative profiles.

    Call #7: Identify required budget.

    Call #9: Summarize results and plan next steps.

    A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

    A typical GI is between 8 to 12 calls over the course of 4 to 6 months.

    Enable Omnichannel Commerce That Delights Your Customers – Project Overview

    1. Identify Critical Drivers for Your Omnichannel Commerce Strategy 2. Map Drivers to the Right Channels and Technologies
    Best Practice Toolkit

    1.1 Assess Personas and Scenarios

    1.2 Create Key Drivers and Metrics

    2.1 Build the Commerce Channel Matrix

    2.2 Review Technology and Trends Primer

    Guided Implementations
    • Validate customer personas.
    • Validate commerce scenarios.
    • Review key drivers and metrics.
    • Build the channel matrix.
    • Discuss technology and trends.
    Onsite Workshop

    Module 1:

    Module 2:

    Identify Critical Drivers for Your Omnichannel Commerce Strategy

    Map Drivers to the Right Channels and Technologies

    Phase 1 Outcome:

    Phase 2 Outcome:

    An initial shortlist of customer-centric drivers for your channel strategy and supporting metrics.

    A completed commerce channel matrix tailored to your organization, and a snapshot of enabling technologies and trends.

    Phase 1

    Identify Critical Drivers for Your Omnichannel Commerce Strategy

    1.1 Assess Personas and Scenarios

    1.2 Create Key Drivers and Metrics

    Enable Omnichannel Commerce That Delights Your Customers

    Step 1.1

    Assess Personas and Scenarios

    This step will walk you through the following activities:

    1.1.1 Build key customer personas for your commerce strategy.

    1.1.2 Create commerce scenarios (journey maps) that you need to enable.

    Identify Critical Drivers for Your Omnichannel Commerce Strategy

    This step involves the following participants:

    • Business stakeholders (Sales, Marketing)
    • IT project team

    Outcomes of this step:

    • Critical customer personas
    • Key traditional and e-commerce scenarios

    Use customer personas to picture who will be using your commerce channels and guide scenario design and key drivers

    What Are Personas?

    Personas are detailed descriptions of the targeted audience of your e-commerce presence. Effective personas:

    • Express and focus on the major needs and expectations of the most important user groups.
    • Give a clear picture of the typical user’s behavior.
    • Aid in uncovering universal features and functionality.
    • Describe real people with backgrounds, goals, and values.

    Source: Usability.gov, n.d.

    Why Are Personas Important?

    Personas help:

    • Focus the development of commerce platform features on the immediate needs of the intended audience.
    • Detail the level of customization needed to ensure content is valuable to the user.
    • Describe how users may behave when certain audio and visual stimulus are triggered from the website.
    • Outline the special design considerations required to meet user accessibility needs.

    Key Elements of a Persona:

    • Persona Group (e.g. executives)
    • Demographics (e.g. nationality, age, language spoken)
    • Purpose of Using Commerce Channels (e.g. product search versus ready to transact)
    • Typical Behaviors and Tendencies (e.g. goes to different websites when cannot find products in 20 seconds)
    • Technological Environment of User (e.g. devices, browsers, network connection)
    • Professional and Technical Skills and Experiences (e.g. knowledge of websites, area of expertise)

    Use Info-Tech’s guidelines to assist in the creation of personas

    How many personas should I create?

    The number of personas that should be created is based on the organizational coverage of your commerce strategy. Here are some questions you should ask:

    • Do the personas cover a majority of your revenues or product lines?
    • Is the number manageable for your project team to map out?

    How do I prioritize which personas to create?

    The identified personas should generate the most revenue – or provide a significant opportunity – for your business. Here are some questions that you should ask:

    • Are the personas prioritized based on the revenue they generate for the business?
    • Is the persona prioritization process considering both the present and future revenues the persona is generating?

    Sample: persona for e-commerce platform

    Example

    Persona quote: “After I call the company about the widget, I would usually go onto the company’s website and look at further details about the product. How am I supposed to do so when it is so hard to find the company’s website on everyday search engines, such as Google, Yahoo, or Bing?”

    Michael is a middle-aged manager working in the financial district. He wants to buy the company’s widgets for use in his home, but since he is distrusting of online shopping, he prefers to call the company’s call center first. Afterwards, if Michael is convinced by the call center representative, he will look at the company’s website for further research before making his purchase.

    Michael does not have a lot of free time on his hands, and tries to make his free time as relaxing as possible. Due to most of his work being client-facing, he is not in front of a computer most of the time during his work. As such, Michael does not consider himself to be skilled with technology. Once he makes the decision to purchase, Michael will conduct online transactions and pay most delivery costs due to his shortage of time.

    Needs:

    • Easy-to-find website and widget information.
    • Online purchasing and delivery services.
    • Answer to his questions about the widget.
    • To maintain contact post-purchase for easy future transactions.

    Info-Tech Tip

    The quote attached to a persona should be from actual quotes that your customers have used when you reviewed your voice of the customer (VoC) surveys or focus groups to drive home the impact of their issues with your company.

    1.1.1 Activity: Build personas for your key customers that you’ll need to support via traditional and e-commerce channels

    1 hour

    1. In two to four groups, list all the major, target customer personas that need to be built. In doing so, consider the people who interact with your e-commerce site (or other channels) most often.
    2. Build a demographic profile for each customer persona. Include information such as age, geographic location, occupation, and annual income.
    3. Augment the persona with a psychographic profile. Consider the goals and objectives of each customer persona and how these might inform buyer behaviors.
    4. Introduce your group’s personas to the entire group, in a round-robin fashion, as if you are introducing your persona at a party.
    5. Summarize the personas in a persona map. Rank your personas according to importance and remove any duplicates.
    6. Use Info-Tech’s Create Personas to Drive Omnichannel Requirements Template to assist.

    Info-Tech Insight

    Persona building is typically used for understanding the external customer; however, if you need to gain a better understanding of the organization’s internal customers (those who will be interacting with the e-commerce platform), personas can also be built for this purpose. Examples of useful internal personas are sales managers, brand managers, and customer service directors.

    1.1.1 Activity: Build personas for your key customers that you’ll need to support via traditional and e-commerce channels (continued)

    Input

    • Customer demographics and psychographics

    Output

    • List of prioritized customer personas

    Materials

    • Whiteboard
    • Markers

    Participants

    • Project team

    Build use-case scenarios to model the transactional customer journey and inform drivers for your commerce strategy

    A use-case scenario is a story or narrative that helps explore the set of interactions that a customer has with an organization. Scenario mapping will help identify key business and technology drivers as well as more granular functional requirements for POS or e-commerce platform selection.

    A GOOD SCENARIO…

    • Describes specific task(s) that need to be accomplished.
    • Describes user goals and motivations.
    • Describes interactions with a compelling but not overwhelming amount of detail.
    • Can be rough, as long as it provokes ideas and discussion.

    SCENARIOS ARE USED TO...

    • Provide a shared understanding about what a user might want to do and how they might want to do it.
    • Help construct the sequence of events that are necessary to address in your user interface(s).

    TO CREATE GOOD SCENARIOS…

    • Keep scenarios high level, not granular, in nature.
    • Identify as many scenarios as possible. If you’re time constrained, try to develop two to three key scenarios per persona.
    • Sketch each scenario out so that stakeholders understand the goal of the scenario.

    1.1.2 Exercise: Build commerce user scenarios to understand what you want your customers to do from a transactional viewpoint

    1 hour

    Example

    Simplified E-Commerce Workflow Purchase Products

    This image contains an example of a Simplified E-Commerce Workflow Purchase Products

    Step 1.2

    Create Key Drivers and Metrics

    This step will walk you through the following activities:

    • Create the business drivers you need to enable with your commerce strategy.
    • Enumerate metrics to track the efficacy of your commerce strategy.

    Identify Critical Drivers for Your Omnichannel Commerce Strategy

    This step involves the following participants:

    • Business stakeholders (Sales, Marketing)
    • IT project team

    Outcomes of this step:

    • Business drivers for the commerce strategy
    • Metrics and key performance indicators for the commerce strategy

    1.2 Finish elaboration of your scenarios and map them to your personas: identify core business drivers for commerce

    1.5 hours

    1. List all commerce scenarios required to satisfy the immediate needs of your personas.
      1. Does the use-case scenario address commonly felt user challenges?
      2. Can the scenario be used by those with changing behaviors and tendencies?
    2. Look for recurring themes in use-case scenarios (for example, increasing average transaction cost through better product recommendations) and identify business drivers: drivers are common thematic elements that can be found across multiple scenarios. These are the key principles for your commerce strategy.
    3. Prioritize your use cases by leveraging the priorities of your business drivers.

    Example

    This is an example of how step 1.2 can help you identify business drivers

    1.2 Finish elaboration of your scenarios and map them to your personas: identify core business drivers for commerce (continuation)

    Input

    • User personas

    Output

    • List of use cases
    • Alignment of use cases to business objectives

    Materials

    • Whiteboard
    • Markers

    Participants

    • Business Analyst
    • Developer
    • Designer

    Show the benefits of commerce solution deployment with metrics aimed at both overall efficacy and platform adoption

    The ROI and perceived value of the organization’s e-commerce and POS solutions will be a critical indication of the success of the suite’s selection and implementation.

    Commerce Strategy and Technology Adoption Metrics

    EXAMPLE METRICS

    Commerce Performance Metrics

    Average revenue per unique transaction

    Quantity and quality of commerce insights

    Aggregate revenue by channel

    Unique customers per channel

    Savings from automated processes

    Repeat customers per channel

    User Adoption and Business Feedback Metrics

    User satisfaction feedback

    User satisfaction survey with technology

    Business adoption rates

    Application overhead cost reduction

    Info-Tech Insight

    Even if e-commerce metrics are difficult to track right now, the implementation of a dedicated e-commerce platform brings access to valuable customer intelligence from data that was once kept in silos.

    Phase 2

    Map Drivers to the Right Channels and Technologies

    2.1 Build the Commerce Channel Matrix

    2.2 Review Technology and Trends Primer

    Enable Omnichannel Commerce That Delights Your Customers

    Step 2.1

    Build the Commerce Channel Matrix

    This step will walk you through the following activities:

    • Based on your business drivers, create a blended mix of e-commerce channels that will suit your organization’s and customers’ needs.

    Map Drivers to the Right Channels and Technologies

    This step involves the following participants:

    • Business stakeholders (Sales, Marketing)
    • IT project team

    Outcomes of this step:

    • Commerce channel map

    Pick the transactional channels that align with your customer personas and enable your target scenarios and drivers

    Traditional Channels

    E-Commerce Channels

    Hybrid Channels

    Physical stores (brick and mortar) are the mainstay of retailers selling tangible goods – some now also offer intangible service delivery.

    E-commerce websites as exemplified by services like Amazon are accessible by a browser and deliver both goods and services.

    Online ordering/in-store fulfilment is a model whereby customers can place orders online but pick the product up in store.

    Telesales allows customers to place orders over the phone. This channel has declined in favor of mobile commerce via smartphone apps.

    Mobile commerce allows customers to shop through a dedicated, native mobile application on a smartphone or tablet.

    IoT-enabled smart carts/bags allow customers to shop in store, but check-out payments are handled by a mobile application.

    Mail order allows customers to send (”snail”) mail orders. A related channel is fax orders. Both have diminished in favor of e-commerce.

    Social media embedded shopping allows customers to order products directly through services such as Facebook.

    Info-Tech Insight

    Your channel selections should be driven by customer personas and scenarios. For example, social media may be extensively employed by some persona types (i.e. millennials) but see limited adoption in other demographics or use cases (i.e. B2B).

    2.1 Activity: Build your commerce channel matrix

    30 minutes

    1. Inventory which transactional channels are currently used by your firm (segment by product lines if variation exists).
    2. Interview product leaders, sales leaders, and marketing managers to determine if channels support transactional capabilities or are used for marketing and service delivery.
    3. Review your customer personas, scenarios, and drivers and assess which of the channels you will use in the future to sell products and services. Document below.

    Example: Commerce Channel Map

    Product Line A Product Line B Product Line C
    Currently Used? Future Use? Currently Used? Future Use? Currently Used? Future Use?
    Store Yes Yes No No No No
    Kiosk Yes No No No No No
    E-Commerce Site/Portal No Yes Yes Yes Yes Yes
    Mobile App No No Yes Yes No Yes
    Embedded Social Yes Yes Yes Yes Yes Yes

    Input

    • Personas, scenarios, and driver

    Output

    • Channel map

    Materials

    • Whiteboard
    • Markers

    Participants

    • Project team

    Step 2.2

    Review Technology and Trends Primer

    This step will walk you through the following activities:

    • Review the scope of e-commerce and POS solutions and understand key drivers impacting e-commerce and traditional commerce.

    Map Drivers to the Right Channels and Technologies

    This step involves the following participants:

    • Business stakeholders (Sales, Marketing)
    • IT project team

    Outcomes of this step:

    • Understanding of key technologies
    • Understanding of key trends

    Application spotlight: e-commerce platforms

    How It Enables Your Strategy

    • Modern e-commerce platforms provide capabilities for end-to-end orchestration of online commerce experiences, from product site deployment to payment processing.
    • Some e-commerce platforms are purpose-built for business-to-business (B2B) commerce, emphasizing customer portals and EDI features. Other e-commerce vendors place more emphasis on business-to-consumer (B2C) capabilities, such as product catalog management and executing transactions at scale.
    • There has been an increasing degree of overlap between traditional web experience management solutions and the e-commerce market; for example, in 2018, Adobe acquired Magento to augment its overall web experience offering within Adobe Experience Manager.
    • E-commerce platforms typically fall short when it comes to order fulfilment and logistics; this piece of the puzzle is typically orchestrated via an ERP system or logistics management module.
    • This research provides a starting place for defining e-commerce requirements and selection artefacts.

    Key Trends

    • E-commerce vendors are rapidly supporting a variety of form factors and integration with other channels such as social media. Mobile is sufficiently popular that some vendors and industry commentators refer to it as “m-commerce” to differentiate app-based shopping experiences from those accessed through a traditional browser.
    • Hybrid commerce is driving more interplay between e-commerce solutions and POS.

    E-Commerce KPIs

    Strong e-commerce applications can improve:

    • Bounce Rates
    • Exit Rates
    • Lead Conversion Rates
    • Cart Abandonment Rates
    • Re-Targeting Efficacy
    • Average Cart Size
    • Average Cart Value
    • Customer Lifetime Value
    • Aggregate Reach/Impressions

    Familiarize yourself with the e-commerce market

    How it got here

    Initial Traction as the Dot-Com Era Came to Fruition

    Unlike some enterprise application markets, such as CRM, the e-commerce market appeared almost overnight during the mid-to-late nineties as the dot-com explosion fueled the need to have reliable solutions for executing transactions online.

    Early e-commerce solutions were less full-fledged suites than they were mediums for payment processing and basic product list management. PayPal and other services like Digital River were pioneers in the space, but their functionality was limited vis-à-vis tools such as web content management platforms, and their ability to amalgamate and analyze the data necessary for dynamic personalization and re-targeting was virtually non-existent.

    Rapidly Expanding Scope of Functional Capabilities as the Market Matured

    As marketers became more sophisticated and companies put an increased focus on customer experience and omnichannel interaction, the need arose for platforms that were significantly more feature rich than their early contemporaries. In this context, vendors such as Shopify and Demandware stepped into the limelight, offering far richer functionality and analytics than previous offerings, such as asset management, dynamic personalization, and the ability to re-target customers who abandoned their carts.

    As the market has matured, there has also been a series of acquisitions of some players (for example, Demandware by Salesforce) and IPOs of others (i.e. Shopify). Traditional payment-oriented services like PayPal still fill an important niche, while newer entrants like Square seek to disrupt both the e-commerce market and point-of-sale solutions to boot.

    Familiarize yourself with the e-commerce market

    Where it’s going

    Support for a Proliferation of Form Factors and Channels

    Modern e-commerce solutions are expanding the number of form factors (smartphones, tablets) they support via both responsive design and in-app capabilities. Many platforms now also support embedded purchasing options in non-owned channels (for example, social media). With the pandemic leading to a heightened affinity for online shopping, the importance of fully using these capabilities has been further emphasized.

    AI and Machine Learning

    E-commerce is another customer experience domain ripe for transformation via the potential of artificial intelligence. Machine learning algorithms are being used to enhance the effectiveness of dynamic personalization of product collateral, improve the accuracy of product recommendations, and allow for more effective re-targeting campaigns of customers who did not make a purchase.

    Merger of Online Commerce and Traditional Point-of-Sale

    Many e-commerce vendors – particularly the large players – are now going beyond traditional e-commerce and making plays into brick-and-mortar environments, offering point-of-sale capabilities and the ability to display product assets and customizations via augmented reality – truly blending the physical and virtual shopping experience.

    Emphasis on Integration with the Broader Customer Experience Ecosystem

    The big names in e-commerce recognize they don’t live on an island: out-of-the-box integrations with popular CRM, web experience, and marketing automation platforms have been increasing at a breakneck pace. Support for digital wallets has also become increasingly popular, with many vendors integrating contactless payment technology (i.e. Apple Pay) directly into their applications.

    E-Commerce Vendor Snapshot: Part 1

    Mid-Market E-Commerce Solutions

    This image contains the logos for the following Companies: Magento; Spryker; Bigcommerce; Woo Commerce; Shopify

    E-Commerce Vendor Snapshot: Part 2

    Large Enterprise and Full-Suite E-Commerce Platforms

    This image contains the logos for the following Companies: Salesforce commerce cloud; Oracle Commerce Cloud; Adobe Commerce Cloud; Sitecore; Sap Hybris Commerce

    Speak with category experts to dive deeper into the vendor landscape

    • Fact-based reviews of business software from IT professionals.
    • Product and category reports with state-of-the-art data visualization.
    • Top-tier data quality backed by a rigorous quality assurance process.
    • User-experience insight that reveals the intangibles of working with a vendor.

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    Evaluate software category leaders through vendor rankings and awards

    SoftwareReviews

    This is an image of the data quarant report

    The Data Quadrant is a thorough evaluation and ranking of all software in an individual category to compare platforms across multiple dimensions.

    This is an image of the data quarant report chart

    Vendors are ranked by their Composite Score, based on individual feature evaluations, user satisfaction rankings, vendor capability comparisons, and likeliness to recommend the platform.

    This is a image of the Emotional Footprint Report

    The Emotional Footprint is a powerful indicator of overall user sentiment toward the relationship with the vendor, capturing data across five dimensions.

    This is a image of the Emotional Footprint Report chart

    Vendors are ranked by their Customer Experience (CX) Score, which combines the overall Emotional Footprint rating with a measure of the value delivered by the solution.

    Leading B2B E-Commerce Platforms

    As of February 2022

    Data Quadrant

    This image contains a screenshot of the Data Quadrant chart for B2B E-commerce

    Emotional Footprint

    This image contains a screenshot of the Emotional Footprint chart for B2B E-commerce

    Leading B2C E-Commerce Platforms

    As of February 2022

    Data Quadrant

    This image contains a screenshot of the Data Quadrant chart for B2C E-commerce

    Emotional Footprint

    This image contains a screenshot of the Emotional Footprint chart for B2C E-commerce

    Application spotlight: point-of-sale solutions

    How It Enables Your Strategy

    • Point-of-sale solutions provide capabilities for cash register/terminal management, transaction processing, and lightweight inventory management.
    • Many POS vendors also offer products that have the ability to create orders from EDI, phone, or fax channels.
    • An increasing emphasis has been placed on retail analytics by POS vendors – providing reporting and analysis tools to help with inventory planning, promotion management, and product recommendations.
    • Integration of POS systems with a central customer data warehouse or other system of record for customer information allows for the ability to build richer customer profiles and compare shopping habits in physical stores against other transactional channels that are offered.
    • POS vendors often offer (or integrate with) loyalty management solutions to track, manage, and redeem loyalty points. See this note on loyalty management systems.
    • Legacy and/or homegrown POS systems tend to be an area of frustration for customer experience management modernization.

    Key Trends

    • POS solutions are moving from “cash-register-only” solutions to encompass mobile POS form factors like smartphones and tablets. Vendors such as Square have experienced tremendous growth in opening up the market via “mPOS” platforms that have lower costs to entry than the traditional hardware needed to support full-fledged POS solutions.
    • This development puts robust POS toolsets in the hands of small and medium businesses that otherwise would be priced out of the market.

    POS KPIs

    Strong POS applications can improve:

    • Customer Data Collection
    • Inventory or Cash Shrinkage
    • Cost per Transaction
    • Loyalty Program Administration Costs
    • Cycle Time for Transaction Execution

    Point-of-Sales Vendor Snapshot: Part 1

    Mid-Market POS Solutions

    This image contains the following company Logos: Square; Shopify; Vend; Heartland|Retail

    Point-of-Sales Vendor Snapshot: Part 2

    Large Enterprise POS Platforms

    This image contains the following Logos: Clover; Oracle Netsuite; RQ Retail Management; Salesforce Commerce Cloud; Korona

    Leading Retail POS Systems

    As of February 2022

    Data Quadrant

    This is an image of the Data Quadrant Chart for the Leading Retail Pos Systems

    Emotional Footprint

    This is an image of the Emotional Footprint chart for the Leading Retail POS Systems

    Summary of Accomplishment

    Knowledge Gained

    • Commerce channel framework
    • Customer affinities
    • Commerce channel overview
    • Commerce-enabling technologies

    Processes Optimized

    • Persona definition for commerce strategy
    • Persona channel shortlist

    Deliverables Completed

    • Customer personas
    • Commerce user scenarios
    • Business drivers for traditional commerce and e-commerce
    • Channel matrix for omnichannel commerce

    Bibliography

    “25 Amazing Omnichannel Statistics Every Marketer Should Know (Updated for 2021).” V12, 29 June 2021. Accessed 12 Jan. 2022.

    “Amazon Go.” Amazon, n.d. Web.

    Andersen, Derek. “33 Statistics Retail Marketers Need to Know in 2021.” Invoca, 19 July 2021. Accessed 12 Jan. 2022.

    Andre, Louie. “115 Critical Customer Support Software Statistics: 2022 Market Share Analysis & Data.” FinancesOnline, 14 Jan. 2022. Accessed 25 Jan. 2022.

    Chuang, Courtney. “The future of support: 5 key trends that will shape customer care in 2022.” Intercom, 10 Jan. 2022. Accessed 11 Jan. 2022.

    Cramer-Flood, Ethan. “Global Ecommerce Update 2021.” eMarketer, 13 Jan. 2021. Accessed 12 Jan. 2022.

    Cramer-Flood, Ethan. “Spotlight on total global retail: Brick-and-mortar returns with a vengeance.” eMarketer, 3 Feb. 2022. Accessed 12 Apr. 2022.

    Fox Rubin, Ben. “Amazon now operates seven different kinds of physical stores. Here's why.” CNET, 28 Feb. 2020. Accessed 12 Jan. 2022.

    Krajewski, Laura. “16 Statistics on Why Omnichannel is the Future of Your Contact Center and the Foundation for a Top-Notch Competitive Customer Experience.” Business 2 Community, 10 July 2020. Accessed 11 Jan. 2022.

    Manoff, Jill. “Fun and convenience: CEO Nany Green on Old Navy’s priorities for holiday.” Glossy, 8 Dec. 2020. Accessed 12 Jan. 2022.

    Meola, Andrew. “Rise of M-Commerce: Mobile Ecommerce Shopping Stats & Trends in 2021.” Insider, 30 Dec. 2020. Accessed 12 Jan. 2022.

    “Outdoor apparel retailer Icebreaker uses AI to exceed shopper expectations.” Salesforce, n.d.(a). Accessed 20 Jan. 2022.

    “Personas.” Usability.gov., n.d. Web. 28 Aug. 2018.

    “PetSmart – Why Commerce Cloud?” Salesforce, n.d.(b). Web. 30 April 2018.

    Toor, Meena. “Customer expectations: 7 Types all exceptional researchers must understand.” Qualtrics, 3 Dec. 2020. Accessed 11 Jan. 2022.

    Westfall, Leigh. “Omnichannel vs. multichannel: What's the difference?” RingCentral, 10 Sept. 2021. Accessed 11 Jan. 2022.

    “Worldwide ecommerce will approach $5 trillion this year.” eMarketer, 14 Jan. 2021. Accessed 12 Jan. 2022.

    Into the Metaverse

    • Buy Link or Shortcode: {j2store}95|cart{/j2store}
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    • Parent Category Name: Innovation
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    • Define the metaverse.
    • Understand where Meta and Microsoft are going and what their metaverse looks like today.
    • Learn about other solution providers implementing the enterprise metaverse.
    • Identify risks in deploying metaverse solutions and how to mitigate them.

    Our Advice

    Critical Insight

    • A metaverse experience must combine the three Ps: user presence is represented, the world is persistent, and data is portable.

    Impact and Result

    • Understand how Meta and Microsoft define the Metaverse and the coming challenges that enterprises will need to solve to harness this new digital capability.

    Into the Metaverse Research & Tools

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Into the Metaverse – A deck that examines how IT can prepare for the new digital world

    Push past the hype and understand what the metaverse really means for IT.

    • Into the Metaverse Storyboard

    Infographic

    Further reading

    Into the Metaverse

    How IT can prepare for the new digital world.

    Analyst Perspective

    The metaverse is still a vision of the future.

    Photo of Brian Jackson, Research Director, CIO, Info-Tech Research Group.

    On October 28, 2021, Mark Zuckerberg got up on stage and announced Facebook's rebranding to Meta and its intent to build out a new business line around the metaverse concept. Just a few days later, Microsoft's CEO Satya Nadella put forward his own idea of the metaverse at Microsoft Ignite. Seeing two of Silicon Valley's most influential companies pitch a vision of avatar-driven virtual reality collaboration sparked our collective curiosity. At the heart of it lies the question, "What is the metaverse, anyway?“

    If you strip back the narrative of the companies selling you the solutions, the metaverse can be viewed as technological convergence. Years of development on mixed reality, AI, immersive digital environments, and real-time communication are culminating in a totally new user experience. The metaverse makes the digital as real as the physical. At least, that's the vision.

    It will be years yet before the metaverse visions pitched to us from Silicon Valley stages are realized. In the meantime, understanding the individual technologies contributing to that vision can help CIOs realize business value today. Join me as we delve into the metaverse.

    Brian Jackson
    Research Director, CIO
    Info-Tech Research Group

    From pop culture to Silicon Valley

    Sci-fi visionaries are directly involved in creating the metaverse concept

    The term “metaverse” was coined by author Neal Stephenson in the 1992 novel “Snow Crash.” In the novel, main character Hiro Protagonist interacts with others in a digitally defined space. Twenty-five years after its release, the cult classic is influential among Silicon Valley's elite. Stephenson has played some key roles in Silicon Valley firms. He became the first employee at Blue Origin, the space venture founded by Jeff Bezos, in 2006, and later became chief futurist at augmented reality firm Magic Leap in 2014. Stephenson also popularized the Hindu concept "avatar" in his writing, paving the way for people to embody digitally rendered models to participate in the metaverse (Vanity Fair, 2017).

    Even earlier concepts of the metaverse were examined in the 1980s, with William Gibson’s “Neuromancer” exploring the same idea as cyberspace. Gibson's novel was influenced by his time in Seattle, where friend and Microsoft executive Eileen Gunn took him to hacker bars where he'd eavesdrop on "the poetics of the technological subculture" (Medium, 2022). Other visions of a virtual reality mecca were brought to life in the movies, including the 1982 Disney release “Tron,” the 1999 flick “The Matrix,” and 2018’s “Ready Player One.”

    There's a common set of traits among these sci-fi narratives that help us understand what Silicon Valley tech firms are now set to commercialize: users interact with one another in a digitally rendered virtual world, with a sense of presence provided through the use of a head-mounted display.

    Cover of the book Snow Crash by Neal Stephenson.

    Image courtesy nealstephenson.com

    Meta’s view of the metaverse

    CEO Mark Zuckerberg rebranded Facebook to make his intent clear

    Mark Zuckerberg is all in on the metaverse, announcing October 28, 2021, that Facebook would be rebranded to Meta. The new brand took effect on December 1, and Facebook began trading under the new stock ticker MVRS on certain exchanges. On February 15, 2022, Zuckerberg announced at a company meeting that his employees will be known as Metamates. The company's new values are to live in the future, build awesome things, and focus on long-term impact. Its motto is simply "Meta, Metamates, me" (“Out With the Facebookers. In With the Metamates,” The New York Times, 2022).

    Meta's Reality Labs division will be responsible for developing its metaverse product, using Meta Quest, its virtual reality head-mounted displays. Meta's early metaverse environment, Horizon Worlds, rolled out to Quest users in the US and Canada in early December 2021. This drove a growth in its monthly user base by ten times, to 300,000 people. The product includes Horizon Venues, tailored to attending live events in VR, but not Horizon Workrooms, a VR conferencing experience that remains invite-only. Horizon Worlds provides users tools to construct their own 3D digital environments and had been used to create 10,000 separate worlds by mid-February 2022 (“Meta’s Social VR Platform Horizon Hits 300,000 Users,“ The Verge, 2022).

    In the future, Meta plans to amplify the building tools in its metaverse platform with generative AI. For example, users can give speech commands to create scenes and objects in VR. Project CAIRaoke brings a voice assistant to an augmented reality headset that can help users complete tasks like cooking a stew. Zuckerberg also announced Meta is working on a universal speech translator across all languages (Reuters, 2022).

    Investment in the metaverse:
    $10 billion in 2021

    Key People:
    CEO Mark Zuckerberg
    CTO Andrew Bosworth
    Chief Product Officer Chris Cox

    (Source: “Meta Spent $10 Billion on the Metaverse in 2021, Dragging Down Profit,” The New York Times, 2022)

    Microsoft’s view of the metaverse

    CEO Satya Nadella showcased a mixed reality metaverse at Microsoft Ignite

    In March 2021 Microsoft announced Mesh, an application that allows organizations to build out a metaverse environment. Mesh is being integrated into other Microsoft hardware and software, including its head-mounted display, the HoloLens, a mixed reality device. The Mesh for HoloLens experience allows users to collaborate around digital content projected into the real world. In November, Microsoft announced a Mesh integration with Microsoft Teams. This integration brings users into an immersive experience in a fully virtual world. This VR environment makes use of AltspaceVR, a VR application Microsoft first released in May 2015 (Microsoft Innovation Stories, 2021).

    Last Fall, Microsoft also announced it is rebranding its Dynamics 365 Connected Store solution to Dynamics 365 Connected Spaces, signaling its expansion from retail to all spaces. The solution uses cognitive vision to create a digital twin of an organization’s physical space and generate analytics about people’s behavior (Microsoft Dynamics 365 Blog, 2021).

    In the future, Microsoft wants to make "holoportation" a part of its metaverse experience. Under development at Microsoft Research, the technology captures people and things in photorealistic 3D to be projected into mixed reality environments (Microsoft Research, 2022). It also has plans to offer developers AI-powered tools for avatars, session management, spatial rendering, and synchronization across multiple users. Open standards will allow Mesh to be accessed across a range of devices, from AR and VR headsets, smartphones, tablets, and PCs.

    Microsoft has been developing multi-user experiences in immersive 3D environments though its video game division for more than two decades. Its capabilities here will help advance its efforts to create metaverse environments for the enterprise.

    Investment in the metaverse:
    In January 2022, Microsoft agreed to acquire Activision Blizzard for $68.7 billion. In addition to acquiring several major gaming studios for its own gaming platforms, Microsoft said the acquisition will play a key role in the development of its metaverse.

    Key People:
    CEO Satya Nadella
    CEO of Microsoft Gaming Phil Spencer
    Microsoft Technical Research Fellow Alex Kipman

    Current state of metaverse applications from Meta and Microsoft

    Meta

    • Horizon Worlds (formerly Facebook Horizon). Requires an Oculus Rift S or Quest 2 headset to engage in an immersive 3D world complete with no-code building tools for users to construct their own environments. Users can either interact in the space designed by Meta or travel to other user-designed worlds through the plaza.
    • Horizon Workrooms (beta, invite only). An offshoot of Horizon Worlds but more tailored for business collaboration. Users can bring in their physical desks and keyboards and connect to PC screens from within the virtual setting. Integrates with Facebook’s Workplace solution.

    Microsoft

    • Dynamics 365 Connected Spaces (preview). Cognitive vision combined with surveillance cameras provide analytics on people's movement through a facility.
    • Mesh for Microsoft Teams (not released). Collaborate with your colleagues in a virtual reality space using personalized avatars. Use new 2D and 3D meeting experiences.
    • Mesh App for HoloLens (preview). Interact with colleagues virtually in a persistent digital environment that is overlaid on top of the real world.
    • AltspaceVR. A VR space accessible via headset or desktop computer that's been available since 2015. Interact through use of an avatar to participate in daily events

    Current providers of an “enterprise metaverse”

    Other providers designing mixed reality or digital twin tools may not have used the “metaverse” label but provide the same capabilities via platforms

    Logo for NVIDIA Omniverse. Logo for TeamViewer.
    NVIDIA Omniverse
    “The metaverse for engineers,” Omniverse is a developer toolset to allow organizations to build out their own unique metaverse visions.
    • Omniverse Nucleus is the platform database that allows clients to publish digital assets or subscribe to receive changes to them in real-time.
    • Omniverse Connectors are used to connect to Nucleus and publish or subscribe to individual assets and entire worlds.
    • NVIDIA’s core physics engine provides a scalable and physically accurate world simulation.
    TeamViewer’s Remote as a Service Platform
    Initially focusing on providing workers remote connectivity to work desktops, devices, and robotics, TeamViewer offers a range of software as a service products. Recent acquisitions to this platform see it connecting enterprise workflows to frontline workers using mixed reality headsets and adding more 3D visualization development tools to create digital twins. Clients include Coca-Cola and BMW.

    “The metaverse matters in the future. TeamViewer is already making the metaverse tangible in terms of the value that it brings.” (Dr. Hendrik Witt, Chief Product Officer, TeamViewer)

    The metaverse is a technological convergence

    The metaverse is a platform combining multiple technologies to enable social and economic activity in a digital world that is connected to the physical world.

    A Venn diagram with four circles intersecting and one circle unconnected on the side, 'Blockchain, Emerging'. The four circles, clock-wise from top, are 'Artificial Intelligence', 'Real-Time Communication', 'Immersive Digital Space', and 'Mixed Reality'. The two-circle crossover sections, clock-wise from top-right are AI + RTC: 'Smart Agent-Facilitated Communication', RTC + IDS: 'Avatar-Based Social Interaction', IDS + MR: 'Digital Immersive UX', and MR + AI: 'Perception AI'. There are only two three-circle crossover sections labelled, AI + RTC + MR: 'Generative Sensory Environments' and RTC + IDS + MR: 'Presence'. The main cross-section is 'METAVERSE'.

    Info-Tech Insight

    A metaverse experience must combine the three P’s: user presence is represented, the world is persistent, and data is portable.

    Mixed reality provides the user experience (UX) for the metaverse

    Both virtual and augmented reality will be part of the picture

    Mixed reality encompasses both virtual reality and augmented reality. Both involve allowing users to immerse themselves in digital content using a head-mounted device or with a smartphone for a less immersive effect. Virtual reality is a completely digital world that is constructed as separate from the physical world. VR headsets take up a user's entire field of vision and must also have a mechanism to allow the user to interact in their virtual environment. Augmented reality is a digital overlay mapped on top of the real world. These headsets are transparent, allowing the user to clearly see their real environment, and projects digital content on top of it. These headsets must have a way to map the surrounding environment in 3D in order to project digital content in the right place and at the right scale.

    Meta’s Plans

    Meta acquired virtual reality developer Oculus VR Inc. and its set of head-mounted displays in 2014. It continues to develop new hardware under the Oculus brand, most recently releasing the Oculus Quest 2. Oculus Quest hardware is required to access Meta's early metaverse platform, Horizon Worlds.

    Microsoft’s Plans

    Microsoft's HoloLens hardware is a mixed reality headset. Its visor that can project digital content into the main portion of the user's field of vision and speakers capable of spatial audio. The HoloLens has been deployed at enterprises around the world, particularly in scenarios where workers typically have their hands busy. For example, it can be used to view digital schematics of a machine while a worker is performing maintenance or to allow a remote expert to "see through the eyes" of a worker.

    Microsoft's Mesh metaverse platform, which allows for remote collaboration around digital content, was demonstrated on a HoloLens at Microsoft Ignite in November 2021. Mesh is also being integrated into AltspaceVR, an application that allows companies to hold meetings in VR with “enterprise-grade security features including secure sign-ins, session management and privacy compliance" (Microsoft Innovation Stories, 2021).

    Immersive digital environments provide context in the metaverse

    The interactive environment will be a mix of digital and physical worlds

    If you've played a video game in the past decade, you've experienced an immersive 3D environment, perhaps even in a multiplayer environment with many other users at the same time. The video game industry grew quickly during the pandemic, with users spending more time and money on video games. Massive multiplayer online games like Fortnite provide more than a gaming environment. Users socialize with their friends and attend concerts featuring famous performers. They also spend money on different appearances or gestures to express themselves in the environment. When they are not playing the game, they are often watching other players stream their experience in the game. In many ways, the consumer metaverse already exists on platforms like Fortnite. At the same time, gaming developers are improving the engines for these experiences and getting closer to approximating the real world both visually and in terms of physics.

    In the enterprise space, immersive 3D environments are also becoming more popular. Manufacturing firms are building digital twins to represent entire factories, modeling their real physical environments in digital space. For example, BMW’s “factory of the future” uses NVIDIA Omniverse to create a digital twin of its assembly system, simulated down to the detail of digital workers. BMW uses this simulation to plan reconfiguration of its factory to accommodate new car models and to train robots with synthetic data (“NVIDIA Omniverse,” NVIDIA, 2021).

    Meta’s Plans

    Horizon Workrooms is Meta's business-focused application of Horizon Worlds. It facilitates a VR workspace where colleagues can interact with others’ avatars, access their computer, use videoconferencing, and sketch out ideas on a whiteboard. With the Oculus Quest 2 headset, passthrough mode allows users to add their physical desk to the virtual environment (Oculus, 2022).

    Microsoft’s Plans

    AltspaceVR is Microsoft's early metaverse environment and it can be accessed with Oculus, HTC Vive, Windows Mixed Reality, or in desktop mode. Separately, Microsoft Studios has been developing digital 3D environments for its Xbox video game platform for yeas. In January 2022, Microsoft acquired games studio Activision Blizzard for $68.7 billion, saying the games studio would play a key role in the development of the metaverse.

    Real-time communications allow for synchronous collaboration

    Project your voice to a room full of avatars for a presentation or whisper in someone’s ear

    If the metaverse is going to be a good place to collaborate, then communication must feel as natural as it does in the real world. At the same time, it will need to have a few more controls at the users’ disposal so they can focus in on the conversation they choose. Audio will be a major part of the communication experience, augmented by expressive avatars and text.

    Mixed reality headsets come with integrated microphones and speakers to enable voice communications. Spatial audio will also be an important component of voice exchange in the metaverse. When you are in a videoconference conversation with 50 participants, every one of those people will sound as though they are sitting right next to you. In the metaverse, each person will sound louder or quieter based on how distant their avatar is from you. This will allow large groups of people to get together in one digital space and have multiple conversations happening simultaneously. In some situations, there will also be a need for groups to form a “party” as they navigate the metaverse, meaning they would stay linked through a live audio connection even if their avatars were not in the same digital space. Augmented reality headsets also allow remote users to “see through the eyes” of the person wearing the headset through a front-facing camera. This is useful for hands-on tasks where expert guidance is required.

    People will also need to communicate with people not in the metaverse. More conventional videoconference windows or chat boxes will be imported into these environments as 2D panels, allowing users to integrate them into the context of their digital space.

    Meta’s Plans

    Facebook Messenger is a text chat and video chat application that is already integrated into Facebook’s platform. Facebook also owns WhatsApp, a messaging platform that offers group chat and encrypted messaging.

    Microsoft’s Plans

    Microsoft Teams is Microsoft’s application that combines presence-based text chat and videoconferencing between individuals and groups. Dynamics 365 Remote Assist is its augmented reality application designed for HoloLens wearers or mobile device users to share their real-time view with experts.

    Generative AI will fill the metaverse with content at the command of the user

    No-code and low-code creation tools will be taken to the next level in the metaverse

    Metaverse platforms provide users with no-code and low-code options to build out their own environments. So far this looks like playing a game of Minecraft. Users in the digital environment use native tools to place geometric shapes and add textures. Other metaverse platforms allow users to design models or textures with tools outside the platform, often even programming behaviors for the objects, and then import them into the metaverse. These tools can be used effectively, but it can be a tedious way to create a customized digital space.

    Generative AI will address that by taking direction from users and quickly generating content to provide the desired metaverse setting. Generative AI can create content that’s meaningful based on natural inputs like language or visual information. For example, a user might give voice commands to a smart assistant and have a metaverse environment created or take photos of a real-world object from different angles to have its likeness digitally imported.

    Synthetic data will also play a role in the metaverse. Instead of relying only on people to create a lot of relevant data to train AI, metaverse platform providers will also use simulated data to provide context. NVIDIA’s Omniverse Replicator engine provides this capability and can be used to train self-driving cars and manipulator robots for a factory environment (NVIDIA Newsroom, 2021).

    Meta’s Plans

    Meta is planning to use generative AI to allow users to construct their VR environments. It will allow users to describe a world to a voice assistant and have it created for them. Users could also speak to each other in different languages with the aid of a universal translator. Separately, Project CAIRaoke combines cognitive vision with a voice assistant to help a user cook dinner. It keeps track of where the ingredients are in the kitchen and guides the user through the steps (Reuters, 2022).

    Microsoft’s Plans

    Microsoft Mesh includes AI resources to help create natural interactions through speech and vision learning models. HoloLens 2 already uses AI models to track users’ hands and eye movements as well as map content onto the physical world. This will be reinforced in the cloud through Microsoft Azure’s AI capabilities (Microsoft Innovation Stories, 2021).

    Blockchain will provide a way to manage digital identity and assets across metaverse platforms

    Users will want a way to own their metaverse identity and valued digital possessions

    Blockchain technology provides a decentralized digital ledger that immutably records transactions. A specific blockchain can either be permissioned, with one central party determining who gets access, or permissionless, in which anyone with the means can transact on the blockchain. The permissionless variety emerged in 2008 as the foundation of Bitcoin. It's been a disruptive force in the financial industry, with Bitcoin inspiring a long list of offshoot cryptocurrencies, and now even central banks are examining moving to a digital currency standard.

    In the past couple of years, blockchain has spurred a new economy around digital assets. Smart contracts can be used to create a token on a blockchain and bind it to a specific digital asset. These assets are called non-fungible tokens (NFTs). Owners of NFTs can prove their chain of ownership and sell their tokens to others on a variety of marketplaces.

    Blockchain could be useful in the metaverse to track digital identity, manage digital assets, and enable data portability. Users could register their own avatars as NFTs to prove they are the real person behind their digital representation. They may also want a way to verify they own a virtual plot of land or demonstrate the scarcity of the digital clothing they are wearing in the metaverse. If users want to leave a certain metaverse platform, they could export their avatar and digital assets to a digital wallet and transfer them to another platform that supports the same standards.

    In the past, centralized platforms that create economies in a virtual world were able to create digital currencies and sell specific assets to users without the need for blockchain. Second Life is a good example, with Linden Labs providing a virtual token called Linden Dollars that users can exchange to buy goods and services from each other within the virtual world. Second Life processes 345 million transactions a year for virtual goods and reports a GDP of $650 million, which would put it ahead of some countries (VentureBeat, 2022). However, the value is trapped within Second Life and can't be exported elsewhere.

    Meta’s Plans

    Meta ended its Diem project in early 2022, winding down its plan to offer a digital currency pegged to US dollars. Assets were sold to Silvergate Bank for $182 million. On February 24, blockchain developer Atmos announced it wanted to bring the project back to life. Composed of many of the original developers that created Diem while it was still a Facebook project, the firm plans to raise funds based on the pitch that the new iteration will be "Libra without Facebook“ (CoinDesk, 2022).

    Microsoft’s Plans

    Microsoft expanded its team of blockchain developers after its lead executive in this area stated the firm is closely watching cryptocurrencies and NFTs. Blockchain Director York Rhodes tweeted on November 8, 2021, that he was expanding his team and was interested to connect with candidates "obsessed with Turing complete, scarce programmable objects that you can own & transfer & link to the real world through a social contract.”

    The enterprise metaverse holds implications for IT across several functional areas

    Improve maturity in these four areas first

    • Infrastructure & Operations
      • Lay the foundation
    • Security & Risk
      • Mitigate the risks
    • Apps
      • Deploy the precursors
    • Data & BI
      • Prepare to integrate
    Info-Tech and COBIT5's IT Management & Governance Framework with processes arranged like a periodic table. Highlighted process groups are 'Infrastructure & Operations', 'Security & Risk', 'Apps', and 'Data & BI'.

    Infrastructure & Operations

    Make space for the metaverse

    Risks

    • Network congestion: Connecting more devices that will be delivering highly graphical content will put new pressures on networks. Access points will have more connections to maintain and transit pathways more bandwidth to accommodate.
    • Device fragmentation: Currently many different vendors are selling augmented reality headsets used in the enterprise, including Google, Epson, Vuzix, and RealWear. More may enter soon, creating various types of endpoints that have different capabilities and different points of failure.
    • New workflows: Enterprises will only be able to benefit from deploying mixed reality devices if they're able to make them very useful to workers. Serving up relevant information in the context of a hands-free interface will become a new competency for enterprises to master.

    Mitigations

    • Dedicated network: Some companies are avoiding the congestion issue by creating a separate network for IoT devices on different infrastructure. For example, they might complement the Wi-Fi network with a wireless network on 5G or LoRaWAN standards.
    • Partner with systems integrators: Solutions vendors bringing metaverse solutions to the enterprise are already working with systems integrator partners to overcome integration barriers. These vendors are solving the problems of delivering enterprise content to a variety of new mixed reality touchpoints and determining just the right information to expose to users, at the right time.

    Security & Risk

    Mitigate metaverse risks before they take root

    Risks

    • Broader attack surface: Adding new mixed reality devices to the enterprise network will create more potential points of ingress for a cyberattack. Previous enterprise experiences with IoT in the enterprise have seen them exploited as weak points and used to create botnets or further infiltrate company networks.
    • More data in transit: Enterprise data will be flowing between these new devices and sometimes outside the company firewall to remote connections. Data from industrial IoT could also be integrated into these solutions and exposed.
    • New fraud opportunities: When Web 1.0 was first rolling out, not every company was able to secure the rights to the URL address matching its brand. Those not quick enough on the draw saw "domain squatters" use their brand equity to negotiate for a big pay day or, worse yet, to commit fraud. With blockchain opening up similar new digital real estate in Web3, the same risk arises.

    Mitigations

    • Mobile device management (MDM): New mixed reality headsets can be secured using existing MDM solutions on the market.
    • Encryption: Encrypting data end to end as it flows between IoT devices ensures that even if it does leak, it's not likely to be useful to a hacker.
    • Stake your claim: Claiming your brand's name in new Web3 domains may seems tedious, but it is likely to be cheap and might save you a headache down the line.

    Apps

    Deploy to your existing touchpoints

    Risks

    • Learning curves: Using new metaverse applications to complete tasks and collaborate with colleagues won’t be a natural progression for everyone. New headsets, gesture-based controls, and learning how to navigate the metaverse will present hurdles for users to overcome before they can be productive.
    • Is there a dress code in the metaverse? Avatars in the metaverse won’t necessarily look like the people behind the controls. What new norms will be needed to ensure avatars are appropriate for a work setting?
    • Fragmentation: Metaverse experiences are already creating islands. Users of Horizon Worlds can’t connect with colleagues using AltspaceVR. Similar to the challenges around different videoconferencing software, users could find they are divided by applications.

    Mitigations

    • Introduce concepts over time: Ask users to experiment with meeting in a VR context in a small group before expanding to a companywide conference event. Or have them use a headset for a simple video chat before they use it to complete a task in the field.
    • Administrative controls: Ensure that employees have some boundaries when designing their avatars, enforced either through controls placed on the software or through policies from HR.
    • Explore but don’t commit: It’s early days for these metaverse applications. Explore opportunities that become available through free trials and new releases to existing software suites but maintain flexibility to pivot should the need arise.

    Data & BI

    Deploy to your existing touchpoints

    Risks

    • Interoperability: There is no established standard for digital objects or behaviors in the metaverse. Meta and Microsoft say they are committed to open standards that will ensure portability of data across platforms, but how that will be executed isn’t clear yet.
    • Privacy: Sending data to another platform carries risks that it will be exfiltrated and stored elsewhere, presenting some challenges for companies that need to be compliant with legislation such as GDPR.
    • High-fidelity models: 3D models with photorealistic textures will come with high CPU requirements to render properly. Some head-mounted displays will run into limitations.

    Mitigations

    • Adopt standard interfaces: Using open APIs will be the most common path to integrating enterprise systems to metaverse applications.
    • Maintain compliance: The current approach enterprises take to creating data lakes and presenting them to platforms will extend to the metaverse. Building good controls and anonymizing data that resides in these locations will enable firms to interact in new platforms and remain compliant.
    • Right-sized rendering: Providing enough data to a device to make it useful without overburdening the CPU will be an important consideration. For example, TeamViewer uses polygon reduction to display 3D models on lower-powered head-mounted displays.

    More Info-Tech research to explore

    CIO Priorities 2022
    Priorities to compete in the digital economy.

    Microsoft Teams Cookbook
    Recipes for best practices and use cases for Microsoft Teams.

    Run Better Meetings
    Hybrid, virtual, or in person – set meeting best practices that support your desired meeting norms.

    Double Your Organization’s Effectiveness With a Digital Twin
    Digital twin: A living, breathing reflection.

    Contributing experts

    Photo of Dr. Hendrik Witt, Chief Product Officer, TeamViewer

    Dr. Hendrik Witt
    Chief Product Officer,
    TeamViewer

    Photo of Kevin Tucker, Principal Research Director, Industry Practice, INFO-TECH RESEARCH GROUP

    Kevin Tucker
    Principal Research Director, Industry Practice,
    INFO-TECH RESEARCH GROUP

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    Culliford, Elizabeth. “Meta’s Zuckerberg Unveils AI Projects Aimed at Building Metaverse Future.” Reuters, 24 Feb. 2022. Web.

    Davies, Nahla. “Cybersecurity and the Metaverse: Pioneering Safely into a New Digital World.” GlobalSign Blog, 10 Dec. 2021. GlobalSign by GMO. Web.

    Doctorow, Cory. “Neuromancer Today.” Medium, 10 Feb. 2022. Web.

    Heath, Alex. “Meta’s Social VR Platform Horizon Hits 300,000 Users.” The Verge, 17 Feb. 2022. Web.

    “Holoportation™.” Microsoft Research, 22 Feb. 2022. Microsoft. Accessed 3 March 2022.

    Isaac, Mike. “Meta Spent $10 Billion on the Metaverse in 2021, Dragging down Profit.” The New York Times, 2 Feb. 2022. Web.

    Isaac, Mike, and Sheera Frenkel. “Out With the Facebookers. In With the Metamates.” The New York Times, 15 Feb. 2022. Web.

    Langston, Jennifer. “‘You Can Actually Feel like You’re in the Same Place’: Microsoft Mesh Powers Shared Experiences in Mixed Reality.” Microsoft Innovation Stories, 2 Mar. 2021. Microsoft. Web.

    “Maple Leaf Sports & Entertainment and AWS Team Up to Transform Experiences for Canadian Sports Fans.” Amazon Press Center, 23 Feb. 2022. Amazon.com. Accessed 24 Feb. 2022. Web.

    Marquez, Reynaldo. “How Microsoft Will Move To The Web 3.0, Blockchain Division To Expand.” Bitcoinist.com, 8 Nov. 2021. Web.

    Metinko, Chris. “Securing The Metaverse—What’s Needed For The Next Chapter Of The Internet.” Crunchbase News, 6 Dec. 2021. Web.

    Metz, Rachel Metz. “Why You Can’t Have Legs in Virtual Reality (Yet).” CNN, 15 Feb. 2022. Accessed 16 Feb. 2022.

    “Microsoft to Acquire Activision Blizzard to Bring the Joy and Community of Gaming to Everyone, across Every Device.” Microsoft News Center, 18 Jan. 2022. Microsoft. Web.

    Nath, Ojasvi. “Big Tech Is Betting Big on Metaverse: Should Enterprises Follow Suit?” Toolbox, 15 Feb. 2022. Accessed 24 Feb. 2022.

    “NVIDIA Announces Omniverse Replicator Synthetic-Data-Generation Engine for Training AIs.” NVIDIA Newsroom, 9 Nov. 2021. NVIDIA. Accessed 9 Mar. 2022.

    “NVIDIA Omniverse - Designing, Optimizing and Operating the Factory of the Future. 2021. YouTube, uploaded by NVIDIA, 13 April 2021. Web.

    Peters, Jay. “Disney Has Appointed a Leader for Its Metaverse Strategy.” The Verge, 15 Feb. 2022. Web.

    Robinson, Joanna. The Sci-Fi Guru Who Predicted Google Earth Explains Silicon Valley’s Latest Obsession.” Vanity Fair, 23 June 2017. Accessed 13 Feb. 2022.

    Scoble, Robert. “New Startup Mixes Reality with Computer Vision and Sets the Stage for an Entire Industry.” Scobleizer, 17 Feb. 2022. Web.

    Seward, Zack. “Ex-Meta Coders Raising $200M to Bring Diem Blockchain to Life: Sources.” CoinDesk, 24 Feb. 2022. Web.

    Shrestha, Rakesh, et al. “A New Type of Blockchain for Secure Message Exchange in VANET.” Digital Communications and Networks, vol. 6, no. 2, May 2020, pp. 177-186. ScienceDirect. Web.

    Sood, Vishal. “Gain a New Perspective with Dynamics 365 Connected Spaces.” Microsoft Dynamics 365 Blog, 2 Nov. 2021. Microsoft. Web.

    Takahashi, Dean. “Philip Rosedale’s High Fidelity Cuts Deal with Second Life Maker Linden Lab.” VentureBeat, 13 Jan. 2022 Web.

    “TeamViewer Capital Markets Day 2021.” TeamViewer, 10 Nov. 2021. Accessed 22 Feb. 2022.

    VR for Work. Oculus.com. Accessed 1 Mar. 2022.

    Wunderman Thompson Intelligence. “New Trend Report: Into the Metaverse.” Wunderman Thompson, 14 Sept. 2021. Accessed 16 Feb. 2022.

    Define the Role of Project Management in Agile and Product-Centric Delivery

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    • There are many voices with different opinions on the role of project management. This causes confusion and unnecessary churn.
    • Project management and product management naturally align to different time horizons. Harmonizing their viewpoints can take significant work.
    • Different parts of the organization have diverse views on how to govern and fund pieces of work, which leads to confusion when it comes to the role of project management.

    Our Advice

    Critical Insight

    There is no one-size-fits-all approach to product delivery. For many organizations product delivery requires detailed project management practices, while for others it requires much less. Taking an outcome-first approach when planning your product transformation is critical to make the right decision on the balance between project and product management.

    Impact and Result

    • Get alignment on the definition of projects and products.
    • Understand the differences between delivering projects and delivering products.
    • Line up your project management activities with the needs of Agile and product-centric projects.
    • Understand how funding can change when moving away from project-centric delivery.

    Define the Role of Project Management in Agile and Product-Centric Delivery Research & Tools

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Define the Role of Project Management in Agile and Product-Centric Delivery – A guide that walks you through how to define the role of project management in product-centric and Agile delivery environments.

    The activities in this research will guide you through clarifying how you want to talk about projects and products, aligning project management and agility, specifying the different activities for project management, and identifying key differences with funding of products instead of projects.

    • Define the Role of Project Management in Agile and Product-Centric Delivery Storyboard
    [infographic]

    Further reading

    Define the Role of Project Management in Agile and Product-Centric Delivery

    Projects and products are not mutually exclusive.

    Table of Contents

    3 Analyst Perspective

    4 Executive Summary

    7 Step 1.1: Clarify How You Want to Talk About Projects and Products

    13 Step 1.2: Align Project Management and Agility

    16 Step 1.3: Specify the Different Activities for Project Management

    20 Step 1.4: Identify Key Differences in Funding of Products Instead of Projects

    25 Where Do I Go Next?

    26 Bibliography

    Analyst Perspective

    Project management still has an important role to play!

    When moving to more product-centric delivery practices, many assume that projects are no longer necessary. That isn’t necessarily the case!

    Product delivery can mean different things to different organizations, and in many cases it can involve the need to maintain both projects and project delivery.

    Projects are a necessary vehicle in many organizations to drive value delivery, and the activities performed by project managers still need to be done by someone. It is the form and who is involved that will change the most.

    Photo of Ari Glaizel, Practice Lead, Applications Delivery and Management, Info-Tech Research Group.

    Ari Glaizel
    Practice Lead, Applications Delivery and Management
    Info-Tech Research Group

    Executive Summary

    Your Challenge
    • Organizations are under pressure to align the value they provide with the organization’s goals and overall company vision.
    • In response, they are moving to more product-centric delivery practices.
    • Previously, project managers focused on the delivery of objectives through a project, but changes in delivery practices result in de-emphasizing this. What should project managers should be doing?
    Common Obstacles
    • There are many voices with different opinions on the role of project management. This causes confusion and unnecessary churn.
    • Project management and product management naturally align to different time horizons. Harmonizing their viewpoints can take significant work.
    • Different parts of the organization have very specific views on how to govern and fund pieces of work, which leads to confusion about the role of project management.
    Info-Tech’s Approach
    • Get alignment on the definition of projects and products.
    • Understand the differences between delivering projects and products.
    • Line up your project management activities with the needs of Agile and product-centric projects.
    • Understand how funding can change when moving away from project-centric delivery.

    Info-Tech Insight

    There is no one-size-fits-all approach to product delivery. For many organizations product delivery requires detailed project management practices, while for others it requires much less. Taking an outcome-first approach when planning your product transformation is critical to make the right decision on the balance between project and product management.

    Your evolution of delivery practice is not a binary switch

    1. PROJECTS WITH WATERFALL The project manager is accountable for delivery of the project, and the project manager owns resources and scope.
    2. PROJECTS WITH AGILE DELIVERY A transitional state where the product owner is accountable for feature delivery and the project manager accountable for the overall project.
    3. PRODUCTS WITH AGILE PROJECT AND OPERATIONAL DELIVERY The product owner is accountable for the delivery of the project and products, and the project manager plays a role of facilitator and enabler.
    4. PRODUCTS WITH AGILE DELIVERY Delivery of products can happen without necessarily having projects. However, projects could be instantiated to cover major initiatives.

    Info-Tech Insight

    • Organizations do not need to go to full product and Agile delivery to improve delivery practices! Every organization needs to make its own determination on how far it needs to go. You can do it in one step or take each step and evaluate how well you are delivering against your goals and objectives.
    • Many organizations will go to Products With Agile Project and Operational Delivery, and some will go to Products With Agile Delivery.

    Activities to undertake as you transition to product-centric delivery

    1. PROJECTS WITH WATERFALL
      • Clarify how you want to talk about projects and products. The center of the conversation will start to change.
    2. PROJECTS WITH AGILE DELIVERY
      • Align project management and agility. They are not mutually exclusive (but not necessarily always aligned).
    3. PRODUCTS WITH AGILE PROJECT AND OPERATIONAL DELIVERY
      • Specify the different activities for project management. As you mature your product practices, project management becomes a facilitator and collaborator.
    4. PRODUCTS WITH AGILE DELIVERY
      • Identify key differences in funding. Delivering products instead of projects requires a change in the focus of your funding.

    Step 1.1

    Clarify How You Want to Talk About Projects and Products

    Activities
    • 1.1.1 Define “product” and “project” in your context
    • 1.1.2 Brainstorm potential changes in the role of projects as you become Agile and product-centric

    This step involves the following participants:

    • Product owners
    • Product managers
    • Development team leads
    • Portfolio managers
    • Business analysts

    Outcomes of this step

    • An understanding of how the role can change through the evolution from project to more product-centric practices

    Definition of terms

    Project

    “A temporary endeavor undertaken to create a unique product, service, or result. The temporary nature of projects indicates a beginning and an end to the project work or a phase of the project work. Projects can stand alone or be part of a program or portfolio.” (PMBOK, PMI)
    Stock image of an open head with a city for a brain.

    Product

    “A tangible solution, tool, or service (physical or digital) that enables the long-term and evolving delivery of value to customers and stakeholders based on business and user requirements.” (Deliver on Your Digital Product Vision, Info-Tech Research Group)

    Info-Tech InsightLet these definitions be a guide, not necessarily to be taken verbatim. You need to define these terms in your context based on your particular needs and objectives. The only caveat is to be consistent with your usage of these terms in your organization.

    1.1.1 Define “product” and “project” in your context

    30-60 minutes

    Output: Your enterprise/organizational definition of products and projects

    Participants: Executives, Product/project managers, Applications teams

    1. Discuss what “product” and “project” mean in your organization.
    2. Create common, enterprise-wide definitions for “product” and “project.”
    3. Screenshot of the previous slide's definitions of 'Project' and 'Product'.

    Agile and product management does not mean projects go away

    Diagram laying out the roadmap for 'Continuous delivery of value'. Beginning with 'Projects With Agile Delivery' in which Projects with features and services end in a Product Release that is disconnected from the continuum. Then the 'Products With Agile Project and Operational Delivery' and 'Products With Agile Delivery' which are connected by a 'Product Roadmap' and 'Product Backlog' have Product Releases that connect to the continuum.

    Projects Within Products

    Regardless of whether you recognize yourself as a “product-based” or “project-based” shop, the same basic principles should apply.

    You go through a period or periods of project-like development to build or implement a version of an application or product.

    You also have parallel services along with your project development that encompass the more product-based view. These may range from basic support and maintenance to full-fledged strategy teams or services like sales and marketing.

    Info-Tech Note

    As your product transformation continues, projects can become optional and needed only as part of your organization’s overall delivery processes

    Identify the differences between a project-centric and a product-centric organization

    Project Product
    Fund projects — Funding –› Fund teams
    Line-of-business sponsor — Prioritization –› Product owner
    Project owner — Accountability –› Product owner
    Makes specific changes to a product —Product management –› Improves product maturity and support of the product
    Assignment of people to work — Work allocation –› Assignment of work to product teams
    Project manager manages — Capacity management –› Team manages

    Info-Tech Insight

    Product delivery requires significant shifts in the way you complete development and implementation work and deliver value to your users. Make the changes that support improving end-user value and enterprise alignment.

    1.1.2 Brainstorm potential changes in the role of projects as you become Agile and product-centric

    5-10 minutes

    Output: Increased appreciation of the relationship between project and product delivery

    Participants: Executives, Product/project managers, Applications teams

    • Discuss as a group:
      • What stands out in the evolution from project to product?
      • What concerns do you have with the change?
      • What will remain the same?
      • Which changes feel the most impactful?
      • Screenshot of the slide's 'Continuous delivery of value' diagram.

    Step 1.2

    Align Project Management and Agility

    Activities
    • 1.2.1 Explore gaps in Agile/product-centric delivery of projects

    This step involves the following participants:

    • Executives
    • Product/Project managers
    • Applications teams

    Outcomes of this step

    • A clearer view of how agility can be introduced into projects.

    Challenges with the project management role in Agile and product-centric organizations

    Many project managers feel left out in the cold. That should not be the case!

    In product-centric, Agile teams, many roles that a project manager previously performed are now taken care of to different degrees by the product owner, delivery team, and process manager.

    The overall change alters the role of project management from one that orchestrates all activities to one that supports, monitors, and escalates.

    Product Owner
    • Defines the “what” and heavily involved in the “when” and the “why”
    • Accountable for delivery of value
    Delivery team members
    • Define the “how”
    • Accountable for building and delivering high-quality deliverables
    • Can include roles like user experience, interaction design, business analysis, architecture
    Process Manager
    • Facilitates the other teams to ensure valuable delivery
    • Can potentially, in a Scrum environment, play the scrum master role, which involves leading scrums, retrospectives, and sprint reviews and working to resolve team issues and impediments
    • Evolves into more of a facilitator and communicator role

    1.2.1 Explore gaps in Agile/ product-centric delivery of projects

    5-10 minutes

    Output: An assessment of what is in the way to effectively deliver on Agile and product-focused projects

    Participants: Executives, Product/project managers, Applications teams

    • Discuss as a group:
      • What project management activities do you see in Agile/product roles?
      • What gaps do you see?
      • How can project management help Agile/product teams be successful?

    Step 1.3

    Specify the Different Activities for Project Management

    Activities
    • 1.3.1 Articulate the changes in a project manager’s role

    This step involves the following participants:

    • Executives
    • Product/Project managers
    • Applications teams

    Outcomes of this step

    • An understanding of the role of project management in an Agile and product context

    Kicking off the project

    Product-centric delivery still requires key activities to successfully deliver value. Where project managers get their information from does change.

    Stock photo of many hands grabbing a 2D rocketship.
    Project Charter

    Project managers should still define a charter and capture the vision and scope. The vision and high-level scope is primarily defined by the product owner.

    Key Stakeholders and Communication

    Clearly defining stakeholders and communication needs is still important. However, they are defined based on significant input and cues by the product owner.

    Standardizing on Tools and Processes

    To ensure consistency across projects, project managers will want to align tools to how the team manages their backlog and workflow. This will smooth communication about status with stakeholders.

    Info-Tech Insight

    1. Product management plays a similar role to the one that was traditionally filled by the project sponsor except for a personal accountability to the product beyond the life of the project.
    2. When fully transitioned to product-centric delivery, these activities could be replaced by a product canvas. See Deliver on Your Digital Product Vision for more information.

    During the project: Three key activities

    The role of project management evolves from a position of ownership to a position of communication, collaboration, and coordination.

    1. Support
      • Communicate Agile/product team needs to leadership
      • Liaise and co-ordinate for non-Agile/product-focused parts of the organization
      • Coach members of the team
    2. Monitoring
      • Regular status updates to PMO still required
      • Metrics aligned with Agile/product practices
      • Leverage similar tooling and approaches to what is done locally on Agile/product teams (if possible)
    3. Escalation
      • Still a key escalation point for roadblocks that go outside the product teams
      • Collaborate closely with Agile/product team leadership and scrum masters (if applicable)
    Cross-section of a head, split into three levels with icons representing the three steps detailed on the left, 'Support', 'Monitoring', and 'Escalation'.

    1.3.1: Articulate the changes in a project manager’s role

    5-10 minutes

    Output: Current understanding of the role of project management in Agile/product delivery

    Participants: Executives, Product/project managers, Applications teams

    Why is this important?

    Project managers still have a role to play in Agile projects and products. Agreeing to what they should be doing is critical to successfully moving to a product-centric approach to delivery.

    • Review how Info-Tech views the role of project management at project initiation and during the project.
    • Review the state of your Agile and product transformation, paying special attention to who performs which roles.
    • Discuss as a group:
      • What are the current activities of project managers in your organization?
      • Based on how you see delivery practices evolving, what do you see as the new role of project managers when it comes to Agile-centric and product-centric delivery.

    Step 1.4

    Identify Key Differences in Funding of Products Instead of Projects

    Activities
    • 1.4.1 Discuss traditional versus product-centric funding methods

    This step involves the following participants:

    • Executives
    • Product owners
    • Product managers
    • Project managers
    • Delivery managers

    Outcomes of this step

    • Identified differences in funding of products instead of projects

    Planning and budgeting for products and families

    Reward for delivering outcomes, not features

    Autonomy

    Icon of a diamond.

    Fund what delivers value

    Fund long-lived delivery of value through products (not projects).

    Give autonomy to the team to decide exactly what to build.

    Flexibility

    Icon of a dollar sign.

    Allocate iteratively

    Allocate to a pool based on higher-level business case.

    Provide funds in smaller amounts to different product teams and initiatives based on need.

    Arrow cycling right in a clockwise motion.



    Arrow cycling left in a clockwise motion.

    Accountability

    Icon of a target.

    Measure and adjust

    Product teams define metrics that contribute to given outcomes.

    Track progress and allocate more (or less) funds as appropriate.

    Stock image of two suited hands exchanging coins.

    Info-Tech Insight

    Changes to funding require changes to product and Agile practices to ensure product ownership and accountability.

    (Adapted from Bain & Company)

    Budgeting approaches must evolve as you mature your product operating environment

    TRADITIONAL PROJECTS WITH WATERFALL DELIVERY TRADITIONAL PROJECTS WITH AGILE DELIVERY PRODUCTS WITH AGILE PROJECT DELIVERY PRODUCTS WITH AGILE DELIVERY

    WHEN IS THE BUDGET TRACKED?

    Budget tracked by major phases Budget tracked by sprint and project Budget tracked by sprint and project Budget tracked by sprint and release

    HOW ARE CHANGES HANDLED?

    All change is by exception Scope change is routine; budget change is by exception Scope change is routine; budget change is by exception Budget change is expected on roadmap cadence

    WHEN ARE BENEFITS REALIZED?

    Benefits realization post project completion Benefits realization ongoing throughout the life of the project Benefits realization ongoing throughout the life of the product Benefits realization ongoing throughout life of the product

    WHO DRIVES?

    Project Manager
    • Project team delivery role
    • Refines project scope, advocates for changes in the budget
    • Advocates for additional funding in the forecast
    Product Owner
    • Project team delivery role
    • Refines project scope, advocates for changes in the budget
    • Advocates for additional funding in the forecast
    Product Manager
    • Product portfolio team role
    • Forecasting new initiatives during delivery to continue to drive value throughout the life of the product
    Product Manager
    • Product family team role
    • Forecasting new initiatives during delivery to continue to drive value throughout the life of the product
    ˆ ˆ
    Hybrid Operating Environments

    Info-Tech Insight

    As you evolve your approach to product delivery, you will be decoupling the expected benefits, forecast, and budget. Managing them independently will improve your ability adapt to change and drive the right outcomes!

    1.4.1 Discuss traditional versus product-centric funding methods

    30 minutes

    Output: Understanding of funding principles and challenges

    Participants: Executives, Product owners, Product managers, Project managers, Delivery managers

    1. Discuss how projects are currently funded.
    2. Review how the Agile/product funding models differ from how you currently operate.
    3. What changes do you need to consider to support a product delivery model?
    4. For each change, identify the key stakeholders and list at least one action to take.

    Case Study

    Global Digital Financial Services Company

    This financial services company looked to drive better results by adopting more product-centric practices.

    • Its projects exhibited:
      • High complexity/strong dependencies between components
      • High implementation effort
      • High clarification/reconciliation (more than two departments involved)
      • Multiple methodologies (Agile/Waterfall/Hybrid)
    • The team recognized they could not get rid of projects entirely, but getting to a level where there was a coordinated delivery between projects and products being implemented is important.
    Results
    • Moving several initiatives to more product-centric practices allowed for:
      • Delivery within current assigned capacity
      • Limited need for coordination across departments
      • Lower complexity
      • A unified Agile approach to delivery
    • Through balancing the needs of projects and products, there were three key insights about the project management’s role:
      • The role of project management changes depending on the context of the work. There is no one-size-fits-all definition.
      • Project management played a much bigger role when work spanned multiple products and business units.
      • Project management was used as a key coordinator when delivery became complicated and multilayered.
    Example of a company where practices fall equally into 'Project' and 'Product' categories, with some being shared by both.
    Example of a product-centric company where practices fall mainly into the 'Product category', leaving only one in 'Project'.

    Where Do I Go Next?

    Deliver on Your Digital Product Vision

    • Build a product vision your organization can take from strategy through execution.

    Build a Better Product Owner

    • Strengthen the product owner role in your organization by focusing on core capabilities and proper alignment.

    Implement Agile Practices That Work

    • Improve collaboration and transparency with the business to minimize project failure.

    Implement DevOps Practices That Work

    • Streamline business value delivery through the strategic adoption of DevOps practices.

    Prepare an Actionable Roadmap for Your PMO

    • Turn planning into action with a realistic PMO timeline.

    Deliver Digital Products at Scale

    • Deliver value at the scale of your organization through defining enterprise product families.

    Extend Agile Practices Beyond IT

    • Further the benefits of Agile by extending a scaled Agile framework to the business.

    Spread Best Practices With an Agile Center of Excellence

    • Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

    Tailor IT Project Management Processes to Fit Your Projects

    • Spend less time managing processes and more time delivering results.

    Bibliography

    Cobb, Chuck. “Are there Project Managers in Agile?” High Impact Project Management, n.d. Web.

    Cohn, Mike. “What Is a Product?” Mountain Goat Software, 6 Sept. 2016. Web.

    Cobb, Chuck. “Agile Project Manager Job Description.” High Impact Project Management, n.d. Web.

    “How do you define a product?” Scrum.org, 4 April 2017. Web.

    Johnson, Darren, et al. “How to Plan and Budget for Agile at Scale.” Bain & Company, 8 Oct. 2019. Web.

    “Product Definition.” SlideShare, uploaded by Mark Curphey, 25 Feb. 2007. Web.

    Project Management Institute. A Guide to the Project Management Body of Knowledge (PMBOK Guide). 7th ed., Project Management Institute, 2021.

    Schuurman, Robbin. “Scrum Master vs Project Manager – An Overview of the Differences.” Scrum.org, 11 Feb 2020. Web.

    Schuurman, Robbin. “Product Owner vs Project Manager.” Scrum.org, 12 March 2020. Web.

    Vlaanderen, Kevin. “Towards Agile Product and Portfolio Management.” Academia.edu, 2010. Web.

    “What is a Developer in Scrum?” Scrum.org, n.d. Web.

    “What is a Scrum Master?” Scrum.org, n.d. Web.

    “What is a Product Owner?” Scrum.org, n.d. Web.

    Build an IT Succession Plan

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    • Parent Category Name: Lead
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    • Pending retirements in key roles create workforce risks and potentially impact business continuity.
    • Fifty-six percent of organizations have not engaged in succession planning, so they haven’t identified at-risk key roles or successors for those roles.

    Our Advice

    Critical Insight

    • Just under 60% of organizations haven't tackled succession planning.
    • This means that three out of five organizations don’t know what skills they need for the future or what their key roles truly are. They also haven’t identified at-risk key roles or successors for those roles.
    • In addition, 74% of organizations have no formal process for facilitating knowledge transfer between individuals, so knowledge will be lost.

    Impact and Result

    • Info-Tech's Key Roles Succession Planning Tool will help you assess key role incumbent risk factors as well as identify potential successors and their readiness. Pay particular attention to those employees in key roles that are nearing retirement, and flag them as high risk.
    • Plan for the transfer of critical knowledge held by key role incumbents. Managers and HR leaders see significant tacit knowledge gaps in younger workers; prioritize tacit knowledge in your transfer plan and leverage multiple transfer methods.
    • Explore alternative work arrangements to ensure sufficient time to prepare successors. A key role incumbent must be available to complete knowledge transfer.
    • Define formal transition plans for all employees in at-risk key roles and their successors by leveraging your workforce and succession planning outputs, knowledge transfer strategy, and selected alternative work arrangements.

    Build an IT Succession Plan Research & Tools

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Build an IT Succession Plan Deck – A step-by-step document that walks you through how to future-proof your IT team.

    Protect your team and organization from losses associated with departure of people from key roles. This blueprint will help you build an IT succession plan to ensure critical knowledge doesn’t walk out the door and continuity of business when people in key roles leave.

    • Build an IT Succession Plan Storyboard

    2. Critical Role Identifier – A tool to help you determine which roles are most critical to the success of your team.

    The purpose of this tool is to help facilitate a conversation around critical roles.

    • Critical Role Identifier

    3. Key Role Succession Planning Template – A tool that walks you through reviewing your talent, succession planning, and determining successor readiness.

    This tool will help IT leaders work through key steps in succession development for each employee in the team, and present summaries of the findings for easy reference and defensibility.

    • Key Roles Succession Planning Tool

    4. Role Profile Template – A template that helps you outline the minimum requirements for each critical role addressed in succession planning.

    This template is a guide and the categories can be customized to your organization.

    • Role Profile Template

    5. Individual Talent Profile Template – A template to assess an employee against the role profiles of critical roles.

    This profile provides the basis for evidence-based comparison of talent in talent calibration sessions.

    • Individual Talent Profile Template

    6. Role Transition Plan Template – A template to help you plan to implement knowledge transfer and alternative work arrangements.

    As one person exits a role and a successor takes over, a clear checklist-based plan will help ensure a smooth transition.

    • Role Transition Plan Template
    [infographic]

    Further reading

    INFO~TECH RESEARCH GROUP

    Build an IT Succession Plan

    Future-proof your IT team.


    Build an IT Succession Plan

    Future-proof your IT team.

    EXECUTIVE BRIEF

    Executive Summary

    Your Challenge

    Most organizations are unprepared for the loss of employees who hold key roles.

    • The departure of employees in key roles results in the loss of valuable knowledge, core business relationships, and profits.
    • Pending retirements in key roles create workforce risks and potentially impact business continuity.

    Planning and executing on key role transition can take years. CIOs should prepare now to mitigate the risk of loss later.

    Common Obstacles
    • The number of organizations which have not engaged in succession planning is 56%; they haven’t identified at-risk key roles, or successors for those roles.
    • Analyzing key roles at the incumbent and successor level introduces real-life, individual-focused factors that have a major impact on role-related risk.
    Info-Tech’s Approach
    • Plan for the transfer of critical knowledge held by key role incumbents.
    • Explore alternative work arrangements to ensure sufficient time to prepare successors.
    • Define formal transition plans for all employees in at-risk key roles and their successors.

    Info-Tech Insight

    Losing employees in key roles without adequate preparation hinders productivity, knowledge retention, relationships, and opportunities. Implement scalable succession planning to mitigate the risks.

    Most organizations are unprepared for the loss of employees who hold key roles

    Due to the atmosphere of uncertainty.

    Not only do they not have the right processes in place, but they are also ill-equipped to deal with the sheer volume of retirees in the future.

    Over 58% of organizations are unprepared for Baby Boomer retirement. Only 8% said they were very prepared.

    Pie chart with percentages of organizations who are prepared for Baby Boomer retirement.
    (Source: McLean & Company, 2013; N=120)

    A survey done by SHRM and AARP found similar results: 41% of HR professionals said their organizations have done nothing and don’t plan to do anything to prepare for a possible worker shortage as Boomers retire.

    (Source: Poll: Organizations Can Do More to Prepare for Talent Shortage as Boomers Retire)
    This means that three out of five organizations don’t know what skills they need for the future, or what their key roles truly are. They also have not identified at-risk key roles or successors for those roles.
    (Source: McLean & Company, 2013, N=120)

    To make matters worse, 74% of organizations have no formal process for facilitating knowledge transfer between individuals, so knowledge will be lost.

    Pie chart with percentages of organizations with a formal process for facilitating knowledge transfer.
    (Source: McLean & Company, 2013; N=120)

    Most organizations underestimate the costs associated with ignoring succession planning

    “In many cases, executives have no idea what knowledge they are losing.” (TLNT: Lost Knowledge – What Are You and Your Organization Doing About It?”)
    Objections to succession planning now: The risks of this mindset…
    “The recession bought us time to plan for Baby Boomer retirement.” Forty-two percent of organizations believe this to be true and may feel a false sense of security. Assume it takes three years to identify an internal successor for a key role, develop them, and execute the transition. Add the idea that, like most organizations, you don’t have a repeatable process for doing this. Do you still have enough time?
    “The skills possessed by my organization’s Baby Boomers are easy to develop in others internally.” Forty percent of organizations agree with this statement, but given the low rate of workforce planning taking place, most may not actually know the skills and knowledge they need to meet future business goals. These organizations may realize their loss too late.
    “We don’t have the time to invest in succession planning.” Thirty-nine percent of organizations cite this as an obstacle, which is a very real concern. Adopting a simple, scalable process that focuses on the most mission critical key roles will be easier to digest, as well as eliminate time wasted trying to recoup losses in the long run. The costs of not planning are much higher than the costs of planning.
    “We don’t know when our boomers plan to retire, so we can’t really plan for it.” The fact that 42% of organizations do not know employees’ retirement plans is proof positive that they’re operating blind. You can’t plan for something if you don’t have any information about what to plan for or the time frame you’re working against.
    “My organization puts a premium on fresh ideas over experience.” While nearly 45% of organizations prioritize fresh ideas, 50% value experience more. Succession planning and knowledge transfer are important strategies for ensuring experience is retained long enough for it to be passed along in the organization.

    Use Info-Tech’s tools and templates

    Talent Review

    Succession Planning

    Knowledge Transfer

    Key tools and templates to help you complete your project deliverables
    Key Roles Succession Planning Tool
    Critical Role Identifier
    Role Profile Template
    Individual Talent Profile Template
    Key Roles Succession Planning Tool
    Role Profile Template
    Individual Talent Profile Template
    Role Transition Plan Template
    Key Roles Succession Planning Tool
    Role Profile Template
    Individual Talent Profile Template
    Your completed project deliverables

    Critical Role Identifier

    Key Roles Succession Plan

    Key Role Profiles

    Individual Talent Profiles

    Key Role Transition Plans

    Ignoring succession planning could cause significant costs

    Losing knowledge will undermine your strategy in four ways:

    Inefficiency

    Inefficiency due to “reinvention of the wheel.” When workers leave and don’t effectively transfer their knowledge, duplication of effort to solve problems and find solutions occurs.

    Innovation

    Reduced capacity to innovate. Older workers know what works and what doesn’t, what’s new and what’s not. They can identify the status quo faster to make way for novel thinking.

    Competitive Advantage

    Loss of competitive advantage. Losing knowledge and/or established client relationships hurts your asset base and stifles growth.

    Vulnerability

    Increased vulnerability. Losing knowledge can impede your organizational ability to identify, understand, and mitigate risks. You’ll have to learn through experience all over again.

    Succession planning improves performance by reducing the impact of sudden departures

    Business Continuity

    Succession planning limits disruption to daily operations and minimizes recruitment costs:

    • The average time to fill a vacant role externally in the US is approximately 43 days (Workable). Succession planning can reduce this via a talent pool of ready-now successors.
    Engagement & Retention

    Effective succession planning is a tool for engaging, developing, and retaining employees:

    • Of departing employees, 45% cite lack of opportunities for career advancement as the moderate, major, or primary reason they left (McLean & Company Exit Survey, 2018, N=7,530).
    Innovation & Growth

    Knowledge is a strategic asset, and succession planning can help retain, grow, and capitalize on it:

    • Retaining the experience and expertise of individuals departing from critical roles supports and enhances the quality of innovation (Harvard Business Review, 2008).

    Info-Tech’s approach

    Talent Review

    Conduct a talent review to identify key roles

    Short bracket.
    Succession Planning

    Succession planning helps you assess which key roles are most at risk

    Long bracket.
    Knowledge Transfer

    Utilize methods that make it easy to apply the knowledge in day-to-day practice.

    Long bracket.
    Identify Critical Roles Assess Talent Identify Successors Develop Successors Select Successors Identify Critical Knowledge Select Transfer Methods Document Role Transition Plans

    Future-Proofed IT Team
    • Business continuity
    • The right people, in the right positions, at the right time
    • Retention due to employee development & growth
    • IT success
    • Decreased impact of sudden departures
    • Improved performance

    Info-Tech’s methodology for building an IT succession plan

    1. Talent Review 2. Succession Planning 3. Knowledge Transfer
    Phase Steps
    1. Identify critical roles
    2. Assess talent
    1. Identify successor pool
    2. Develop successors
    3. Select successors
    1. Identify critical knowledge
    2. Select knowledge transfer methods
    3. Document role transition plans
    Phase Outcomes
    • Documented business priorities
    • Identified critical roles including required skills and knowledge that support achievement of business strategy
    • Key at-risk roles identified.
    • Potential successors for key roles identified.
    • Gap assessment between key role incumbents and potential successors.
    • Critical knowledge risks identified.
    • Appropriate knowledge transfer methods selected.
    • Documented knowledge transfer initiatives for key role transition plans.

    Info-Tech offers various levels of support to best suit your needs

    DIY Toolkit

    Guided Implementation

    Workshop

    Consulting

    "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

    Diagnostics and consistent frameworks used throughout all four options

    Guided Implementation

    A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

    A typical GI is six to ten calls over the course of four to eight months.

    What does a typical GI on this topic look like?

    Phase 1

    Phase 2

    Phase 3

    Call #1: Scope requirements, objectives, and your specific challenges. Call #2:Review business priorities and clarify criteria weighting.

    Call #3: Review key role criteria. Explain information collection process.

    Call #4: Review risk and readiness assessments.

    Call #5: Analyze gaps between key roles and successors for key considerations.

    Call #6: Feedback and recommendations on critical knowledge risks.

    Call #7: Review selected transfer methods.

    Call #8: Analyze role transition plans for flags.

    Build an IT Succession Plan

    Phase 1

    Talent Review

    Phase 1

    1.1 Identify Critical Roles

    1.2 Assess Talent

    Phase 2

    2.1 Identify Successors

    2.2 Develop Successors

    2.3 Select Successors

    Phase 3

    3.1 Identify Critical Knowledge

    3.2 Select Transfer Methods

    3.3 Document Role Transition Plan

    This phase will walk you through:

    • Identifying your business priorities
    • Identifying your critical roles including required skills and knowledge that support achievement of business strategy

    Tools and resources used:

    • Key Roles Succession Planning Tool
    • Key Role Profile
    • Individual Talent Profile
    • Critical Role Identifier

    This phase involves the following participants:

    • IT leadership/management team
    • HR

    Conduct a talent review to identify key roles

    Sixty percent of organizations have not engaged in formal workforce planning, so they don’t know what skills they need or what their key roles truly are. (Source: McLean & Company, 2013; N=139)
    1. A talent review ensures that each work unit has the right people, in the right place, at the right time to successfully execute the business strategy.
    2. Only 40% of organizations have engaged in some form of workforce planning.
    3. The first step is to identify your business focus; with this information you can start to note the key roles that drive your business strategy.

    Key roles

    Where an organization’s most valued skills and knowledge reside

    Organizations should prepare now to mitigate the risk of loss later.

    Key roles are:

    • Held by the most senior people in the organization, who carry the bulk of leadership and decision-making responsibility.
    • Highly technical or specialized, and therefore difficult to replace.
    • Tied closely to unique or proprietary processes or possess knowledge that cannot be procured externally.
    • Critical to the continuation of business and cannot be left vacant without risking business operations.

    Info-Tech Insight

    Losing employees in key roles without adequate preparation for their departure has a direct impact on the bottom line in terms of disrupted productivity, lost knowledge, severed relationships, and missed opportunities.

    A tree of key roles, starting with CEO and branching down.

    Identifying key roles is the first step in a range of workforce management activities because it helps establish organizational needs and priorities, as well as focusing planning effort.

    A talent review allows you to identify the knowledge and skills you need today and for the long term.

    Knowing what you need is the first step in determining what you have and what you need to keep.

    • A talent review is an analytic planning process used to ensure a work unit has the right people, in the right place, at the right time, and for the right cost in order to successfully execute its business strategy. It allows organizations to:
    • Evaluate workforce demographics, review skills, and conduct position inventories.
    • Evaluate business continuity risk from a talent perspective by identifying potential workforce shortages.
    • Identify critical positions, critical skills for each position, and percentage of critical workers retiring to assess the potential impact of losing them.
    • Look at the effect of loss on new product development, revenues, costs, and business strategic objectives.

    Caution

    A talent review is a high-level planning process which does not take individual employees into consideration. Succession planning looks at individuals and will be discussed in Phase 2.

    A talent review gets you to think in terms of:

    • Where your organization wants to be in five years.
    • What skills the organization needs to meet business goals between now and then.
    • How it can be best positioned for the longer-term future.

    Note: Planning against a time frame longer than five years is difficult because uncertainty in the external business environment will have unforeseen effects. Revisit your plan annually and update it, considering changes.

    Step 1.1

    Identify critical roles

    Activities
    • 1.1.1 Document Business Priorities, Goals, and Challenges
    • 1.1.2 Clarify Key Role Criteria and Weighting
    • 1.1.3 Evaluate Role Importance
    • 1.1.4 Key Role Selection and Comparison
    • 1.1.5 Capture Key Elements of Critical Roles

    The primary goal of this step is to ensure we have effectively identified key roles based on business priorities, goals, and challenges, and to capture the key elements of critical roles.

    Outcomes of this step

    • Documented business priorities, goals, and challenges.
    • Key elements of critical roles captured.
    • Key role criteria and weighting.
    Talent Review
    Step 1.1 Step 1.2

    Business priorities will determine the knowledge and skills you value most

    Venn diagram of business priorities: 'Customer Focus', 'Operational Focus', and 'Product Focus'.
    Note: Most organizations will be a blend of all three, with one predominating
    “I’ve been in the position where the business assumes everyone knows what is required. It’s not until you get people into a room that it becomes clear there is misalignment. It all seems very intuitive but in a lot of cases they haven’t made the critical distinctions regarding what exactly the competencies are. They haven’t spent the time figuring out what they know.” (Anne Roberts, Principal, Leadership Within Inc.)

    1.1.1 Document business priorities

    Input: Business strategic plan

    Output: Completed workforce planning worksheet (Tab 2) of the Key Roles Succession Planning Tool

    Materials: Key Roles Succession Planning Tool

    Participants: IT leadership

    Start by identifying your business priorities based on your strategic plan. The goal of this exercise is to blast away assumptions and make sure leadership has a common understanding of your target.

    With the questions on the previous slide in mind document your business priorities, business goals, and business challenges in Tab 2 of the Key Roles Succession Planning Tool worksheet.

    Get clear answers to these questions:

    • Are we customer focused, product focused, or operationally focused? In other words, is your organization known for:
      • Great customer service or a great customer experience?
      • The lowest price?
      • Having the latest technology, or the best quality product?
    • What are our organizational/departmental business goals? To improve operational effectiveness, are we really talking about reducing operational costs?
    • What are the key business challenges to address within the context of our focus?

    Key Roles Succession Planning Tool

    Clarify what defines a key role

    A key role is crucial to achieving organizational objectives, drives business performance, and includes specialized and rare competencies. Key roles are high in strategic value and rarity – for example, the developer role for a tech company.
    Chart with axes 'Rarity' and 'Strategic Value'. Lowest in both are 'Supporting Roles', Highest in both are 'Critical Roles', and the space in the middle are 'Core Roles'. Look at two dimensions when examining roles:
    • Strategic value refers to the importance of the role in keeping the organization functioning and executing on the strategic objectives.
    • Rarity refers to how difficult it is to find and develop the competencies in the role.

    Info-tech insight

    Traditionally, succession planning has only addressed top management roles. However, until you look at the evidence, you won’t know if these are indeed high-value roles, and you may be missing other critical roles further down the hierarchy.

    Use the Critical Role Identifier to facilitate the identification of critical roles with your leaders.

    1.1.2 Clarify key role criteria & weighting

    Input: Business strategic plan

    Output: Weighted criteria to help identify critical roles

    Materials: Critical Role Identifier

    Participants: IT leadership

    1. Using Tab 2 of the Critical Role Identifier tool, along with the information on the previous slide, determine the relative importance of four criteria as contributing to the importance of a role within the organization.
    2. Rate each of the four criteria: strategic value, rarity, revenue generation, business/operation continuity, and any custom criteria numerically. You might choose only one or two criteria – they all do not need to be included.
    3. Document your decisions in Tab 2 of the Critical Role Identifier.

    Critical Role Identifier

    1.1.3 Evaluate role importance

    Input: List of IT roles

    Output: Full list of roles and a populated Critical Role Selection sheet (Tab 4)

    Materials: Critical Role Identifier

    Participants: IT leadership

    1. Using Tab 3 of the Critical Role Identifier, collect information about IT roles.
    2. Start by listing each role under consideration, and its department or subcategory.
    3. For each criteria statement listed across the top of the sheet, select an option from the drop-down menu to reflect the appropriate answer scale rating. Replace the text in grey with information customized to your team. If criteria has a weighting of zero in Tab 2, the questions associated with that criteria will be greyed out and do not have to be answered.

    Critical Role Identifier

    Identify the key roles that support and drive your business priorities

    Focus on key IT roles instead of all roles to save time and concentrate effort on your highest risk areas.

    Key Roles include:

    • Strategic Roles: Roles that give the greatest competitive advantage. Often these are roles that involve decision-making responsibility.
    • Core Roles: Roles that must provide consistent results to achieve business goals.
    • Proprietary Roles: Roles that are tied closely to unique or proprietary internal processes or knowledge that cannot be procured externally. These are often highly technical or specialized.
    • Required Roles: Roles that support the department and are required to keep it moving forward day-to-day.
    • Influential Roles: Positions filled by employees who are the backbone of the organization, the go-to people who are the corporate culture.
    Ask these questions to identify key roles:
    1. What are the roles that have a significant impact on delivering the business strategy?
    2. What are the key differentiating roles for our organization?
    3. Which roles, if vacant, would leave the organization open to non-compliance with regulatory or legal requirements?
    4. Which roles have a direct impact on the customer?
    5. Which roles, if vacant, would create system, function, or process failure for the organization?

    1.1.4 Key role selection and comparison

    Input: Tab 3 of the Critical Role Identifier

    Output: List of roles from highest to lowest criticality score, List of key roles entered in Tab 2 of the Key Roles Succession Planning Tool

    Materials: Critical Role Identifier, Key Roles Succession Planning Tool

    Participants: IT leadership

    1. Using tab 4 of the Critical Role Identifier, which displays the results of the role importance evaluation, review the weighted criticality score. To add or remove roles or departments make changes on Tab 3.
    2. Use this table to see the scores and roles from highest to lowest based on your weightings and scoring.
    3. In column J, classify the roles as critical, core, or supporting based on the weighted overall score and the individual criteria scores.
      1. Critical – is crucial to achieving organizational objectives, drives business performance, and includes specialized and rare skills.
      2. Core – is related to operational excellence. Highly strategically valuable but easy to find or develop.
      3. Supporting – is important in keeping business functioning; however, the strategic value is low. Competencies are easy to develop.
    4. Once you’ve selected the key roles, transfer them into Tab 2 of the Key Roles Succession Planning Tool worksheet where you have documented your business priorities.

    Critical Role Identifier

    Key Roles Succession Planning Tool

    1.1.5 Capture key elements of critical roles

    Input: Job descriptions, Success profiles, Competency profiles

    Output: List of required skills and knowledge for key roles, Role profiles documented for key roles

    Materials: Key Roles Succession Planning Tool, Role Profile Template

    Participants: IT leadership

    1. Document the minimum requirements for critical roles in column E and F of Tab 2 of the Key Roles Succession Planning Tool. Include elements that drive talent decisions, are measurable, and are oriented to future organizational needs.
    2. Consider how leadership competencies and technical skills tie to business expansion plans, new service offerings, etc.
    3. Use the Role Profile Template to help in this process and to maintain up-to-date information.
    4. Role profiles may be informed by existing job descriptions, success profiles, or competency profiles.
    5. Conduct regular maintenance on your role profiles. Outdated and inaccurate role-related information can make succession planning efforts ineffective.

    Key Roles Succession Planning Tool

    Role Profile Template

    Case Study

    Conduct a “sanity check” by walking through a checklist of all roles to ensure you haven’t missed anything.
    INDUSTRY
    Large Provincial Hospital
    SOURCE
    Payroll Manager
    Challenge
    • Key roles may not be what you think they are.
    • The Payroll Manager of a large Provincial hospital, with 20-year tenure, announced her retirement.
    • Throughout her tenure, this employee took on many tasks outside the scope of her role, including pension calculations/filings and other finance-related tasks that required a high level of specialized knowledge of internal systems.
    Solution
    • Little time or effort was placed on fully understanding what she did day-to-day.
    • Furthermore, the search for a replacement was left far too late, which meant that she vacated the role without training a replacement.
    • Low level roles can become critical to business continuation if they’re occupied by only one person, creating a “single point of failure” if they become vacant.
    Results
    • It wasn’t until after she left that it became obvious how much extra work she was doing, which made it nearly impossible to find a replacement.
    • Her manager found a replacement to take the payroll duties but had to distribute the other duties to colleagues (who were very unhappy about the extra tasks).
    • This role may not seem like a “key role,” but the incumbent turned it into one. Keep tabs on what people are working on to avoid overly nuanced role requirements.

    Step 1.2

    Assess talent

    Activities
    • 1.2.1 Identify Current Incumbents’ Information
    • 1.2.2 Identify Potential Successors and Collect Information

    The primary goal of this step is to assess departmental talent and identify gaps between potential successors and key roles. This analysis is intended to support departmental access to suitable talent ensuring future business success.

    Outcomes of this step

    • Collection of current incumbents’ information.
    • Collection of potential successor information.
    • Gap assessment.

    Talent Review

    Step 1.1 Step 1.2

    Find out key role incumbents’ career plans

    Have career discussions with key role incumbents

    • Do not ask employees directly about their retirement plans as this can be misconstrued as age discrimination – let them take the initiative.
    • To take the spotlight away from older workers and potential feelings of discrimination, supervisors should be having these discussions with their employees at least annually.
    • Having this discussion creates an opportunity for employees to share their retirement plans, if they have any.
    • Warning: This is not the time to make promises about the future. For example, alternative work arrangements cannot be guaranteed without further analysis and planning.
    Do the following:
    1. Book a meeting with employees and ask them to prepare for a career development discussion.
    2. Ask direct questions about motivation, lifestyle preferences, and passions.
    3. Spend the time to understand your employees’ goals and their development needs.
    If an employee discloses that they plan to leave within the next few years:
    1. Gather information about approximate exit dates (non-binding).
    2. Find out their opinions about how they would like to transition out of their role, including any alternative work arrangements they would like to pursue.

    Potential questions to ask during career discussions with key role incumbents

    • Where do you see yourself in five years?
    • What role would you see yourself in after this one?
    • What gets you excited about coming to work?
    • Describe your greatest strengths. How would you like to use those strengths in the future?
    • What is standing in the way of your career goals?
    ** Do not ask employees directly about their retirement plans as this can be misconstrued as age discrimination – let them take the initiative.**
    Stock photo of a smiling employee with grey hair.

    1.2.1 Identify current incumbents' information

    Input: Key roles list, Employee information

    Output: List of key roles with individual incumbent information

    Materials: Key Roles Succession Planning Tool – Succession Plan Worksheet (Tab 3)

    Participants: IT leadership/management team, HR, Current incumbents if necessary

    Identify current incumbents for all key roles and collect information about them.

    Using Tab 3 of the Key Roles Succession Planning Tool identify the incumbent (the person currently in the role) for all key roles.

    Distribute the worksheet to department managers and team leaders to complete the information below for each key role.

    For that incumbent, also document:

    1. Their time in that role.
    2. Their overall performance in current role (does not meet, meets, or exceeds expectations).
    3. Next step in career (target role or retirement).
    4. Time until exit from the current role (known or estimated).
    5. Development needs for next step in career.
    6. Any additional knowledge and skills they possess beyond the role description that is of value to the organization.

    Upon completion, managers and team leaders should review the results with the department leader.

    Key Roles Succession Planning Tool

    Identify potential successors for all key roles

    It’s imperative that multiple sources of information are used to ensure no potential successor is missed and to gain a complete candidate picture.

    Work collaboratively with the management team and HR business partners for names of potential successors.

    The management team includes:

    • The incumbent’s direct supervisor.
    • Managers from the department in which the key role exists.
    • Leaders of teams with which potential successors have worked.
    • The key role incumbent (assuming it’s appropriate to do so).

    Use management roundtable discussions to identify and analyze each potential successor.

    • Participants should come equipped with names of potential successors and be prepared to provide a rationale for their recommendation.
    • Provide all participants with the key role job description in advance of the meeting, including responsibilities and required knowledge and skills.

    Don’t confuse successors with high potentials!

    • Identifying high potential employees involves recognizing those employees who consistently outperform their peers, progress more quickly than their peers, and live the company culture. They are usually striving for leadership roles.
    • While you also want your successors to exemplify these qualities of excellence, succession planning is specifically about identifying the employees who currently possess (or soon will possess) the skills and knowledge required to take over a key role.
    • Remember: Key roles are not limited to leadership roles, so cast a wider net when identifying succession candidates.
    See the following slide for sources of information participants should consult to back up their recommendations and vet succession candidates.

    Determine how employees will be identified for talent assessment

    Description Advice
    Management-nominated employees
    • Managers or skip-level leaders nominate potential successors within or outside their team.
    • Limit bias by requiring management nominations to be based on specific evidence of performance and potential.
    High-potential employees (HiPos)
    • Consider employees who are in an existing high-potential program.
    • Determine whether the HiPo program sufficiently assesses for critical role requirements. Successors must possess the skills and knowledge required for specific critical roles. Expand assessment beyond just HiPo.
    Self-nominated employees
    • Employees are informed about succession planning and asked to indicate their interest in critical roles.
    • Train managers to support the program and to handle difficult conversations (e.g. employee submitted self-nomination and was unsuccessful).
    All employees
    • All employees across a division, geography, function, or leadership level are invited for assessment.
    • While less common, this approach is appropriate for highly inclusive cultures. Be prepared to invest significantly more time and resources.
    When identifying employees, keep the following advice in mind:

    Widen the net

    Don’t limit yourself to the next level down or the same functional group.

    Match transparency

    With less transparency, there are fewer options, and you risk missing out on potential successors.

    Select the appropriate talent assessment methods

    Identify all talent assessment types used in your organization and examine their ability to inform decision-making for critical role assignments. Select multiple sources to ensure a robust talent assessment approach:

    A sound talent assessment methodology will involve both quantitative and qualitative components. Multiple data inputs and perspectives will help ensure relevant information is prioritized and suitable candidates aren’t overlooked.

    However, beware that too many inputs may slow down the process and frustrate managers.

    Beware of biases in talent assessments. A common tendency is for people to recommend successors who are exactly like them or who they like personally, not necessarily the best person for the job. HR must (diplomatically) challenge leaders to use evidence-based assessments.

    Good Successor Information Sources

    • 360-Degree Feedback – (breadth and accuracy)
    • HR-led Interviews – (objectivity and confirmation)
    • Talent Review Meetings – (leadership input)
    • Stretch Assignments – (challenge comfort zones)
    • Competency-Based Aptitude Tests – (objective data)
    • Job Simulations – (real-life testing)
    • Recent Performance Evaluations – (predictor of future performance)

    Prepare to customize the Individual Talent Profile Template

    Ensure the role profile and individual talent profile are synchronized to enable comparing employee qualifications and readiness to critical role requirements. Sample of the Role Profile.

    Role Profile

    A role profile contains information on the skills, competencies, and other minimum requirements for the critical role. It details the type of incumbent that would fit a critical role.
    Stock image of a chain link.

    Use both in conjunction during:

    • Talent assessment
    • Successor identification
    • Successor development
    • Successor selection
    Sample the Individual Talent Profile.

    Individual Talent Profile

    A talent profile provides information about a person. In addition to responding to role profile criteria, it provides information on an employee’s past experiences and performance, career aspirations, and future potential.

    1.2.2 Identify Potential Successors’ Information

    Input: Key roles list, Employee information, Completed role profiles and/or Tab 2 role information.

    Output: List of potential successors for key roles that are selected for talent assessment

    Materials: Key Roles Succession Planning Tool – Succession Plan Worksheet (Tab 3)

    Participants: IT leadership, IT team leads, Employees

    Identify potential successors for key roles and collect critical information.

    Have managers and team leads complete column I on Tab 3 of the Key Roles Succession Planning Tool and review with the department leader.

    There may be more than one potential successor for key roles; this is okay.

    Once the list is compiled, complete an individual talent profile for each potential successor. Record an employee’s:

    1. Employee information
    2. Career goals
    3. Experience and education
    4. Achievements
    5. Competencies
    6. Performance
    7. Any assessment results

    Once the profiles are completed, they can be compared to the role profile to identify development needs.

    Key Roles Succession Planning Tool

    Individual Talent Profile Template

    Build an IT Succession Plan

    Phase 2

    Succession Planning

    Phase 1

    1.1 Identify Critical Roles

    1.2 Assess Talent

    Phase 2

    2.1 Identify Successors

    2.2 Develop Successors

    2.3 Select Successors

    Phase 3

    3.1 Identify Critical Knowledge

    3.2 Select Transfer Methods

    3.3 Document Role Transition Plan

    This phase will walk you through how to:

    • Conduct an assessment to identify “at risk” key role incumbents.
    • Identify potential successors for key roles and collect critical information.
    • Assess gaps between key role incumbents and potential successors.

    Tools and resources used:

    • Key Roles Succession Planning Tool
    • Key Role Profile
    • Individual Talent Profile

    This phase involves the following participants:

    • IT leadership/management team
    • HR

    Succession planning helps you assess which key roles are most at risk

    Drilling down to the incumbent and successor level introduces “real life,” individual-focused factors that have a major impact on role-related risk.

    Succession planning is an organizational process for identifying and developing talent internally to fill key business roles. It allows organizations to:

    • Understand the career plans of employees to allow organizations to plan more accurately.
    • Identify suitable successors for key roles and assess their readiness.
    • Mitigate risks to long-term business continuity and growth.
    • Avoid external replacement costs including headhunting and recruitment, HR administration, and productivity loss.
    • Retain internal tacit knowledge.
    • Increase engagement and retention; keeping talented people reinforces career path opportunities and builds team culture.

    Caution:

    Where the talent review was about high-level strategic planning for talent requirements, succession planning looks at individual employees and plans for which employees will fulfill which key roles next.
    “I ask the questions, What are the risks we have with these particular roles? Is there a way to disperse this knowledge to other members of the group? If yes, then how do we do that?” (Director of HR, Service Industry)

    Succession planning ultimately must drill down to individual people – namely, the incumbent and potential successors.

    This is because individual human beings possess a unique knowledge and skill set, along with their own personal aspirations and life circumstances.

    The risks associated with a key role are theoretical. When people are introduced into the equation, the “real life” risk of loss for that key role can change dramatically.

    Succession Planning

    Funnel titled 'Succession Planning' with 'Critical Roles' at the top of the funnel, 'Critical Knowledge and Skills' as the middle of the funnel, 'Individuals' as the bottom of the funnel, and it drains into 'Incumbent's Potential Successors'.

    Step 2.1

    Identify Successors

    Activities
    • 2.1.1 Conduct Individual Risk Assessment
    • 2.1.2 Successor Readiness Assessment

    This step highlights the relative positioning of all employees assessed for departure risk compared to the potential successors’ readiness, identifying gaps that create risk for the organization, and need mitigation strategies.

    Outcomes of this step

    • Individual risk assessment results – mitigate, manage, accept matrix.
    • Potential successor readiness ranking.
    • Determination on transparency level with successors.

    Succession Planning

    Step 2.1 Step 2.2 Step 2.3

    Decide how to obtain information on employee interest in critical roles

    Not all employees may want to be considered as part of the succession planning program. It might not fit their short- or long-term plans. Avoid misalignment and outline steps to ascertain employee interest.

    Transparency

    • Use your target transparency level to:
      • Determine the degree of employees’ participation in self-assessment.
      • Guide organization-wide and targeted messaging about succession planning (see Step 3).

    Timing

    • Ensure program-level communication has occurred before asking employees about their interests in critical roles, in order to garner more trust and engagement.
    • Decide at what point along the succession planning process (if at all) that employee’s career interests will be collected and incorporated.

    Manager accountability and resources

    • Identify resources needed for managers to conduct targeted career conversations with employees (e.g. training, communication guides, key messaging).
    • If program communication is to be implemented organization-wide, approach accordingly.

    Obtaining employee interest ensures process efficiency because:

    • Time isn’t wasted focusing on candidates who aren’t interested.
    • The assessment group is narrowed down through self-selection.

    Level-set expectations with employees:

    • Communicate that they will be considered for assessment and talent review discussions.
    • Ensure they understand that everyone assessed will not necessarily be identified or selected as a successor.

    Conduct a risk assessment

    Identify key role incumbents who may leave before you’re ready.

    Pay particular attention to those employees nearing retirement and flag them as high risk.

    Understand the impact that employee age has on key role risk. Keep the following in mind when filling out the Individual Risk Assessment of the Key Roles Succession Planning Tool. See the next slide for more details on this.

    High Risk Arrow pointing both ways vertically. Anyone 60 years of age or older, or anyone who has indicated they will be retiring within five years.
    Moderate Risk Employees in their early 50s are still many years away from retirement but have enough years remaining in their career to make a significant move to a new role outside of your organization. Furthermore, they have specialized skills making them more attractive to external organizations.
    Employees in their late 50s are likely more than five years away from retirement but are also less likely than younger employees to leave your organization for another role elsewhere. This is because of increasing personal risk in making such a move, and persistent employer unwillingness to hire older employees.
    Low Risk Technically, when it comes to succession planning for key roles held by employees over the age of 50, no one should be considered “low risk for departure.
    Pull some hard demographic data.

    Compile a report that breaks down employees into age-based demographic groups.

    Flag those over the age of 50 – they’re in the “retirement zone” and could decide to leave at any time.

    Check to see which key role incumbents fall into the “over 50” age demographic. You’ll want to shortlist these people for an individual risk assessment.

    Update this report twice a year to keep it current.

    For those people on your shortlist, gather the information that supervisors gained from the career discussions that took place. Specifically, draw out information that indicates their retirement plans.

    2.1.1 Conduct Individual Risk Assessment

    Input: Completed Succession Plan worksheet

    Output: Risk assessment of key role incumbents, understanding of which key role departures to manage, mitigate, and accept

    Materials: Key Roles Succession Planning Tool – Individual Risk Assessment (Tab 4), Key Roles Succession Planning Tool – Risk Assessment Results (Tab 5)

    Participants: IT leadership/management team

    Assign values for probability of departure and impact of departure using the Key Roles Succession Planning Tool.

    For those in key roles and those over 50, complete the Individual Risk Assessment (Tab 4) of the Key Roles Succession Planning Tool:

    1. Assess each key role incumbent’s probability of departure based on your knowledge. If the person is going to another job, is a known flight risk, or faces dismissal, the probability is high.
      • 0-40: Unlikely to Leave. If the employee is new to the role, highly engaged, or a high potential.
      • 41-60: Unknown. If the employee is sending mixed messages about happiness at work, or sending no messages, it may be difficult to guess.
      • 61-100: Likely to Leave. If the employee is nearing retirement, actively job searching, disengaged, or faces dismissal, then the probability of departure is high.
    2. Assess the role and the individual’s impact of departure on a scale of 1 (no impact) to 100 (devasting impact).
    3. Review the risk assessment results on tab 5 of the planning tool. The employees that appear in the mitigate quadrant are your succession planning priorities.

    Key Roles Succession Planning Tool

    Define readiness criteria for successor identification

    1. Select the types of readiness and the number of levels:

      Readiness by time horizon:

      • Successors are identified as ready based on how long it is estimated they will take to acquire the minimum requirements of the critical role.
      • Levels example: Ready Now, Ready in 1-2 Years, Ready in 3-5 Years.

      Readiness by moves:

      • Successors are identified as ready based on how many position moves they have made or how many developmental experiences they have had.
      • Levels example: Ready Now, Ready after 1 Move, Ready after 2 Moves.
    2. Create definitions for each readiness level:
      Example:

      Performance

      Potential

      Ready Now Definition: Ability to deliver in current role Requirement: Meets or exceeds expectations Definition: Ability to take on greater responsibility Requirement: Demonstrates learning agility
      The 9-box is an effective way to map performance and potential requirements and can guide management decision making in talent review and calibration sessions. See McLean & Company’s 9-Box Job Aid for more information. Sample of the 9-Box Job Aid, a 9-field matrix with axes 'Potential: Low to High' and 'Performance: Low to High'.
      “Time means nothing. If you say someone will be ready in a year, and you’ve done nothing in that year to develop them, they won’t be ready. We look at it as moves or experiences: ready now, ready in one move, ready in two moves.” (Amanda Mathieson, Senior Manager, Talent Management, Tangerine)

    2.1.2 Successor Readiness Assessment

    Input: Individual talent profiles, List of potential successors (Tab 3)

    Output: Readiness ranking for each potential successor

    Materials: Key Roles Succession Planning Tool

    Participants: IT leadership/management team

    Assign values for probability of departure and impact of departure using the Key Roles Succession Planning Tool.

    Using Tab 6 of the Key Roles Succession Planning Tool, evaluate the readiness of each potential successor that you previously identified.

    1. Enter the name, current role, and target role of each potential successor into the spreadsheet.
    2. For each employee, fill in a response from “strongly agree” to “strongly disagree” for the assessment criteria statements listed in column B of Tab 6. This will give you a readiness ranking in row 68.

    Key Roles Succession Planning Tool

    Decide if and how successors will be told about their status in the succession plan

    1. Decide if employees will be told. Be as transparent as possible. This will provide several benefits to your organization (e.g. higher engagement, retention) while managing potential risks (e.g. perception that the process is unfair, reducing motivation to perform).
    2. Decide who will tell them. Decide based on the culture of your organization; are official communications usually conveyed through the direct manager, HR, senior leaders, or steering committee?
    1. Determine how you will tell them.

      Suggested messaging to non-successors:

      • Not being identified as a successor does not mean that an employee is not valued by the organization, nor does it indicate the employee will be let go. It simply means that the organization needs a backup plan to manage risk.
      • Employees can still develop toward a critical role they are interested in, and the organization will continue to evaluate whether they can be a potential successor.
      • It is the employee’s responsibility to own their development and communicate to their manager any interest they have in critical roles.

      Suggested messaging to successors:

      • Being identified as a successor is an investment in employee development – not a guaranteed promotion.
      • Successor status may change based on changes to the critical role itself, or if performance is not on par with expectations.
      • The organization strives to be as fair and objective as possible through evidence-based assessments of performance and potential.

    Case Study

    Failing to have a career aspiration discussion with a potential successor leaves a sales director in a bind.

    INDUSTRY
    Professional Services
    SOURCE
    Confidential
    Challenge
    • A senior sales director in a medium-sized private company knew there would be a key management opportunity opening up in six months. He had one candidate in mind: a key contributor from the sales floor.
    • The sales manager assumed that the sales representative would want the management position and began planning the candidate’s required training in order to get him ready.
    Solution
    • Three months before the position opened up, the manager finally approached the representative about the opportunity, telling the representative that he was an excellent candidate for the role.
    • However, the sales representative was not interested in managing people. He wanted to come in, do a really great day’s worth of work, and then go home and be done. He already loved what he did.
    Results
    • The sales representative turned down the offer point blank, leaving the manager with less than three months to find and groom a new internal successor.
    • The manager failed on several fronts. First, he did not ask the employee about his career aspirations. Second, he did not groom a pool of potential successors for the role, affording no protection in the event that the primary candidate couldn’t or wouldn’t assume the role.

    Step 2.2

    Develop Successors

    Activities
    • 2.2.1 Outline Successor Development Process

    The primary goal of this step is to identify the steps that need to be taken to develop potential successors. Focus on training employees for their future role, not just their current one.

    Outcomes of this step

    • Identified gaps between key role exits and successor readiness.

    Succession Planning

    Step 2.1 Step 2.2 Step 2.3

    2.2.1 Outline Successor Development Process

    Input: Role profiles, Talent profiles, Talent assessments

    Output: Identified gaps between key role exits and successor readiness

    Materials: Key Roles Succession Planning Tool – Successor Identification (Tab 7)

    Participants: IT leadership/management team

    Prepare successors for their next role, not just their current one.

    Use role and talent profiles and any talent assessment results to identify gaps for development.

    1. Outline the steps involved in the individual development planning process for successors. Key steps include identifying development timeline, learning needs, learning resources and strategies, and accomplishment metrics/evidence.
    2. Identify learning elements successor development will involve based on critical role type. For example, coaching and/or mentoring, leadership training, functional skills training, or targeted experiences/projects.
    3. Select metrics with associated timelines to measure the progress of successor development plans. Establish guidelines for employee and manager accountability in developing prioritized competencies.
    4. Determine monitoring cadence of successor development plans (i.e. how often successor development plans will be tracked to ensure timely progress). Identify who will be involved in monitoring the process (e.g. steering committee).

    Info-Tech insight

    Succession planning without integrated efforts for successor development is simply replacement planning. Get successors ready for promotion by ensuring a continuously monitored and customized development plan is in place.

    Integrate knowledge transfer in the successor development process

    1

    Brainstorm ideas to encourage knowledge-sharing and transfer from incumbent to successor.

    2

    Integrate knowledge-transfer methods into the successor development process.
    Identify key knowledge areas to include:
    • Specialized technical knowledge
    • Specialized research and development processes
    • Unique design capabilities/methods/models
    • Special formulas/algorithms/techniques
    • Proprietary production processes
    • Decision-making criteria
    • Innovative sales methods
    • Knowledge about key customers
    • Relationships with key stakeholders
    • Company history and values
    Use multiple methods for effective knowledge transfer.

    Explicit knowledge is easily explained and codified, such as facts and procedures. Knowledge transfer methods tend to be more formal and one-way. For example:

    • Formal documentation of processes and best practices
    • Self-published knowledgebase
    • Formal training sessions

    Tacit knowledge accumulates over years of experience and is hard to articulate. Knowledge transfer methods are often informal and interactive. For example:

    • Mentoring and job shadowing
    • Multigenerational work teams
    • Networks and communities
    Knowledge transfer can occur via a wide range of methods that need to be selected and integrated into daily work to suit the needs of the knowledge to be transferred and of the people involved. See Phase 3 for more details on knowledge transfer.

    Step 2.3

    Select Successors

    The goal of this step is to determine how critical roles will be filled when vacancies arise.

    Outcomes of this step

    • Agreement with HR on the process to fill vacancies when key roles exit.

    Succession Planning

    Step 2.1 Step 2.2 Step 2.3

    Determine how critical roles will be filled when vacancies arise

    Choose one of two approaches to successor selection:
    • Talent review meeting:
      • Conduct a talent review meeting with functional leaders to discuss key open positions and select the right successors. Ascertain successor interest prior to the meeting, if not obtained already.
      • If multiple successors are ready now, use both role and talent profiles to arrive at a final decision.
      • If only one successor is ready now, outline steps for their promotion process. Which leaders should be involved for final approval? What is TA’s role?
    • Talent acquisition (TA) process:
      • Align with TA to implement a formal recruitment process to select the right successor (open application and interview process to talent pool).
      • Decide if a talent review meeting is required afterwards to agree on the final successor or if the interview panel will make the final decision.

    Work together with Talent Acquisition (TA) to outline special treatment of critical role vacancies. Ensure TA is aware of succession plan(s).

    Explicitly determine the level of preference for internal successors versus external hires to your TA team to ensure alignment. This will create an environment where promotion from within is customary.

    Build an IT Succession Plan

    Phase 3

    Knowledge Transfer

    Phase 1

    1.1 Identify Critical Roles

    1.2 Assess Talent

    Phase 2

    2.1 Identify Successors

    2.2 Develop Successors

    2.3 Select Successors

    Phase 3

    3.1 Identify Critical Knowledge

    3.2 Select Transfer Methods

    3.3 Document Role Transition Plan

    This phase will show you to:

    • Identify critical knowledge risks.
    • Select appropriate transfer methods.
    • Document knowledge transfer initiatives for key role transition plans.

    Tools and resources used:

    • Role Transition Plan Template

    This phase involves the following participants:

    • IT leadership/management team
    • HR
    • Incumbent & successor managers

    Mitigate risk – formalize knowledge transfer

    Use Info-Tech’s Mitigate Key IT Employee Knowledge Loss blueprint to build and implement your knowledge transfer plan.

    Effective knowledge transfer allows organizations to:
    • Maintain or improve speed and productivity by ensuring the right people have the right skills to do their jobs well.
    • Increase agility because knowledge is more evenly distributed amongst employees. Multiple people can perform a given task and no one person becomes a bottleneck.
    • Capture and sustain knowledge; creating a knowledge database provides all employees access to the information, now and in the future.
    Knowledge transfer between those in key roles and potential successors yields the highest dividends for:
    • Senior level successions.
    • External hires.
    • Senior expatriate transfers.
    • Developmental stretch assignments.
    • Internal cross-divisional transfers and promotions.
    • High organizational dependency on unique expert knowledge.
    • Critical function/project/team transitions.
    • Large scale reorganizations and mergers & acquisitions.
    (Source: Piktialis and Greenes, 2008)
    Sample of the Mitigate Key IT Employee Knowledge Loss blueprint.

    Mitigate Key IT Employee Knowledge Loss

    Knowledge transfer is complex and must be both multi-faceted and well supported

    Knowledge transfer is the capture, organization, and distribution of knowledge held by individuals to ensure that it is accessible and usable by others.

    Knowledge transfer is not stopping, learning, and returning to work. Nor is it simply implementing a document management system.  Arrow pointing right. Knowledge transfer is a wide range of methods that must be carefully selected and integrated into daily work in order to meet the needs of the knowledge to be transferred and the people involved.

    Knowledge transfer works best when the following techniques are applied

    • Use multiple methods and media to transfer the knowledge.
    • Ensure a two-way interaction between the knowledge source and recipient.
    • Support knowledge transfer with active mentoring.
    • Transfer knowledge at the point of need; that is, when it’s immediately useful.
    • Offer experience-oriented training to reinforce knowledge absorption.
    • Use a knowledge management system to permanently capture knowledge shared.
    Personalization is the key.

    Dwyer & Dwyer say that providing “insights to a particular person (or people) needing knowledge at the time of the requirement” is the difference between knowledge transfer that sticks and knowledge that is forgotten.

    “Designing a system in which the employee must interrupt his or her work to learn or obtain new knowledge is not productive. Focus on ‘teachable moments.” (Karl Kapp, “Tools and Techniques for Transferring Know-How from Boomers to Gamers”)

    Step 3.1

    Identify Critical Knowledge to Transfer

    The goal of this step is to understand what knowledge and skills much be transferred, keeping in mind the various types of knowledge.

    Outcomes of this step

    • Critical knowledge and skills for key roles documented in the Key Role Transition plans.

    Knowledge Transfer

    Step 3.1 Step 3.2 Step 3.3

    Understand what knowledge and skills must be transferred

    There are two basic types of knowledge:

    Explicit knowledge:
    Easily explained and codified, e.g. facts and procedures.
    Image of a head with gears inside. Tacit knowledge:
    Accumulates over years of experience and is hard to verbalize.
    • You should already have a good idea of what knowledge and skills are valued from the worksheets completed earlier.
    • Focus on identifying the knowledge, skills, and relationships essential to the specific incumbent in a key role and what it is he or she does to perform that key role well.
    Document critical knowledge and skills for key roles in the:

    Role Transition Plan Template

    1. Identify key knowledge areas. These include:
      • Specialized technical knowledge and research and development process.
      • Unique design capabilities/methods/models.
      • Special formulas/algorithms/techniques.
      • Proprietary production processes.
      • Decision-making criteria.
      • Innovative sales methods.
      • Knowledge about key customers.
      • Relationships with key stakeholders.
      • Company history and values.
    2. Ask questions of both sources and receivers of knowledge to help determine the best knowledge transfer methods to use.
      • What is the nature of the knowledge? Explicit or tacit?
      • Why is it important to transfer?
      • How will the knowledge be used?
      • What knowledge is critical for success?
      • How will the users find and access it?
      • How will it be maintained and remain relevant and usable?
      • What are the existing knowledge pathways or networks connecting sources to recipients?

    Step 3.2

    Select Knowledge Transfer Methods

    Activities
    • 3.2.1 Select Knowledge Transfer Methods

    This step helps you identify the knowledge transfer methods that will be the most effective, considering the knowledge or skill that needs to be transferred and the individuals involved.

    Outcomes of this step

    • Knowledge transfer methods chosen documented in the Key Role Transition Plans.

    Knowledge Transfer

    Step 3.1 Step 3.2 Step 3.3

    Knowledge transfer methods available

    Be prepared to use various methods to transfer knowledge and use them all liberally.

    The most common knowledge transfer method is simply to have a collaborative culture

    Horizontal bar chart ranking knowledge transfer methods by commonality.
    (Source: McLean & Company, 2013; N=121)

    A basic willingness for a role incumbent to share with a successor is the most powerful item in your tacit knowledge transfer toolkit.

    Formal documentation is critical for explicit knowledge sharing, yet only 40% of organizations use it.

    Rewarding and recognizing employees for doing knowledge transfer well is underutilized yet has emerged as an important reinforcing component of any effective knowledge transfer program.
    Don’t forget it!

    3.2.1 Select Knowledge Transfer Methods

    Input: Role profiles, Talent profiles

    Output: Methods for integrating knowledge transfer into day-to-day practice

    Materials: Role Transition Plan Template

    Participants: IT leadership/management team, HR, Knowledge source, Knowledge recipient

    Utilize methods that make it easy to apply the knowledge in day-to-day practice.

    Select your method according to the following criteria:

    1. The type of knowledge. A soft skill, like professionalism, is best taught via mentoring, while a technical process is best documented and applied on-the-job.
    2. What the knowledge recipient is comfortable with. The recipient may get bored during formal training sessions and retain more during job shadowing.
    3. What the knowledge source is comfortable with. The source may be uncomfortable with blogs and wikis, but comfortable with SharePoint.
    4. The cost. Some methods require an investment in time (e.g. mentoring), while others require an investment in technology (e.g. knowledge bases).
      • The good news is that many supporting technologies may already exist in your organization or can be acquired for free.
      • Methods that cost time may be difficult to get underway since employees may feel they don’t have the time or must change the way they work.

    The more integrated knowledge transfer is in day-to-day activities, the more likely it is to be successful and the lower the time cost. This is because real learning is happening at the same time real work is being accomplished.

    Document the knowledge transfer methods in the Role Transition Plan Template.

    Role Transition Plan Template

    Explore alternative work arrangements

    Ensure sufficient time to prepare successors

    If a key role incumbent isn’t around to complete knowledge transfer, it’s all for naught.

    Alternative work arrangements are critical tools that employers can use to achieve a mutually beneficial solution that mitigates the risk of loss associated with key roles.

    Alternative work arrangements not only support employees who want to keep working, but they allow the business to retain employees that are needed in key roles.

    In a survey from The Conference Board, one out of four older workers indicated that they continue to work because their company provided them with needed flexibility.

    And, nearly half said that more flexibility would make them less likely to retire. (Source: Ivey Business Journal)

    Flexible work options are the most used form of alternative work arrangement

    Horizontal bar chart ranking alternative work arrangements by usage.
    (Source: McLean & Company, N=44)

    Choose the alternative work arrangement that works best for you and the employee

    Alternative Work Arrangement

    Description

    Ideal Use

    Caveats

    Flexible work options Employees work the same number of hours but have flexibility in when and where they work (e.g. from home, evenings). Employees who work fairly independently, with no or few direct reports. Employee may become isolated or disconnected, impeding knowledge transfer methods that require interaction or one-on-one time.
    Contract-based work Working for a defined period of time on a specific project on a non-salaried or non-wage basis. Project-oriented work that requires specialized knowledge or skills. Available work may be sporadic or specific projects more intensive than the employee wants. Knowledge transfer must be built into the contractual arrangement.
    Part-time roles Half-days or a certain number of days per week; indefinite with no end date in mind. Employees whose roles can be readily narrowed and upon whom people and critical processes are not dependent. It may be difficult to break a traditionally full-time job down into a part-time role given the size and nature of associated tasks.
    Graduated retirement Retiring employee has a set retirement date, gradually reducing hours worked per week over time. Roles where a successor has been identified and is available to work alongside the incumbent in an overlapping capacity while he or she learns. The role may only require a single FTE, and the organization may not be able to afford the amount of redundancy inherent in this arrangement.

    The arrangement chosen may be a combination of multiple options

    Alternative Work Arrangement

    Description

    Ideal Use

    Caveats

    Part-year jobs or job sharingWorking part of the year and having the rest of the year off, unpaid.Project-oriented work where ongoing external relationships do not need to be maintained. The employee is unavailable for knowledge transfer activities for a large portion of the year. Another risk is that the employee may opt not to return at the end of the extended time off, with little notice.
    Increased paid time offAdditional vacation days upon reaching a certain age.Best used as recognition or reward for long-term service. This may be a particularly useful retention incentive in organizations that do not offer pension plans. The company may not be able to financially afford to pay for such extensive time off. If the role incumbent is the only one in the role, this may mean crucial work is not being done.
    Altered rolesConcentration of a job description on fewer tasks that allows the employee to focus on his or her specific expertise.Roles where a successor has been identified and is available to work alongside the incumbent, with the incumbent’s new role highly focused on mentoring. The role may only require a single FTE, and the organization may not be able to afford the amount of redundancy inherent in this arrangement.

    Alternative work arrangements require senior management support

    Senior management and other employees must see the value of retaining older workers, or they will not be supportive of these solutions.

    Any changes made to an employee’s work arrangement has an impact on people, processes, and policies.

    If the knowledge and skills of older employees aren’t valued, then:

    • Alternative arrangements will be seen as wasteful accommodation of a low-value employee.
    • Time won’t be allowed to manage the transition properly and make appropriate changes.
    • Other employees may resent any workload spillover.
    Alternate work arrangements can’t be implemented on a whim.

    Make sure alternative work arrangements can be done right and are supported – they’re often solutions that come with additional work. Determine the effects and make appropriate adjustments.

    • Review processes, particularly hand-off and approval points, to ensure tasks will still be handled seamlessly.
    • Assess organizational policies to ensure no violations are occurring or to rework policies (where possible) to accommodate alternative work arrangements.
    • Speak to affected employees to answer questions, identify obstacles, gain support, redefine their job descriptions if required, and make appropriate compensation adjustments. Always provide appropriate training when skills requirements are expanded.

    Step 3.3

    Document Role Transition Plans for all Key Roles

    Activities
    • 3.3.1 Document Role Transition Plans

    The primary goal of this step is to build clear checklist-based plans for each key role to help ensure a smooth transition as a successor takes over.

    Outcomes of this step

    • Completed key role transition plans

    Knowledge Transfer

    Step 3.1 Step 3.2 Step 3.3

    3.3.1 Document Role Transition Plans

    Input: Role profiles, Talent profiles, Talent assessments, Workforce plans

    Output: A clear checklist-based plan to help ensure a smooth transition.

    Materials: Role Transition Plan Template

    Participants: IT leadership/management team, Incumbent, Successor(s), HR

    Define a transition plan for all employees in at-risk key roles, and their successors.

    You should already have a good idea of what knowledge and skills are valued from the worksheets completed earlier. Focus on identifying the knowledge, skills, and relationships essential to the specific incumbent in a key role and what it is they do to perform that key role well.

    Using the Role Transition Plan Template develop a plan to transfer what needs to be transferred from the incumbent to the successor.

    1. Record the incumbent and successor information in the template.
    2. Summarize the key accountabilities and expectations of the incumbent’s role. This summary should highlight specific tasks and initiatives that the successor must take on, including success enablers. Attach the job description for a full description of accountabilities and expectations.
    3. Document the knowledge and skills requirements for the key role, as well as any additional knowledge and skills possessed by the key role incumbent that will aid the successor.
    4. Document any alternative work arrangements to the incumbent’s roles.
    5. Populate the Role Transition Checklist for key transition activities that must be completed by certain dates. A list of sample checklist items has been provided. Add, delete, or modify list items to suit your needs.

    Role Transition Plan Template

    DairyNZ leverages alternative work arrangements

    Ensures successful knowledge transfer
    INDUSTRY
    Agricultural research
    SOURCE
    Rose Macfarlane, General Manager Human Resources, DairyNZ
    Challenge
    • DairyNZ employs many people in specialized science research roles. Some very senior employees are international experts in their field.
    • Several experts have reached or are nearing retirement age. These pending retirements have come as no surprise.
    • However, due to the industry’s lack of development investment in the past, there is a 20–30-year experience gap in the organization for some key roles.
    Solution
    • One principal scientist gave over two years’ notice. His replacement – an external candidate – had been identified in advance and was hired once retirement notice was given.
    • The incumbent’s role was amended. He worked alongside his successor for 18 months in a controlled hand-over process.
    Results
    • The result was ideal in that the advance notice allowed full knowledge transfer to take place.

    Research Contributors and Experts

    Anne Roberts
    Principal, Leadership Within Inc. al,
    • Anne T. Roberts is an experienced organization development professional and executive business coach who works with leaders and their organizations to help them create, articulate and implement their change agenda. Her extensive experience in change management, organizational design, meeting design and facilitation, communication and leadership alignment has helped leaders tap into their creativity, drive and energy. Her ability to work with and coach people at the leadership level on a wide range of topics has them face their own organizational stories.
    Amanda Mathieson
    Senior Manager, Talent Management, Tangerine
    • Amanda is responsible for researching people- and leadership-focused trends, developing thought models, and providing resources, tools, and processes to build and drive the success of leaders in a disruptive world.
    • Her expertise in leadership development, organizational change management, and performance and talent management comes from her experience in various industries spanning pharmaceutical, retail insurance, and financial services. She takes a practical, experiential approach to people and leadership development that is grounded in adult learning methodologies and leadership theory. She is passionate about identifying and developing potential talent, as well as ensuring the success of leaders as they transition into more senior roles.

    Related Info-Tech Research

    Stock image of a brain. Mitigate Key IT Employee Knowledge Loss
    • Transfer IT knowledge before it’s gone.
    • Effective knowledge transfer mitigates risks from employees leaving the organization and is a key asset driving innovation and customer service.
    Stock image of sticky notes being organized on a board. Implement an IT Employee Development Plan
    • There is a growing gap between the competencies organizations have been focused on developing, and what is needed in the future.
    • Employees have been left to drive their own development, with little direction or support and without the alignment of development to organizational needs.

    Bibliography

    “Accommodating Older Workers’ Needs for Flexible Work Options.” Ivey Business Journal, July/August 2005. Accessed Jan 7, 2013.

    Christensen, Kathleen and Marcie Pitt-Catsouphes. “Approaching 65: A Survey of Baby Boomers Turning 65 Years Old”. AARP, Dec. 2010.

    Coyne, Kevin P. and Shawn T. Coyne. “The Baby Boomer Retirement Fallacy and What It Means to You. “ HBR Blog Network. Harvard Business Review, May 16, 2008. Accessed 8 Jan. 2013.

    Dwyer, Kevin and Ngoc Luong Dwyer. “Managing the Baby Boomer Brain Drain: The Impact of Generational Change on Human Resource Management.” ChangeFactory, April 2010. Accessed Jan 9, 2013.

    Gurchiek, Kathy. “Poll: Organizations Can Do More to Prepare for Talent Shortage as Boomers Retire.” SHRM, Nov 17, 2010. Accessed Jan 3, 2013.

    Howden, Daniel. “What Is Time to Fill? KPIs for Recruiters.” Workable, 24 March 2016. Web.

    Kapp, Karl M. “Tools and Techniques for Transferring Know-How from Boomers to Gamers.” Global Business and Organizational Excellence, July/August 2007. Web.

    Piktialis, Diane and Kent A. Greenes. Bridging the Gaps: How to Transfer Knowledge in Today’s Multigenerational Workplace. The Conference Board, 2008.

    Pisano, Gary P. “You need an Innovation Strategy.” Harvard Business Review, June 2015.

    Vilet, Jacque. “Lost Knowledge – What Are You and Your Organization Doing About It?” TLNT, 25 April 2012. Accessed 5 Jan. 2013.

    Develop an Availability and Capacity Management Plan

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    • Parent Category Name: Availability & Capacity Management
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    • It is crucial for capacity managers to provide capacity in advance of need to maximize availability.
    • In an effort to ensure maximum uptime, organizations are overprovisioning (an average of 59% for compute, and 48% for storage). With budget pressure mounting (especially on the capital side), the cost of this approach can’t be ignored.
    • Half of organizations have experienced capacity-related downtime, and almost 60% wait more than three months for additional capacity.

    Our Advice

    Critical Insight

    • All too often capacity management is left as an afterthought. The best capacity managers bake capacity management into their organization’s business processes, becoming drivers of value.
    • Communication is key. Build bridges between your organization’s silos, and involve business stakeholders in a dialog about capacity requirements.

    Impact and Result

    • Map business metrics to infrastructure component usage, and use your organization’s own data to forecast demand.
    • Project future needs in line with your hardware lifecycle. Never suffer availability issues as a result of a lack of capacity again.
    • Establish infrastructure as a driver of business value, not a “black hole” cost center.

    Develop an Availability and Capacity Management Plan Research & Tools

    Start here – read the Executive Brief

    Read our concise Executive Brief to find out why you should build a capacity management plan, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    • Develop an Availability and Capacity Management Plan – Phases 1-4

    1. Conduct a business impact analysis

    Determine the most critical business services to ensure availability.

    • Develop an Availability and Capacity Management Plan – Phase 1: Conduct a Business Impact Analysis
    • Business Impact Analysis Tool

    2. Establish visibility into core systems

    Craft a monitoring strategy to gather usage data.

    • Develop an Availability and Capacity Management Plan – Phase 2: Establish Visibility into Core Systems
    • Capacity Snapshot Tool

    3. Solicit and incorporate business needs

    Integrate business stakeholders into the capacity management process.

    • Develop an Availability and Capacity Management Plan – Phase 3: Solicit and Incorporate Business Needs
    • Capacity Plan Template

    4. Identify and mitigate risks

    Identify and mitigate risks to your capacity and availability.

    • Develop an Availability and Capacity Management Plan – Phase 4: Identify and Mitigate Risks

    [infographic]

    Workshop: Develop an Availability and Capacity Management Plan

    Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

    1 Conduct a Business Impact Analysis

    The Purpose

    Determine the most important IT services for the business.

    Key Benefits Achieved

    Understand which services to prioritize for ensuring availability.

    Activities

    1.1 Create a scale to measure different levels of impact.

    1.2 Evaluate each service by its potential impact.

    1.3 Assign a criticality rating based on the costs of downtime.

    Outputs

    RTOs/RPOs

    List of gold systems

    Criticality matrix

    2 Establish Visibility Into Core Systems

    The Purpose

    Monitor and measure usage metrics of key systems.

    Key Benefits Achieved

    Capture and correlate data on business activity with infrastructure capacity usage.

    Activities

    2.1 Define your monitoring strategy.

    2.2 Implement your monitoring tool/aggregator.

    Outputs

    RACI chart

    Capacity/availability monitoring strategy

    3 Develop a Plan to Project Future Needs

    The Purpose

    Determine how to project future capacity usage needs for your organization.

    Key Benefits Achieved

    Data-based, systematic projection of future capacity usage needs.

    Activities

    3.1 Analyze historical usage trends.

    3.2 Interface with the business to determine needs.

    3.3 Develop a plan to combine these two sources of truth.

    Outputs

    Plan for soliciting future needs

    Future needs

    4 Identify and Mitigate Risks

    The Purpose

    Identify potential risks to capacity and availability.

    Develop strategies to ameliorate potential risks.

    Key Benefits Achieved

    Proactive approach to capacity that addresses potential risks before they impact availability.

    Activities

    4.1 Identify capacity and availability risks.

    4.2 Determine strategies to address risks.

    4.3 Populate and review completed capacity plan.

    Outputs

    List of risks

    List of strategies to address risks

    Completed capacity plan

    Further reading

    Develop an Availability and Capacity Management Plan

    Manage capacity to increase uptime and reduce costs.

    ANALYST PERSPECTIVE

    The cloud changes the capacity manager’s job, but it doesn’t eliminate it.

    "Nobody doubts the cloud’s transformative power. But will its ascent render “capacity manager” an archaic term to be carved into the walls of datacenters everywhere for future archaeologists to puzzle over? No. While it is true that the cloud has fundamentally changed how capacity managers do their jobs , the process is more important than ever. Managing capacity – and, by extent, availability – means minimizing costs while maximizing uptime. The cloud era is the era of unlimited capacity – and of infinite potential costs. If you put the infinity symbol on a purchase order… well, it’s probably not a good idea. Manage demand. Manage your capacity. Manage your availability. And, most importantly, keep your stakeholders happy. You won’t regret it."

    Jeremy Roberts,

    Consulting Analyst, Infrastructure Practice

    Info-Tech Research Group

    Availability and capacity management transcend IT

    This Research Is Designed For:

    ✓ CIOs who want to increase uptime and reduce costs

    ✓ Infrastructure managers who want to deliver increased value to the business

    ✓ Enterprise architects who want to ensure stability of core IT services

    ✓ Dedicated capacity managers

    This Research Will Help You:

    ✓ Develop a list of core services

    ✓ Establish visibility into your system

    ✓ Solicit business needs

    ✓ Project future demand

    ✓ Set SLAs

    ✓ Increase uptime

    ✓ Optimize spend

    This Research Will Also Assist:

    ✓ Project managers

    ✓ Service desk staff

    This Research Will Help Them:

    ✓ Plan IT projects

    ✓ Better manage availability incidents caused by lack of capacity

    Executive summary

    Situation

    • IT infrastructure leaders are responsible for ensuring that the business has access to the technology needed to keep the organization humming along. This requires managing capacity and availability.
    • Dependencies go undocumented. Services are provided on an ad hoc basis, and capacity/availability are managed reactively.

    Complication

    • Organizations are overprovisioning an average of 59% for compute, and 48% for storage. This is expensive. With budget pressure mounting, the cost of this approach can’t be ignored.
    • Lead time to respond to demand is long. Half of organizations have experienced capacity-related downtime, and almost 60% wait 3+ months for additional capacity. (451 Research, 3)

    Resolution

    • Conduct a business impact analysis to determine which of your services are most critical, and require active capacity management that will reap more in benefits than it produces in costs.
    • Establish visibility into your system. You can’t track what you can’t see, and you can’t see when you don’t have proper monitoring tools in place.
    • Develop an understanding of business needs. Use a combination of historical trend analyses and consultation with line of business and project managers to separate wants from needs. Overprovisioning used to be necessary, but is no longer required.
    • Project future needs in line with your hardware lifecycle. Never suffer availability issues as a result of a lack of capacity again.

    Info-Tech Insight

    1. Components are critical. The business doesn’t care about components. You, however, are not so lucky…
    2. Ask what the business is working on, not what they need. If you ask them what they need, they’ll tell you – and it won’t be cheap. Find out what they’re going to do, and use your expertise to service those needs.
    3. Cloud shmoud. The role of the capacity manager is changing with the cloud, but capacity management is as important as ever.

    Save money and drive efficiency with an effective availability and capacity management plan

    Overprovisioning happens because of the old style of infrastructure provisioning (hardware refresh cycles) and because capacity managers don’t know how much they need (either as a result of inaccurate or nonexistent information).

    According to 451 Research, 59% of enterprises have had to wait 3+ months for new capacity. It is little wonder, then, that so many opt to overprovision. Capacity management is about ensuring that IT services are available, and with lead times like that, overprovisioning can be more attractive than the alternative. Fortunately there is hope. An effective availability and capacity management plan can help you:

    • Identify your gold systems
    • Establish visibility into them
    • Project your future capacity needs

    Balancing overprovisioning and spending is the capacity manager’s struggle.

    Availability and capacity management go together like boots and feet

    Availability and capacity are not the same, but they are related and can be effectively managed together as part of a single process.

    If an IT department is unable to meet demand due to insufficient capacity, users will experience downtime or a degradation in service. To be clear, capacity is not the only factor in availability – reliability, serviceability, etc. are significant as well. But no organization can effectively manage availability without paying sufficient attention to capacity.

    "Availability Management is concerned with the design, implementation, measurement and management of IT services to ensure that the stated business requirements for availability are consistently met."

    – OGC, Best Practice for Service Delivery, 12

    "Capacity management aims to balance supply and demand [of IT storage and computing services] cost-effectively…"

    – OGC, Business Perspective, 90

    Integrate the three levels of capacity management

    Successful capacity management involves a holistic approach that incorporates all three levels.

    Business The highest level of capacity management, business capacity management, involves predicting changes in the business’ needs and developing requirements in order to make it possible for IT to adapt to those needs. Influx of new clients from a failed competitor.
    Service Service capacity management focuses on ensuring that IT services are monitored to determine if they are meeting pre-determined SLAs. The data gathered here can be used for incident and problem management. Increased website traffic.
    Component Component capacity management involves tracking the functionality of specific components (servers, hard drives, etc.), and effectively tracking their utilization and performance, and making predictions about future concerns. Insufficient web server compute.

    The C-suite cares about business capacity as part of the organization’s strategic planning. Service leads care about their assigned services. IT infrastructure is concerned with components, but not for their own sake. Components mean services that are ultimately designed to facilitate business.

    A healthcare organization practiced poor capacity management and suffered availability issues as a result

    CASE STUDY

    Industry: Healthcare

    Source: Interview

    New functionalities require new infrastructure

    There was a project to implement an elastic search feature. This had to correlate all the organization’s member data from an Oracle data source and their own data warehouse, and pool them all into an elastic search index so that it could be used by the provider portal search function. In estimating the amount of space needed, the infrastructure team assumed that all the data would be shared in a single place. They didn’t account for the architecture of elastic search in which indexes are shared across multiple nodes and shards are often split up separately.

    Beware underestimating demand and hardware sourcing lead times

    As a result, they vastly underestimated the amount of space that was needed and ended up short by a terabyte. The infrastructure team frantically sourced more hardware, but the rush hardware order arrived physically damaged and had to be returned to the vendor.

    Sufficient budget won’t ensure success without capacity planning

    The project’s budget had been more than sufficient to pay for the extra necessary capacity, but because a lack of understanding of the infrastructure impact resulted in improper forecasting, the project ended up stuck in a standstill.

    Manage availability and keep your stakeholders happy

    If you run out of capacity, you will inevitably encounter availability issues like downtime and performance degradation . End users do not like downtime, and neither do their managers.

    There are three variables that are monitored, measured, and analyzed as part of availability management more generally (Valentic).

      1. Uptime:

    The availability of a system is the percentage of time the system is “up,” (and not degraded) which can be calculated using the following formula: uptime/(uptime + downtime) x 100%. The more components there are in a system, the lower the availability, as a rule.

      1. Reliability:

    The length of time a component/service can go before there is an outage that brings it down, typically measured in hours.

      1. Maintainability:

    The amount of time it takes for a component/service to be restored in the event of an outage, also typically measured in hours.

    Enter the cloud: changes in the capacity manager role

    There can be no doubt – the rise of the public cloud has fundamentally changed the nature of capacity management.

    Features of the public cloudImplications for capacity management
    Instant, or near-instant, instantiation Lead times drop; capacity management is less about ensuring equipment arrives on time.
    Pay-as-you go services Capacity no longer needs to be purchased in bulk. Pay only for what you use and shut down instances that are no longer necessary.
    Essentially unlimited scalability Potential capacity is infinite, but so are potential costs.
    Offsite hosting Redundancy, but at the price of the increasing importance of your internet connection.

    Vendors will sell you the cloud as a solution to your capacity/availability problems

    The image contains two graphs. The first graph on the left is titled: Reactive Management, and shows the struggling relationship between capacity and demand. The second graph on the right is titled: Cloud future (ideal), which demonstrates a manageable relationship between capacity and demand over time.

    Traditionally, increases in capacity have come in bursts as a reaction to availability issues. This model inevitably results in overprovisioning, driving up costs. Access to the cloud changes the equation. On-demand capacity means that, ideally, nobody should pay for unused capacity.

    Reality check: even in the cloud era, capacity management is necessary

    You will likely find vendors to nurture the growth of a gap between your expectations and reality. That can be damaging.

    The cloud reality does not look like the cloud ideal. Even with the ostensibly elastic cloud, vendors like the consistency that longer-term contracts offer. Enter reserved instances: in exchange for lower hourly rates, vendors offer the option to pay a fee for a reserved instance. Usage beyond the reserved will be billed at a higher hourly rate. In order to determine where that line should be drawn, you should engage in detailed capacity planning. Unfortunately, even when done right, this process will result in some overprovisioning, though it does provide convenience from an accounting perspective. The key is to use spot instances where demand is exceptional and bounded. Example: A university registration server that experiences exceptional demand at the start of term but at no other time.

    The image contains an example of cloud reality not matching with the cloud ideal in the form of a graph. The graph is split horizontally, the top half is red, and there is a dotted line splitting it from the lower half. The line is labelled: Reserved instance ceiling. In the bottom half, it is the colour green and has a curving line.

    Use best practices to optimize your cloud resources

    The image contains two graphs. The graph on the left is labelled: Ineffective reserve capacity. At the top of the graph is a dotted line labelled: Reserved Instance ceiling. The graph is measuring capacity requirements over time. There is a curved line on the graph that suddenly spikes and comes back down. The spike is labelled unused capacity. The graph on the right is labelled: Effective reserve capacity. The reserved instance ceiling is about halfway down this graph, and it is comparing capacity requirements over time. This graph has a curved line on it, also has a spike and is labelled: spot instance.

    Even in the era of elasticity, capacity planning is crucial. Spot instances – the spikes in the graph above – are more expensive, but if your capacity needs vary substantially, reserving instances for all of the space you need can cost even more money. Efficiently planning capacity will help you draw this line.

    Evaluate business impact; not all systems are created equal

    Limited resources are a reality. Detailed visibility into every single system is often not feasible and could be too much information.

    Simple and effective. Sometimes a simple display can convey all of the information necessary to manage critical systems. In cars it is important to know your speed, how much fuel is in the tank, and whether or not you need to change your oil/check your engine.

    Where to begin?! Specialized information is sometimes necessary, but it can be difficult to navigate.

    Take advantage of a business impact analysis to define and understand your critical services

    Ideally, downtime would be minimal. In reality, though, downtime is a part of IT life. It is important to have realistic expectations about its nature and likelihood.

    STEP 1

    STEP 2

    STEP 3

    STEP 4

    STEP 5

    Record applications and dependencies

    Utilize your asset management records and document the applications and systems that IT is responsible for managing and recovering during a disaster.

    Define impact scoring scale

    Ensure an objective analysis of application criticality by establishing a business impact scale that applies to all applications.

    Estimate impact of downtime

    Leverage the scoring criteria from the previous step and establish an estimated impact of downtime for each application.

    Identify desired RTO and RPO

    Define what the RTOs/RPOs should be based on the impact of a business interruption and the tolerance for downtime and data loss.

    Determine current RTO/RPO

    Conduct tabletop planning and create a flowchart of your current capabilities. Compare your current state to the desired state from the previous step.

    Info-Tech Insight

    According to end users, every system is critical and downtime is intolerable. Of course, once they see how much totally eliminating downtime can cost, they might change their tune. It is important to have this discussion to separate the critical from the less critical – but still important – services.

    Establish visibility into critical systems

    You may have seen “If you can’t measure it, you can’t manage it” or a variation thereof floating around the internet. This adage is consumable and makes sense…doesn’t it?

    "It is wrong to suppose that if you can’t measure it, you can’t manage it – a costly myth."

    – W. Edwards Deming, statistician and management consultant, author of The New Economics

    While it is true that total monitoring is not absolutely necessary for management, when it comes to availability and capacity – objectively quantifiable service characteristics – a monitoring strategy is unavoidable. Capturing fluctuations in demand, and adjusting for those fluctuations, is among the most important functions of a capacity manager, even if hovering over employees with a stopwatch is poor management.

    Solicit needs from line of business managers

    Unless you head the world’s most involved IT department (kudos if you do) you’re going to have to determine your needs from the business.

    Do

    Do not

    ✓ Develop a positive relationship with business leaders responsible for making decisions.

    ✓ Make yourself aware of ongoing and upcoming projects.

    ✓ Develop expertise in organization-specific technology.

    ✓ Make the business aware of your expenses through chargebacks or showbacks.

    ✓ Use your understanding of business projects to predict business needs; do not rely on business leaders’ technical requests alone.

    X Be reactive.

    X Accept capacity/availability demands uncritically.

    X Ask line of business managers for specific computing requirements unless they have the technical expertise to make informed judgments.

    X Treat IT as an opaque entity where requests go in and services come out (this can lead to irresponsible requests).

    Demand: manage or be managed

    You might think you can get away with uncritically accepting your users’ demands, but this is not best practice. If you provide it, they will use it.

    The company meeting

    “I don’t need this much RAM,” the application developer said, implausibly. Titters wafted above the assembled crowd as her IT colleagues muttered their surprise. Heads shook, eyes widened. In fact, as she sat pondering her utterance, the developer wasn’t so sure she believed it herself. Noticing her consternation, the infrastructure manager cut in and offered the RAM anyway, forestalling the inevitable crisis that occurs when seismic internal shifts rock fragile self-conceptions. Until next time, he thought.

    "Work expands as to fill the resources available for its completion…"

    – C. Northcote Parkinson, quoted in Klimek et al.

    Combine historical data with the needs you’ve solicited to holistically project your future needs

    Predicting the future is difficult, but when it comes to capacity management, foresight is necessary.

    Critical inputs

    In order to project your future needs, the following inputs are necessary.

    1. Usage trends: While it is true that past performance is no indication of future demand, trends are still a good way to validate requests from the business.
    2. Line of business requests: An understanding of the projects the business has in the pipes is important for projecting future demand.
    3. Institutional knowledge: Read between the lines. As experts on information technology, the IT department is well-equipped to translate needs into requirements.
    The image contains a graph that is labelled: Projected demand, and graphs demand over time. There is a curved line that passes through a vertical line labelled present. There is a box on top of the graph that contains the text: Note: confidence in demand estimates will very by service and by stakeholder.

    Follow best practice guidelines to maximize the efficiency of your availability and capacity management process

    The image contains Info-Tech's IT Management & Governance Framework. The framework displays many of Info-Tech's research to help optimize and improve core IT processes. The name of this blueprint is under the Infrastructure & Operations section, and has been circled to point out where it is in the framework.

    Understand how the key frameworks relate and interact

    The image contains a picture of the COBIT 5 logo.

    BA104: Manage availability and capacity

    • Current state assessment
    • Forecasting based on business requirements
    • Risk assessment of planning and implementation of requirements
    The image contains a picture of the ITIL logo

    Availability management

    • Determine business requirements
    • Match requirements to capabilities
    • Address any mismatch between requirements and capabilities in a cost-effective manner

    Capacity management

    • Monitoring services and components
    • Tuning for efficiency
    • Forecasting future requirements
    • Influencing demand
    • Producing a capacity plan
    The image contains a picture of Info-Tech Research Group logo.

    Availability and capacity management

    • Conduct a business impact analysis
    • Establish visibility into critical systems
    • Solicit and incorporate business needs
    • Identify and mitigate risks

    Disaster recovery and business continuity planning are forms of availability management

    The scope of this project is managing day-to-day availability, largely but not exclusively, in the context of capacity. For additional important information on availability, see the following Info-Tech projects.

      • Develop a Business Continuity Plan

    If your focus is on ensuring process continuity in the event of a disaster.

      • Establish a Program to Enable Effective Performance Monitoring

    If your focus is on flow mapping and transaction monitoring as part of a plan to engage APM vendors.

      • Create a Right-Sized Disaster Recovery Plan

    If your focus is on hardening your IT systems against major events.

    Info-Tech’s approach to availability and capacity management is stakeholder-centered and cloud ready

    Phase 1:

    Conduct a business impact analysis

    Phase 2:

    Establish visibility into core systems

    Phase 3:

    Solicit and incorporate business needs

    Phase 4:

    Identify and mitigate risks

    1.1 Conduct a business impact analysis

    1.2 Assign criticality ratings to services

    2.1 Define your monitoring strategy

    2.2 Implement monitoring tool/aggregator

    3.1 Solicit business needs

    3.2 Analyze data and project future needs

    4.1 Identify and mitigate risks

    Deliverables

    • Business impact analysis
    • Gold systems
    • Monitoring strategy
    • List of stakeholders
    • Business needs
    • Projected capacity needs
    • Risks and mitigations
    • Capacity management summary cards

    Info-Tech offers various levels of support to best suit your needs

    DIY Toolkit

    “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

    Guided Implementation

    “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

    Workshop

    “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

    Consulting

    “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

    Diagnostics and consistent frameworks used throughout all four options

    Availability & capacity management – project overview

     

    Conduct a business impact analysis

    Establish visibility into core systems

    Solicit and incorporate business needs

    Identify and
    mitigate risks

    Best-Practice Toolkit

    1.1 Create a scale to measure different levels of impact

    1.2 Assign criticality ratings to services

    2.1 Define your monitoring strategy

    2.2 Implement your monitoring tool/aggregator

    3.1 Solicit business needs and gather data

    3.2 Analyze data and project future needs

    4.1 Identify and mitigate risks

    Guided Implementations

    Call 1: Conduct a business impact analysis Call 1: Discuss your monitoring strategy

    Call 1: Develop a plan to gather historical data; set up plan to solicit business needs

    Call 2: Evaluate data sources

    Call 1: Discuss possible risks and strategies for risk mitigation

    Call 2: Review your capacity management plan

    Onsite Workshop

    Module 1:

    Conduct a business impact analysis

    Module 2:

    Establish visibility into core systems

    Module 3:

    Develop a plan to project future needs

    Module 4:

    Identify and mitigate risks

     

    Phase 1 Results:

    • RTOs/RPOs
    • List of gold systems
    • Criticality matrix

    Phase 2 Results:

    • Capacity/availability monitoring strategy

    Phase 3 Results:

    • Plan for soliciting future needs
    • Future needs

    Phase 4 Results:

    • Strategies for reducing risks
    • Capacity management plan

    Workshop overview

    Contact your account representative or email Workshops@InfoTech.com for more information.

     

    Workshop Day 1

    Workshop Day 2

    Workshop Day 3

    Workshop Day 4

     

    Conduct a business
    impact analysis

    Establish visibility into
    core systems

    Solicit and incorporate business needs

    Identify and mitigate risks

    Activities

    1.1 Conduct a business impact analysis

    1.2 Create a list of critical dependencies

    1.3 Identify critical sub-components

    1.4 Develop best practices to negotiate SLAs

    2.1 Determine indicators for sub-components

    2.2 Establish visibility into components

    2.3 Develop strategies to ameliorate visibility issues

    3.1 Gather relevant business-level data

    3.2 Gather relevant service-level data

    3.3 Analyze historical trends

    3.4 Build a list of business stakeholders

    3.5 Directly solicit requirements from the business

    3.6 Map business needs to technical requirements

    3.7 Identify inefficiencies and compare historical data

    • 4.1 Brainstorm potential causes of availability and capacity risk
    • 4.2 Identify and mitigate capacity risks
    • 4.3 Identify and mitigate availability risks

    Deliverables

    1. Business impact analysis
    2. List of gold systems
    3. SLA best practices
    1. Sub-component metrics
    2. Strategy to establish visibility into critical sub-components
    1. List of stakeholders
    2. Business requirements
    3. Technical requirements
    4. Inefficiencies
    1. Strategies for mitigating risks
    2. Completed capacity management plan template

    PHASE 1

    Conduct a Business Impact Analysis

    Step 1.1: Conduct a business impact analysis

    This step will walk you through the following activities:

    • Record applications and dependencies in the Business Impact Analysis Tool.
    • Define a scale to estimate the impact of various applications’ downtime.
    • Estimate the impact of applications’ downtime.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team

    Outcomes of this step

    • Estimated impact of downtime for various applications

    Execute a business impact analysis (BIA) as part of a broader availability plan

    1.1a Business Impact Analysis Tool

    Business impact analyses are an invaluable part of a broader IT strategy. Conducting a BIA benefits a variety of processes, including disaster recovery, business continuity, and availability and capacity management

    STEP 1

    STEP 2

    STEP 3

    STEP 4

    STEP 5

    Record applications and dependencies

    Utilize your asset management records and document the applications and systems that IT is responsible for managing and recovering during a disaster.

    Define impact scoring scale

    Ensure an objective analysis of application criticality by establishing a business impact scale that applies to all applications.

    Estimate impact of downtime

    Leverage the scoring criteria from the previous step and establish an estimated impact of downtime for each application.

    Identify desired RTO and RPO

    Define what the RTOs/RPOs should be based on the impact of a business interruption and the tolerance for downtime and data loss.

    Determine current RTO/RPO

    Conduct tabletop planning and create a flowchart of your current capabilities. Compare your current state to the desired state from the previous step.

    Info-Tech Insight

    Engaging in detailed capacity planning for an insignificant service draws time and resources away from more critical capacity planning exercises. Time spent tracking and planning use of the ancient fax machine in the basement is time you’ll never get back.

    Control the scope of your availability and capacity management planning project with a business impact analysis

    Don’t avoid conducting a BIA because of a perception that it’s too onerous or not necessary. If properly managed, as described in this blueprint, the BIA does not need to be onerous and the benefits are tangible.

    A BIA enables you to identify appropriate spend levels, continue to drive executive support, and prioritize disaster recovery planning for a more successful outcome. For example, an Info-Tech survey found that a BIA has a significant impact on setting appropriate recovery time objectives (RTOs) and appropriate spending.

    The image contains a graph that is labelled: BIA Impact on Appropriate RTOS. With no BIA, there is 59% RTOs are appropriate. With BIA, there is 93% RTOS being appropriate. The image contains a graph that is labelled: BIA Impact on Appropriate Spending. No BIA has 59% indication that BCP is cost effective. With a BIA there is 86% indication that BCP is cost effective.

    Terms

    No BIA: lack of a BIA, or a BIA bases solely on the perceived importance of IT services.

    BIA: based on a detailed evaluation or estimated dollar impact of downtime.

    Source: Info-Tech Research Group; N=70

    Select the services you wish to evaluate with the Business Impact Analysis Tool

    1.1b 1 hour

    In large organizations especially, collating an exhaustive list of applications and services is going to be onerous. For the purposes of this project, a subset should suffice.

    Instructions

    1. Gather a diverse group of IT staff and end users in a room with a whiteboard.
    2. Solicit feedback from the group. Questions to ask:
    • What services do you regularly use? What do you see others using? (End users)
    • Which service inspires the greatest number of service calls? (IT)
    • What services are you most excited about? (Management)
    • What services are the most critical for business operations? (Everybody)
  • Record these applications in the Business Impact Analysis Tool.
  • Input

    • Applications/services

    Output

    • Candidate applications for the business impact analysis

    Materials

    • Whiteboard
    • Markers

    Participants

    • Infrastructure manager
    • Enterprise architect
    • Application owners
    • End users

    Info-Tech Insight

    Include a variety of services in your analysis. While it might be tempting to jump ahead and preselect important applications, don’t. The process is inherently valuable, and besides, it might surprise you.

    Record the applications and dependencies in the BIA tool

    1.1c Use tab 1 of the Business Impact Analysis Tool

    1. In the Application/System column, list the applications identified for this pilot as well as the Core Infrastructure category. Also indicate the Impact on the Business and Business Owner.
    2. List the dependencies for each application in the appropriate columns:
    • Hosted On-Premises (In-House) – If the physical equipment is in a facility you own, record it here, even if it is managed by a vendor.
    • Hosted by a Co-Lo/MSP – List any dependencies hosted by a co-lo/MSP vendor.
    • Cloud (includes "as a Service”) – List any dependencies hosted by a cloud vendor.

    Note: If there are no dependencies for a particular category, leave it blank.

  • If you wish to highlight specific dependencies, put an asterisk in front of them (e.g. *SAN). This will cause the dependency to be highlighted in the remaining tabs in this tool.
  • Add comments as needed in the Notes columns. For example, for equipment that you host in-house but is remotely managed by an MSP, specify this in the notes. Similarly, note any DR support services.
  • Example

    The image contains a screenshot of Info-Tech's Business Impact Analysis Tool specifically tab 1.

    ID is optional. It is a sequential number by default.

    In-House, Co-Lo/MSP, and Cloud dependencies; leave blank if not applicable.

    Add notes as applicable – e.g. critical support services.

    Define a scoring scale to estimate different levels of impact

    1.1d Use tab 2 of the Business Impact Analysis Tool

    Modify the Business Impact Scales headings and Overall Criticality Rating terminology to suit your organization. For example, if you don’t have business partners, use that column to measure a different goodwill impact or just ignore that column in this tool (i.e. leave it blank). Estimate the different levels of potential impact (where four is the highest impact and zero is no impact) and record these in the Business Impact Scales columns.

    The image contains a screenshot of Info-Tech's Business Impact Analysis Tool, specifically tab 2.

    Estimate the impact of downtime for each application

    1.1e Use tab 3 of the Business Impact Analysis Tool

    In the BIA tab columns for Direct Costs of Downtime, Impact on Goodwill, and Additional Criticality Factors, use the drop-down menu to assign a score of zero to four based on levels of impact defined in the Scoring Criteria tab. For example, if an organization’s ERP is down, and that affects call center sales operations (e.g. ability to access customer records and process orders), the impact might be as described below:

      • Loss of Revenue might score a two or three depending on the proportion of overall sales lost due to the downtime.
      • The Impact on Customers might be a one or two depending on the extent that existing customers might be using the call center to purchase new products or services, and are frustrated by the inability to process orders.
      • The Legal/Regulatory Compliance and Health or Safety Risk might be a zero.

    On the other hand, if payroll processing is down, this may not impact revenue, but it certainly impacts internal goodwill and productivity.

    Rank service criticality: gold, silver, and bronze

    Gold

    Mission critical services. An outage is catastrophic in terms of cost or public image/goodwill. Example: trading software at a financial institution.

    Silver

    Important to daily operations, but not mission critical. Example: email services at any large organization.

    Bronze

    Loss of these services is an inconvenience more than anything, though they do serve a purpose and will be missed if they are never brought back online. Example: ancient fax machines.

    Info-Tech Best Practice

    Info-Tech recommends gold, silver, and bronze because of this typology’s near universal recognition. If you would prefer a particular designation (it might help with internal comprehension), don’t hesitate to use that one instead.

    Use the results of the business impact analysis to sort systems based on their criticality

    1.1f 1 hour

    Every organization has its own rules about how to categorize service importance. For some (consumer-facing businesses, perhaps) reputational damage may trump immediate costs.

    Instructions

    1. Gather a group of key stakeholders and project the completed Business Impact Analysis Tool onto a screen for them.
    2. Share the definitions of gold, silver, and bronze services with them (if they are not familiar), and begin sorting the services by category,
    • How long would it take to notice if a particular service went out?
    • How important are the non-quantifiable damages that could come with an outage?
  • Sort the services into gold, silver, and bronze on a whiteboard, with sticky notes, or with chart paper.
  • Verify your findings and record them in section 2.1 of the Capacity Plan Template.
  • Input

    • Results of the business impact analysis exercise

    Output

    • List of gold, silver, and bronze systems

    Materials

    • Projector
    • Business Impact Analysis Tool
    • Capacity Plan Template

    Participants

    • Infrastructure manager
    • Enterprise architect

    Leverage the rest of the BIA tool as part of your disaster recovery planning

    Disaster recovery planning is a critical activity, and while it is a sort of availability management, it is beyond this project’s scope. You can complete the business impact analysis (including RTOs and RPOs) for the complete disaster recovery package.

    See Info-Tech’s Create a Right-Sized Disaster Recovery Plan blueprint for instructions on how to complete your business impact analysis.

    Step 1.2: Assign criticality ratings to services

    This step will walk you through the following activities:

    • Create a list of dependencies for your most important applications.
    • Identify important sub-components.
    • Use best practices to develop and negotiate SLAs.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team

    Outcomes of this step

    • List of dependencies of most important applications
    • List of important sub-components
    • SLAs based on best practices

    Determine the base unit of the capacity you’re looking to purchase

    Not every IT organization should approach capacity the same way. Needs scale, and larger organizations will inevitably deal in larger quantities.

    Large cloud provider

    Local traditional business

    • Thousands of servers housed in a number of datacenters around the world.
    • Dedicated capacity manager.
    • Purchases components from OEMs in bulk as part of bespoke contracts that are worth many millions of dollars over time.
    • May deal with components at a massive scale (dozens of servers at once, for example).
    • A small server room that runs non-specialized services (email, for example).
    • Barely even a dedicated IT person, let alone an IT capacity manager.
    • Purchases new components from resellers or even retail stores.
    • Deals with components at a small scale (a single switch here, a server upgrade there).

    "Cloud capacity management is not exactly the same as the ITIL version because ITIL has a focus on the component level. I actually don’t do that, because if I did I’d go crazy. There’s too many components in a cloud environment."

    – Richie Mendoza, IT Consultant, SMITS Inc.

    Consider the relationship between component capacity and service capacity

    End users’ thoughts about IT are based on what they see. They are, in other words, concerned with service availability: does the organization have the ability to provide access to needed services?

    Service

    • Email
    • CRM
    • ERP

    Component

    • Switch
    • SMTP server
    • Archive database
    • Storage

    "You don’t ask the CEO or the guy in charge ‘What kind of response time is your requirement?’ He doesn’t really care. He just wants to make sure that all his customers are happy."

    – Todd Evans, Capacity and Performance Management SME, IBM.

    One telco solved its availability issues by addressing component capacity issues

    CASE STUDY

    Industry: Telecommunications

    Source: Interview

    Coffee and Wi-Fi – a match made in heaven

    In tens of thousands of coffee shops around the world, patrons make ample use of complimentary Wi-Fi. Wi-Fi is an important part of customers’ coffee shop experience, whether they’re online to check their email, do a YouTube, or update their Googles. So when one telco that provided Wi-Fi access for thousands of coffee shops started encountering availability issues, the situation was serious.

    Wi-Fi, whack-a-mole, and web woes

    The team responsible for resolving the issue took an ad hoc approach to resolving complaints, fixing issues as they came up instead of taking a systematic approach.

    Resolution

    Looking at the network as a whole, the capacity manager took a proactive approach by using data to identify and rank the worst service areas, and then directing the team responsible to fix those areas in order of the worst first, then the next worst, and so on. Soon the availability of Wi-Fi service was restored across the network.

    Create a list of dependencies for your most important applications

    1.2a 1.5 hours

    Instructions

    1. Work your way down the list of services outlined in step 1, starting with your gold systems. During the first iteration of this exercise select only 3-5 of your most important systems.
    2. Write the name of each application on a sticky note or at the top of a whiteboard (leaving ample space below for dependency mapping).
    3. In the first tier below the application, include the specific services that the general service provides.
    • This will vary based on the service in question, but an example for email is sending, retrieving, retrieving online, etc.
  • For each of the categories identified in step 3, identify the infrastructure components that are relevant to that system. Be broad and sweeping; if the component is involved in the service, include it here. The goal is to be exhaustive.
  • Leave the final version of the map intact. Photographing or making a digital copy for posterity. It will be useful in later activities.
  • Input

    • List of important applications

    Output

    • List of critical dependencies

    Materials

    • Whiteboard
    • Markers
    • Sticky notes

    Participants

    • Infrastructure manager
    • Enterprise architect

    Info-Tech Insight

    Dependency mapping can be difficult. Make sure you don’t waste effort creating detailed dependency maps for relatively unimportant services.

    Dependency mapping can be difficult. Make sure you don’t waste effort creating detailed dependency maps for relatively unimportant services.

    The image contains a sample dependency map on ride sharing. Ride Sharing has been split between two categories: Application and Drivers. Under drivers it branches out to: Availability, Car, and Pay. Under Application, it branches out to: Compute, Network, Edge devices, Q/A maintenance, and Storage. Compute branches out to Cloud Services. Network branches out to Cellular network and Local. Edge Devices branch out to Drivers and Users. Q/A maintenance does not have a following branch. Storage branches out to Storage (Enterprise) and Storage (local).

    Ride sharing cannot work, at least not at maximum effectiveness, without these constituent components. When one or more of these components are absent or degraded, the service will become unavailable. This example illustrates some challenges of capacity management; some of these components are necessary, but beyond the ride-sharing company’s control.

    Leverage a sample dependency tree for a common service

    The image contains a sample dependency tree for the Email service. Email branches out to: Filtering, Archiving, Retrieval, and Send/receive. Filtering branches out to security appliance which then branches out to CPU, Storage, and Network. Archiving branches to Archive server, which branches out to CPU, Storage, and Network. Retrieval branches out to IMAP/PoP which branches out to CPU, Storage, and Network. Send/receive branches out to IMAP/PoP and SMTP. SMTP branches out to CPU, Storage and Network.

    Info-Tech Best Practice

    Email is an example here not because it is necessarily a “gold system,” but because it is common across industries. This is a useful exercise for any service, but it can be quite onerous, so it should be conducted on the most important systems first.

    Separate the wheat from the chaff; identify important sub-components and separate them from unimportant ones

    1.2b 1.5 hours

    Use the bottom layer of the pyramid drawn in step 1.2a for a list of important sub-components.

    Instructions

    1. Record a list of the gold services identified in the previous activity. Leave space next to each service for sub-components.
    2. Go through each relevant sub-component. Highlight those that are critical and could reasonably be expected to cause problems.
    • Has this sub-component caused a problem in the past?
    • Is this sub-component a bottleneck?
    • What could cause this component to fail? Is it such an occurrence feasible?
  • Record the results of the exercise (and the service each sub-component is tied to) in tab 2 (columns B &C) of the Capacity Snapshot Tool.
  • Input

    • List of important applications

    Output

    • List of critical dependencies

    Materials

    • Whiteboard
    • Markers

    Participants

    • Infrastructure manager
    • Enterprise architect

    Understand availability commitments with SLAs

    With the rise of SaaS, cloud computing, and managed services, critical services and their components are increasingly external to IT.

    • IT’s lack of access to the internal working of services does not let them off the hook for performance issues (as much as that might be the dream).
    • Vendor management is availability management. Use the dependency map drawn earlier in this phase to highlight the components of critical services that rely on capacity that cannot be managed internally.
    • For each of these services ensure that an appropriate SLA is in place. When acquiring new services, ensure that the vendor SLA meets business requirements.

    The image contains a large blue circle labelled: Availability. Also in the blue circle is a small red circle labelled: Capacity.

    In terms of service provision, capacity management is a form of availability management. Not all availability issues are capacity issues, but the inverse is true.

    Info-Tech Insight

    Capacity issues will always cause availability issues, but availability issues are not inherently capacity issues. Availability problems can stem from outages unrelated to capacity (e.g. power or vendor outages).

    Use best practices to develop and negotiate SLAs

    1.2c 20 minutes per service

    When signing contracts with vendors, you will be presented with an SLA. Ensure that it meets your requirements.

    1. Use the business impact analysis conducted in this project’s first step to determine your requirements. How much downtime can you tolerate for your critical services?
    2. Once you have been presented with an SLA, be sure to scour it for tricks. Remember, just because a vendor offers “five nines” of availability doesn’t mean that you’ll actually get that much uptime. It could be that the vendor is comfortable eating the cost of downtime or that the contract includes provisions for planned maintenance. Whether or not the vendor anticipated your outage does little to mitigate the damage an outage can cause to your business, so be careful of these provisions.
    3. Ensure that the person ultimately responsible for the SLA (the approver) understands the limitations of the agreement and the implications for availability.

    Input

    • List of external component dependencies

    Output

    • SLA requirements

    Materials

    • Whiteboard
    • Markers

    Participants

    • Infrastructure manager
    • Enterprise architect

    Info-Tech Insight

    Vendors are sometimes willing to eat the cost of violating SLAs if they think it will get them a contract. Be careful with negotiation. Just because the vendor says they can do something doesn’t make it true.

    Negotiate internal SLAs using Info-Tech’s rigorous process

    Talking past each other can drive misalignment between IT and the business, inconveniencing all involved. Quantify your needs through an internal SLA as part of a comprehensive availability management plan.

    See Info-Tech’s Improve IT-Business Alignment Through an Internal SLA blueprint for instructions on why you should develop internal SLAs and the potential benefits they bring.

    If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop.

    The image contains a picture of an Info-Tech analyst.

    Book a workshop with our Info-Tech analysts:

    • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
    • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
    • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

    The following are sample activities that will be conducted by Info-Tech analysts with your team:

    1.2

    The image contains a screenshot of activity 1.2 as previously described above.

    Create a list of dependencies for your most important applications

    Using the results of the business impact analysis, the analyst will guide workshop participants through a dependency mapping exercise that will eventually populate the Capacity Plan Template.

    Phase 1 Guided Implementation

    Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

    Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

    Guided Implementation 1: Conduct a business impact analysis

    Proposed Time to Completion: 1 week

    Step 1.1: Create a scale to measure different levels of impact

    Review your findings with an analyst

    Discuss how you arrived at the rating of your critical systems and their dependencies. Consider whether your external SLAs are appropriate.

    Then complete these activities…

    • Use the results of the business impact analysis to sort systems based on their criticality

    With these tools & templates:

    Business Impact Analysis Tool

    Step 1.2: Assign criticality ratings to services

    Review your findings with an analyst

    Discuss how you arrived at the rating of your critical systems and their dependencies. Consider whether your external SLAs are appropriate.

    Then complete these activities…

    • Create a list of dependencies for your most important applications
    • Identify important sub-components
    • Use best practices to develop and negotiate SLAs

    With these tools & templates:

    Capacity Snapshot Tool

    Phase 1 Results & Insights:

    • Engaging in detailed capacity planning for an insignificant service is a waste of resources. Focus on ensuring availability for your most critical systems.
    • Carefully evaluate vendors’ service offerings. Make sure the SLA works for you, and approach pie-in-the-sky promises with skepticism.

    PHASE 2

    Establish Visibility Into Core Systems

    Step 2.1: Define your monitoring strategy

    This step will walk you through the following activities:

    • Determine the indicators you should be tracking for each sub-component.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team

    Outcomes of this step

    • List of indicators to track for each sub-component

    Data has its significance—but also its limitations

    The rise of big data can be a boon for capacity managers, but be warned: not all data is created equal. Bad data can lead to bad decisions – and unemployed capacity managers.

    Your findings are only as good as your data. Remember: garbage in, garbage out. There are three characteristics of good data:*

    1. Accuracy: is the data exact and correct? More detail and confidence is better.
    2. Reliability: is the data consistent? In other words, if you run the same test twice will you get the same results?
    3. Validity: is the information gleaned believable and relevant?

    *National College of Teaching & Leadership, “Reliability and Validity”

    "Data is king. Good data is absolutely essential to [the capacity manager] role."

    – Adrian Blant, Independent Capacity Consultant, IT Capability Solutions

    Info-Tech Best Practice

    Every organization’s data needs are different; your data needs are going to be dictated by your services, delivery model, and business requirements. Make sure you don’t confuse volume with quality, even if others in your organization make that mistake.

    Take advantage of technology to establish visibility into your systems

    Managing your availability and capacity involves important decisions about what to monitor and how thresholds should be set.

    • Use the list of critical applications developed through the business impact analysis and the list of components identified in the dependency mapping exercise to produce a plan for effectively monitoring component availability and capacity.
    • The nature of IT service provision – the multitude of vendors providing hardware and services necessary for even simple IT services to work effectively – means that it is unlikely that capacity management will be visible through a single pane of glass. In other words, “email” and “CRM” don’t have a defined capacity. It always depends.
    • Establishing visibility into systems involves identifying what needs to be tracked for each component.

    Too much monitoring can be as bad as the inverse

    In 2013, a security breach at US retailer Target compromised more than 70 million customers’ data. The company received an alert, but it was thought to be a false positive because the monitoring system produced so many false and redundant alerts. As a result of the daily deluge, staff did not respond to the breach in time.

    Info-Tech Insight

    Don’t confuse monitoring with management. While establishing visibility is a crucial step, it is only part of the battle. Move on to this project’s next phase to explore opportunities to improve your capacity/availability management process.

    Determine the indicators you should be tracking for each sub-component

    2.1a Tab 3 of the Capacity Snapshot Tool

    It is nearly impossible to overstate the importance of data to the process of availability and capacity management. But the wrong data will do you no good.

    Instructions

    1. Open the Capacity Snapshot Tool to tab 2. The tool should have been populated in step 1.2 as part of the component mapping exercise.
    2. For each service, determine which metric(s) would most accurately tell the component’s story. Consider the following questions when completing this activity (you may end up with more than one metric):
    • How would the component’s capacity be measured (storage space, RAM, bandwidth, vCPUs)?
    • Is the metric in question actionable?
  • Record each metric in the Metric column (D) of the Capacity Snapshot Tool. Use the adjacent column for any additional information on metrics.
  • Info-Tech Insight

    Bottlenecks are bad. Use the Capacity Snapshot Tool (or another tool like it) to ensure that when the capacity manager leaves (on vacation, to another role, for good) the knowledge that they have accumulated does not leave as well.

    Understand the limitations of this approach

    Although we’ve striven to make it as easy as possible, this process will inevitably be cumbersome for organizations with a complicated set of software, hardware, and cloud services.

    Tracking every single component in significant detail will produce a lot of noise for each bit of signal. The approach outlined here addresses that concern in two ways:

    • A focus on gold services
    • A focus on sub-components that have a reasonable likelihood of being problematic in the future.

    Despite this effort, however, managing capacity at the component level is a daunting task. Ultimately, tools provided by vendors like SolarWinds and AppDynamics will fill in some of the gaps. Nevertheless, an understanding of the conceptual framework underlying availability and capacity management is valuable.

    Step 2.2: Implement your monitoring tool/aggregator

    This step will walk you through the following activities:

    • Clarify visibility.
    • Determine whether or not you have sufficiently granular visibility.
    • Develop strategies to .any visibility issues.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team
    • Applications personnel

    Outcomes of this step

    • Method for measuring and monitoring critical sub-components

    Companies struggle with performance monitoring because 95% of IT shops don’t have full visibility into their environments

    CASE STUDY

    Industry: Financial Services

    Source: AppDynamics

    Challenge

    • Users are quick to provide feedback when there is downtime or application performance degradation.
    • The challenge for IT teams is that while they can feel the pain, they don’t have visibility into the production environment and thus cannot identify where the pain is coming from.
    • The most common solution that organizations rely on is leveraging the log files for issue diagnosis. However, this method is slow and often unable to pinpoint the problem areas, leading to delays in problem resolution.

    Solution

    • Application and infrastructure teams need to work together to develop infrastructure flow maps and transaction profiles.
    • These diagrams will highlight the path that each transaction travels across your infrastructure.
    • Ideally at this point, teams will also capture latency breakdowns across every tier that the business transaction flows through.
      • This will ultimately kick start the baselining process.

    Results

    • Ninety-five percent of IT departments don’t have full visibility into their production environment. As a result, a slow business transaction will often require a war-room approach where SMEs from across the organization gather to troubleshoot.
    • Having visibility into the production environment through infrastructure flow mapping and transaction profiling will help IT teams pinpoint problems.
      • At the very least, teams will be able to identify common problem areas and expedite the root-cause analysis process.

    Source: “Just how complex can a Login Transaction be? Answer: Very!,” AppDynamics

    Monitor your critical sub-components

    Establishing a monitoring plan for your capacity involves answering two questions: can I see what I need to see, and can I see it with sufficient granularity?

    • Having the right tool for the job is an important step towards effective capacity and availability management.
    • Application performance management tools (APMs) are essential to the process, but they tend to be highly specific and vertically oriented, like using a microscope.
    • Some product families can cover a wider range of capacity monitoring functions (SolarWinds, for example). It is still important, however, to codify your monitoring needs.

    "You don’t use a microscope to monitor an entire ant farm, but you might use many microscopes to monitor specific ants."

    – Fred Chagnon, Research Director, Infrastructure Practice, Info-Tech Research Group

    Monitor your sub-components: clarify visibility

    2.2a Tab 2 of the Capacity Snapshot Tool

    The next step in capacity management is establishing whether or not visibility (in the broad sense) is available into critical sub-components.

    Instructions

    1. Open the Capacity Snapshot Tool and record the list of sub-components identified in the previous step.
    2. For each sub-component answer the following question:
    • Do I have easy access to the information I need to monitor to ensure this component remains available?
  • Select “Yes” or “No” from the drop-down menus as appropriate. In the adjacent column record details about visibility into the component.
    • What tool provides the information? Where can it be found?

    The image contains a screenshot of Info-Tech's Capacity Snapshot Tool, Tab 2.

    Monitor your sub-components; determine whether or not you have sufficient granular visibility

    2.2b Tab 2 of the Capacity Snapshot Tool

    Like ideas and watches, not all types of visibility are created equal. Ensure that you have access to the right information to make capacity decisions.

    Instructions

    1. For each of the sub-components clarify the appropriate level of granularity for the visibility gained to be useful. In the case of storage, for example, is raw usage (in gigabytes) sufficient, or do you need a breakdown of what exactly is taking up the space? The network might be more complicated.
    2. Record the details of this ideation in the adjacent column.
    3. Select “Yes” or “No” from the drop-down menu to track the status of each sub-component.

    The image contains a picture of an iPhone storage screen where it breaks down the storage into the following categories: apps, media, photos, and other.

    For most mobile phone users, this breakdown is sufficient. For some, more granularity might be necessary.

    Info-Tech Insight

    Make note of monitoring tools and strategies. If anything changes, be sure to re-evaluate the visibility status. An outdated spreadsheet can lead to availability issues if management is unaware of looming problems.

    Develop strategies to ameliorate any visibility issues

    2.2c 1 hour

    The Capacity Snapshot Tool color-codes your components by status. Green – visibility and granularity are both sufficient; yellow – visibility exists, though not at sufficient granularity; and red – visibility does not exist at all.

    Instructions

    1. Write each of the yellow and red sub-components on a whiteboard or piece of chart paper.
    2. Brainstorm amelioration strategies for each of the problematic sub-components.
    • Does the current monitoring tool have sufficient functionality?
    • Does it need to be further configured/customized?
    • Do we need a whole new tool?
  • Record these strategies in the Amelioration Strategy column on tab 4 of the tool.
  • Input

    • Sub-components
    • Capacity Snapshot Tool

    Output

    • Amelioration strategies

    Materials

    • Whiteboard
    • Markers
    • Capacity Snapshot Tool

    Participants

    • Infrastructure manager

    Info-Tech Best Practice

    It might be that there is no amelioration strategy. Make note of this difficulty and highlight it as part of the risk section of the Capacity Plan Template.

    See Info-Tech’s projects on storage and network modernization for additional details

    Leverage other products for additional details on how to modernize your network and storage services.

    The process of modernizing the network is fraught with vestigial limitations. Develop a program to gather requirements and plan.

    As part of the blueprint, Modernize Enterprise Storage, the Modernize Enterprise Storage Workbook includes a section on storage capacity planning.

    If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop.

    The image contains a picture of an Info-Tech analyst.

    Book a workshop with our Info-Tech analysts:

    • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
    • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
    • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

    The following are sample activities that will be conducted by Info-Tech analysts with your team:

    2.2

    The image contains a screenshot of activity 2.2.

    Develop strategies to ameliorate visibility issues

    The analyst will guide workshop participants in brainstorming potential solutions to visibility issues and record them in the Capacity Snapshot Tool.

    Phase 2 Guided Implementation

    Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

    Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

    Guided Implementation 2: Establish visibility into core systems

    Proposed Time to Completion: 3 weeks

    Step 2.1: Define your monitoring strategy

    Review your findings with an analyst

    Discuss your monitoring strategy and ensure you have sufficient visibility for the needs of your organization.

    Then complete these activities…

    • Determine the indicators you should be tracking for each sub-component

    With these tools & templates:

    • Capacity Snapshot Tool

    Step 2.2: Implement your monitoring tool/aggregator

    Review your findings with an analyst

    Discuss your monitoring strategy and ensure you have sufficient visibility for the needs of your organization.

    Then complete these activities…

    • Clarify visibility
    • Determine whether or not you have sufficiently granular visibility
    • Develop strategies to ameliorate any visibility issues

    With these tools & templates:

    • Capacity Snapshot Tool

    Phase 2 Results & Insights:

    • Every organization’s data needs are different. Adapt data gathering, reporting, and analysis according to your services, delivery model, and business requirements.
    • Don’t confuse monitoring with management. Build a system to turn reported data into useful information that feeds into the capacity management process.

    PHASE 3

    Solicit and Incorporate Business Needs

    Step 3.1: Solicit business needs and gather data

    This step will walk you through the following activities:

    • Build relationships with business stakeholders.
    • Analyze usage data and identify trends.
    • Correlate usage trends with business needs.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team members
    • Business stakeholders

    Outcomes of this step

    • System for involving business stakeholders in the capacity planning process
    • Correlated data on business level, service level, and infrastructure level capacity usage

    Summarize your capacity planning activities in the Capacity Plan Template

    The availability and capacity management summary card pictured here is a handy way to capture the results of the activities undertaken in the following phases. Note its contents carefully, and be sure to record specific outputs where appropriate. One such card should be completed for each of the gold services identified in the project’s first phase. Make note of the results of the activities in the coming phase, and populate the Capacity Snapshot Tool. These will help you populate the tool.

    The image contains a screenshot of Info-Tech's Capacity Plan Template.

    Info-Tech Best Practice

    The Capacity Plan Template is designed to be a part of a broader mapping strategy. It is not a replacement for a dedicated monitoring tool.

    Analyze historical trends as a crucial source of data

    The first place to look for information about your organization is not industry benchmarks or your gut (though those might both prove useful).

    • Where better to look than internally? Use the data you’ve gathered from your APM tool or other sources to understand your historical capacity needs and to highlight any periods of unavailability.
    • Consider monitoring the status of the capacity of each of your crucial components. The nature of this monitoring will vary based on the component in question. It can range from a rough Excel sheet all the way to a dedicated application performance monitoring tool.

    "In all cases the very first thing to do is to look at trending…The old adage is ‘you don’t steer a boat by its wake,’ however it’s also true that if something is growing at, say, three percent a month and it has been growing at three percent a month for the last twelve months, there’s a fairly good possibility that it’s going to carry on going in that direction."

    – Mike Lynch, Consultant, CapacityIQ

    Gather relevant data at the business level

    3.1a 2 hours per service

    A holistic approach to capacity management involves peering beyond the beaded curtain partitioning IT from the rest of the organization and tracking business metrics.

    Instructions

    1. Your service/application owners know how changes in business activities impact their systems. Business level capacity management involves responding to those changes. Ask service/application owners what changes will impact their capacity. Examples include:
    • Business volume (net new customers, number of transactions)
    • Staff changes (new hires, exits, etc.)
  • For each gold service, brainstorm relevant metrics. How can you capture that change in business volume?
  • Record these metrics in the summary card of the Capacity Plan Template.
  • In the notes section of the summary card record whether or not you have access to the required business metric.
  • Input

    • Brainstorming
    • List of gold services

    Output

    • Business level data

    Materials

    • In-house solution or commercial tool

    Participants

    • Capacity manager
    • Application/service owners

    Gather relevant data at the service level

    3.1b 2 hours per service

    One level of abstraction down is the service level. Service level capacity management, recall that service level capacity management is about ensuring that IT is meeting SLAs in its service provision.

    Instructions

    1. There should be internal SLAs for each service IT offers. (If not, that’s a good place to start. See Info-Tech’s research on the subject.) Prod each of your service owners for information on the metrics that are relevant for their SLAs. Consider the following:
    • Peak hours, requests per second, etc.
    • This will usually include some APM data.
  • Record these metrics in the summary card of the Capacity Plan Template.
  • Include any visibility issues in the notes in a similar section of the Capacity Plan Template.
  • Input

    • Brainstorming
    • List of gold services

    Output

    • Service level data

    Materials

    • In-house solution or commercial tool

    Participants

    • Capacity manager
    • Application/service owners

    Leverage the visibility into your infrastructure components and compare all of your data over time

    You established visibility into your components in the second phase of this project. Use this data, and that gathered at the business and service levels, to begin analyzing your demand over time.

    • Different organizations will approach this issue differently. Those with a complicated service catalog and a dedicated capacity manager might employ a tool like TeamQuest. If your operation is small, or you need to get your availability and capacity management activities underway as quickly as possible, you might consider using a simple spreadsheet software like Excel.
    • If you choose the latter option, select a level of granularity (monthly, weekly, etc.) and produce a line graph in Excel.
    • Example: Employee count (business metric)

    Jan

    Feb

    Mar

    Apr

    May

    June

    July

    74

    80

    79

    83

    84

    100

    102

    The image contains a graph using the example of employee count described above.

    Note: the strength of this approach is that it is easy to visualize. Use the same timescale to facilitate simple comparison.

    Manage, don’t just monitor; mountains of data need to be turned into information

    Information lets you make a decision. Understand the questions you don’t need to ask, and ask the right ones.

    "Often what is really being offered by many analytics solutions is just more data or information – not insights."

    – Brent Dykes, Director of Data Strategy, Domo

    Info-Tech Best Practice

    You can have all the data in the world and absolutely nothing valuable to add. Don’t fall for this trap. Use the activities in this phase to structure your data collection operation and ensure that your organization’s availability and capacity management plan is data driven.

    Analyze historical trends and track your services’ status

    3.1c Tab 3 of the Capacity Snapshot Tool

    At-a-glance – it’s how most executives consume all but the most important information. Create a dashboard that tracks the status of your most important systems.

    Instructions

    1. Consult infrastructure leaders for information about lead times for new capacity for relevant sub-components and include that information in the tool.
    • Look to historical lead times. (How long does it traditionally take to get more storage?)
    • If you’re not sure, contact an in-house expert, or speak to your vendor
  • Use tab 3 of the tool to record whether your existing capacity will be exceeded before you can stand more hardware up (red), you have a plan to ameliorate capacity issues but new capacity is not yet in place (yellow), or if you are not slated to run out of capacity any time soon (green).
  • Repeat the activity regularly. Include notes about spikes that might present capacity challenges, and information about when capacity may run out.
  • This tool collates and presents information gathered from other sources. It is not a substitute for a performance monitoring tool.

    Build a list of key business stakeholders

    3.1d 10 minutes

    Stakeholder analysis is crucial. Lines of authority can be diffuse. Understand who needs to be involved in the capacity management process early on.

    Instructions

    1. With the infrastructure team, brainstorm a group of departments, roles, and people who may impact demand on capacity.
    2. Go through the list with your team and identify stakeholders from two groups:
    • Line of business: who in the business makes use of the service?
    • Application owner: who in IT is responsible for ensuring the service is up?
  • Insert the list into section 3 of the Capacity Plan Template, and update as needed.
  • Input

    • Gold systems
    • Personnel Information

    Output

    • List of key business stakeholders

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Best Practice

    Consider which departments are most closely aligned with the business processes that fuel demand. Prioritize those that have the greatest impact. Consider the stakeholders who will make purchasing decisions for increasing infrastructure capacity.

    Organize stakeholder meetings

    3.1e 10 hours

    Establishing a relationship with your stakeholders is a necessary step in managing your capacity and availability.

    Instructions

    1. Gather as many of the stakeholders identified in the previous activity as you can and present information on availability and capacity management
    • If you can’t get everyone in the same room, a virtual meeting or even an email blast could get the job done.
  • Explain the importance of capacity and availability management
    • Consider highlighting the trade-offs between cost and availability.
  • Field any questions the stakeholders might have about the process. Be honest. The goal of this meeting is to build trust. This will come in handy when you’re gathering business requirements.
  • Propose a schedule and seek approval from all present. Include the results in section 3 of the Capacity Plan Template.
  • Input

    • List of business stakeholders
    • Hard work

    Output

    • Working relationship, trust
    • Regular meetings

    Materials

    • Work ethic
    • Executive brief

    Participants

    • Capacity manager
    • Business stakeholders

    Info-Tech Insight

    The best capacity managers develop new business processes that more closely align their role with business stakeholders. Building these relationships takes hard work, and you must first earn the trust of the business.

    Bake stakeholders into the planning process

    3.1f Ongoing

    Convince, don’t coerce. Stakeholders want the same thing you do. Bake them into the planning process as a step towards this goal.

    1. Develop a system to involve stakeholders regularly in the capacity planning process.
    • Your system will vary depending on the structure and culture of your organization.
    • See the case study on the following slide for ideas.
    • It may be as simple as setting a recurring reminder in your own calendar to touch base with stakeholders.
  • Liaise with stakeholders regularly to keep abreast of new developments.
    • Ensure stakeholders have reasonable expectations about IT’s available resources, the costs of providing capacity, and the lead times required to source additional needed capacity.
  • Draw on these stakeholders for the step “Gather information on business requirements” later in this phase.
  • Input

    • List of business stakeholders
    • Ideas

    Output

    • Capacity planning process that involves stakeholders

    Materials

    • Meeting rooms

    Participants

    • Capacity manager
    • Business stakeholders
    • Infrastructure team

    A capacity manager in financial services wrangled stakeholders and produced results

    CASE STUDY

    Industry: Financial Services

    Source: Interview

    In financial services, availability is king

    In the world of financial services, availability is absolutely crucial. High-value trades occur at all hours, and any institution that suffers outages runs the risk of losing tens of thousands of dollars, not to mention reputational damage.

    People know what they want, but sometimes they have to be herded

    While line of business managers and application owners understand the value of capacity management, it can be difficult to establish the working relationship necessary for a fruitful partnership.

    Proactively building relationships keeps services available

    He built relationships with all the department heads on the business side, and all the application owners.

    • He met with department heads quarterly.
    • He met with application owners and business liaisons monthly.

    He established a steering committee for capacity.

    He invited stakeholders to regular capacity planning meetings.

    • The first half of each meeting was high-level outlook, such as business volume and IT capacity utilization, and included stakeholders from other departments.
    • The second half of the meeting was more technical, serving the purpose for the infrastructure team.

    He scheduled lunch and learn sessions with business analysts and project managers.

    • These are the gatekeepers of information, and should know that IT needs to be involved when things come down the pipeline.

    Step 3.2: Analyze data and project future needs

    This step will walk you through the following activities:

    • Solicit needs from the business.
    • Map business needs to technical requirements, and technical requirements to infrastructure requirements.
    • Identify inefficiencies in order to remedy them.
    • Compare the data across business, component, and service levels, and project your capacity needs.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team members
    • Business stakeholders

    Outcomes of this step

    • Model of how business processes relate to technical requirements and their demand on infrastructure
    • Method for projecting future demand for your organization’s infrastructure
    • Comparison of current capacity usage to projected demand

    “Nobody tells me anything!” – the capacity manager’s lament

    Sometimes “need to know” doesn’t register with sales or marketing. Nearly every infrastructure manager can share a story about a time when someone has made a decision that has critically impacted IT infrastructure without letting anyone in IT in on the “secret.”

    In brief

    The image contains a picture of a man appearing to be overwhelmed.

    Imagine working for a media company as an infrastructure capacity manager. Now imagine that the powers that be have decided to launch a content-focused web service. Seems like something they would do, right? Now imagine you find out about it the same way the company’s subscribers do. This actually happened – and it shouldn’t have. But a similar lack of alignment makes this a real possibility for any organization. If you don’t establish a systematic plan for soliciting and incorporating business requirements, prepare to lose a chunk of your free time. The business should never be able to say, in response to “nobody tells me anything,” “nobody asked.”

    Pictured: an artist’s rendering of the capacity manager in question.

    Directly solicit requirements from the business

    3.2a 30 minutes per stakeholder

    Once you’ve established, firmly, that everyone’s on the same team, meet individually with the stakeholders to assess capacity.

    Instructions

    1. Schedule a one-on-one meeting with each line of business manager (stakeholders identified in 3.1). Ideally this will be recurring.
    • Experienced capacity managers suggest doing this monthly.
  • In the meeting address the following questions:
    • What are some upcoming major initiatives?
    • Is the department going to expand or contract in a noticeable way?
    • Have customers taken to a particular product more than others?
  • Include the schedule in the Capacity Plan Template, and consider including details of the discussion in the notes section in tab 3 of the Capacity Snapshot Tool.
  • Input

    • Stakeholder opinions

    Output

    • Business requirements

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Insight

    Sometimes line of business managers will evade or ignore you when you come knocking. They do this because they don’t know and they don’t want to give you the wrong information. Explain that a best guess is all you can ask for and allay their fears.

    Below, you will find more details about what to look for when soliciting information from the line of business manager you’ve roped into your scheme.

    1. Consider the following:
    • Projected sales pipeline
    • Business growth
    • Seasonal cycles
    • Marketing campaigns
    • New applications and features
    • New products and services
  • Encourage business stakeholders to give you their best guess for elements such as projected sales or business growth.
  • Estimate variance and provide a range. What can you expect at the low end? The high end? Record your historical projections for an idea of how accurate you are.
  • Consider carefully the infrastructure impact of new features (and record this in the notes section of the Capacity Snapshot Tool).
  • Directly solicit requirements from the business (optional)

    3.2a 1 hour

    IT staff and line of business staff come with different skillsets. This can lead to confusion, but it doesn’t have to. Develop effective information solicitation techniques.

    Instructions

    1. Gather your IT staff in a room with a whiteboard. As a group, select a gold service/line of business manager you would like to use as a “practice dummy.”
    2. Have everyone write down a question they would ask of the line of business representative in a hypothetical business/service capacity discussion.
    3. As a group discuss the merits of the questions posed:
    • Are they likely to yield productive information?
    • Are they too vague or specific?
    • Is the person in question likely to know the answer?
    • Is the information requested a guarded trade secret?
  • Discuss the findings and include any notes in section 3 of the Capacity Plan Template.
  • Input

    • Workshop participants’ ideas

    Output

    • Interview skills

    Materials

    • Whiteboard
    • Markers
    • Sticky notes

    Participants

    • Capacity manager
    • Infrastructure staff

    Map business needs to technical requirements, and technical requirements to infrastructure requirements

    3.2b 5 hours

    When it comes to mapping technical requirements, IT alone has the ability to effectively translate business needs.

    Instructions

    1. Use your notes from stakeholder meetings to assess the impact of any changes on gold systems.
    2. For each system brainstorm with infrastructure staff (and any technical experts as necessary) about what the information gleaned from stakeholder discussions. Consider the following discussion points:
    • How has demand for the service been trending? Does it match what the business is telling us?
    • Have we had availability issues in the past?
    • Has the business been right with their estimates in the past?
  • Estimate what a change in business/service metrics means for capacity.
    • E.g. how much RAM does a new email user require?
  • Record the output in the summary card of the Capacity Plan Template.
  • Input

    • Business needs

    Output

    • Technical and infrastructure requirements

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Insight

    Adapt the analysis to the needs of your organization. One capacity manager called the one-to-one mapping of business process to infrastructure demand the Holy Grail of capacity management. If this level of precision isn’t attainable, develop your own working estimates using the higher-level data

    Avoid putting too much faith in the cloud as a solution to your problem

    Has the rise of on-demand, functionally unlimited services eliminated the need for capacity and availability management?

    Capacity management

    The role of the capacity manager is changing, but it still has a purpose. Consider this:

    • Not everything can move to the cloud. For security/functionality reasons, on-premises infrastructure will continue to exist.
    • Cost management is more relevant than ever in the cloud age. Manage your instances.
    • While a cloud migration might render some component capacity management functions irrelevant, it could increase the relevance of others (the network, perhaps).

    Availability management

    Ensuring services are available is still IT’s wheelhouse, even if that means a shift to a brokerage model:

    • Business availability requirements (as part of the business impact analysis, potentially) are important; internal SLAs and contracts with vendors need to be managed.
    • Even in the cloud environment, availability is not guaranteed. Cloud providers have outages (unplanned, maintenance related, etc.) and someone will have to understand the limitations of cloud services and the impact on availability.

    Info-Tech Insight

    The cloud comes at the cost of detailed performance data. Sourcing a service through an SLA with a third party increases the need to perform your own performance testing of gold level applications. See performance monitoring.

    Beware Parkinson’s law

    A consequence of our infinite capacity for creativity, people have the enviable skill of making work. In 1955, C. Northcote Parkinson pointed out this fact in The Economist . What are the implications for capacity management?

    "It is a commonplace observation that work expands so as to fill the time available for its completion. Thus, an elderly lady of leisure can spend the entire day in writing and despatching a postcard to her niece at Bognor Regis. An hour will be spent in finding the postcard, another in hunting for spectacles, half-an-hour in a search for the address, an hour and a quarter in composition, and twenty minutes in deciding whether or not to take an umbrella when going to the pillar-box in the next street."

    C. Northcote Parkinson, The Economist, 1955

    Info-Tech Insight

    If you give people lots of capacity, they will use it. Most shops are overprovisioned, and in some cases that’s throwing perfectly good money away. Don’t be afraid to prod if someone requests something that doesn’t seem right.

    Optimally align demand and capacity

    When it comes to managing your capacity, look for any additional efficiencies.

    Questions to ask:

    • Are there any infrastructure services that are not being used to their full potential, sitting idle, or allocated to non-critical or zombie functions?
      • Are you managing your virtual servers? If, for example, you experience a seasonal spike in demand, are you leaving virtual machines running after the fact?
    • Do your organization’s policies and your infrastructure setup allow for the use of development resources for production during periods of peak demand?
    • Can you make organizational or process changes in order to satisfy demand more efficiently?

    In brief

    Who isn’t a sports fan? Big games mean big stakes for pool participants and armchair quarterbacks—along with pressure on the network as fans stream games from their work computers. One organization suffered from this problem, and, instead of taking a hardline and banning all streams, opted to stream the game on a large screen in a conference room where those interested could work for its duration. This alleviated strain on the network and kept staff happy.

    Shutting off an idle cloud to cut costs

    CASE STUDY

    Industry:Professional Services

    Source:Interview

    24/7 AWS = round-the-clock costs

    A senior developer realized that his development team had been leaving AWS instances running without any specific reason.

    Why?

    The development team appreciated the convenience of an always-on instance and, because the people spinning them up did not handle costs, the problem wasn’t immediately apparent.

    Resolution

    In his spare time over the course of a month, the senior developer wrote a program to manage the servers, including shutting them down during times when they were not in use and providing remote-access start-up when required. His team alone saved $30,000 in costs over the next six months, and his team lead reported that it would have been more than worth paying the team to implement such a project on company time.

    Identify inefficiencies in order to remediate them

    3.2c 20 minutes per service

    Instructions

    1. Gather the infrastructure team together and discuss existing capacity and demand. Use the inputs from your data analysis and stakeholder meetings to set the stage for your discussion.
    2. Solicit ideas about potential inefficiencies from your participants:
    • Are VMs effectively allocated? If you need 7 VMs to address a spike, are those VMs being reallocated post-spike?
    • Are developers leaving instances running in the cloud?
    • Are particular services massively overprovisioned?
    • What are the biggest infrastructure line items? Are there obvious opportunities for cost reduction there?
  • Record any potential opportunities in the summary of the Capacity Plan Template.
  • Input

    • Gold systems
    • Data inputs

    Output

    • Inefficiencies

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Insight

    The most effective capacity management takes a holistic approach and looks at the big picture in order to find ways to eliminate unnecessary infrastructure usage, or to find alternate or more efficient sources of required capacity.

    Dodging the toll troll by rerouting traffic

    CASE STUDY

    Industry:Telecommunications

    Source: Interview

    High-cost lines

    The capacity manager at a telecommunications provider mapped out his firm’s network traffic and discovered they were using a number of VP circuits (inter building cross connects) that were very expensive on the scale of their network.

    Paying the toll troll

    These VP circuits were supplying needed network services to the telecom provider’s clients, so there was no way to reduce this demand.

    Resolution

    The capacity manager analyzed where the traffic was going and compared this to the cost of the lines they were using. After performing the analysis, he found he could re-route much of the traffic away from the VP circuits and save on costs while delivering the same level of service to their users.

    Compare the data across business, component, and service levels, and project your capacity needs

    3.2d 2 hour session/meeting

    Make informed decisions about capacity. Remember: retain all documentation. It might come in handy for the justification of purchases.

    Instructions

    1. Using either a dedicated tool or generic spreadsheet software like Excel or Sheets, evaluate capacity trends. Ask the following questions:
    • Are there times when application performance degraded, and the service level was disrupted?
    • Are there times when certain components or systems neared, reached, or exceeded available capacity?
    • Are there seasonal variations in demand?
    • Are there clear trends, such as ongoing growth of business activity or the usage of certain applications?
    • What are the ramifications of trends or patterns in relation to infrastructure capacity?
  • Use the insight gathered from stakeholders during the stakeholder meetings, project required capacity for the critical components of each gold service.
  • Record the results of this activity in the summary card of the Capacity Plan Template.
  • Compare current capacity to your projections

    3.2e Section 5 of the Capacity Plan Template

    Capacity management (and, by extension, availability management) is a combination of two balancing acts: cost against capacity and supply and demand.*

    Instructions

    1. Compare your projections with your reality. You already know whether or not you have enough capacity given your lead times. But do you have too much? Compare your sub-component capacity projections to your current state.
    2. Highlight any outliers. Is there a particular service that is massively overprovisioned?
    3. Evaluate the reasons for the overprovisioning.
    • Is the component critically important?
    • Did you get a great deal on hardware?
    • Is it an oversight?
  • Record the results in the notes section of the summary card of the Capacity Plan Template.
  • *Office of Government Commerce 2001, 119.

    In brief

    The fractured nature of the capacity management space means that every organization is going to have a slightly different tooling strategy. No vendor has dominated, and every solution requires some level of customization. One capacity manager (a cloud provider, no less!) relayed a tale about a capacity management Excel sheet programmed with 5,000+ lines of code. As much work as that is, a bespoke solution is probably unavoidable.

    If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop.

    The image contains a picture of an Info-Tech analyst.

    Book a workshop with our Info-Tech analysts:

    • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
    • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
    • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

    The following are sample activities that will be conducted by Info-Tech analysts with your team:

    3.2

    The image contains a screenshot of activity 3.2.

    Map business needs to technical requirements and technical requirements to infrastructure requirements

    The analyst will guide workshop participants in using their organization’s data to map out the relationships between applications, technical requirements, and the underlying infrastructure usage.

    Phase 3 Guided Implementation

    Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

    Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

    Guided Implementation 3: Solicit and incorporate business needs

    Proposed Time to Completion: 2 weeks

    Step 3.1: Solicit business needs and gather data

    Review your findings with an analyst

    Discuss the effectiveness of your strategies to involve business stakeholders in the planning process and your methods of data collection and analysis.

    Then complete these activities…

    • Analyze historical trends and track your services’ status
    • Build a list of key business stakeholders
    • Bake stakeholders into the planning process

    With these tools & templates:

    Capacity Plan Template

    Step 3.2: Analyze data and project future needs

    Review your findings with an analyst

    Discuss the effectiveness of your strategies to involve business stakeholders in the planning process and your methods of data collection and analysis.

    Then complete these activities…

    • Map business needs to technical requirements and technical requirements to infrastructure requirements
    • Compare the data across business, component, and service levels, and project your capacity needs
    • Compare current capacity to your projections

    With these tools & templates:

    Capacity Snapshot Tool

    Capacity Plan Template

    Phase 3 Results & Insights:

    • Develop new business processes that more closely align your role with business stakeholders. Building these relationships takes hard work, and won’t happen overnight.
    • Take a holistic approach to eliminate unnecessary infrastructure usage or source capacity more efficiently.

    PHASE 4

    Identify and Mitigate Risks

    Step 4.1: Identify and mitigate risks

    This step will walk you through the following activities:

    • Identify potential risks.
    • Determine strategies to mitigate risks.
    • Complete your capacity management plan.

    This involves the following participants:

    • Capacity manager
    • Infrastructure team members
    • Business stakeholders

    Outcomes of this step

    • Strategies for reducing risks
    • Capacity management plan

    Understand what happens when capacity/availability management fails

    1. Services become unavailable. If availability and capacity management are not constantly practiced, an inevitable consequence is downtime or a reduction in the quality of that service. Critical sub-component failures can knock out important systems on their own.
    2. Money is wasted. In response to fears about availability, it’s entirely possible to massively overprovision or switch entirely to a pay-as-you-go model. This, unfortunately, brings with it a whole host of other problems, including overspending. Remember: infinite capacity means infinite potential cost.
    3. IT remains reactive and is unable to contribute more meaningfully to the organization. If IT is constantly putting out capacity/availability-related fires, there is no room for optimization and activities to increase organizational maturity. Effective availability and capacity management will allow IT to focus on other work.

    Mitigate availability and capacity risks

    Availability: how often a service is usable (that is to say up and not too degraded to be effective). Consequences of reduced availability can include financial losses, impacted customer goodwill, and reduced faith in IT more generally.

    Causes of availability issues:

    • Poor capacity management – a service becomes unavailable when there is insufficient supply to meet demand. This is the result of poor capacity management.
    • Scheduled maintenance – services go down for maintenance with some regularity. This needs to be baked into service-level negotiations with vendors.
    • Vendor outages – sometimes vendors experience unplanned outages. There is typically a contract provision that covers unplanned outages, but that doesn’t change the fact that your service will be interrupted.

    Capacity: a particular component’s/service’s/business’ wiggle room. In other words, its usage ceiling.

    Causes of capacity issues:

    • Poor demand management – allowing users to run amok without any regard for how capacity is sourced and paid for.
    • Massive changes in legitimate demand – more usage means more demand.
    • Poor capacity planning – predictable changes in demand that go unaddressed can lead to capacity issues.

    Add additional potential causes of availability and capacity risks as needed

    4.1a 30 minutes

    Availability and capacity issues can stem from a number of different causes. Include a list in your availability and capacity management plan.

    Instructions

    1. Gather the group together. Go around the room and have participants provide examples of incidents and problems that have been the result of availability and capacity issues.
    2. Pose questions to the group about the source of those availability and capacity issues.
    • What could have been done differently to avoid these issues?
    • Was the availability/capacity issue a result of a faulty internal/external SLA?
  • Record the results of the exercise in sections 4.1 and 4.2 of the Capacity Plan Template.
  • Input

    • Capacity Snapshot Tool results

    Output

    • Additional sources of availability and capacity risks

    Materials

    • Capacity Plan Template

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Insight

    Availability and capacity problems result in incidents, critical incidents, and problems. These are addressed in a separate project (incident and problem management), but information about common causes can streamline that process.

    Identify capacity risks and mitigate them

    4.1b 30 minutes

    Based on your understanding of your capacity needs (through written SLAs and informal but regular meetings with the business) highlight major risks you foresee.

    Instructions

    1. Make a chart with two columns on a whiteboard. They should be labelled “risk” and “mitigation” respectively.
    2. Record risks to capacity you have identified in earlier activities.
    • Refer to the Capacity Snapshot Tool for components that are highlighted in red and yellow. These are specific components that present special challenges. Identify the risk(s) in as much detail as possible. Include service and business risks as well.
    • Examples: a marketing push will put pressure on the web server; a hiring push will require more Office 365 licenses; a downturn in registration will mean that fewer VMs will be required to run the service.

    Input

    • Capacity Snapshot Tool results

    Output

    • Inefficiencies

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Insight

    It’s an old adage, but it checks out: don’t come to the table armed only with problems. Be a problem solver and prove IT’s value to the organization.

    Identify capacity risks and mitigate them (cont.)

    4.1b 1.5 hours

    Instructions (cont.)

    1. Begin developing mitigation strategies. Options for responding to known capacity risks fall into one of two camps:
    • Acceptance: responding to the risk is costlier than acknowledging its existence without taking any action. For gold systems, acceptance is typically not acceptable.
    • Mitigation: limiting/reducing, eliminating, or transferring risk (Herrera) comprise the sort of mitigation discussed here.
      • Limiting/reducing: taking steps to improve the capacity situation, but accepting some level of risk (spinning up a new VM, pushing back on demands from the business, promoting efficiency).
      • Eliminating: the most comprehensive (and most expensive) mitigation strategy, elimination could involve purchasing a new server or, at the extreme end, building a new datacenter.
      • Transfer: “robbing Peter to pay Paul,” in the words of capacity manager Todd Evans, is one potential way to limit your exposure. Is there a less critical service that can be sacrificed to keep your gold service online?
  • Record the results of this exercise in section 5 of the Capacity Plan Template.
  • Input

    • Capacity Snapshot Tool results

    Output

    • Capacity risk mitigations

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Insight

    It’s an old adage, but it checks out: don’t come to the table armed only with problems. Be a problem solver and prove IT’s value to the organization.

    Identify availability risks and mitigate them

    4.1c 30 minutes

    While capacity management is a form of availability management, it is not the only form. In this activity, outline the specific nature of threats to availability.

    Instructions

    1. Make a chart with two columns on a whiteboard. They should be labelled “risk” and “mitigation” respectively.
    2. Begin brainstorming general availability risks based on the following sources of information/categories:
    • Vendor outages
    • Disaster recovery
    • Historical availability issues

    The image contains a large blue circle labelled: Availability. Also in the blue circle is a small red circle labelled: Capacity.

    Input

    • Capacity Snapshot Tool results

    Output

    • Availability risks and mitigations

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Info-Tech Best Practice

    A dynamic central repository is a good way to ensure that availability issues stemming from a variety of causes are captured and mitigated.

    Identify availability risks and mitigate them (cont.)

    4.1c 1.5 hours

    Although it is easier said than done, identifying potential mitigations is a crucial part of availability management as an activity.

    Instructions (cont.)

    1. Begin developing mitigation strategies. Options for responding to known capacity risks fall into one of two camps:
    • Acceptance – responding to the risk is costlier than taking it on. Some unavailability is inevitable, between maintenance and unscheduled downtime. Record this, though it may not require immediate action.
    • Mitigation strategies:
      • Limiting/reducing – taking steps to increase availability of critical systems. This could include hot spares for unreliable systems or engaging a new vendor.
      • Eliminating – the most comprehensive (and most expensive) mitigation strategy. It could include selling.
      • Transfer – “robbing Peter to pay Paul,” in the words of capacity manager Todd Evans, is one potential way to limit your exposure. Is there a less critical service that can be sacrificed to keep your gold service online?
  • Record the results of this exercise in section 5 of Capacity Plan Template.
  • Input

    • Capacity Snapshot Tool results

    Output

    • Availability risks and mitigations

    Materials

    • Whiteboard
    • Markers

    Participants

    • Capacity manager
    • Infrastructure staff

    Iterate on the process and present your completed availability and capacity management plan

    The stakeholders consulted as part of the process will be interested in its results. Share them, either in person or through a collaboration tool.

    The current status of your availability and capacity management plan should be on the agenda for every stakeholder meeting. Direct the stakeholders’ attention to the parts of the document that are relevant to them, and solicit their thoughts on the document’s accuracy. Over time you should get a pretty good idea of who among your stakeholder group is skilled at projecting demand, and who over- or underestimates, and by how much. This information will improve your projections and, therefore, your management over time.

    Info-Tech Insight

    Use the experience gained and the artifacts generated to build trust with the business. The meetings should be regular, and demonstrating that you’re actually using the information for good is likely to make hesitant participants in the process more likely to open up.

    If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop.

    The image contains a picture of an Info-Tech analyst.

    Book a workshop with our Info-Tech analysts:

    • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
    • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
    • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

    The following are sample activities that will be conducted by Info-Tech analysts with your team:

    4.1

    The image contains a screenshot of activity 4.1.

    Identify capacity risks and mitigate them

    The analyst will guide workshop participants in identifying potential risks to capacity and determining strategies for mitigating them.

    Phase 4 Guided Implementation

    Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

    Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

    Guided Implementation 4: Identify and mitigate risks

    Proposed Time to Completion: 1 week

    Step 4.1: Identify and mitigate risks

    Review your findings with an analyst

    • Discuss your potential risks and your strategies for mitigating those risks.

    Then complete these activities…

    • Identify capacity risks and mitigate them
    • Identify availability risks and mitigate them
    • Complete your capacity management plan

    With these tools & templates:

    Capacity Snapshot Tool

    Capacity Plan Template

    Phase 4 Results & Insights:

    • Be a problem solver and prove IT’s value to the organization. Capacity management allows infrastructure to drive business value.
    • Iterate and share results. Reinforce your relationships with stakeholders and continue to refine how capacity management transforms your organization’s business processes.

    Insight breakdown

    Insight 1

    Components are critical to availability and capacity management.

    The CEO doesn’t care about the SMTP server. She cares about meeting customer needs and producing profit. For IT capacity and availability managers, though, the devil is in the details. It only takes one faulty component to knock out a service. Keep track and keep the lights on.

    Insight 2

    Ask what the business is working on, not what they need.

    If you ask them what they need, they’ll tell you – and it won’t be cheap. Find out what they’re going to do, and use your expertise to service those needs. Use your IT experience to estimate the impact of business and service level changes on the components that secure the availability you need.

    Insight 3

    Cloud shmoud.

    The role of the capacity manager might be changing with the advent of the public cloud, but it has not disappeared. Capacity managers in the age of the cloud are responsible for managing vendor relationships, negotiating external SLAs, projecting costs and securing budgets, reining in prodigal divisions, and so on.

    Summary of accomplishment

    Knowledge Gained

    • Impact of downtime on the organization
    • Gold systems
    • Key dependencies and sub-components
    • Strategy for monitoring components
    • Strategy for soliciting business needs
    • Projected capacity needs
    • Availability and capacity risks and mitigations

    Processes Optimized

    • Availability management
    • Capacity management

    Deliverables Completed

    • Business Impact Analysis
    • Capacity Plan Template

    Project step summary

    Client Project: Develop an Availability and Capacity Management Plan

    1. Conduct a business impact analysis
    2. Assign criticality ratings to services
    3. Define your monitoring strategy
    4. Implement your monitoring tool/aggregator
    5. Solicit business needs and gather data
    6. Analyze data and project future needs
    7. Identify and mitigate risks

    Info-Tech Insight

    This project has the ability to fit the following formats:

    • Onsite workshop by Info-Tech Research Group consulting analysts.
    • Do-it-yourself with your team.
    • Remote delivery via Info-Tech Guided Implementation.

    Research contributors and experts

    The image contains a picture of Adrian Blant.

    Adrian Blant, Independent Capacity Consultant, IT Capability Solutions

    Adrian has over 15 years' experience in IT infrastructure. He has built capacity management business processes from the ground up, and focused on ensuring a productive dialogue between IT and the business.

    The image contains a picture of James Zhang.

    James Zhang, Senior Manager Disaster Recovery, AIG Technology

    James has over 20 years' experience in IT and 10 years' experience in capacity management. Throughout his career, he has focused on creating new business processes to deliver value and increase efficiency over the long term.

    The image contains a picture of Mayank Banerjee.

    Mayank Banerjee, CTO, Global Supply Chain Management, HelloFresh

    Mayank has over 15 years' experience across a wide range of technologies and industries. He has implemented highly automated capacity management processes as part of his role of owning and solving end-to-end business problems.

    The image contains a picture of Mike Lynch

    Mike Lynch, Consultant, CapacityIQ

    Mike has over 20 years' experience in IT infrastructure. He takes a holistic approach to capacity management to identify and solve key problems, and has developed automated processes for mapping performance data to information that can inform business decisions.

    The image contains a picture of Paul Waguespack.

    Paul Waguespack, Manager of Application Systems Engineering, Tufts Health Plan

    Paul has over 10 years' experience in IT. He has specialized in implementing new applications and functionalities throughout their entire lifecycle, and integrating with all aspects of IT operations.

    The image contains a picture of Richie Mendoza.

    Richie Mendoza, IT Consultant, SMITS Inc.

    Richie has over 10 years' experience in IT infrastructure. He has specialized in using demand forecasting to guide infrastructure capacity purchasing decisions, to provide availability while avoiding costly overprovisioning.

    The image contains a picture of Rob Thompson.

    Rob Thompson, President, IT Tools & Process

    Rob has over 30 years’ IT experience. Throughout his career he has focused on making IT a generator of business value. He now runs a boutique consulting firm.

    Todd Evans, Capacity and Performance Management SME, IBM

    Todd has over 20 years' experience in capacity and performance management. At Kaiser Permanente, he established a well-defined mapping of the businesses workflow processes to technical requirements for applications and infrastructure.

    Bibliography

    451 Research. “Best of both worlds: Can enterprises achieve both scalability and control when it comes to cloud?” 451 Research, November 2016. Web.

    Allen, Katie. “Work Also Shrinks to Fit the Time Available: And We Can Prove It.” The Guardian. 25 Oct. 2017.

    Amazon. “Amazon Elastic Compute Cloud.” Amazon Web Services. N.d. Web.

    Armandpour, Tim. “Lies Vendors Tell about Service Level Agreements and How to Negotiate for Something Better.” Network World. 12 Jan 2016.

    “Availability Management.” ITIL and ITSM World. 2001. Web.

    Availability Management Plan Template. Purple Griffon. 30 Nov. 2012. Web.

    Bairi, Jayachandra, B., Murali Manohar, and Goutam Kumar Kundu. “Capacity and Availability Management by Quantitative Project Management in the IT Service Industry.” Asian Journal on Quality 13.2 (2012): 163-76. Web.

    BMC Capacity Optimization. BMC. 24 Oct 2017. Web.

    Brooks, Peter, and Christa Landsberg. Capacity Management in Today’s IT Environment. MentPro. 16 Aug 2017. Web.

    "Capacity and Availability Management." CMMI Institute. April 2017. Web.

    Capacity and Availability Management. IT Quality Group Switzerland. 24 Oct. 2017. Web.

    Capacity and Performance Management: Best Practices White Paper. Cisco. 4 Oct. 2005. Web.

    "Capacity Management." Techopedia.

    “Capacity Management Forecasting Best Practices and Recommendations.” STG. 26 Jan 2015. Web.

    Capacity Management from the Ground up. Metron. 24 Oct. 2017. Web.

    Capacity Management in the Modern Datacenter. Turbonomic. 25 Oct. 2017. Web.

    Capacity Management Maturity Assessing and Improving the Effectiveness. Metron. 24 Oct. 2017. Web.

    “Capacity Management Software.” TeamQuest. 24 Oct 2017. Web,

    Capacity Plan Template. Purainfo. 11 Oct 2012. Web.

    “Capacity Planner—Job Description.” Automotive Industrial Partnership. 24 Oct. 2017. Web.

    Capacity Planning. CDC. Web. Aug. 2017.

    "Capacity Planning." TechTarget. 24 Oct 2017. Web.

    “Capacity Planning and Management.” BMC. 24 Oct 2017. Web.

    "Checklist Capacity Plan." IT Process Wiki. 24 Oct. 2017. Web.

    Dykes, Brent. “Actionable Insights: The Missing Link Between Data and Business Value.” Forbes. April 26, 2016. Web.

    Evolved Capacity Management. CA Technologies. Oct. 2013. Web.

    Francis, Ryan. “False positives still cause threat alert fatigue.” CSO. May 3, 2017. Web.

    Frymire, Scott. "Capacity Planning vs. Capacity Analytics." ScienceLogic. 24 Oct. 2017. Web.

    Glossary. Exin. Aug. 2017. Web.

    Herrera, Michael. “Four Types of Risk Mitigation and BCM Governance, Risk and Compliance.” MHA Consulting. May 17, 2013.

    Hill, Jon. How to Do Capacity Planning. TeamQuest. 24 Oct. 2017. Web.

    “How to Create an SLA in 7 Easy Steps.” ITSM Perfection. 25 Oct. 2017. Web.

    Hunter, John. “Myth: If You Can’t Measure It: You Can’t Manage It.” W. Edwards Deming Institute Blog. 13 Aug 2015. Web.

    IT Service Criticality. U of Bristol. 24 Oct. 2017. Web.

    "ITIL Capacity Management." BMC's Complete Guide to ITIL. BMC Software. 22 Dec. 2016. Web.

    “Just-in-time.” The Economist. 6 Jul 2009. Web.

    Kalm, Denise P., and Marv Waschke. Capacity Management: A CA Service Management Process Map. CA. 24 Oct. 2017. Web.

    Klimek, Peter, Rudolf Hanel, and Stefan Thurner. “Parkinson’s Law Quantified: Three Investigations in Bureaucratic Inefficiency.” Journal of Statistical Mechanics: Theory and Experiment 3 (2009): 1-13. Aug. 2017. Web.

    Landgrave, Tim. "Plan for Effective Capacity and Availability Management in New Systems." TechRepublic. 10 Oct. 2002. Web.

    Longoria, Gina. “Hewlett Packard Enterprise Goes After Amazon Public Cloud in Enterprise Storage.” Forbes. 2 Dec. 2016. Web.

    Maheshwari, Umesh. “Understanding Storage Capacity.” NimbleStorage. 7 Jan. 2016. Web.

    Mappic, Sandy. “Just how complex can a Login Transaction be? Answer: Very!” Appdynamics. Dec. 11 2011. Web.

    Miller, Ron. “AWS Fires Back at Larry Ellison’s Claims, Saying It’s Just Larry Being Larry.” Tech Crunch. 2 Oct. 2017. Web.

    National College for Teaching & Leadership. “The role of data in measuring school performance.” National College for Teaching & Leadership. N.d. Web,

    Newland, Chris, et al. Enterprise Capacity Management. CETI, Ohio State U. 24 Oct. 2017. Web.

    Office of Government Commerce . Best Practice for Service Delivery. London: Her Majesty’s Stationery Office, 2001.

    Office of Government Commerce. Best Practice for Business Perspective: The IS View on Delivering Services to the Business. London: Her Majesty’s Stationery Office, 2004.

    Parkinson, C. Northcote. “Parkinson’s Law.” The Economist. 19 Nov. 1955. Web.

    “Parkinson’s Law Is Proven Again.” Financial Times. 25 Oct. 2017. Web.

    Paul, John, and Chris Hayes. Performance Monitoring and Capacity Planning. VM Ware. 2006. Web.

    “Reliability and Validity.” UC Davis. N.d. Web.

    "Role: Capacity Manager." IBM. 2008. Web.

    Ryan, Liz. “‘If You Can’t Measure It, You Can’t Manage It’: Not True.” Forbes. 10 Feb. 2014. Web.

    S, Lalit. “Using Flexible Capacity to Lower and Manage On-Premises TCO.” HPE. 23 Nov. 2016. Web.

    Snedeker, Ben. “The Pros and Cons of Public and Private Clouds for Small Business.” Infusionsoft. September 6, 2017. Web.

    Statement of Work: IBM Enterprise Availability Management Service. IBM. Jan 2016. Web.

    “The Road to Perfect AWS Reserved Instance Planning & Management in a Nutshell.” Botmetric. 25 Oct. 2017. Web.

    Transforming the Information Infrastructure: Build, Manage, Optimize. Asigra. Aug. 2017. Web.

    Valentic, Branimir. "Three Faces of Capacity Management." ITIL/ISO 20000 Knowledge Base. Advisera. 24 Oct. 2017. Web.

    "Unify IT Performance Monitoring and Optimization." IDERA. 24 Oct. 2017. Web.

    "What is IT Capacity Management?" Villanova U. Aug. 2017. Web.

    Wolstenholme, Andrew. Final internal Audit Report: IT Availability and Capacity (IA 13 519/F). Transport For London. 23 Feb. 2015. Web.

    Explore the Secrets of Oracle Cloud Licensing

    • Buy Link or Shortcode: {j2store}142|cart{/j2store}
    • member rating overall impact (scale of 10): 9.5/10 Overall Impact
    • member rating average dollars saved: 5 Average Days Saved
    • member rating average days saved: After each Info-Tech experience, we ask our members to quantify the real-time savings, monetary impact, and project improvements our research helped them achieve.
    • Parent Category Name: Licensing
    • Parent Category Link: /licensing
    • Organizations are considering moving workloads to the cloud; however, they often struggle to understand Oracle's licensing and services models.
    • Complexity of licensing and high price tags can make the renewal process an overwhelming experience.
    • Oracle’s SaaS applications are the most mature, but Oracle’s on-premises E-Business Suite still has functionality gaps in comparison to Oracle’s cloud apps.

    Our Advice

    Critical Insight

    • Understand the Oracle agenda. Oracle has established a unique approach to their cloud offerings – they want all of your workloads on the Red Stack.
    • Communicate effectively. Be aware that Oracle will reach out to members at your organization at various levels. Having your executives on the same page is critical to successfully managing Oracle.
    • Negotiate hard. Oracle needs the deal more than the customer. Oracle's top leaders are heavily incentivized to drive massive cloud adoption and increase Oracle's share price. Use this to your advantage.

    Impact and Result

    • Conducting business with Oracle is not typical compared to other vendors. To emerge successfully from a commercial transaction with Oracle, customers must learn the “Oracle way” of conducting business, which includes a best-in-class sales structure, highly unique contracts, and license use policies coupled with a hyper-aggressive compliance function.
    • Leverage cloud spend to retire support on shelf-ware licenses, or gain virtualization rights for an on-premises environment.
    • Map out the process of how to negotiate from a position of strength, examining terms and conditions, discount percentages, and agreement pitfalls.
    • Carefully review key clauses in the Oracle Cloud Services Agreement to avoid additional spend and compliance risks.

    Explore the Secrets of Oracle Cloud Licensing Research & Tools

    Start here – read the Executive Brief

    Read our concise Executive Brief to find out why you should explore the secrets of Oracle Cloud licensing, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Evaluate licensing requirements

    Review current licensing options and models to determine which cloud products will most appropriately fit the organization's environment.

    • Oracle Cloud Services Agreement Terms and Conditions Evaluation Tool
    [infographic]

    Align Projects With the IT Change Lifecycle

    • Buy Link or Shortcode: {j2store}464|cart{/j2store}
    • member rating overall impact (scale of 10): N/A
    • member rating average dollars saved: N/A
    • member rating average days saved: N/A
    • Parent Category Name: Operations Management
    • Parent Category Link: /i-and-o-process-management
    • Coordinate IT change and project management to successfully push changes to production.
    • Manage representation of project management within the scope of the change lifecycle to gather requirements, properly approve and implement changes, and resolve incidents that arise from failed implementations.
    • Communicate effectively between change management, project management, and the business.

    Our Advice

    Critical Insight

    Improvement can be incremental. You do not have to adopt every recommended improvement right away. Ensure every process change you make will create value and slowly add improvements to ease buy-in.

    Impact and Result

    • Establish pre-set touchpoints between IT change management and project management at strategic points in the change and project lifecycles.
    • Include appropriate project representation at the change advisory board (CAB).
    • Leverage standard change resources such as the change calendar and request for change form (RFC).

    Align Projects With the IT Change Lifecycle Research & Tools

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Align Projects With the IT Change Lifecycle Deck – A guide to walk through integrating project touchpoints in the IT change management lifecycle.

    Use this storyboard as a guide to align projects with your IT change management lifecycle.

    • Align Projects With the IT Change Lifecycle Storyboard

    2. The Change Management SOP – This template will ensure that organizations have a comprehensive document in place that can act as a point of reference for the program.

    Use this SOP as a template to document and maintain your change management practice.

    • Change Management Standard Operating Procedure
    [infographic]

    Further reading

    Align Projects With the IT Change Lifecycle

    Increase the success of your changes by integrating project touchpoints in the change lifecycle.

    Analyst Perspective

    Focus on frequent and transparent communications between the project team and change management.

    Benedict Chang

    Misalignment between IT change management and project management leads to headaches for both practices. Project managers should aim to be represented in the change advisory board (CAB) to ensure their projects are prioritized and scheduled appropriately. Advanced notice on project progress allows for fewer last-minute accommodations at implementation. Widespread access of the change calendar can also lead project management to effectively schedule projects to give change management advanced notice.

    Moreover, alignment between the two practices at intake allows for requests to be properly sorted, whether they enter change management directly or are governed as a project.

    Lastly, standardizing implementation and post-implementation across everyone involved ensures more successful changes and socialized/documented lessons learned for when implementations do not go well.

    Benedict Chang
    Senior Research Analyst, Infrastructure and Operations
    Info-Tech Research Group

    Executive Summary

    Your Challenge

    Common Obstacles

    Info-Tech’s Approach

    To align projects with the change lifecycle, IT leaders must:

    • Coordinate IT change and project management to successfully push changes to production.
    • Manage representation of project management within the scope of the change lifecycle to gather requirements, properly approve and implement changes, and resolve incidents that arise from failed implementations.
    • Communicate effectively between change management, project management, and the business.

    Loose definitions may work for clear-cut examples of changes and projects at intake, but grey-area requests end up falling through the cracks.

    Changes to project scope, when not communicated, often leads to scheduling conflicts at go-live.

    Too few checkpoints between change and project management can lead to conflicts. Too many checkpoints can lead to delays.

    Set up touchpoints between IT change management and project management at strategic points in the change and project lifecycles.

    Include appropriate project representation at the change advisory board (CAB).

    Leverage standard change resources such as the change calendar and request for change form (RFC).

    Info-Tech Insight

    Improvement can be incremental. You do not have to adopt every recommended improvement right away. Ensure every process change you make will create value, and slowly add improvements to ease buy-in.

    Info-Tech’s approach

    Use the change lifecycle to identify touchpoints.

    The image contains a screenshot of Info-Tech's approach.

    The Info-Tech difference:

    1. Start with your change lifecycle to define how change control can align with project management.
    2. Make improvements to project-change alignment to benefit the relationship between the two practices and the practices individually.
    3. Scope the alignment to your organization. Take on the improvements to the left one by one instead of overhauling your current process.

    Use this research to improve your current process

    This deck is intended to align established processes. If you are just starting to build IT change processes, see the related research below.

    Align Projects With the IT Change Lifecycle

    02 Optimize IT Project Intake, Approval, and Prioritization

    01 Optimize IT Change Management

    Increase the success of your changes by integrating project touchpoints in your change lifecycle.

    (You are here)

    Decide which IT projects to approve and when to start them.

    Right-size IT change management to protect the live environment.

    Successful change management will provide benefits to both the business and IT

    Respond to business requests faster while reducing the number of change-related disruptions.

    IT Benefits

    Business Benefits

    • Fewer incidents and outages at project go-live
    • Upfront identification of project and change requirements
    • Higher rate of change and project success
    • Less rework
    • Fewer service desk calls related to failed go-lives
    • Fewer service disruptions
    • Faster response to requests for new and enhanced functionalities
    • Higher rate of benefits realization when changes are implemented
    • Lower cost per change
    • Fewer “surprise” changes disrupting productivity

    IT satisfaction with change management will drive business satisfaction with IT. Once the process is working efficiently, staff will be more motivated to adhere to the process, reducing the number of unauthorized changes. As fewer changes bypass proper evaluation and testing, service disruptions will decrease and business satisfaction will increase.

    Change management improves core benefits to the business: the four Cs

    Most organizations have at least some form of change control in place, but formalizing change management leads to the four Cs of business benefits:

    Control

    Collaboration

    Consistency

    Confidence

    Change management brings daily control over the IT environment, allowing you to review every relatively new change, eliminate changes that would have likely failed, and review all changes to improve the IT environment.

    Change management planning brings increased communication and collaboration across groups by coordinating changes with business activities. The CAB brings a more formalized and centralized communication method for IT.

    Request-for-change templates and a structured process result in implementation, test, and backout plans being more consistent. Implementing processes for pre-approved changes also ensures these frequent changes are executed consistently and efficiently.

    Change management processes will give your organization more confidence through more accurate planning, improved execution of changes, less failure, and more control over the IT environment. This also leads to greater protection against audits.

    1. Alignment at intake

    Define what is a change and what is a project.

    Both changes and projects will end up in change control in the end. Here, we define the intake.

    Changes and projects will both go to change control when ready to go live. However, defining the governance needed at intake is critical.

    A change should be governed by change control from beginning to end. It would typically be less than a week’s worth of work for a SME to build and come in at a nominal cost (e.g. <$20k over operating costs).

    Projects on the other hand, will be governed by project management in terms of scope, scheduling, resourcing, etc. Projects typically take over a week and/or cost more. However, the project, when ready to go live, should still be scheduled through change control to avoid any conflicts at implementation. At triage and intake, a project can be further scoped based on projected scale.

    This initial touchpoint between change control and project management is crucial to ensure tasks and request are executed with the proper governance. To distinguish between changes and projects at intake, list examples of each and determine what resourcing separates changes from projects.

    Need help scoping projects? Download the Project Intake Classification Matrix

    Change

    Project

    • Smaller scale task that typically takes a short time to build and test
    • Generates a single change request
    • Governed by IT Change Management for the entire lifecycle
    • Larger in scope
    • May generate multiple change requests
    • Governed by PMO
    • Longer to build and test

    Info-Tech Insight

    While effort and cost are good indicators of changes and projects, consider evaluating risk and complexity too.

    1 Define what constitutes a change

    1. As a group, brainstorm examples of changes and projects. If you wish, you may choose to also separate out additional request types such as service requests (user), operational tasks (backend), and releases.
    2. Have each participant write the examples on sticky notes and populate the following chart on the whiteboard/flip chart.
    3. Use the examples to draw lines and determine what defines each category.
    • What makes a change distinct from a project?
    • What makes a change distinct from a service request?
    • What makes a change distinct from an operational task?
    • When do the category workflows cross over with other categories? (For example, when does a project interact with change management?
  • Record the definitions of requests and results in section 2.3 of the Change Management Standard Operating Procedure (SOP).
  • Change

    Project

    Service Request (Optional)

    Operational Task (Optional)

    Release (Optional)

    Changing Configuration

    New ERP

    Add new user

    Delete temp files

    Software release

    Download the Change Management Standard Operating Procedure (SOP).

    Input Output
    • List of examples of each category of the chart
    • Definitions for each category to be used at change intake
    Materials Participants
    • Whiteboard/flip charts (or shared screen if working remotely)
    • Service catalog (if applicable)
    • Sticky notes
    • Markers/pens
    • Change Management SOP
    • Change Manager
    • Project Managers
    • Members of the Change Advisory Board

    2. Alignment at build and test

    Keep communications open by pre-defining and communicating project milestones.

    CAB touchpoints

    Consistently communicate the plan and timeline for hitting these milestones so CAB can prioritize and plan changes around it. This will give change control advanced notice of altered timelines.

    RFCs

    Projects may have multiple associated RFCs. Keeping CAB appraised of the project RFC or RFCs gives them the ability to further plan changes.

    Change Calendar

    Query and fill the change calendar with project timelines and milestones to compliment the CAB touchpoints.

    Leverage the RFC to record and communicate project details

    The request for change (RFC) form does not have to be a burden to fill out. If designed with value in mind, it can be leveraged to set standards on all changes (from projects and otherwise).

    When looking at the RFC during the Build and Test phase of a project, prioritize the following fields to ensure the implementation will be successful from a technical and user-adoption point of view.

    Filling these fields of the RFC and communicating them to the CAB at go-live approval gives the approvers confidence that the project will be implemented successfully and measures are known for when that implementation is not successful.

    Download the Request for Change Form Template

    Communication Plan

    The project may be successful from a technical point of view, but if users do not know about go-live or how to interact with the project, it will ultimately fail.

    Training Plan

    If necessary, think of how to train different stakeholders on the project go-live. This includes training for end users interacting with the project and technicians supporting the project.

    Implementation Plan

    Write the implementation plan at a high enough level that gives the CAB confidence that the implementation team knows the steps well.

    Rollback Plan

    Having a well-formulated rollback plan gives the CAB the confidence that the impact of the project is well known and the impact to the business is limited even if the implementation does not go well.

    Provide clear definitions of what goes on the change calendar and who’s responsible

    Inputs

    • Freeze periods for individual business departments/applications (e.g. finance month-end periods, HR payroll cycle, etc. – all to be investigated)
    • Maintenance windows and planned outage periods
    • Project schedules, and upcoming major/medium changes
    • Holidays
    • Business hours (some departments work 9-5, others work different hours or in different time zones, and user acceptance testing may require business users to be available)

    Guidelines

    • Business-defined freeze periods are the top priority.
    • No major or medium normal changes should occur during the week between Christmas and New Year’s Day.
    • Vendor SLA support hours are the preferred time for implementing changes.
    • The vacation calendar for IT will be considered for major changes.
    • Change priority: High > Medium > Low.
    • Minor changes and preapproved changes have the same priority and will be decided on a case-by-case basis.

    Roles

    • The Change Manager will be responsible for creating and maintaining a change calendar.
    • Only the Change Manager can physically alter the calendar by adding a new change after the CAB has agreed upon a deployment date.
    • All other CAB members, IT support staff, and other impacted stakeholders should have access to the calendar on a read-only basis to prevent people from making unauthorized changes to deployment dates.

    Info-Tech Insight

    Make the calendar visible to as many parties as necessary. However, limit the number of personnel who can make active changes to the calendar to limit calendar conflicts.

    3. Alignment at approval

    How can project management effectively contribute to CAB?

    As optional CAB members

    Project SMEs may attend when projects are ready to go live and when invited by the change manager. Optional members provide details on change cross-dependencies, high-level testing, rollback, communication plans, etc. to inform prioritization and scheduling decisions.

    As project management representatives

    Project management should also attend CAB meetings to report in on changes to ongoing projects, implementation timelines, and project milestones. Projects are typically high-priority changes when going live due to their impact. Advanced notice of timeline and milestone changes allow the rest of the CAB to properly manage other changes going into production.

    As core CAB members

    The core responsibilities of CAB must still be fulfilled:

    1. Protect the live environment from poorly assessed, tested, and implemented changes.

    2. Prioritize changes in a way that fairly reflects change impact, urgency, and likelihood.

    3. Schedule deployments in a way the minimizes conflict and disruption.

    If you need to define the authority and responsibilities of the CAB, see Activity 2.1.3 of the Optimize IT Change Management blueprint.

    4. Alignment at implementation

    At this stage, the project or project phase is treated as any other change.

    Verification

    Once the change has been implemented, verify that all requirements are fulfilled.

    Review

    Ensure all affected systems and applications are operating as predicted.

    Update change ticket and change log

    Update RFC status and CMDB as well (if necessary).

    Transition

    Once the change implementation is complete, it’s imperative that the team involved inform and train the operational and support groups.

    If you need to define transitioning changes to production, download Transition Projects to the Service Desk

    5. Alignment at post-implementation

    Tackle the most neglected portion of change management to avoid making the same mistake twice.

    1. Define RFC statuses that need a PIR
    2. Conduct PIRs for failed changes. Successful changes can simply be noted and transitioned to operations.

    3. Conduct a PIR for every failed change
    4. It’s best to perform a PIR once a change-related incident is resolved.

    5. Avoid making the same mistake twice
    6. Include a root-cause analysis, mitigation actions/timeline, and lessons learned in the documentation.

    7. Report to CAB
    8. Socialize the findings of the PIR at the subsequent CAB meeting.

    9. Circle back on previous PIRs
    10. If a similar change is conducted, append the related PIR to avoid the same mistakes.

    Info-Tech Insight

    Include your PIR documentation right in the RFC for easy reference.

    Download the RFC template for more details on post-implementation reviews

    2 Implement your alignments stepwise

    1. As a group, decide on which implementations you need to make to align change management and project management.
    2. For each improvement, list a timeline for implementation.
    3. Update section 3.5 in the Change Management Standard Operating Procedure (SOP). to outline the responsibilities of project management within IT Change Management.

    The image contains a screenshot of the Change Management SOP

    Download the Change Management Standard Operating Procedure (SOP).

    Input Output
    • This deck
    • SOP update
    Materials Participants
    • Whiteboard/flip charts (or shared screen if working remotely)
    • Service catalog (if applicable)
    • Sticky notes
    • Markers/pens
    • Change Management SOP
    • Change Manager
    • Project Managers
    • Members of the Change Advisory Board

    Related Info-Tech Research

    Optimize IT Change Management

    Right-size IT change management to protect the live environment.

    Optimize IT Project Intake, Approval, and Prioritization

    Decide which IT projects to approve and when to start them.

    Maintain an Organized Portfolio

    Align portfolio management practices with COBIT (APO05: Manage Portfolio).

    Tactics to Retain IT Talent

    • Buy Link or Shortcode: {j2store}549|cart{/j2store}
    • member rating overall impact (scale of 10): N/A
    • member rating average dollars saved: N/A
    • member rating average days saved: N/A
    • Parent Category Name: Engage
    • Parent Category Link: /engage
    • Regrettable turnover is impacting organizational productivity and leading to significant costs associated with employee departures and the recruitment required to replace them.
    • Many organizations focus on increasing engagement to improve retention, but this approach doesn’t address the entire problem.

    Our Advice

    Critical Insight

    • Engagement surveys mask the volatility of the employee experience and hide the reason why individual employees leave. You must also talk to employees to understand the moments that matter and engage managers to understand turnover triggers.

    Impact and Result

    • Build the case for creating retention plans by leveraging employee data and feedback to identify the key reasons for turnover that need to be addressed.
    • Target employee segments and work with management to develop solutions to retain top talent.

    Tactics to Retain IT Talent Research & Tools

    Besides the small introduction, subscribers and consulting clients within this management domain have access to:

    1. Tactics to Retain IT Talent Storyboard – Use this storyboard to develop a targeted talent retention plan to retain top and core talent in the organization.

    Integrate data from exit surveys and interviews, engagement surveys, and stay interviews to understand the most commonly cited reasons for employee departure in order to select and prioritize tactics that improve retention. This blueprint will help you identify reasons for regrettable turnover, select solutions, and create an action plan.

    • Tactics to Retain IT Talent Storyboard

    2. Retention Plan Workbook – Capture key information in one place as you work through the process to assess and prioritize solutions.

    Use this tool to document and analyze turnover data to find suitable retention solutions.

    • Retention Plan Workbook

    3. Stay Interview Guide – Managers will use this guide to conduct regular stay interviews with employees to anticipate and address turnover triggers.

    The Stay Interview Guide helps managers conduct interviews with current employees, enabling the manager to understand the employee's current engagement level, satisfaction with current role and responsibilities, suggestions for potential improvements, and intent to stay with the organization.

    • Stay Interview Guide

    4. IT Retention Solutions Catalog – Use this catalog to select and prioritize retention solutions across the employee lifecycle.

    Review best-practice solutions to identify those that are most suitable to your organizational culture and employee needs. Use the IT Retention Solutions Catalog to explore a variety of methods to improve retention, understand their use cases, and determine stakeholder responsibilities.

    • IT Retention Solutions Catalog
    [infographic]

    Workshop: Tactics to Retain IT Talent

    Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

    1 Identify Reasons for Regrettable Turnover

    The Purpose

    Identify the main drivers of turnover at the organization.

    Key Benefits Achieved

    Find out what to explore during focus groups.

    Activities

    1.1 Review data to determine why employees join, stay, and leave.

    1.2 Identify common themes.

    1.3 Prepare for focus groups.

    Outputs

    List of common themes/pain points recorded in the Retention Plan Workbook.

    2 Conduct Focus Groups

    The Purpose

    Conduct focus groups to explore retention drivers.

    Key Benefits Achieved

    Explore identified themes.

    Activities

    2.1 Conduct four 1-hour focus groups with the employee segment(s) identified in the pre-workshop activities.

    2.2 Info-Tech facilitators independently analyze results of focus groups and group results by theme.

    Outputs

    Focus group feedback.

    Focus group feedback analyzed and organized by themes.

    3 Identify Needs and Retention Initiatives

    The Purpose

    Home in on employee needs that are a priority.

    Key Benefits Achieved

    A list of initiatives to address the identified needs

    Activities

    3.1 Create an empathy map to identify needs.

    3.2 Shortlist retention initiatives.

    Outputs

    Employee needs and shortlist of initiatives to address them.

    4 Prepare to Communicate and Launch

    The Purpose

    Prepare to launch your retention initiatives.

    Key Benefits Achieved

    A clear action plan for implementing your retention initiatives.

    Activities

    4.1 Select retention initiatives.

    4.2 Determine goals and metrics.

    4.3 Plan stakeholder communication.

    4.4 Build a high-level action plan.

    Outputs

    Finalized list of retention initiatives.

    Goals and associated metrics recorded in the Retention Plan Workbook.

    Further reading

    Tactics to Retain IT Talent

    Keep talent from walking out the door by discovering and addressing moments that matter and turnover triggers.

    Executive Summary

    Your Challenge

    Many organizations are facing an increase in voluntary turnover as low unemployment, a lack of skilled labor, and a rise in the number of vacant roles have given employees more employment choices.

    Common Obstacles

    Regrettable turnover is impacting organizational productivity and leading to significant costs associated with employee departures and the recruitment required to replace them.

    Many organizations tackle retention from an engagement perspective: Increase engagement to improve retention. This approach doesn't consider the whole problem.

    Info-Tech's Approach

    Build the case for creating retention plans by leveraging employee data and feedback to identify the key reasons for turnover that need to be addressed.

    Target employee segments and work with management to develop solutions to retain top talent.

    Info-Tech Insight

    Engagement surveys mask the volatility of the employee experience and hide the reason why individual employees leave. You must also talk to employees to understand the moments that matter and engage managers to understand turnover triggers.

    This research addresses regrettable turnover

    This is an image of a flow chart with three levels. The top level has only one box, labeled Turnover.  the Second level has 2 boxes, labeled Voluntary, and Involuntary.  The third level has two boxes under Voluntary, labeled Non-regrettable: The loss of employees that the organization did not wish to keep, e.g. low performers, and Regrettable:  The loss of employees that the organization wishes it could have kept.

    Low unemployment and rising voluntary turnover makes it critical to focus on retention

    As the economy continues to recover from the pandemic, unemployment continues to trend downward even with a looming recession. This leaves more job openings vacant, making it easier for employees to job hop.

    This image contains a graph of the US Employment rate between 2020 - 2022 from the US Bureau of Economic Analysis and Bureau of Labor Statistics (BLS), 2022, the percentage of individuals who change jobs every one to five years from 2022 Job Seeker Nation Study, Jobvite, 2022, and voluntary turnover rates from BLS, 2022

    With more employees voluntarily choosing to leave jobs, it is more important than ever for organizations to identify key employees they want to retain and put plans in place to keep them.

    Retention is a challenge for many organizations

    The number of HR professionals citing retention/turnover as a top workforce management challenge is increasing, and it is now the second highest recruiting priority ("2020 Recruiter Nation Survey," Jobvite, 2020).

    65% of employees believe they can find a better position elsewhere (Legaljobs, 2021). This is a challenge for organizations in that they need to find ways to ensure employees want to stay at the organization or they will lose them, which results in high turnover costs.

    Executives and IT are making retention and turnover – two sides of the same coin – a priority because they cost organizations money.

    • 87% of HR professionals cited retention/turnover as a critical and high priority for the next few years (TINYpulse, 2020).
    • $630B The cost of voluntary turnover in the US (Work Institute, 2020).
    • 66% of organizations consider employee retention to be important or very important to an organization (PayScale, 2019).

    Improving retention leads to broad-reaching organizational benefits

    Cost savings: the price of turnover as a percentage of salary

    • 33% Improving retention can result in significant cost savings. A recent study found turnover costs, on average, to be around a third of an employee's annual salary (SHRM, 2019).
    • 37.9% of employees leave their organization within the first year. Employees who leave within the first 90 days of being hired offer very little or no return on the investment made to hire them (Work Institute, 2020).

    Improved performance

    Employees with longer tenure have an increased understanding of an organization's policies and processes, which leads to increased productivity (Indeed, 2021).

    Prevents a ripple effect

    Turnover often ripples across a team or department, with employees following each other out of the organization (Mereo). Retaining even one individual can often have an impact across the organization.

    Transfer of knowledge

    Retaining key individuals allows them to pass it on to other employees through communities of practice, mentoring, or other knowledge-sharing activities.

    Info-Tech Insight

    Improving retention goes beyond cost savings: Employees who agree with the statement "I expect to be at this organization a year from now" are 71% more likely to put in extra hours and 32% more likely to accomplish more than what is expected of their role (McLean & Company Engagement Survey, 2021; N=77,170 and 97,326 respectively).

    However, the traditional engagement-focused approach to retention is not enough

    Employee engagement is a strong driver of retention, with only 25% of disengaged employees expecting to be at their organization a year from now compared to 92% of engaged employees (McLean & Company Engagement Survey, 2018-2021; N=117,307).

    Average employee Net Promoter Score (eNPS)

    This image contains a graph of the Average employee Net Promoter Score (eNPS)

    Individual employee Net Promoter Scores (eNPS)

    This image contains a graph of the Individual employee Net Promoter Scores (eNPS)

    However, engagement surveys mask the volatility of the employee experience and hide the reason why individual employees leave.

    This analysis of McLean & Company's engagement survey results shows that while an organization's average employee net promoter score (eNPS) stays relatively static, at an individual level there is a huge amount of volatility.

    This demonstrates the need for an approach that is more capable of responding to or identifying employees' in-the-moment needs, which an annual engagement survey doesn't support.

    Turnover triggers and moments that matter also have an impact on retention

    Retention needs to be monitored throughout the employee lifecycle. To address the variety of issues that can appear, consider three main paths to turnover:

    1. Employee engagement – areas of low engagement.
    2. Turnover triggers that can quickly lead to departures.
    3. Moments that matter in the employee experience (EX).

    Employee engagement

    Engagement drivers are strong predictors of turnover.

    Employees who are highly engaged are 3.6x more likely to believe they will be with the organization 12 months from now than disengaged employees (McLean & Company Engagement Survey, 2018-2021; N=117,307).

    Turnover triggers

    Turnover triggers are events that act as shocks or catalysts that quickly lead to an employee's departure.

    Turnover triggers are a cause for voluntary turnover more often than accumulated issues (Lee et al.).

    Moments that matter

    Employee experience is the employee's perception of the accumulation of moments that matter within their employee lifecycle.

    Retention rates increase from 21% to 44% when employees have positive experiences in the following categories: belonging, purpose, achievement, happiness, and vigor at work. (Workhuman, 2020).

    While managers do not directly impact turnover, they do influence the three main paths to turnover

    Research shows managers do not appear as one of the common reasons for employee turnover.

    Top five most common reasons employees leave an organization (McLean & Company, Exit Survey, 2018-2021; N=107 to 141 companies,14,870 to 19,431 responses).

    Turnover factorsRank
    Opportunities for career advancement1
    Satisfaction with my role and responsibilities2
    Base pay3
    Opportunities for career-related skill development4
    The degree to which my skills were used in my job5

    However, managers can still have a huge impact on the turnover of their team through each of the three main paths to turnover:

    Employee engagement

    Employees who believe their managers care about them as a person are 3.3x more likely to be engaged than those who do not (McLean & Company, 2021; N=105,186).

    Turnover triggers

    Managers who are involved with and aware of their staff can serve as an early warning system for triggers that lead to turnover too quickly to detect with data.

    Moments that matter

    Managers have a direct connection with each individual and can tailor the employee experience to meet the needs of the individuals who report to them.

    Gallup has found that 52% of exiting employees say their manager could have done something to prevent them from leaving (Gallup, 2019). Do not discount the power of managers in anticipating and preventing regrettable turnover.

    Addressing engagement, turnover triggers, and moments that matter is the key to retention

    This is an image of a flow chart with four levels. The top level has only one box, labeled Turnover.  the Second level has 2 boxes, labeled Voluntary, and Involuntary.  The third level has two boxes under Voluntary, labeled Non-regrettable, and Regrettable.  The fourth level has three boxes under Regrettable, labeled Employee Engagement, Turnover triggers, and Moments that matter

    Info-Tech Insight

    HR traditionally seeks to examine engagement levels when faced with retention challenges, but engagement is only a part of the full picture. You must also talk to employees to understand the moments that matter and engage managers to understand turnover triggers.

    Follow Info-Tech's two-step process to create a retention plan

    1. Identify Reasons for Regrettable Turnover

    2. Select Solutions and Create an Action Plan

    Step 1

    Identify Reasons for Regrettable Turnover

    After completing this step you will have:

    • Analyzed and documented why employees join, stay, and leave your organization.
    • Identified common themes and employee needs.
    • Conducted employee focus groups and prioritized employee needs.

    Step 1 focuses on analyzing existing data and validating it through focus groups

    Employee engagement

    Employee engagement and moments that matter are easily tracked by data. Validating employee feedback data by speaking and empathizing with employees helps to uncover moments that matter. This step focuses on analyzing existing data and validating it through focus groups.

    Engagement drivers such as compensation or working environment are strong predictors of turnover.
    Moments that matter
    Employee experience (EX) is the employee's perception of the accumulation of moments that matter with the organization.
    Turnover triggers
    Turnover triggers are events that act as shocks or catalysts that quickly lead to an employee's departure.

    Turnover triggers

    This step will not touch on turnover triggers. Instead, they will be discussed in step 2 in the context of the role of the manager in improving retention.

    Turnover triggers are events that act as shocks or catalysts that quickly lead to an employee's departure.

    Info-Tech Insight

    IT managers often have insights into where and why retention is an issue through their day-to-day work. Gathering detailed quantitative and qualitative data provides credibility to these insights and is key to building a business case for action. Keep an open mind and allow the data to inform your gut feeling, not the other way around.

    Gather data to better understand why employees join, stay, and leave

    Start to gather and examine additional data to accurately identify the reason(s) for high turnover. Begin to uncover the story behind why these employees join, stay, and leave your organization through themes and trends that emerge.

    Look for these icons throughout step 2.

    Join

    Why do candidates join your organization?

    Stay

    Why do employees stay with your organization?

    Leave

    Why do employees leave your organization?

    For more information on analysis, visualization, and storytelling with data, see Info-Tech's Start Making Data-Driven People Decisions blueprint.

    Employee feedback data to look at includes:

    Gather insights through:

    • Focus groups
    • Verbatim comments
    • Exit interviews
    • Using the employee value proposition (EVP) as a filter (does it resonate with the lived experience of employees?)

    Prepare to draw themes and trends from employee data throughout step 1.

    Uncover employee needs and reasons for turnover by analyzing employee feedback data.

    • Look for trends (e.g. new hires join for career opportunities and leave for the same reason, or most departments have strong work-life balance scores in engagement data).
    • Review if there are recurring issues being raised that may impact turnover.
    • Group feedback to highlight themes (e.g. lack of understanding of EVP).
    • Identify which key employee needs merit further investigation or information.

    This is an image showing how you can draw out themes and trends using employee data throughout step 1.

    Classify where key employee needs fall within the employee lifecycle diagram in tab 2 of the Retention Plan Workbook. This will be used in step 2 to pinpoint and prioritize solutions.

    Info-Tech Insight

    The employee lifecycle is a valuable way to analyze and organize engagement pain points, moments that matter, and turnover triggers. It ensures that you consider the entirety of an employee's tenure and the different factors that lead to turnover.

    Examine new hire data and begin to document emerging themes

    Join

    While conducting a high-level analysis of new hire data, look for these three key themes impacting retention:

    Issues or pain points that occurred during the hiring process.

    Reasons why employees joined your organization.

    The experience of their first 90 days. This can include their satisfaction with the onboarding process and their overall experience with the organization.

    Themes will help to identify areas of strength and weakness organization-wide and within key segments. Document in tab 3 of the Retention Plan Workbook.

    1. Start by isolating the top reasons employees joined your organization. Ask:
      • Do the reasons align with the benefits you associate with working at your organization?
      • How might this impact your EVP?
      • If you use a new hire survey, look at the results for the following questions:
      • For which of the following reasons did you apply to this organization?
      • For what reasons did you accept the job offer with this organization?
    2. then, examine other potential problem areas that may not be covered by your new hire survey, such as onboarding or the candidate experience during the hiring process.
      • If you conduct a new hire survey, look at the results in the following sections:
        • Candidate Experience
        • Acclimatization
        • Training and Development
        • Defining Performance Expectations

      Analyze engagement data to identify areas of strength that drive retention

      Employees who are engaged are 3.6x more likely to believe they will be with the organization 12 months from now (McLean & Company Engagement Survey, 2018-2021; N=117,307). Given the strength of this relationship, it is essential to identify areas of strength to maintain and leverage.

      1. Look at the highest-performing drivers in your organization's employee engagement survey and drivers that fall into the "leverage" and "maintain" quadrants of the priority matrix.
        • These drivers provide insight into what prompts broader groups of employees to stay.

      This is an image of a quadrant analysis, with the following quadrants in order from left to right, top to bottom.  Improve; Leverage; Evaluate; Maintain.

      1. Look into what efforts have been made to maintain programs, policies, and practices related to these drivers and ensure they are consistent across the entire organization.
      2. Document trends and themes related to engagement strengths in tab 2 of the Retention Plan Workbook.

      If you use Info-Tech's Engagement Survey, look in detail at what are classified as "Retention Drivers": total compensation, working environment, and work-life balance.

      Identify areas of weakness that drive turnover in your engagement data

      1. Look at the lowest-performing drivers in your organization's employee engagement survey and drivers that fall into the "improve" and "evaluate" quadrants of the priority matrix.
        • These drivers provide insight into what pushes employees to leave the organization.
      2. Delve into organizational efforts that have been made to address issues with the programs, policies, and practices related to these drivers. Are there any projects underway to improve them? What are the barriers preventing improvements?
      3. Document trends and themes related to engagement weaknesses in tab 2 of the Retention Plan Workbook.

      If you use a product other than Info-Tech's Engagement Survey, your results will look different. The key is to look at areas of weakness that emerge from the data.

      This is an image of a quadrant analysis, with the following quadrants in order from left to right, top to bottom.  Improve; Leverage; Evaluate; Maintain.

      If you use Info-Tech's Engagement Survey, look in detail at what are classified as "Retention Drivers": total compensation, working environment, and work-life balance.

      Mine exit surveys to develop an integrated, holistic understanding of why employees leave

      Conduct a high-level analysis of the data from your employee exit diagnostic. While analyzing this data, consider the following:

      • What are the trends and quantitative data about why employees leave your organization that may illuminate employee needs or issues at specific points throughout the employee lifecycle?
      • What are insights around your key segments? Data on key segments is easily sliced from exit survey results and can be used as a starting point for digging deeper into retention issues for specific groups.
      • Exit surveys are an excellent starting point. However, it is valuable to validate the data gathered from an exit survey using exit interviews.
      1. Isolate results for key segments of employees to target with retention initiatives (e.g. by age group or by department).
      2. Identify data trends or patterns over time; for example, that compensation factors have been increasing in importance.
      3. Document trends and themes taken from the exit survey results in tab 2 of the Retention Plan Workbook.

      If your organization conducts exit interviews, analyze the results alongside or in lieu of exit survey data.

      Compare new hire data with exit data to identify patterns and insights

      Determine if new hire expectations weren't met, prompting employees to leave your organization, to help identify where in the employee lifecycle issues driving turnover may be occurring.

      1. Look at your new hire data for the top reasons employees joined your organization.
        • McLean & Company's New Hire Survey database shows that the top three reasons candidates accept job offers on average are:
          1. Career opportunities
          2. Nature of the job
          3. Development opportunities
      2. Next, look at your exit data and the top reasons employees left your organization.
        1. McLean & Company's Exit Survey database shows that the top three reasons employees leave on average are:
          1. Opportunities for career advancement
          2. Base pay
          3. Satisfaction with my role and responsibilities
      3. Examine the results and ask:
        • Is there a link between why employees join and leave the organization?
        • Did they cite the same reasons for joining and for leaving?
        • What do the results say about what your employees do and do not value about working at your organization?
      4. Document the resulting insights in tab 2 of the Retention Plan Workbook.

      Example:

      A result where employees are leaving for the same reason they're joining the organization could signal a disconnect between your organization's employee value proposition and the lived experience.

      Revisit your employee value proposition to uncover misalignment

      Your employee value proposition (EVP), formal or informal, communicates the value your organization can offer to prospective employees.

      If your EVP is mismatched with the lived experience of your employees, new hires will be in for a surprise when they start their new job and find out it isn't what they were expecting.

      Forty-six percent of respondents who left a job within 90 days of starting cited a mismatch of expectations about their role ("Job Seeker Nation Study 2020," Jobvite, 2020).

      1. Use the EVP as a filter through which you look at all your employee feedback data. It will help identify misalignment between the promised and the lived experience.
      2. If you have EVP documentation, start there. If not, go to your careers page and put yourself in the shoes of a candidate. Ask what the four elements of an EVP look like for candidates:
        • Compensation and benefits
        • Day-to-day job elements
        • Working conditions
        • Organizational elements
      3. Next, compare this to your own day-to-day experiences. Does it differ drastically? Are there any contradictions with the lived experience at your organization? Are there misleading statements or promises?
      4. Document any insights or patterns you uncover in tab 2 of the Retention Plan Workbook.

      Conduct focus groups to examine themes

      Through focus groups, explore the themes you have uncovered with employees to discover employee needs that are not being met. Addressing these employee needs will be a key aspect of your retention plan.

      Identify employee groups who will participate in focus groups:

      • Incorporate diverse perspectives (e.g. employees, managers, supervisors).
      • Include employees from departments and demographics with strong and weak engagement for a full picture of how engagement impacts your employees.
      • Invite boomerang employees to learn why an individual might return to your organization after leaving.

      image contains two screenshots Mclean & Company's Standard Focus Group Guide.

      Customize Info-Tech's Standard Focus Group Guide based on the themes you have identified in tab 3 of the Retention Plan Workbook.

      The goal of the focus group is to learn from employees and use this information to design or modify a process, system, or other solution that impacts retention.

      Focus questions on the employees' personal experience from their perspective.

      Key things to remember:

      • It is vital for facilitators to be objective.
      • Keep an open mind; no feelings are wrong.
      • Beware of your own biases.
      • Be open and share the reason for conducting the focus groups.

      Info-Tech Insight

      Maintaining an open dialogue with employees will help flesh out the context behind the data you've gathered and allow you to keep in mind that retention is about people first and foremost.

      Empathize with employees to identify moments that matter

      Look for discrepancies between what employees are saying and doing.

      1. Say

      "What words or quotes did the employee use?"

      3.Think

      "What might the employee be thinking?"

      Record feelings and thoughts discussed, body language observed, tone of voice, and words used.

      Look for areas of negative emotion to determine the moments that matter that drive retention.

      2. Do

      "What actions or behavior did the employee demonstrate?"

      4. Feel

      "What might the employee be feeling?"

      Record them in tab 3 of the Retention Plan Workbook.

      5. Identify Needs

      "Needs are verbs (activities or desires), not nouns (solutions)"

      Synthesize focus group findings using Info-Tech's Empathy Map Template.

      6. Identify Insights

      "Ask yourself, why?"

      (Based on Stanford d.school Empathy Map Method)

      Distill employee needs into priority issues to address first

      Take employee needs revealed by your data and focus groups and prioritize three to five needs.

      Select a limited number of employee needs to develop solutions to ensure that the scope of the project is feasible and that the resources dedicated to this project are not stretched too thin. The remaining needs should not be ignored – act on them later.

      Share the needs you identify with stakeholders so they can support prioritization and so you can confirm their buy-in and approval where necessary.

      Ask yourself the following questions to determine your priority employee needs:

      • Which needs will have the greatest impact on turnover?
      • Which needs have the potential to be an easy fix or quick win?
      • Which themes or trends came up repeatedly in different data sources?
      • Which needs evoked particularly strong or negative emotions in the focus groups?

      This image contains screenshots of two table templates found in tab 5 of the Retention Plan Workbook

      In the Retention Plan Workbook, distill employee needs on tab 2 into three to five priorities on tab 5.

      Step 2

      Select Solutions and Create an Action Plan

      After completing this step, you will have:

      • Selected and prioritized solutions to address employee needs.
      • Created a plan to launch stay interviews.
      • Built an action plan to implement solutions.

      Select IT-owned solutions and implement people leader–driven initiatives

      Solutions

      First, select and prioritize solutions to address employee needs identified in the previous step. These solutions will address reasons for turnover that influence employee engagement and moments that matter.

      • Brainstorm solutions using the Retention Solutions Catalog as a starting point. Select a longlist of solutions to address your priority needs.
      • Prioritize the longlist of solutions into a manageable number to act on.

      People leaders

      Next, create a plan to launch stay interviews to increase managers' accountability in improving retention. Managers will be critical to solving issues stemming from turnover triggers.

      • Clarify the importance of harnessing the influence of people leaders in improving retention.
      • Discover what might cause individual employees to leave through stay interviews.
      • Increase trust in managers through training.

      Action plan

      Finally, create an action plan and present to senior leadership for approval.

      Look for these icons in the top right of slides in this step.

      Select solutions to employee needs, starting with the Retention Solutions Catalog

      Based on the priority needs you have identified, use the Retention Solutions Catalog to review best-practice solutions for pain points associated with each stage of the lifecycle.

      Use this tool as a starting point, adding to it and iterating based on your own experience and organizational culture and goals.

      This image contains three screenshots from Info-Tech's Retention Solutions Catalog.

      Use Info-Tech's Retention Solutions Catalog to start the brainstorming process and produce a shortlist of potential solutions that will be prioritized on the next slide.

      Info-Tech Insight

      Unless you have the good fortune of having only a few pain points, no single initiative will completely solve your retention issues. Combine one or two of these broad solutions with people-leader initiatives to ensure employee needs are addressed on an individual and an aggregate level.

      Prioritize solutions to be implemented

      Target efforts accordingly

      Quick wins are high-impact, low-effort initiatives that will build traction and credibility within the organization.

      Long-term initiatives require more time and need to be planned for accordingly but will still deliver a large impact. Review the planning horizon to determine how early these need to begin.

      Re-evaluate low-impact and low-effort initiatives and identify ones that either support other higher impact initiatives or have the highest impact to gain traction and credibility. Look for low-hanging fruit.

      Deprioritize initiatives that will take a high degree of effort to deliver lower-value results.

      When assessing the impact of potential solutions, consider:

      • How many critical segments or employees will this solution affect?
      • Is the employee need it addresses critical, or did the solution encompass several themes in the data you analyzed?
      • Will the success of this solution help build a case for further action?
      • Will the solution address multiple employee needs?

      Info-Tech Insight

      It's better to master a few initiatives than under-deliver on many. Start with a few solutions that will have a measurable impact to build the case for further action in the future.

      Solutions

      Low ImpactMedium ImpactLarge Impact
      Large EffortThis is an image of the used to help you prioritize solutions to be implemented.
      Medium Effort
      Low Effort

      Use tab 3 of the Retention Plan Workbook to prioritize your shortlist of solutions.

      Harness the influence of people leaders to improve employee retention

      Leaders at all levels have a huge impact on employees.

      Effective people leaders:

      • Manage work distribution.
      • Create a motivating work environment.
      • Provide development opportunities.
      • Ensure work is stimulating and challenging, but not overwhelming.
      • Provide clear, actionable feedback.
      • Recognize team member contributions.
      • Develop positive relationships with their teams.
      • Create a line of sight between what the employee is doing and what the organization's objectives are.

      Support leaders in recommitting to their role as people managers through Learning & Development initiatives with particular emphasis on coaching and building trust.

      For coaching training, see Info-Tech's Build a Better Manager: Team Essentials – Feedback and Coaching training deck.

      For more information on supporting managers to become better people leaders, see Info-Tech's Build a Better Manager: Manage Your People blueprint.

      "HR can't fix turnover. But leaders on the front line can."
      – Richard P. Finnegan, CEO, C-Suite Analytics

      Equip managers to conduct regular stay interviews to address turnover triggers

      Managers often have the most visibility into their employees' personal and work lives and have a key opportunity to anticipate and address turnover triggers.

      Stay interviews are an effective way of uncovering potential retention issues and allowing managers to act as an early warning system for turnover triggers.

      Examples of common turnover triggers and potential manager responses:

      • Moving, creating a long commute to the office.
        • Through stay interviews, a manager can learn that a long commute is an issue and can help find workarounds such as flexible/remote work options.
      • Not receiving an expected promotion.
        • A trusted manager can anticipate issues stemming from this, discuss why the decision was made, and plan development opportunities for future openings.

      Stay interview best practices

      1. Conducted by an employee's direct manager.
      2. Happen regularly as a part of an ongoing process.
      3. Based on the stay interview, managers produce a turnover forecast for each direct report.
        1. The method used by stay interview expert Richard P. Finnegan is simple: red for high risk, yellow for medium, and green for low.
      4. Provide managers with training and a rough script or list of questions to follow.
        1. Use and customize Info-Tech's Stay Interview Guide to provide a guide for managers on how to conduct a stay interview.
      5. Managers use the results to create an individualized retention action plan made up of concrete actions the manager and employee will take.

      Sources: Richard P. Finnegan, CEO, C-Suite Analytics; SHRM

      Build an action plan to implement the retention plan

      For each initiative identified, map out timelines and actions that need to be taken.

      When building actions and timelines:

      • Refer to the priority needs you identified in tab 4 of the Retention Plan Workbook and ensure they are addressed first.
      • Engage internal stakeholders who will be key to the development of the initiatives to ensure they have sufficient time to complete their deliverables.
        • For example, if you conduct manager training, Learning & Development needs to be involved in the development and launch of the program.
      • Include a date to revisit your baseline retention and engagement data in your project milestones.
      • Designate process owners for new processes such as stay interviews.

      Plan for stay interviews by determining:

      • Whether stay interviews will be a requirement for all employees.
      • How much flexibility managers will have with the process.
      • How you will communicate the stay interview approach to managers.
      • If manager training is required.
      • How managers should record stay interview data and how you will collect this data from them as a way to monitor retention issues.
        • For example, managers can share their turnover forecasts and action plans for each employee.

      Be clear about manager accountabilities for initiatives they will own, such as stay interviews. Plan to communicate the goals and timelines managers will be asked to meet, such as when they must conduct interviews or their responsibility to follow up on action items that come from interviews.

      Track project success to iterate and improve your solutions

      Analyze measurements

      • Regularly remeasure your engagement and retention levels to identify themes and trends that provide insights into program improvements.
      • For example, look at the difference in manager relationship score to see if training has had an impact, or look at changes in critical segment turnover to calculate cost savings.

      Revisit employee and manager feedback

      • After three to six months, conduct additional surveys or focus groups to determine the success of your initiatives and opportunities for improvement. Tweak the program, including stay interviews, based on manager and employee feedback.

      Iterate frequently

      • Revisit your initiatives every two or three years to determine if a refresh is necessary to meet changing organizational and employee needs and to update your goals and targets.

      Key insights

      Insight 1Insight 2Insight 3

      Retention and turnover are two sides of the same coin. You can't fix retention without first understanding turnover.

      Engagement surveys mask the volatility of the employee experience and hide the reason why individual employees leave. You must also talk to employees to understand the moments that matter and engage managers to understand turnover triggers.

      Improving retention isn't just about lowering turnover, it's about discovering what healthy retention looks like for your organization.

      Insight 4Insight 5Insight 6

      HR professionals often have insights into where and why retention is an issue. Gathering detailed employee feedback data through surveys and focus groups provides credibility to these insights and is key to building a case for action. Keep an open mind and allow the data to inform your gut feeling, not the other way around.

      Successful retention plans must be owned by both IT leaders and HR.

      IT leaders often have the most visibility into their employees' personal and work lives and have a key opportunity to anticipate and address turnover triggers.

      Stay interviews help managers anticipate potential retention issues on their teams.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Info-Tech AnalystsPre-workPost-work
      Client Data Gathering and PlanningImplementation Supported Through Analyst Calls

      1.1 Discuss participants, logistics, overview of workshop activities

      1.2 Provide support to client for below activities through calls.

      2.1 Schedule follow-up calls to work through implementation of retention solutions based on identified needs.
      Client

      1.Gather results of engagement survey, new hire survey, exit survey, and any exit and stay interview feedback.

      2.Gather and analyze turnover data.

      3.Identify key employee segment(s) and identify and organize participants for focus groups.

      4.Complete cost of turnover analysis.

      5.Review turnover data and prioritize list of employee segments.

      1.Obtain senior leader approval to proceed with retention plan.

      2.Finalize and implement retention solutions.

      3.Prepare managers to conduct stay interviews.

      4.Communicate next steps to stakeholders.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      ActivitiesDay 1Day 2Day 3Day 4
      Assess Current StateConduct Focus GroupsIdentify Needs and Retention InitiativesPrepare to Communicate and Launch

      1.1 Review data to determine why employees join, stay, and leave.

      1.2 Identify common themes.

      1.3 Prepare for focus groups.

      2.1 Conduct four 1-hour focus groups with the employee segment(s) identified in the pre-workshop activities..

      2.2 Info-Tech facilitators independently analyze results of focus groups and group results by theme.

      3.1 Create an empathy map to identify needs

      3.2 Shortlist retention initiatives

      4.1 Select retention initiatives

      4.2 Determine goals and metrics

      4.3 Plan stakeholder communication4.4 Build a high-level action plan

      Deliverables

      1.List of common themes/pain points recorded in the Retention Plan Workbook

      2.Plan for focus groups documented in the Focus Group Guide

      1.Focus group feedback

      2.Focus group feedback analyzed and organized by themes

      1.Employee needs and shortlist of initiatives to address them1.Finalized list of retention initiatives

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Research Contributors and Experts

      Jeff Bonnell
      VP HR
      Info-Tech Research Group

      Phillip Kotanidis
      CHRO
      Michael Garron Hospital

      Michael McGuire
      Director, Organizational Development
      William Osler Health System

      Dr. Iris Ware
      Chief Learning Officer
      City of Detroit

      Richard P. Finnegan
      CEO
      C-Suite Analytics

      Dr. Thomas Lee
      Professor of Management
      University of Washington

      Jane Moughon
      Specialist in increasing profits, reducing turnover, and maximizing human potential in manufacturing companies

      Lisa Kaste
      Former HR Director
      Citco

      Piyush Mathur
      Head of Workforce Analytics
      Johnson & Johnson

      Gregory P. Smith
      CEO
      Chart Your Course

      Works Cited

      "17 Surprising Statistics about Employee Retention." TINYpulse, 8 Sept. 2020. Web.
      "2020 Job Seeker Nation Study." Jobvite, April 2020. Web.
      "2020 Recruiter Nation Survey." Jobvite, 2020. Web.
      "2020 Retention Report: Insights on 2019 Turnover Trends, Reasons, Costs, & Recommendations." Work Institute, 2020. Web.
      "25 Essential Productivity Statistics for 2021." TeamStage, 2021. Accessed 22 Jun. 2021.
      Agovino, Theresa. "To Have and to Hold." SHRM, 23 Feb. 2019. Web.
      "Civilian Unemployment Rate." Bureau of Labor Statistics, June 2020. Web.
      Foreman, Paul. "The domino effect of chief sales officer turnover on salespeople." Mereo, 19 July 2018. Web.
      "Gross Domestic Product." U.S. Bureau of Economic Analysis, 27 May 2021. Accessed 22 Jun. 2020.
      Kinne, Aaron. "Back to Basics: What is Employee Experience?" Workhuman, 27August 2020. Accessed 21 Jun. 2021.
      Lee, Thomas W, et al. "Managing employee retention and turnover with 21st century ideas." Organizational Dynamics, vol 47, no. 2, 2017, pp. 88-98. Web.
      Lee, Thomas W. and Terence R. Mitchell. "Control Turnover by Understanding its Causes." The Blackwell Handbook of Principles of Organizational Behaviour. 2017. Print.
      McFeely, Shane, and Ben Wigert. "This Fixable Problem Costs U.S. Businesses $1 Trillion." Gallup. 13 March 2019. Web.
      "Table 18. Annual Quit rates by Industry and Region Not Seasonally Adjusted." Bureau of Labor Statistics. June 2021. Web.
      "The 2019 Compensation Best Practices Report: Will They Stay or Will They Go? Employee Retention and Acquisition in an Uncertain Economy." PayScale. 2019. Web.
      Vuleta, Branka. "30 Troubling Employee Retention Statistics." Legaljobs. 1 Feb. 2021. Web.
      "What is a Tenured Employee? Top Benefits of Tenure and How to Stay Engaged as One." Indeed. 22 Feb. 2021. Accessed 22 Jun. 2021.

      Standardize the Service Desk

      • Buy Link or Shortcode: {j2store}477|cart{/j2store}
      • member rating overall impact (scale of 10): 9.5/10 Overall Impact
      • member rating average dollars saved: $24,155 Average $ Saved
      • member rating average days saved: 24 Average Days Saved
      • Parent Category Name: Service Desk
      • Parent Category Link: /service-desk
      • Not everyone embraces their role in service support. Specialists would rather work on projects than provide service support.
      • The Service Desk lacks processes and workflows to provide consistent service. Service desk managers struggle to set and meet service-level expectations, which further compromises end-user satisfaction.

      Our Advice

      Critical Insight

      • Service desk improvement is an exercise in organizational change. Engage specialists across the IT organization in building the solution. Establish a single service-support team across the IT group and enforce it with a cooperative, customer-focused culture.
      • Don’t be fooled by a tool that’s new. A new service desk tool alone won’t solve the problem. Service desk maturity improvements depend on putting in place the right people and processes to support the technology.

      Impact and Result

      • Create a consistent customer service experience for service desk patrons, and increase efficiency, first-call resolution, and end-user satisfaction with the Service Desk.
      • Decrease time and cost to resolve service desk tickets.
      • Understand and address reporting needs to address root causes and measure success and build a solid foundation for future IT service improvements.

      Standardize the Service Desk Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Standardize the Service Desk Research – A step-by-step document that helps you improve customer service by driving consistency in your support approach and meet SLAs.

      Use this blueprint to standardize your service desk by assessing your current capability and laying the foundations for your service desk, design an effective incident management workflow, design a request fulfillment process, and apply the discussions and activities to make an actionable plan for improving your service desk.

      • Standardize the Service Desk – Phases 1-4

      2. Service Desk Maturity Assessment – An assessment tool to help guide process improvement efforts and track progress.

      This tool is designed to assess your service desk process maturity, identify gaps, guide improvement efforts, and measure your progress.

      • Service Desk Maturity Assessment

      3. Service Desk Project Summary – A template to help you organize process improvement initiatives using examples.

      Use this template to organize information about the service desk challenges that the organization is facing, make the case to build a right-sized service desk to address those challenges, and outline the recommended process changes.

      • Service Desk Project Summary

      4. Service Desk Roles and Responsibilities Guide – An analysis tool to determine the right roles and build ownership.

      Use the RACI template to determine roles for your service desk initiatives and to build ownership around them. Use the template and replace it with your organization's information.

      • Service Desk Roles and Responsibilities Guide

      5. Incident Management and Service Desk Standard Operating Procedure – A template designed to help service managers kick-start the standardization of service desk processes.

      The template will help you identify service desk roles and responsibilities, build ticket management processes, put in place sustainable knowledgebase practices, document ticket prioritization scheme and SLO, and document ticket workflows.

      • Incident Management and Service Desk SOP

      6. Ticket and Call Quality Assessment Tool – An assessment tool to check in on ticket and call quality quarterly and improve the quality of service desk data.

      Use this tool to help review the quality of tickets handled by agents and discuss each technician's technical capabilities to handle tickets.

      • Ticket and Call Quality Assessment Tool

      7. Workflow Library – A repository of typical workflows.

      The Workflow Library provides examples of typical workflows that make up the bulk of the incident management and request fulfillment processes at the service desk.

      • Incident Management and Service Desk Workflows (Visio)
      • Incident Management and Service Desk Workflows (PDF)

      8. Service Desk Ticket Categorization Schemes – A repository of ticket categories.

      The Ticket Categorization Schemes provide examples of ticket categories to organize the data in the service desk tool and produce reports that help managers manage the service desk and meet business requirements.

      • Service Desk Ticket Categorization Schemes

      9. Knowledge Manager – A job description template that includes a detailed explication of the responsibilities and expectations of a Knowledge Manager role.

      The Knowledge Manager's role is to collect, synthesize, organize, and manage corporate information in support of business units across the enterprise.

      • Knowledge Manager

      10. Knowledgebase Article Template – A comprehensive record of the incident management process.

      An accurate and comprehensive record of the incident management process, including a description of the incident, any workarounds identified, the root cause (if available), and the profile of the incident's source, will improve incident resolution time.

      • Knowledgebase Article Template

      11. Sample Communication Plan – A sample template to guide your communications around the integration and implementation of your overall service desk improvement initiatives.

      Use this template to develop a communication plan that outlines what stakeholders can expect as the process improvements recommended in the Standardize the Service Desk blueprint are implemented.

      • Sample Communication Plan

      12. Service Desk Roadmap – A structured roadmap tool to help build your service desk initiatives timeline.

      The Service Desk Roadmap helps track outstanding implementation activities from your service desk standardization project. Use the roadmap tool to define service desk project tasks, their owners, priorities, and timeline.

      • Service Desk Roadmap
      [infographic]

      Workshop: Standardize the Service Desk

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Lay Service Desk Foundations

      The Purpose

      Discover your challenges and understand what roles, metrics, and ticket handling procedures are needed to tackle the challenges.

      Key Benefits Achieved

      Set a clear understanding about the importance of service desk to your organization and service desk best practices.

      Activities

      1.1 Assess current state of the service desk.

      1.2 Review service desk and shift-left strategy.

      1.3 Identify service desk metrics and reports.

      1.4 Identify ticket handling procedures

      Outputs

      Current state assessment

      Shift-left strategy and implications

      Service desk metrics and reports

      Ticket handling procedures

      2 Design Incident Management

      The Purpose

      Build workflows for incident and critical incident tickets.

      Key Benefits Achieved

      Distinguish incidents from service requests.

      Ticket categorization facilitates ticket. routing and reporting.

      Develop an SLA for your service desk team for a consistent service delivery.

      Activities

      2.1 Build incident and critical incident management workflows.

      2.2 Design ticket categorization scheme and proper ticket handling guidelines.

      2.3 Design incident escalation and prioritization guidelines.

      Outputs

      Incident and critical incident management workflows

      Ticket categorization scheme

      Ticket escalation and prioritization guidelines

      3 Design Request Fulfilment

      The Purpose

      Build service request workflows and prepare self-service portal.

      Key Benefits Achieved

      Standardize request fulfilment processes.

      Prepare for better knowledge management and leverage self-service portal to facilitate shift-left strategy.

      Activities

      3.1 Build service request workflows.

      3.2 Build a targeted knowledgebase.

      3.3 Prepare for a self-serve portal project.

      Outputs

      Distinguishing criteria for requests and projects

      Service request workflows and SLAs

      Knowledgebase article template, processes, and workflows

      4 Build Project Implementation Plan

      The Purpose

      Now that you have laid the foundation of your service desk, put all the initiatives into an action plan.

      Key Benefits Achieved

      Discuss priorities, set timeline, and identify effort for your service desk.

      Identify the benefits and impacts of communicating service desk initiatives to stakeholders and define channels to communicate service desk changes.

      Activities

      4.1 Build an implementation roadmap.

      4.2 Build a communication plan

      Outputs

      Project implementation and task list with associated owners

      Project communication plan and workshop summary presentation

      Further reading

      Analyst Perspective

      "Customer service issues are rarely based on personality but are almost always a symptom of poor and inconsistent process. When service desk managers are looking to hire to resolve customer service issues and executives are pushing back, it’s time to look at improving process and the support strategy to make the best use of technicians’ time, tools, and knowledge sharing. Once improvements have been made, it’s easier to make the case to add people or introduce automation.

      Replacing service desk solutions will also highlight issues around poor process. Without fixing the baseline services, the new solution will simply wrap your issues in a prettier package.

      Ultimately, the service desk needs to be the entry point for users to get help and the rest of IT needs to provide the appropriate support to ensure the first line of interaction has the knowledge and tools they need to resolve quickly and preferably on first contact. If your plans include optimization to self-serve or automation, you’ll have a hard time getting there without standardizing first."

      Sandi Conrad

      Principal Research Director, Infrastructure & Operations Practice

      Info-Tech Research Group

      A method for getting your service desk out of firefighter mode

      This Research Is Designed For:

      • The CIO and senior IT management who need to increase service desk effectiveness and timeliness and improve end-user satisfaction.
      • The service desk manager who wants to lead the team from firefighting mode to providing consistent and proactive support.

      This Research Will Also Assist:

      • Service desk teams who want to increase their own effectiveness and move from a help desk to a service desk.
      • Infrastructure and applications managers who want to decrease reactive support activities and increase strategic project productivity by shifting repetitive and low-value work left.

      This Research Will Help You:

      • Create a consistent customer service experience for service desk patrons.
      • Increase efficiency, first-call resolution, and end-user satisfaction with the Service Desk.
      • Decrease time and cost to resolve service desk tickets.
      • Understand and address reporting needs to address root causes and measure success.
      • Build a solid foundation for future IT service improvements.

      Executive Summary

      Situation

      • The CIO and senior IT management who need to increase service desk effectiveness and timeliness and improve end-user satisfaction.
      • If only the phone could stop ringing, the Service Desk could become proactive, address service levels, and improve end-user IT satisfaction.

      Complication

      • Not everyone embraces their role in service support. Specialists would rather work on projects than provide service support.
      • The Service Desk lacks processes and workflows to provide consistent service. Service desk managers struggle to set and meet service-level expectations, which further compromises end-user satisfaction.

      Resolution

      • Go beyond the blind adoption of best-practice frameworks. No simple formula exists for improving service desk maturity. Use diagnostic tools to assess the current state of the Service Desk. Identify service support challenges and draw on best-practice frameworks intelligently to build a structured response to those challenges.
      • An effective service desk must be built on the right foundations. Understand how:
        • Service desk structure affects cost and ticket volume capacity.
        • Incident management workflows can improve ticket handling, prioritization, and escalation.
        • Request fulfillment processes create opportunities for streamlining and automating services.
        • Knowledge sharing supports the processes and workflows essential to effective service support.

      Info-Tech Insight

      Service desk improvement is an exercise in organizational change. Engage specialists across the IT organization in building the solution. Establish a single service-support team across the IT group and enforce it with a cooperative, customer-focused culture. Don’t be fooled by a tool that’s new. A new service desk tool alone won’t solve the problem. Service desk maturity improvements depend on putting in place the right people and processes to support the technology

      Directors and executives understand the importance of the service desk and believe IT can do better

      A double bar graph is depicted. The blue bars represent Effectiveness and the green bars represent Importance in terms of service desk at different seniority levels, which include frontline, manager, director, and executive.

      Source: Info-Tech, 2019 Responses (N=189 organizations)

      Service Desk Importance Scores

        No Importance: 1.0-6.9
        Limited Importance: 7.0-7.9
        Significant Importance: 8.0-8.9
        Critical Importance: 9.0-10.0

      Service Desk Effectiveness Scores

        Not in Place: N/A
        Not Effective: 0.0-4.9
        Somewhat Ineffective: 5.0-5.9
        Somewhat Effective: 6.0-6.9
        Very Effective: 7.0-10.0

      Info-Tech Research Group’s IT Management and Governance Diagnostic (MGD) program assesses the importance and effectiveness of core IT processes. Since its inception, the MGD has consistently identified the service desk as an area to leverage.

      Business stakeholders consistently rank the service desk as one of the top five most important services that IT provides

      Since 2013, Info-Tech has surveyed over 40,000 business stakeholders as part of our CIO Business Vision program.

      Business stakeholders ranked the following 12 core IT services in terms of importance:

      Learn more about the CIO Business Vision Program.
      *Note: IT Security was added to CIO Business Vision 2.0 in 2019

      Top IT Services for Business Stakeholders

      1. Network Infrastructure
      2. IT Security*
      3. Data Quality
      4. Service Desk
      5. Business Applications
      6. Devices
      7. Client-Facing Technology
      8. Analytical Capability
      9. IT Innovation Leadership
      10. Projects
      11. Work Orders
      12. IT Policies
      13. Requirements Gathering
      Source: Info-Tech Research Group, 2019 (N=224 organizations)

      Having an effective and timely service desk correlates with higher end-user satisfaction with all other IT services

      A double bar graph is depicted. The blue bar represents dissatisfied ender user, and the green bar represents satisfied end user. The bars show the average of dissatisfied and satisfied end users for service desk effectiveness and service desk timeliness.

      On average, organizations that were satisfied with service desk effectiveness rated all other IT processes 46% higher than dissatisfied end users.

      Organizations that were satisfied with service desk timeliness rated all other IT processes 37% higher than dissatisfied end users.
      “Satisfied” organizations had average scores =8.“Dissatisfied" organizations had average scores “Dissatisfied" organizations had average scores =6. Source: Info-Tech Research Group, 2019 (N=18,500+ respondents from 75 organizations)

      Standardize the service desk the Info-Tech way to get measurable results

      More than one hundred organizations engaged with Info-Tech, through advisory calls and workshops, for their service desk projects in 2016. Their goal was either to improve an existing service desk or build one from scratch.

      Organizations that estimate the business impact of each project phase help us shed light on the average measured value of the engagements.

      "The analysts are an amazing resource for this project. Their approach is very methodical, and they have the ability to fill in the big picture with detailed, actionable steps. There is a real opportunity for us to get off the treadmill and make real IT service management improvements"

      - Rod Gula, IT Director

      American Realty Advisors

      Three circles are depicted. The top circle shows the sum of measured value dollar impact which is US$1,659,493.37. The middle circle shows the average measured value dollar impact which is US$19,755.87. The bottom circle shows the average measured value time saved which is 27 days.

      Info-Tech’s approach to service desk standardization focuses on building service management essentials

      This image depicts all of the phases and steps in this blueprint.

      Info-Tech draws on the COBIT framework, which focuses on consistent delivery of IT services across the organization

      This image depicts research that can be used to improve IT processes. Service Desk is circled to demonstrate which research is being used.

      The service desk is the foundation of all other service management processes.

      The image shows how the service desk is a foundation for other service management processes.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Standardize the Service Desk – project overview

      This image shows the project overview of this blueprint.

      Info-Tech delivers: Use our tools and templates to accelerate your project to completion

      Project Summary

      Image of template.

      Service Desk Standard Operating Procedures

      Image of tool.

      Service Desk Maturity Assessment Tool

      Image of tool.

      Service Desk Implementation Roadmap

      Image of tool Incident, knowledge, and request management workflows

      Incident, knowledge, and request management workflows

      The project’s key deliverable is a service desk standard operating procedure

      Benefits of documented SOPs:

      Improved training and knowledge transfer: Routine tasks can be delegated to junior staff (freeing senior staff to work on higher priority tasks).

      IT automation, process optimization, and consistent operations: Defining, documenting, and then optimizing processes enables IT automation to be built on sound processes, so consistent positive results can be achieved.

      Compliance: Compliance audits are more manageable because the documentation is already in place.

      Transparency: Visually documented processes answer the common business question of “why does that take so long?”

      Cost savings: Work solved at first contact or with a minimal number of escalations will result in greater efficiency and more cost-effective support. This will also lead to better customer service.

      Impact of undocumented/undefined SOPs:

      Tasks will be difficult to delegate, key staff become a bottleneck, knowledge transfer is inconsistent, and there is a longer onboarding process for new staff

      IT automation built on poorly defined, unoptimized processes leads to inconsistent results.

      Documenting SOPs to prepare for an audit becomes a major time-intensive project.

      Other areas of the organization may not understand how IT operates, which can lead to confusion and unrealistic expectations.

      Support costs are highest through inefficient processes, and proactive work becomes more difficult to schedule, making the organization vulnerable to costly disruptions.

      Workshop Overview

      Image depicts workshop overview occurring over four days.

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Phase 1

      Lay Service Desk Foundations

      Step 1.1:Assess current state

      Image shows the steps in phase 1. Highlight is on step 1.1

      This step will walk you through the following activities:

      • 1.1.1 Outline service desk challenges
      • 1.1.2 Assess the service desk maturity

      This step involves the following participants:

      • Project Sponsor
      • IT Director, CIO
      • IT Managers and Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Alignment on the challenges that the service desk faces, an assessment of the current state of service desk processes and technologies, and baseline metrics against which to measure improvements.

      Deliverables

      • Service Desk Maturity Assessment

      Standardizing the service desk benefits the whole business

      The image depicts 3 circles to represent the service desk foundations.

      Embrace standardization

      • Standardization prevents wasted energy on reinventing solutions to recurring issues.
      • Standardized processes are scalable so that process maturity increases with the size of your organization.

      Increase business satisfaction

      • Improve confidence that the service desk can meet service levels.
      • Create a single point of contact for incidents and requests and escalate quickly.
      • Analyze trends to forecast and meet shifting business requirements.

      Reduce recurring issues

      • Create tickets for every task and categorize them accurately.
      • Generate reliable data to support root-cause analysis.

      Increase efficiency and lower operating costs

      • Empower end users and technicians with a targeted knowledgebase (KB).
      • Cross-train to improve service consistency.

      Case Study: The CIO of Westminster College took stock of existing processes before moving to empower the “helpless desk”

      Scott Lowe helped a small staff of eight IT professionals formalize service desk processes and increase the amount of time available for projects.

      When he joined Westminster College as CIO in 2006, the department faced several infrastructure challenges, including:

      • An unreliable network
      • Aging server replacements and no replacement plan
      • IT was the “department of no”
      • A help desk known as the “helpless desk”
      • A lack of wireless connectivity
      • Internet connection speed that was much too slow

      As the CIO investigated how to address the infrastructure challenges, he realized people cared deeply about how IT spent its time.

      The project load of IT staff increased, with new projects coming in every day.

      With a long project list, it became increasingly important to improve the transparency of project request and prioritization.

      Some weeks, staff spent 80% of their time working on projects. Other weeks, support requirements might leave only 10% for project work.

      He addressed the infrastructure challenges in part by analyzing IT’s routine processes.

      Internally, IT had inefficient support processes that reduced the amount of time they could spend on projects.

      They undertook an internal process analysis effort to identify processes that would have a return on investment if they were improved. The goal was to reduce operational support time so that project time could be increased.

      Five years later, they had a better understanding of the organization's operational support time needs and were able to shift workloads to accommodate projects without compromising support.

      Common challenges experienced by service desk teams

      Unresolved issues

      • Tickets are not created for all incidents.
      • Tickets are lost or escalated to the wrong technicians.
      • Poor data impedes root-cause analysis of incidents.

      Lost resources/accountability

      • Lack of cross-training and knowledge sharing.
      • Lack of skills coverage for critical applications and services.
      • Time is wasted troubleshooting recurring issues.
      • Reports unavailable due to lack of data and poor categorization.

      High cost to resolve

      • Tier 2/3 resolve issues that should be resolved at tier 1.
      • Tier 2/3 often interrupt projects to focus on service support.

      Poor planning

      • Lack of data for effective trend analysis leads to poor demand planning.
      • Lack of data leads to lost opportunities for templating and automation.

      Low business satisfaction

      • Users are unable to get assistance with IT services quickly.
      • Users go to their favorite technician instead of using the service desk.

      Outline the organization’s service desk challenges

      1.1.1 Brainstorm service desk challenges

      Estimated Time: 45 minutes

      A. As a group, outline the areas where you think the service desk is experiencing challenges or weaknesses. Use sticky notes or a whiteboard to separate the challenges into People, Process, and Technology so you have a wholistic view of the constraints across the department.

      B. Think about the following:

      • What have you heard from users? (e.g. slow response time)
      • What have you heard from executives? (e.g. poor communication)
      • What should you start doing? (e.g. documenting processes)
      • What should you stop doing? (e.g. work that is not being entered as tickets)

      C. Document challenges in the Service Desk Project Summary.

      Participants:

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      Assess current service desk maturity to establish a baseline and create a plan for service desk improvement

      A current-state assessment will help you build a foundation for process improvements. Current-state assessments follow a basic formula:

      1. Determine the current state of the service desk.
      2. Determine the desired state of the service desk.
      3. Build a practical path from current to desired state.
      Image depicts 2 circles and a box. The circle on the 1. left has assess current state. The circle on the right has 2. assess target state. The box has 3. build a roadmap.

      Ideally, the current-state assessment should align the delivery of IT services with organizational needs. The assessment should achieve the following goals:

      1. Identify service desk pain points.
      2. Map each pain point to business services.
      3. Assign a broad business value to the resolution of each pain point.
      4. Map each pain point to a process.

      Expert Insight

      Image of expert.

      “How do you know if you aren’t mature enough? Nothing – or everything – is recorded and tracked, customer satisfaction is low, frustration is high, and there are multiple requests and incidents that nobody ever bothers to address.”

      Rob England

      IT Consultant & Commentator

      Owner Two Hills

      Also known as The IT Skeptic

      Assess the process maturity of the service desk to determine which project phase and steps will bring the most value

      1.1.2 Measure which activity will have the greatest impact

      The Service Desk Maturity Assessmenttool helps organizations assess their service desk process maturity and focus the project on the activities that matter most.

      The tool will help guide improvement efforts and measure your progress.

      • The second tab of the tool walks through a qualitative assessment of your service desk practices. Questions will prompt you to evaluate how you are executing key activities. Select the answer in the drop-down menus that most closely aligns with your current state.
      • The third tab displays your rate of process completeness and maturity. You will receive a score for each phase, an overall score, and advice based on your performance.
      • Document the results of the efficiency assessment in the Service Desk Project Summary.

      The tool is intended for periodic use. Review your answers each year and devise initiatives to improve the process performance where you need it most.

      Where do I find the data?

      Consult:

      • Service Manager
      • Service Desk Tools
      Image is the service desk tools.

      Step 1.2:Review service support best practices

      Image shows the steps in phase 1. Highlight is on step 1.2.

      This step will walk you through the following activities:

      1. 1.2.1 Identify roles and responsibilities in your organization
      2. 1.2.2 Map out the current and target structure of the service desk

      This step involves the following participants:

      • Project Sponsor
      • IT Director, CIO
      • IT Managers and Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Identifying who is accountable for different support practices in the service desk will allow workload to be distributed effectively between functional teams and individuals. Closing the gaps in responsibilities will enable the execution of a shift-left strategy.

      Deliverables

      • Roles & responsibilities guide
      • Service desk structure

      Everyone in IT contributes to the success of service support

      Regardless of the service desk structure chosen to meet an organization’s service support requirements, IT staff should not doubt the role they play in service support.

      If you try to standardize service desk processes without engaging specialists in other parts of the IT organization, you will fail. Everyone in IT has a role to play in providing service support and meeting service-level agreements.

      Service Support Engagement Plan

      • Identify who is accountable for different service support processes.
      • Outline the different responsibilities of service desk agents at tier 1, tier 2, and tier 3 in meeting service-level agreements for service support.
      • Draft operational-level agreements between specialty groups and the service desk to improve accountability.
      • Configure the service desk tool to ensure ticket visibility and ownership across queues.
      • Engage tier 2 and tier 3 resources in building workflows for incident management, request fulfilment, and writing knowledgebase articles.
      • Emphasize the benefits of cooperation across IT silos:
        • Better customer service and end-user satisfaction.
        • Shorter time to resolve incidents and implement requests.
        • A higher tier 1 resolution rate, more efficient escalations, and fewer interruptions from project work.

      Info-Tech Insight

      Specialists tend to distance themselves from service support as they progress through their career to focus on projects.

      However, their cooperation is critical to the success of the new service desk. Not only do they contribute to the knowledgebase, but they also handle escalations from tiers 1 and 2.

      Clear project complications by leveraging roles and responsibilities

      R

      Responsible: This person is the staff member who completes the work. Assign at least one Responsible for each task, but this could be more than one.

      A

      Accountable: This team member delegates a task and is the last person to review deliverables and/or task. Sometimes Responsible and Accountable can be the same staff. Make sure that you always assign only one Accountable for each task and not more.

      C

      Consulted: People who do not carry out the task but need to be consulted. Typically, these people are subject matter experts or stakeholders.

      I

      Informed: People who receive information about process execution and quality and need to stay informed regarding the task.

      A RACI analysis is helpful with the following:

      • Workload Balancing: Allowing responsibilities to be distributed effectively between functional teams and individuals.
      • Change Management: Ensuring key functions and processes are not overlooked during organizational changes.
      • Onboarding: New employees can identify their own roles and responsibilities.

      A RACI chart outlines which positions are Responsible, Accountable, Consulted, and Informed

      Image shows example of RACI chart

      Create a list of roles and responsibilities in your organization

      1.2.1 Create RACI matrix to define responsibilities

      1. Use the Service Desk Roles and Responsibilities Guidefor a better understanding of the roles and responsibilities of different service desk tiers.
      2. In the RACI chart, replace the top row with specific roles in your organization.
      3. Modify or expand the process tasks, as needed, in the left column.
      4. For each role, identify the responsibility values that the person brings to the service desk. Fill out each column.
      5. Document in the Service Desk SOP. Schedule a time to share the results with organization leads.
      6. Distribute the chart between all teams in your organization.

      Notes:

      • Assign one Accountable for each task.
      • Have at least one Responsible for each task.
      • Avoid generic responsibilities, such as “team meetings.”
      • Keep your RACI definitions in your documents, as they are sometimes tough to remember.

      Participants

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      What You'll Need

      • Service Desk SOP
      • Roles and Responsibilities Guide
      • Flip Chart
      • Whiteboard

      Build a single point of contact for the service desk

      Regardless of the service desk structure chosen to meet your service support requirements, end users should be in no doubt about how to access the service.

      Provide end users with:

      • A single phone number.
      • A single email address.
      • A single web portal for all incidents and requests.

      A single point of contact will ensure:

      • An agent is available to field incidents and requests.
      • Incidents and requests are prioritized according to impact and urgency.
      • Work is tracked to completion.

      This prevents ad hoc ticket channels such as shoulder grabs or direct emails, chats, or calls to a technician from interrupting work.

      A single point of contact does not mean the service desk is only accessible through one intake channel, but rather all tickets are directed to the service desk (i.e. tier 1) to be resolved or redirected appropriately.

      Image depicts 2 boxes. The smaller box labelled users and the larger box labelled Service Desk Tier 1. There are four double-sided arrows. The top is labelled email, the second is walk-in, the third is phone, the fourth is web portal.

      Directors and executives understand the importance of the service desk and believe IT can do better

      A double bar graph is depicted. The blue bars represent Effectiveness and the green bars represent Importance in terms of service desk at different seniority levels, which include frontline, manager, director, and executive.

      Source: Info-Tech, 2019 Responses (N=189 organizations)

      Service Desk Importance Scores

        No Importance: 1.0-6.9
        Limited Importance: 7.0-7.9
        Significant Importance: 8.0-8.9
        Critical Importance: 9.0-10.0

      Service Desk Effectiveness Scores

        Not in Place: N/A
        Not Effective: 0.0-4.9
        Somewhat Ineffective: 5.0-5.9
        Somewhat Effective: 6.0-6.9
        Very Effective: 7.0-10.0

      Info-Tech Research Group’s IT Management and Governance Diagnostic (MGD) program assesses the importance and effectiveness of core IT processes. Since its inception, the MGD has consistently identified the service desk as an area to leverage.

      Business stakeholders consistently rank the service desk as one of the top five most important services that IT provides

      Since 2013, Info-Tech has surveyed over 40,000 business stakeholders as part of our CIO Business Vision program.

      Business stakeholders ranked the following 12 core IT services in terms of importance:

      Learn more about the CIO Business Vision Program.
      *Note: IT Security was added to CIO Business Vision 2.0 in 2019

      Top IT Services for Business Stakeholders

      1. Network Infrastructure
      2. IT Security*
      3. Data Quality
      4. Service Desk
      5. Business Applications
      6. Devices
      7. Client-Facing Technology
      8. Analytical Capability
      9. IT Innovation Leadership
      10. Projects
      11. Work Orders
      12. IT Policies
      13. Requirements Gathering
      Source: Info-Tech Research Group, 2019 (N=224 organizations)

      Having an effective and timely service desk correlates with higher end-user satisfaction with all other IT services

      A double bar graph is depicted. The blue bar represents dissatisfied ender user, and the green bar represents satisfied end user. The bars show the average of dissatisfied and satisfied end users for service desk effectiveness and service desk timeliness.

      On average, organizations that were satisfied with service desk effectiveness rated all other IT processes 46% higher than dissatisfied end users.

      Organizations that were satisfied with service desk timeliness rated all other IT processes 37% higher than dissatisfied end users.
      “Satisfied” organizations had average scores =8.“Dissatisfied" organizations had average scores “Dissatisfied" organizations had average scores =6. Source: Info-Tech Research Group, 2019 (N=18,500+ respondents from 75 organizations)

      Standardize the service desk the Info-Tech way to get measurable results

      More than one hundred organizations engaged with Info-Tech, through advisory calls and workshops, for their service desk projects in 2016. Their goal was either to improve an existing service desk or build one from scratch.

      Organizations that estimate the business impact of each project phase help us shed light on the average measured value of the engagements.

      "The analysts are an amazing resource for this project. Their approach is very methodical, and they have the ability to fill in the big picture with detailed, actionable steps. There is a real opportunity for us to get off the treadmill and make real IT service management improvements"

      - Rod Gula, IT Director

      American Realty Advisors

      Three circles are depicted. The top circle shows the sum of measured value dollar impact which is US$1,659,493.37. The middle circle shows the average measured value dollar impact which is US$19,755.87. The bottom circle shows the average measured value time saved which is 27 days.

      Info-Tech’s approach to service desk standardization focuses on building service management essentials

      This image depicts all of the phases and steps in this blueprint.

      Info-Tech draws on the COBIT framework, which focuses on consistent delivery of IT services across the organization

      This image depicts research that can be used to improve IT processes. Service Desk is circled to demonstrate which research is being used.

      The service desk is the foundation of all other service management processes.

      The image shows how the service desk is a foundation for other service management processes.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Standardize the Service Desk – project overview

      This image shows the project overview of this blueprint.

      Info-Tech delivers: Use our tools and templates to accelerate your project to completion

      Project Summary

      Image of template.

      Service Desk Standard Operating Procedures

      Image of tool.

      Service Desk Maturity Assessment Tool

      Image of tool.

      Service Desk Implementation Roadmap

      Image of tool Incident, knowledge, and request management workflows

      Incident, knowledge, and request management workflows

      The project’s key deliverable is a service desk standard operating procedure

      Benefits of documented SOPs:

      Improved training and knowledge transfer: Routine tasks can be delegated to junior staff (freeing senior staff to work on higher priority tasks).

      IT automation, process optimization, and consistent operations: Defining, documenting, and then optimizing processes enables IT automation to be built on sound processes, so consistent positive results can be achieved.

      Compliance: Compliance audits are more manageable because the documentation is already in place.

      Transparency: Visually documented processes answer the common business question of “why does that take so long?”

      Cost savings: Work solved at first contact or with a minimal number of escalations will result in greater efficiency and more cost-effective support. This will also lead to better customer service.

      Impact of undocumented/undefined SOPs:

      Tasks will be difficult to delegate, key staff become a bottleneck, knowledge transfer is inconsistent, and there is a longer onboarding process for new staff

      IT automation built on poorly defined, unoptimized processes leads to inconsistent results.

      Documenting SOPs to prepare for an audit becomes a major time-intensive project.

      Other areas of the organization may not understand how IT operates, which can lead to confusion and unrealistic expectations.

      Support costs are highest through inefficient processes, and proactive work becomes more difficult to schedule, making the organization vulnerable to costly disruptions.

      Workshop Overview

      Image depicts workshop overview occurring over four days.

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Phase 1

      Lay Service Desk Foundations

      Step 1.1:Assess current state

      Image shows the steps in phase 1. Highlight is on step 1.1

      This step will walk you through the following activities:

      • 1.1.1 Outline service desk challenges
      • 1.1.2 Assess the service desk maturity

      This step involves the following participants:

      • Project Sponsor
      • IT Director, CIO
      • IT Managers and Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Alignment on the challenges that the service desk faces, an assessment of the current state of service desk processes and technologies, and baseline metrics against which to measure improvements.

      Deliverables

      • Service Desk Maturity Assessment

      Standardizing the service desk benefits the whole business

      The image depicts 3 circles to represent the service desk foundations.

      Embrace standardization

      • Standardization prevents wasted energy on reinventing solutions to recurring issues.
      • Standardized processes are scalable so that process maturity increases with the size of your organization.

      Increase business satisfaction

      • Improve confidence that the service desk can meet service levels.
      • Create a single point of contact for incidents and requests and escalate quickly.
      • Analyze trends to forecast and meet shifting business requirements.

      Reduce recurring issues

      • Create tickets for every task and categorize them accurately.
      • Generate reliable data to support root-cause analysis.

      Increase efficiency and lower operating costs

      • Empower end users and technicians with a targeted knowledgebase (KB).
      • Cross-train to improve service consistency.

      Case Study: The CIO of Westminster College took stock of existing processes before moving to empower the “helpless desk”

      Scott Lowe helped a small staff of eight IT professionals formalize service desk processes and increase the amount of time available for projects.

      When he joined Westminster College as CIO in 2006, the department faced several infrastructure challenges, including:

      • An unreliable network
      • Aging server replacements and no replacement plan
      • IT was the “department of no”
      • A help desk known as the “helpless desk”
      • A lack of wireless connectivity
      • Internet connection speed that was much too slow

      As the CIO investigated how to address the infrastructure challenges, he realized people cared deeply about how IT spent its time.

      The project load of IT staff increased, with new projects coming in every day.

      With a long project list, it became increasingly important to improve the transparency of project request and prioritization.

      Some weeks, staff spent 80% of their time working on projects. Other weeks, support requirements might leave only 10% for project work.

      He addressed the infrastructure challenges in part by analyzing IT’s routine processes.

      Internally, IT had inefficient support processes that reduced the amount of time they could spend on projects.

      They undertook an internal process analysis effort to identify processes that would have a return on investment if they were improved. The goal was to reduce operational support time so that project time could be increased.

      Five years later, they had a better understanding of the organization's operational support time needs and were able to shift workloads to accommodate projects without compromising support.

      Common challenges experienced by service desk teams

      Unresolved issues

      • Tickets are not created for all incidents.
      • Tickets are lost or escalated to the wrong technicians.
      • Poor data impedes root-cause analysis of incidents.

      Lost resources/accountability

      • Lack of cross-training and knowledge sharing.
      • Lack of skills coverage for critical applications and services.
      • Time is wasted troubleshooting recurring issues.
      • Reports unavailable due to lack of data and poor categorization.

      High cost to resolve

      • Tier 2/3 resolve issues that should be resolved at tier 1.
      • Tier 2/3 often interrupt projects to focus on service support.

      Poor planning

      • Lack of data for effective trend analysis leads to poor demand planning.
      • Lack of data leads to lost opportunities for templating and automation.

      Low business satisfaction

      • Users are unable to get assistance with IT services quickly.
      • Users go to their favorite technician instead of using the service desk.

      Outline the organization’s service desk challenges

      1.1.1 Brainstorm service desk challenges

      Estimated Time: 45 minutes

      A. As a group, outline the areas where you think the service desk is experiencing challenges or weaknesses. Use sticky notes or a whiteboard to separate the challenges into People, Process, and Technology so you have a wholistic view of the constraints across the department.

      B. Think about the following:

      • What have you heard from users? (e.g. slow response time)
      • What have you heard from executives? (e.g. poor communication)
      • What should you start doing? (e.g. documenting processes)
      • What should you stop doing? (e.g. work that is not being entered as tickets)

      C. Document challenges in the Service Desk Project Summary.

      Participants:

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      Assess current service desk maturity to establish a baseline and create a plan for service desk improvement

      A current-state assessment will help you build a foundation for process improvements. Current-state assessments follow a basic formula:

      1. Determine the current state of the service desk.
      2. Determine the desired state of the service desk.
      3. Build a practical path from current to desired state.
      Image depicts 2 circles and a box. The circle on the 1. left has assess current state. The circle on the right has 2. assess target state. The box has 3. build a roadmap.

      Ideally, the current-state assessment should align the delivery of IT services with organizational needs. The assessment should achieve the following goals:

      1. Identify service desk pain points.
      2. Map each pain point to business services.
      3. Assign a broad business value to the resolution of each pain point.
      4. Map each pain point to a process.

      Expert Insight

      Image of expert.

      “How do you know if you aren’t mature enough? Nothing – or everything – is recorded and tracked, customer satisfaction is low, frustration is high, and there are multiple requests and incidents that nobody ever bothers to address.”

      Rob England

      IT Consultant & Commentator

      Owner Two Hills

      Also known as The IT Skeptic

      Assess the process maturity of the service desk to determine which project phase and steps will bring the most value

      1.1.2 Measure which activity will have the greatest impact

      The Service Desk Maturity Assessmenttool helps organizations assess their service desk process maturity and focus the project on the activities that matter most.

      The tool will help guide improvement efforts and measure your progress.

      • The second tab of the tool walks through a qualitative assessment of your service desk practices. Questions will prompt you to evaluate how you are executing key activities. Select the answer in the drop-down menus that most closely aligns with your current state.
      • The third tab displays your rate of process completeness and maturity. You will receive a score for each phase, an overall score, and advice based on your performance.
      • Document the results of the efficiency assessment in the Service Desk Project Summary.

      The tool is intended for periodic use. Review your answers each year and devise initiatives to improve the process performance where you need it most.

      Where do I find the data?

      Consult:

      • Service Manager
      • Service Desk Tools
      Image is the service desk tools.

      Step 1.2:Review service support best practices

      Image shows the steps in phase 1. Highlight is on step 1.2.

      This step will walk you through the following activities:

      1. 1.2.1 Identify roles and responsibilities in your organization
      2. 1.2.2 Map out the current and target structure of the service desk

      This step involves the following participants:

      • Project Sponsor
      • IT Director, CIO
      • IT Managers and Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Identifying who is accountable for different support practices in the service desk will allow workload to be distributed effectively between functional teams and individuals. Closing the gaps in responsibilities will enable the execution of a shift-left strategy.

      Deliverables

      • Roles & responsibilities guide
      • Service desk structure

      Everyone in IT contributes to the success of service support

      Regardless of the service desk structure chosen to meet an organization’s service support requirements, IT staff should not doubt the role they play in service support.

      If you try to standardize service desk processes without engaging specialists in other parts of the IT organization, you will fail. Everyone in IT has a role to play in providing service support and meeting service-level agreements.

      Service Support Engagement Plan

      • Identify who is accountable for different service support processes.
      • Outline the different responsibilities of service desk agents at tier 1, tier 2, and tier 3 in meeting service-level agreements for service support.
      • Draft operational-level agreements between specialty groups and the service desk to improve accountability.
      • Configure the service desk tool to ensure ticket visibility and ownership across queues.
      • Engage tier 2 and tier 3 resources in building workflows for incident management, request fulfilment, and writing knowledgebase articles.
      • Emphasize the benefits of cooperation across IT silos:
        • Better customer service and end-user satisfaction.
        • Shorter time to resolve incidents and implement requests.
        • A higher tier 1 resolution rate, more efficient escalations, and fewer interruptions from project work.

      Info-Tech Insight

      Specialists tend to distance themselves from service support as they progress through their career to focus on projects.

      However, their cooperation is critical to the success of the new service desk. Not only do they contribute to the knowledgebase, but they also handle escalations from tiers 1 and 2.

      Clear project complications by leveraging roles and responsibilities

      R

      Responsible: This person is the staff member who completes the work. Assign at least one Responsible for each task, but this could be more than one.

      A

      Accountable: This team member delegates a task and is the last person to review deliverables and/or task. Sometimes Responsible and Accountable can be the same staff. Make sure that you always assign only one Accountable for each task and not more.

      C

      Consulted: People who do not carry out the task but need to be consulted. Typically, these people are subject matter experts or stakeholders.

      I

      Informed: People who receive information about process execution and quality and need to stay informed regarding the task.

      A RACI analysis is helpful with the following:

      • Workload Balancing: Allowing responsibilities to be distributed effectively between functional teams and individuals.
      • Change Management: Ensuring key functions and processes are not overlooked during organizational changes.
      • Onboarding: New employees can identify their own roles and responsibilities.

      A RACI chart outlines which positions are Responsible, Accountable, Consulted, and Informed

      Image shows example of RACI chart

      Create a list of roles and responsibilities in your organization

      1.2.1 Create RACI matrix to define responsibilities

      1. Use the Service Desk Roles and Responsibilities Guidefor a better understanding of the roles and responsibilities of different service desk tiers.
      2. In the RACI chart, replace the top row with specific roles in your organization.
      3. Modify or expand the process tasks, as needed, in the left column.
      4. For each role, identify the responsibility values that the person brings to the service desk. Fill out each column.
      5. Document in the Service Desk SOP. Schedule a time to share the results with organization leads.
      6. Distribute the chart between all teams in your organization.

      Notes:

      • Assign one Accountable for each task.
      • Have at least one Responsible for each task.
      • Avoid generic responsibilities, such as “team meetings.”
      • Keep your RACI definitions in your documents, as they are sometimes tough to remember.

      Participants

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      What You'll Need

      • Service Desk SOP
      • Roles and Responsibilities Guide
      • Flip Chart
      • Whiteboard

      Build a tiered generalist service desk to optimize costs

      A tiered generalist service desk with a first-tier resolution rate greater than 60% has the best operating cost and customer satisfaction of all competing service desk structural models.

      Image depicts a tiered generalist service desk example. It shows a flow from users to tier 1 and to tiers 2 and 3.

      The success of a tiered generalist model depends on standardized, defined processes

      Image lists the processes and benefits of a successful tiered generalist service desk.

      Define the structure of the service desk

      1.2.2 Map out the current and target structure of the service desk

      Estimated Time: 45 minutes

      Instructions:

      1. Using the model from the previous slides as a guide, discuss how closely it matches the current service desk structure.
      2. Map out a similar diagram of your existing service desk structure, intake channels, and escalation paths.
      3. Review the structure and discuss any changes that could be made to improve efficiency. Revise as needed.
      4. Document the outcome in the Service Desk Project Summary.

      Image depicts a tiered generalist service desk example. It shows a flow from users to tier 1 and to tiers 2 and 3.

      Participants

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      Use a shift-left strategy to lower service support costs, reduce time to resolve, and improve end-user satisfaction

      Shift-left strategy:

      • Shift service support tasks from specialists to generalists.
      • Implement self-service.
      • Automate incident resolution.
      Image shows the incident and service request resolution in a graph. It includes metrics of cost per ticket, average time to resolve, and end-user satisfaction.

      Work through the implications of adopting a shift-left strategy

      Overview:

      Identify process gaps that you need to fill to support the shift-left strategy and discuss how you could adopt or improve the shift-left strategy, using the discussion questions below as a guide.

      Which process gaps do you need to fill to identify ticket trends?

      • What are your most common incidents and service requests?
      • Which tickets could be resolved at tier 1?
      • Which tickets could be resolved as self-service tickets?
      • Which tickets could be automated?

      Which processes do you most need to improve to support a shift-left strategy?

      • Which incident and request processes are well documented?
      • Do you have recurring tickets that could be automated?
      • What is the state of your knowledgebase maintenance process?
      • Which articles do you most need to support tier 1 resolution?
      • What is the state of your web portal? How could it be improved to support self-service?

      Document in the Project Summary

      Step 1.3: Identify service desk metrics and reports

      Image shows the steps in phase 1. Highlight is on step 1.3.

      This step will walk you through the following activities:

      • 1.3 Create a list of required reports to identify relevant metrics

      This step involves the following participants:

      • Project Sponsor
      • IT Managers and Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Managers and analysts will have service desk metrics and reports that help set expectations and communicate service desk performance.

      Deliverables

      • A list of service desk performance metrics and reports

      Engage business unit leaders with data to appreciate needs

      Service desk reports are an opportunity to communicate the story of IT and collect stakeholder feedback. Interview business unit leaders and look for opportunities to improve IT services.

      Start with the following questions:

      • What are you hearing from your team about working with IT?
      • What are the issues that are contributing to productivity losses?
      • What are the workarounds your team does because something isn’t working?
      • Are you able to access the information you need?

      Work with business unit leaders to develop an action plan.

      Remember to communicate what you do to address stakeholder grievances.

      The service recovery paradox is a situation in which end users think more highly of IT after the organization has corrected a problem with their service compared to how they would regard the company if the service had not been faulty in the first place.

      The point is that addressing issues (and being seen to address issues) will significantly improve end-user satisfaction. Communicate that you’re listening and acting, and you should see satisfaction improve.

      Info-Tech Insight

      Presentation is everything:

      If you are presenting outside of IT, or using operational metrics to create strategic information, be prepared to:

      • Discuss trends.
      • Identify organizational and departmental impacts.
      • Assess IT costs and productivity.

      For example, “Number of incidents with ERP system has decreased by 5% after our last patch release. We are working on the next set of changes and expect the issues to continue to decrease.”

      Engage technicians to ensure they input quality data in the service desk tool

      You need better data to address problems. Communicate to the technical team what you need from them and how their efforts contribute to the usefulness of reports.

      Tickets MUST:

      • Be created for all incidents and service requests.
      • Be categorized correctly, and categories updated when the ticket is resolved.
      • Be closed after the incidents and service requests are resolved or implemented.

      Emphasize that reports are analyzed regularly and used to manage costs, improve services, and request more resources.

      Info-Tech Insight

      Service Desk Manager: Technical staff can help themselves analyze the backlog and improve service metrics if they’re looking at the right information. Ensure their service desk dashboards are helping them identify high-priority and quick-win tickets and anticipate potential SLA breaches.

      Produce service desk reports targeted to improve IT services

      Use metrics and reports to tell the story of IT.

      Metrics should be tied to business requirements and show how well IT is meeting those requirements and where obstacles exist.

      Tailor metrics and reports to specific stakeholders.

      Technicians require mostly real-time information in the form of a dashboard, providing visibility into a prioritized list of tickets for which they are responsible.

      Supervisors need tactical information to manage the team and set client expectations as well as track and meet strategic goals.

      Managers and executives need summary information that supports strategic goals. Start by looking at executive goals for the support team and then working through some of the more tactical data that will help support those goals.

      One metric doesn’t give you the whole picture

      • Don’t put too much emphasis on a single metric. At best, it will give you a distorted picture of your service desk performance. At worst, it will distort the behavior of your agents as they may adopt poor practices to meet the metric.
      • The solution is to use tension metrics: metrics that work together to give you a better sense of the state of operations.
      • Tension metrics ensure a balanced focus toward shared goals.

      Example:

      First-call resolution (FCR), end-user satisfaction, and number of tickets reopened all work together to give you a complete picture. As FCR goes up, so should end-user satisfaction, as number of tickets re-opened stays steady or declines. If the three metrics are heading in different directions, then you know you have a problem.

      Rely on internal metrics to measure and improve performance

      External metrics provide useful context, but they represent broad generalizations across different industries and organizations of different sizes. Internal metrics measured annually are more reliable.

      Internal metrics provide you with information about your actual performance. With the right continual improvement process, you can improve those metrics year over year, which is a better measure of the performance of your service desk.

      Whether a given metric is the right one for your service desk will depend on several different factors, not the least of which include:

      • The maturity of your service desk processes.
      • Your ticket volume.
      • The complexity of your tickets.
      • The degree to which your end users are comfortable with self-service.

      Info-Tech Insight

      Take external metrics with a grain of salt. Most benchmarks represent what service desks do across different industries, not what they should do. There also might be significant differences between different industries in terms of the kinds of tickets they deal with, differences which the overall average obscures.

      Use key service desk metrics to build a business case for service support improvements

      The right metrics can tell the business how hard IT works and how many resources it needs to perform:

      1. End-User Satisfactions:
        • The most important metric for measuring the perceived value of the service desk. Determine this based on a robust annual satisfaction survey of end users and transactional satisfaction surveys sent with a percentage of tickets.
      2. Ticket Volume and Cost per Ticket:
        • A key indicator of service desk efficiency, computed as the monthly operating expense divided by the average ticket volume per month.
      3. First-Contact Resolution Rate:
        • The biggest driver of end-user satisfaction. Depending on the kind of tickets you deal with, you can measure first-contact, first-tier, or first-day resolution.
      4. Average Time to Resolve (Incident) or Fulfill (Service Requests):
        • An assessment of the service desk's ability to resolve tickets effectively, measuring the time elapsed between the moment the ticket status is set to “open” and the moment it is set to “resolved.”

      Info-Tech Insight

      Metrics should be tied to business requirements. They tell the story of how well IT is meeting those requirements and help identify when obstacles get in the way. The latter can be done by pointing to discrepancies between the internal metrics you expected to reach but didn’t and external metrics you trust.

      Use service desk metrics to track progress toward strategic, operational, and tactical goals

      Image depicts a chart to show the various metrics in terms of strategic goals, tactical goals, and operational goals.

      Cost per ticket and customer satisfaction are the foundation metrics of service support

      Ultimately, everything boils down to cost containment (measured by cost per ticket) and quality of service (measured by customer satisfaction).

      Cost per ticket is a measure of the efficiency of service support:

      • A higher than average cost per ticket is not necessarily a bad thing, particularly if accompanied by higher-than-average quality levels.
      • Conversely, a low cost per ticket is not necessarily good, particularly if the low cost is achieved by sacrificing quality of service.

      Cost per ticket is the total monthly operating expense of the service desk divided by the monthly ticket volume. Operating expense includes the following components:

      • Salaries and benefits for desktop support technicians
      • Salaries and benefits for indirect personnel (team leads, supervisors, workforce schedulers, dispatchers, QA/QC personnel, trainers, and managers)
      • Technology expense (e.g. computers, software licensing fees)
      • Telecommunications expenses
      • Facilities expenses (e.g. office space, utilities, insurance)
      • Travel, training, and office supplies
      Image displays a pie chart that shows the various service desk costs.

      Create a list of required reports to identify metrics to track

      1.3.1 Start by identifying the reports you need, then identify the metrics that produce them

      1. Answer the following questions to determine the data your reports require:
        • What strategic initiatives do you need to track?
          • Example: reducing mean time to resolve, meeting SLAs
        • What operational areas need attention?
          • Example: recurring issues that need a permanent resolution
        • What kind of issues do you want to solve?
          • Example: automate tasks such as password reset or software distribution
        • What decisions or processes are held up due to lack of information?
          • Example: need to build a business case to justify infrastructure upgrades
        • How can the data be used to improve services to the business?
          • Example: recurring issues by department
      2. Document report and metrics requirements in Service Desk SOP.
      3. Provide the list to your tool administrator to create reports with auto-distribution.

      Participants

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      What You'll Need

      • Service Desk SOP
      • Flip Chart
      • Whiteboard

      Step 1.4: Review ticket handling procedures

      Image shows the steps in phase 1. Highlight is on step 1.4.

      This step will walk you through the following activities:

      • 1.4.1 Review ticket handling practices
      • 1.4.2 Identify opportunities to automate ticket creation and reduce recurring tickets

      This step involves the following participants:

      • Project Sponsor
      • IT Managers and Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Managers and analysts will have best practices for ticket handling and troubleshooting to support ITSM data quality and improve first-tier resolution.

      DELIVERABLES

      • List of ticket templates and recurring tickets
      • Ticket and Call QA Template and ticket handling best practices

      Start by reviewing the incident intake process to find opportunities for improvement

      If end users are avoiding your service desk, you may have an intake problem. Create alternative ways for users to seek help to manage the volume; keep in mind not every request is an emergency.

      Image shows the various intake channels and the recommendation.

      Identify opportunities for improvement in your ticket channels

      The two most efficient intake channels should be encouraged for the majority of tickets.

      • Build a self-service portal.
        • Do users know where to find the portal?
        • How many tickets are created through the portal?
        • Is the interface easy to use?
      • Deal efficiently with email.
        • How quickly are messages picked up?
        • Are they manually transferred to a ticket or does the service desk tool automatically create a ticket?

      The two most traditional and fastest methods to get help must deal with emergencies and escalation effectively.

      • Phone should be the fastest way to get help for emergencies.
        • Are enough agents answering calls?
        • Are voicemails picked up on time?
        • Are the automated call routing prompts clear and concise?
      • Are walk-ins permitted and formalized?
        • Do you always have someone at the desk?
        • Is your equipment secure?
        • Are walk-ins common because no one picks up the phone or is the traffic as you’d expect?

      Ensure technicians create tickets for all incidents and requests

      Why Collect Ticket Data?

      If many tickets are missing, help service support staff understand the need to collect the data. Reports will be inaccurate and meaningless if quality data isn’t entered into the ticketing system.

      Image shows example of ticket data

      Set ticket handling expectations to drive a consistent process

      Set expectations:

      • Create and update tickets, but not at the expense of good customer service. Agents can start the ticket but shouldn’t spend five minutes creating the ticket when they should be troubleshooting the problem.
      • Update the ticket when the issue is resolved or needs to be escalated. If agents are escalating, they should make sure all relevant information is passed along to the next technician.
      • Update user of ETA if issue cannot be resolved quickly.
      • Ticket templates for common incidents can lead to fast creation, data input, and categorizations. Templates can reduce the time it takes to create tickets from two minutes to 30 seconds.
      • Update categories to reflect the actual issue and resolution.
      • Reference or link to the knowledgebase article as the documented steps taken to resolve the incident.
      • Validate incident is resolved with client; automate this process with ticket closure after a certain time.
      • Close or resolve the ticket on time.

      Use the Ticket and Call Quality Assessment Tool to improve the quality of service desk data

      Build a process to check-in on ticket and call quality monthly

      Better data leads to better decisions. Use the Ticket and Call Quality Assessment Toolto check-in on the ticket and call quality monthly for each technician and improve service desk data quality.

      1. Fill tab 1 with technician’s name.
      2. Use either tab 2 (auto-scoring) or tab 3 (manual scoring) to score the agent. The assessment includes ticket evaluation, call evaluation, and overall metric.
      3. Record the results of each review in the score summary of tab 1.
      Image shows tool.

      Use ticket templates to make ticket creation, updating, and resolution more efficient

      A screenshot of the Ticket and Call Quality Assessment Tool

      Implement measures to improve ticket handling and identify ticket template candidates

      1.4.1 Identify opportunities to automate ticket creation

      1. Poll the team and discuss.
        • How many members of the team are not creating tickets? Why?
        • How can we address those barriers?
        • What are the expectations of management?
      2. Brainstorm five to ten good candidates for ticket templates.
        • What data can auto-fill?
        • What will help process the ticket faster?
        • What automations can we build to ensure a fast, consistent service?
        • Note:
          • Ticket template name
          • Information that will auto-fill from AD and other applications
          • Categories and resolution codes
          • Automated routing and email responses
      3. Document ticket template candidates in the Service Desk Roadmap to capture the actions.

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You'll Needs

      • Flip Chart
      • Whiteboard

      Phase 2

      Design Incident Management Processes

      Step 2.1: Build incident management workflows

      Image shows the steps in phase 2. Highlight is on step 2.1.

      This step will walk you through the following activities:

      • 2.1.1 Review incident management challenges
      • 2.1.2 Define the incident management workflow
      • 2.1.3 Define the critical incident management workflow
      • 2.1.4 Design critical incident communication plan

      This step involves the following participants:

      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Workflows for incident management and critical incident management will improve the consistency and quality of service delivery and prepare the service desk to negotiate reliable service levels with the organization.

      DELIVERABLES

      • Incident management workflows
      • Critical incident management workflows
      • Critical incident communication plan

      Communicate the great incident resolution work that you do to improve end-user satisfaction

      End users think more highly of IT after the organization has corrected a problem with their service than they would have had the service not been faulty in the first place.

      Image displays a graph to show the service recovery paradox

      Info-Tech Insight

      Use the service recovery paradox to your advantage. Address service desk challenges explicitly, develop incident management processes that get services back online quickly, and communicate the changes.

      If you show that the service desk recovered well from the challenges end users raised, you will get greater loyalty from them.

      Assign incident roles and responsibilities to promote accountability

      The role of an incident coordinator or manager can be assigned to anyone inside the service desk that has a strong knowledge of incident resolution, attention to detail, and knows how to herd cats.

      In organizations with high ticket volumes, a separate role may be necessary.

      Everyone must recognize that incident management is a cross-IT organization process and it does not have to be a unique service desk process.

      An incident coordinator is responsible for:

      • Improving incident management processes.
      • Tracking metrics and producing reports.
      • Developing and maintaining the incident management system.
      • Developing and maintaining critical incident processes.
      • Ensuring the service support team follows the incident management process.
      • Gathering post-mortem information from the various technical resources on root cause for critical or severity 1 incidents.

      The Director of IT Services invested in incident management to improve responsiveness and set end-user expectations

      Practitioner Insight

      Ben Rodrigues developed a progressive plan to create a responsive, service-oriented culture for the service support organization.

      "When I joined the organization, there wasn’t a service desk. People just phoned, emailed, maybe left [sticky] notes for who they thought in IT would resolve it. There wasn’t a lot of investment in developing clear processes. It was ‘Let’s call somebody in IT.’

      I set up the service desk to clarify what we would do for end users and to establish some SLAs.

      I didn’t commit to service levels right away. I needed to see how many resources and what skill sets I would need. I started by drafting some SLA targets and plugging them into our tracking application. I then monitored how we did on certain things and established if we needed other skill sets. Then I communicated those SOPs to the business, so that ‘if you have an issue, this is where you go, and this is how you do it,’ and then shared those KPIs with them.

      I had monthly meetings with different function heads to say, ‘this is what I see your guys calling me about,’ and we worked on something together to make some of the pain disappear."

      -Ben Rodrigues

      Director, IT Services

      Gamma Dynacare

      Sketch out incident management challenges to focus improvements

      Common Incident Management Challenges

      End Users

      • No faith in the service desk beyond speaking with their favorite technician.
      • No expectations for response or resolution time.
      • Non-IT staff are disrupted as people ask their colleagues for IT advice.

      Technicians

      • No one manages and escalates incidents.
      • Incidents are unnecessarily urgent and more likely to have a greater impact.
      • Agents are flooded with requests to do routine tasks during desk visits.
      • Specialist support staff are subject to constant interruptions.
      • Tickets are lost, incomplete, or escalated incorrectly.
      • Incidents are resolved from scratch rather than referring to existing solutions.

      Managers

      • Tickets are incomplete or lack historical information to address complaints.
      • Tickets in system don’t match the perceived workload.
      • Unable to gather data for budgeting or business analysis.

      Info-Tech Insight

      Consistent incident management processes will improve end-user satisfaction with all other IT services.

      However, be prepared to overcome these common obstacles as you put the process in place, including:

      • Absence of management or staff commitment.
      • Lack of clarity on organizational needs.
      • Outdated work practices.
      • Poorly defined service desk goals and responsibilities.
      • Lack of a reliable knowledgebase.
      • Inadequate training.
      • Resistance to change.

      Prepare to implement or improve incident management

      2.1.1 Review incident management challenges and metrics

      1. Review your incident management challenges and the benefits of addressing them.
      2. Review the level of service you are providing with the current resources. Define clear goals and deliverables for the improvement initiative.
      3. Decide how the incident management process will interface with the service desk. Who will take on the responsibility for resolving incidents? Specifically, who will:
        • Log incidents.
        • Perform initial incident troubleshooting.
        • Own and monitor tickets.
        • Communicate with end users.
        • Update records with the resolution.
        • Close incidents.
        • Implement next steps (e.g. initiate problem management).
      4. Document recommendations and the incident management process requirements in the Service Desk SOP.

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You’ll Need

      • Service Desk SOP
      • Flip Chart
      • Whiteboard

      Distinguish between different kinds of tickets for better SLAs

      Different ticket types are associated with radically different prioritization, routing, and service levels. For instance, most incidents are resolved within a business day, but requests take longer to implement.

      If you fail to distinguish between ticket types, your metrics will obscure service desk performance.

      Common Service Desk Tickets

      • Incidents
        • An unanticipated interruption of a service.
          • The goal of incident management is to restore the service as soon as possible, even if the resolution involves a workaround.
      • Problems
        • The root cause of several incidents.
          • The goal of problem management is to detect the root cause and provide long-term resolution and prevention.
      • Requests
        • A generic description for small changes or service access
          • Requests are small, frequent, and low risk. They are best handled by a process distinct from incident, change, and project management.
      • Changes
        • Modification or removal of anything that could influence IT services.
          • The scope includes significant changes to architectures, processes, tools, metrics, and documentation.

      Info-Tech Insight

      Organizations sometimes mistakenly classify small projects as service requests, which can compromise your data, resulting in a negative impact to the perceived value of the service desk.

      Separate incidents and service requests for increased customer service and better-defined SLAs

      Defining the differences between service requests and incidents is not just for reporting purposes. It also has a major impact on how service is delivered.

      Incidents are unexpected disruptions to normal business processes and require attempts to restore services as soon as possible (e.g. the printer is not working).

      Service requests are tasks that don’t involve something that is broken or has an immediate impact on services. They do not require immediate resolution and can typically be scheduled (e.g. new software).

      Image shows a chart on incidents and service requests.

      Focus on the big picture first to capture and streamline how your organization resolves incidents

      Image displays a flow chart to show how to organize resolving incidents.

      Document your incident management workflow to identify opportunities for improvement

      Image shows a flow cart on how to organize incident management.

      Workflow should include:

      • Ticket creation and closure
      • Triage
      • Troubleshooting
      • Escalations
      • Communications
      • Change management
      • Documentation
      • Vendor escalations

      Notes:

      • Notification and alerts should be used to set or reset expectations on delivery or resolution
      • Identify all the steps where a customer is informed and ensure we are not over or under communicating

      Collaborate to define each step of the incident management workflow

      2.1.2 Define the incident management workflow

      Estimated Time: 60 minutes

      Option 1: Whiteboard

      1. Discuss the workflow and draw it on the whiteboard.
      2. Assess whether you are using the best workflow. Modify it if necessary.
      3. Engage the team in refining the process workflow.
      4. Transfer data to Visio and add to the SOP.

      Option 2: Tabletop Exercise

      1. Distribute index cards to each member of the team.
      2. Have each person write a single task they perform on the index card. Be granular. Include the title or the name of the person responsible.
      3. Mark cards that are decision points. Use a card of a different color or use a marker to make a colored dot.
      4. Arrange the index cards in order, removing duplicates.
      5. Assess whether you are using the best workflow. Engage the team to refine it if necessary.
      6. Transfer data to Visio and add to the Service Desk SOP.

      Participants

      • Service Manager
      • Service Desk Support
      • Applications or Infrastructure Support

      What You’ll Need

      • Flip Chart Paper
      • Sticky Notes
      • Pens
      • Service Desk SOP
      • Project Summary

      Formalize the process for critical incident management to reduce organizational impact

      Discuss these elements to see how the organization will handle them.

      • Communication plan:
        • Who communicates with end users?
        • Who communicates with the executive team?
      • It’s important to separate the role of the technician trying to solve a problem with the need to communicate progress.
      • Change management:
      • Define a separate process for regular and emergency change management to ensure changes are timely and appropriate.
      • Business continuity plan:
      • Identify criteria to decide when a business continuity plan (BCP) must be implemented during a critical incident to minimize the business impact of the incident.
      • Post-mortems:
      • Formalize the process of discussing and documenting lessons learned, understanding outstanding issues, and addressing the root cause of incidents.
      • Source of incident notification:
      • Does the process change if users notify the service desk of an issue or if the systems management tools alert technicians?

      Critical incidents are high-impact, high-urgency events that put the effectiveness and timeliness of the service desk center stage.

      Build a workflow that focuses on quickly bringing together the right people to resolve the incident and reduces the chances of recurrence.

      Document your critical incident management workflow to identify opportunities for improvement

      Image shows a flow cart on how to organize critical incident management.

      Workflow should include:

      • Ticket creation and closure
      • Triage
      • Troubleshooting
      • Escalations
      • Communications plan
      • Change management
      • Disaster recovery or business continuity plan
      • Documentation
      • Vendor escalations
      • Post-mortem

      Collaborate to define each step of the critical incident management workflow

      2.1.3 Define the critical incident management workflow

      Estimated Time: 60 minutes

      Option 1: Whiteboard

      1. Discuss the workflow and draw it on the whiteboard.
      2. Assess whether you are using the best workflow. Modify it if necessary.
      3. Engage the team in refining the process workflow.
      4. Transfer data to Visio and add to the SOP.

      Option 2: Tabletop Exercise

      1. Distribute index cards to each member of the team.
      2. Have each person write a single task they perform on the index card. Be granular. Include the title or the name of the person responsible.
      3. Mark cards that are decision points. Use a card of a different color or use a marker to make a colored dot.
      4. Arrange the index cards in order, removing duplicates.
      5. Assess whether you are using the best workflow. Engage the team to refine it if necessary.
      6. Transfer data to Visio and add to the Service Desk SOP.

      Participants

      • Service Manager
      • Service Desk Support
      • Applications or Infrastructure Support

      What You’ll Need

      • Flip Chart Paper
      • Sticky Notes
      • Pens
      • Service Desk SOP

      Establish a critical incident management communication plan

      When it comes to communicating during major incidents, it’s important to get the information just right. Users don’t want too little, they don’t want too much, they just want what’s relevant to them, and they want that information at the right time.

      As an IT professional, you may not have a background in communications, but it becomes an important part of your job. Broad guidelines for good communication during a critical incident are:

      1. Communicate as broadly as the impact of your incident requires.
      2. Communicate as much detail as a specific audience requires, but no more than necessary.
      3. Communicate as far ahead of impact as possible.

      Why does communication matter?

      Sending the wrong message, at the wrong time, to the wrong stakeholders, can result in:

      • Drop in customer satisfaction.
      • Wasted time and resources from multiple customers contacting you with the same issue.
      • Dissatisfied executives kept in the dark.
      • Increased resolution time if the relevant providers and IT staff are not informed soon enough to help.

      Info-Tech Insight

      End users understand that sometimes things break. What’s important to them is that (1) you don’t repeatedly have the same problem, (2) you keep them informed, and (3) you give them enough notice when their systems will be impacted and when service will be returned.

      Automate communication to save time and deliver consistent messaging to the right stakeholders

      In the middle of resolving a critical incident, the last thing you have time for is worrying about crafting a good message. Create a series of templates to save time by providing automated, tailored messages for each stage of the process that can be quickly altered and sent out to the right stakeholders.

      Once templates are in place, when the incident occurs, it’s simply a matter of:

      1. Choosing the relevant template.
      2. Updating recipients and messaging if necessary.
      3. Adding specific, relevant data and fields.
      4. Sending the message.

      When to communicate?

      Tell users the information they need to know when they need to know it. If a user is directly impacted, tell them that. If the incident does not directly affect the user, the communication may lead to decreased customer satisfaction or failure to pay attention to future relevant messaging.

      What to say?

      • Keep messaging short and to the point.
      • Only say what you know for sure.
      • Provide only the details the audience needs to know to take any necessary action or steps on their side and no more. There’s no need to provide details on the reason for the failure before it’s resolved, though this can be done after resolution and restoration of service.

      You’ll need distinct messages for distinct audiences. For example:

      • To incident resolvers: “Servers X through Y in ABC Location are failing intermittently. Please test the servers and all the connections to determine the exact cause so we can take corrective action ASAP.”
      • To the IT department head: “Servers X through Y in ABC Location are failing intermittently. We are beginning tests. We will let you know when we have determined the exact cause and can give you an estimated completion time.”
      • To executives: “We’re having an issue with some servers at ABC Location. We are testing to determine the cause and will let you know the estimated completion time as soon as possible.”
      • To end users: “We are experience some service issues. We are working on a resolution diligently and will restore service as soon as possible.”

      Map out who will need to be contacted in the event of a critical incident

      2.1.4 Design the critical incident communication plan

      • Identify critical incidents that require communication.
      • Identify stakeholders who will need to be informed about each incident.
      • For each audience, determine:
        1. Frequency of communication
        2. Content of communication
      Use the sample template to the right as an example.

      Some questions to assist you:

      • Whose work will be interrupted, either by their services going down or by their workers having to drop everything to solve the incident?
      • What would happen if we didn’t notify this person?
      • What level of detail do they need?
      • How often would they want to be updated?
      Document outcomes in the Service Desk SOP. Image shows template of unplanned service outage.

      Measure and improve customer satisfaction with the use of relationship and transactional surveys

      Customer experience programs with a combination of relationship and transactional surveys tend to be more effective. Merging the two will give a wholistic picture of the customer experience.

      Relationship Surveys

      Relationship surveys focus on obtaining feedback on the overall customer experience.

      • Inform how well you are doing or where you need improvement in the broad services provided.
      • Provide a high-level perspective on the relationship between the business and IT.
      • Help with strategic improvement decisions.
      • Should be sent over a duration of time and to the entire customer base after they’ve had time to experience all the services provided by the service desk. This can be done as frequently as per quarter or on a yearly basis.
      • E.g. An annual satisfaction survey such as Info-Tech’s End User Satisfaction Diagnostic.

      Transactional Surveys

      Transactional surveys are tied to a specific interaction or transaction your end users have with a specific product or service.

      • Help with tactical improvement decisions.
      • Questions should point to a specific interaction.
      • Usually only a few questions that are quick and easy to complete following the transaction.
      • Since transactional surveys allow you to improve individual relationships, they should be sent shortly after the interaction with the service desk has occurred.
      • E.g. How satisfied are you with the way your ticket was resolved?

      Add transactional end-user surveys at ticket close to escalate unsatisfactory results

      A simple quantitative survey at the closing of a ticket can inform the service desk manager of any issues that were not resolved to the end user’s satisfaction. Take advantage of workflows to escalate poor results immediately for quick follow-up.

      Image shows example of survey question with rating.

      If a more complex survey is required, you may wish to include some of these questions:

      Please rate your overall satisfaction with the way your issue was handled (1=unsatisfactory, 5=fantastic)

      • The professionalism of the analyst.
      • The technical skills or knowledge of the analyst.
      • The timeliness of the service provided.
      • The overall service experience.

      Add an open-ended, qualitative question to put the number in context, and solicit critical feedback:

      What could the service desk have done to improve your experience?

      Define a process to respond to both negative and positive feedback

      Successful customer satisfaction programs respond effectively to both positive and negative outcomes. Late or lack of responses to negative comments may increase customer frustration, while not responding at all to the positive comments may give the perception of indifference. If customers are taking the time to fill out the survey, good or bad, they should be followed up with

      Take these steps to handle survey feedback:

      1. Assign resources to receive, read, and track responses. The entire team doesn’t need to receive every response, while a single resource may not have capacity to respond in a timely manner. Decide what makes the most sense in your environment.
      2. Respond to negative feedback: It may not be possible to respond to every customer that fills out a survey. Set guidelines for responding to negative surveys with no details on the issue; don’t spend time guessing why they were upset, simply ask the user why they were unsatisfied. The critical piece of taking advantage of the service recovery paradox is in the follow-up to the customer.
      3. Investigate and improve: Make sure you investigate the issue to ensure that it is a justified complaint or whether the issue is a symptom of another issue’s root cause. Identify remediation steps to ensure the issue does not repeat itself, and then communicate to the customer the action you have taken to improve.
      4. Act on positive feedback as well: If it’s easy for customers to provide feedback, then make room in your process for handling the positive results. Appreciate the time and effort your customers take to give kudos and use it as a tool to build a long-term relationship with that user. Saying thank you goes a long way and when customers know their time matters, they will be encouraged to fill out those surveys. This is also a good way to show what a great job the service desk team did with the interaction.

      Analyze survey feedback month over month to complement and justify metric results already in place

      When you combine the tracking and analysis of relationship and transactional survey data you will be able to dive into specific issues, identify trends and patterns, assess impact to users, and build a plan to make improvements.

      Once the survey data is centralized, categorized, and available you can start to focus on metrics. At a minimum, for transactional surveys, consider tracking:

      • Breakdown of satisfaction scores with trends over time
      • Unsatisfactory surveys that are related to incidents and service requests
      • Total surveys that have been actioned vs pending

      For relationship surveys, consider tracking:

      • Satisfaction scores by department and seniority level
      • Satisfaction with IT services, applications, and communication
      • Satisfaction with IT’s business enablement

      Scores of overall satisfaction with IT

      Image Source: Info-Tech End User Satisfaction Report

      Prioritize company-wide improvement initiatives by those that have the biggest impact to the entire customer base first and then communicate the plan to the organization using a variety of communication channels that will draw your customers in, e.g. dashboards, newsletters, email alerts.

      Info-Tech Insight

      Consider automating or using your ITSM notification system as a direct communication method to inform the service desk manager of negative survey results.

      Step 2.2: Design ticket categorization

      Image shows the steps in phase 2. Highlight is on step 2.2

      This step will walk you through the following activities:

      • 2.2.1 Assess ticket categorization
      • 2.2.2 Enhance ticket categories with resolution and status codes

      This step involves the following participants:

      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      The reviewed ticket categorization scheme will be easier to use and deploy more consistently, which will improve the categorization of data and the reliability of reports.

      DELIVERABLES

      • Optimized ticket categorization

      Design a ticket classification scheme to produce useful reports

      Reliable reports depend on an effective categorization scheme.

      Too many options cause confusion; too few options provide little value. As you build the classification scheme over the next few slides, let call routing and reporting requirements be your guide.

      Effective classification schemes are concise, easy to use correctly, and easy to maintain.

      Image shows example of a ticket classification scheme.

      Keep these guidelines in mind:

      • A good categorization scheme is exhaustive and mutually exclusive: there’s a place for every ticket and every ticket fits in only one place.
      • As you build your classification scheme, ensure the categories describe the actual asset or service involved based on final resolution, not how it was reported initially.
      • Pre-populate ticket templates with relevant categories to dramatically improve reporting and routing accuracy.
      • Use a tiered system to make the categories easier to navigate. Three tiers with 6-8 categories per tier provides up to 512 sub-categories, which should be enough for the most ambitious team.
      • Track only what you will use for reporting purposes. If you don’t need a report on individual kinds of laptops, don’t create a category beyond “laptops.”
      • Avoid “miscellaneous” categories. A large portion of your tickets will eventually end up there.

      Info-Tech Insight

      Don’t do it alone! Collaborate with managers in the specialized IT groups responsible for root-cause analysis to develop a categorization scheme that makes sense for them.

      The first approach to categorization breaks down the IT portfolio into asset types

      WHY SHOULD I START WITH ASSETS?

      Start with asset types if asset management and configuration management processes figure prominently in your practice or on your service management implementation roadmap.

      Image displays example of asset types and how to categorize them.

      Building the Categories

      Ask these questions:

      • Type: What kind of asset am I working on?
      • Category: What general asset group am I working on?
      • Subcategory: What particular asset am I working on?

      Need to make quick progress? Use Info-Tech Research Group’s Service Desk Ticket Categorization Schemes template.

      Info-Tech Insight

      Think about how you will use the data to determine which components need to be included in reports. If components won’t be used for reporting, routing, or warranty, reporting down to the component level adds little value.

      The second approach to categorization breaks down the IT portfolio into types of services

      WHY SHOULD I START WITH SERVICES?

      Start with asset services if service management generally figures prominently in your practice, especially service catalog management.

      Image displays example of service types and how to categorize them.

      Building the Categories

      Ask these questions:

      • Type: What kind of service am I working on?
      • Category: What general service group am I working on?
      • Subcategory: What particular service am I working on?

      Need to make quick progress? Use Info-Tech Research Group’s Service Desk Ticket Categorization Schemes template.

      Info-Tech Insight

      Remember, ticket categories are not your only source of reports. Enhance the classification scheme with resolution and status codes for more granular reporting.

      Improve the categorization scheme to enhance routing and reporting

      2.2.1 Assess whether the service desk can improve its ticket categorization

      1. As a group, review existing categories, looking for duplicates and designations that won’t affect ticket routing. Reconcile duplicates and remove non-essential categories.
      2. As a group, re-do the categories, ensuring that the new categorization scheme will meet the reporting requirements outlined earlier.
        • Are categories exhaustive and mutually exclusive?
        • Is the tier simple and easy to use (i.e. 3 tiers x 8 categories)?
      3. Test against recent tickets to ensure you have the right categories.
      4. Record the ticket categorization scheme in the Service Desk Ticket Categorization Schemes template.

      A screenshot of the Service Desk Ticket Categorization Schemes template.

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You’ll Need

      • Flip Chart
      • Whiteboard
      • Service Desk Ticket Categorization Scheme

      Enhance the classification scheme with resolution and status codes for more granular reporting

      Resolution codes differ from detailed resolution notes.

      • A resolution code is a field within the ticketing system that should be updated at ticket close to categorize the primary way the ticket was resolved.
      • This is important for reporting purposes as it adds another level to the categorization scheme and can help you identify knowledgebase article candidates, training needs, or problems.

      Ticket statuses are a helpful field for both IT and end users to identify the current status of the ticket and to initiate workflows.

      • The most common statuses are open, pending/in progress, resolved, and closed (note the difference between resolved and closed).
      • Waiting on user or waiting on vendor are also helpful statuses to stop the clock when awaiting further information or input.

      Common Examples:

      Resolution Codes

      • How to/training
      • Configuration change
      • Upgrade
      • Installation
      • Data import/export/change
      • Information/research
      • Reboot

      Status Fields

      • Declined
      • Open
      • Closed
      • Waiting on user
      • Waiting on vendor
      • Reopened by user

      Identify and document resolution and status codes

      2.2.2 Enhance ticket categories with resolution codes

      Discuss:

      • How can we use resolution information to enhance reporting?
      • Are current status fields telling the right story?
      • Are there other requirements like project linking?

      Draft:

      1. Write out proposed resolution codes and status fields and critically assess their value.
      2. Resolutions can be further broken down by incident and service request if desired.
      3. Test resolution codes against a few recent tickets.
      4. Record the ticket categorization scheme in the Service Desk SOP.

      Participants

      • CIO
      • Service Desk Manager
      • Service Desk Technician(s)

      What You’ll Need

      • Whiteboard or Flip Chart
      • Markers

      Step 2.3: Design incident escalation and prioritization

      Image shows the steps in phase 2. Highlight is on step 2.3.

      This step will walk you through the following activities:

      • 2.3.1 Build a small number of rules to facilitate prioritization
      • 2.3.2 Define escalation rules
      • 2.3.3 Define automated escalations
      • 2.3.4 Provide guidance to each tier around escalation steps and times

      This step involves the following participants:

      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      The reviewed ticket escalation and prioritization will streamline queue management, improve the quality of escalations, and ensure agents work on the right tickets at the right time.

      DELIVERABLES

      • Optimized ticket prioritization scheme
      • Guidelines for ticket escalations
      • List of automatic escalations

      Build a ticket prioritization matrix to make escalation assessment less subjective

      Most IT leaders agree that prioritization is one of the most difficult aspects of IT in general. Set priorities based on business needs first.

      Mission-critical systems or problems that affect many people should always come first (i.e. Severity Level 1).

      The bulk of reported problems, however, are often individual problems with desktop PCs (i.e. Severity Level 3 or 4).

      Some questions to consider when deciding on problem severity include:

      • How is productivity affected?
      • How many users are affected?
      • How many systems are affected?
      • How critical are the affected systems to the organization?

      Decide how many severity levels the organization needs the service desk to have. Four levels of severity are ideal for most organizations.

      Image shows example ticket prioritization matrix

      Collect the ticket prioritization scheme in one diagram to ensure service support aligns to business requirements

      Image shows example ticket prioritization matrix

      Prioritize incidents based on severity and urgency to foreground critical issues

      2.3.1 Build a clearly defined priority scheme

      Estimated Time: 60 minutes

      1. Decide how many levels of severity are appropriate for your organization.
      2. Build a prioritization matrix, breaking down priority levels by impact and urgency.
      3. Build out the definitions of impact and urgency to complete the prioritization matrix.
      4. Run through examples of each priority level to make sure everyone is on the same page.

      Image shows example ticket prioritization matrix

      Document in the SOP

      Participants

      • Service Managers
      • Service Desk Support
      • Applications or Infrastructure Support

      What You'll Need

      • Flip Chart Paper
      • Sticky Notes
      • Pens
      • Service Desk SOP

      Example of outcome from 2.3.1

      Define response and resolution targets for each priority level to establish service-level objectives for service support

      Image shows example of response and resolution targets.

      Build clear rules to help agents determine when to escalate

      2.3.2 Assign response, resolution, and escalation times to each priority level

      Estimated Time: 60 minutes

      Instructions:

      For each incident priority level, define the associated:

      1. Response time – time from when incident record is created to the time the service desk acknowledges to the customer that their ticket has been received and assigned.
      2. Resolution time – time from when the incident record is created to the time that the customer has been advised that their problem has been resolved.
      3. Escalation time – maximum amount of time that a ticket should be worked on without progress before being escalated to someone else.

      Participants

      • Service Managers
      • Service Desk Support
      • Applications or Infrastructure Support

      What You'll Need

      • Flip Chart Paper
      • Sticky Notes
      • Pens

      Image shows example of response and resolution targets

      Use the table on the previous slide as a guide.

      Discuss the possible root causes for escalation issues

      WHY IS ESCALATION IMPORTANT?

      Escalation is not about admitting defeat, but about using your resources properly.

      Defining procedures for escalation reduces the amount of time the service desk spends troubleshooting before allocating the incident to a higher service tier. This reduces the mean time to resolve and increases end-user satisfaction.

      You can correlate escalation paths to ticket categories devised in step 2.2.

      Image shows example on potential root causes for escalation issues.

      Build decision rights to help agents determine when to escalate

      2.3.3 Provide guidance to each tier around escalation steps and times

      Estimated Time: 60 minutes

      Instructions

      1. For each support tier, define escalation rules for troubleshooting (steps that each tier should take before escalation).
      2. For each support tier, define maximum escalation times (maximum amount of time to work on a ticket without progress before escalating).
      Example of outcome from step 2.3.3 to determine when to escalate issues.

      Create a list of application specialists to get the escalation right the first time

      2.3.4 Define automated escalations

      Estimated Time: 60 minutes

      1. Identify applications that will require specialists for troubleshooting or access rights.
      2. Identify primary and secondary specialists for each application.
      3. Identify vendors that will receive escalations either immediately or after troubleshooting.
      4. Set up application groups in the service desk tool.
      5. Set up workflows in the service desk tool where appropriate.
      6. Document the automated escalations in the categorization scheme developed in step 2.2 and in the Service Desk Roles and Responsibilities Guide.

      A screenshot of the Service Desk Roles and Responsibilities Guide

      Participants

      • Service Managers
      • Service Desk Support
      • Applications or Infrastructure Support

      What You'll Need

      • Flip Chart Paper
      • Sticky Notes
      • Pens

      Phase 3

      Design Request Fulfilment Processes

      Step 3.1: Build request workflows

      Image shows the steps in phase 3. Highlight is on step 3.1.

      This step will walk you through the following activities:

      • 3.1.1 Distinguish between requests and small projects
      • 3.1.2 Define service requests with SLAs
      • 3.1.3 Build and critique request workflows

      This step involves the following participants:

      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      Workflows for service requests will improve the consistency and quality of service delivery and prepare the service desk to negotiate reliable service levels with the organization.

      DELIVERABLES

      • Workflows for the most common service requests
      • An estimated service level for each service request
      • Request vs. project criteria

      Standardize service requests for more efficient delivery

      Definitions:

      • An incident is an unexpected disruption to normal business processes and requires attempts to restore service as soon as possible (e.g. printer not working).
      • A service request is a request where nothing is broken or impacting a service and typically can be scheduled rather than requiring immediate resolution (e.g. new software application).
      • Service requests are repeatable, predictable, and easier to commit to SLAs.
      • By committing to SLAs, expectations can be set for users and business units for service fulfillment.
      • Workflows for service requests should be documented and reviewed to ensure consistency of fulfillment.
      • Documentation should be created for service request procedures that are complex.
      • Efficiencies can be created through automation such as with software deployment.
      • All service requests can be communicated through a self-service portal or service catalog.

      PREPARE A FUTURE SERVICE CATALOG

      Standardize requests to develop a consistent offering and prepare for a future service catalog.

      Document service requests to identify time to fulfill and approvals.

      Identify which service requests can be auto-approved and which will require a workflow to gain approval.

      Document workflows and analyze them to identify ways to improve SLAs. If any approvals are interrupting technical processes, rearrange them so that approvals happen before the technical team is involved.

      Determine support levels for each service offering and ensure your team can sustain them.

      Where it makes sense, automate delivery of services such as software deployment.

      Distinguish between service requests and small projects to ensure agents and end users follow the right process

      The distinction between service requests and small projects has two use cases, which are two sides of the same resourcing issue.

      • Service desk managers need to understand the difference to ensure the right approval process is followed. Typically, projects have more stringent intake requirements than requests do.
      • PMOs need to understand the difference to ensure the right people are doing the work and that small, frequent changes are standardized, automated, and taken out of the project list.

      What’s the difference between a service request and a small project?

      • The key differences involve resource scope, frequency, and risk.
      • Requests are likely to require fewer resources than projects, be fulfilled more often, and involve less risk.
      • Requests are typically done by tier 1 and 2 employees throughout the IT organization.
      • A request can turn into a small project if the scope of the request grows beyond the bounds of a normal request.

      Example: A mid-sized organization goes on a hiring blitz and needs to onboard 150 new employees in one quarter. Submitting and scheduling 150 requests for onboarding new employees would require much more time and resources.

      Projects are different from service requests and have different criteria

      A project, by terminology, is a temporary endeavor planned around producing a specific organizational or business outcome.

      Common Characteristics of Projects:

      • Time sensitive, temporary, one-off.
      • Uncertainty around how to create the unique thing, product, or service that is the project’s goal.
      • Non-repetitive work and sizeable enough to introduce heightened risk and complexity.
      • Strategic focus, business case-informed capital funding, and execution activities driven by a charter.
      • Introduces change to the organization.
      • Multiple stakeholders involved and cross-functional resourcing.

      Info-Tech Insight

      Projects require greater risk, effort, and resources than a service request and should be redirected to the PMO.

      Standard service requests vs. non-standard service requests: criteria to make them distinct

      • If there is no differentiation between standard and non-standard requests, those tickets can easily move into the backlog, growing it very quickly.
      • Create a process to easily identify non-standard requests when they enter the ticket queue to ensure customers are made aware of any delay of service, especially if it is a product or service currently not offered. This will give time for any approvals or technical solutioning that may need to occur.
      • Take recurring non-standard requests and make them standard. This is a good way to determine if there are any gaps in services offered and another vehicle to understand what your customers want.

      Standard Requests

      • Very common requests, delivered on an on-going basis
      • Defined process
      • Measured in hours or days
      • Uses service catalog, if it exists
      • Formalized and should already be documented
      • The time to deal with the request is defined

      Non-Standard Requests

      • Higher level complexity than standard requests
      • Cannot be fulfilled via service catalog
      • No defined process
      • Not supplied by questions that Service Request Definition (SRD) offers
      • Product or service is not currently offered, and it may need time for technical review, additional approvals, and procurement processes

      The right questions can help you distinguish between standard requests, non-standard requests, and projects

      Where do we draw the line between a standard and non-standard request and a project?

      The service desk can’t and shouldn’t distinguish between requests and projects on its own. Instead, engage stakeholders to determine where to draw the line.

      Whatever criteria you choose, define them carefully.

      Be pragmatic: there is no single best set of criteria and no single best definition for each criterion. The best criteria and definitions will be the ones that work in your organizational context.

      Common distinguishing factors and thresholds:

      Image shows table of the common distinguishing factors and thresholds.

      Distinguish between standard and non-standard service requests and projects

      3.1.1 Distinguish between service requests and projects

      1. Divide the group into two small teams.
      2. Each team will brainstorm examples of service requests and small projects.
      3. Identify factors and thresholds that distinguish between the two groups of items.
      4. Bring the two groups together and discuss the two sets of criteria.
      5. Consolidate one set of criteria that will help make the distinction between projects and service requests.
      6. Capture the table in the Service Desk SOP.

      Image shows blank template of the common distinguishing factors and thresholds.

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You'll Need

      • Service Desk SOP
      • Flip Chart
      • Whiteboard

      Distinguishing factors and thresholds

      Don’t standardize request fulfilment processes alone

      Everyone in IT contributes to the fulfilment of requests, but do they know it?

      New service desk managers sometimes try to standardize request fulfilment processes on their own only to encounter either apathy or significant resistance to change.

      Moving to a tiered generalist service desk with a service-oriented culture, a high first-tier generalist resolution rate, and collaborative T2 and T3 specialists can be a big change. It is critical to get the request workflows right.

      Don’t go it alone. Engage a core team of process champions from all service support. With executive support, the right process building exercises can help you overcome resistance to change.

      Consider running the process building activities in this project phase in a working session or a workshop setting.

      Info-Tech Insight

      If they build it, they will come. Service desk improvement is an exercise in organizational change that crosses IT disciplines. Organizations that fail to engage IT specialists from other silos often encounter resistance to change that jeopardizes the process improvements they are trying to make. Overcome resistance by highlighting how process changes will benefit different groups in IT and solicit the feedback of specialists who can affect or be affected by the changes.

      Define standard service requests with SLAs and workflows

      WHY DO I NEED WORKFLOWS?

      Move approvals out of technical IT processes to make them more efficient. Evaluate all service requests to see where auto-approvals make sense. Where approvals are required, use tools and workflows to manage the process.

      Example:

      Image is an example of SLAs and workflows.

      Approvals can be the main roadblock to fulfilling service requests

      Image is example of workflow approvals.

      Review the general standard service request and inquiry fulfillment processes

      As standard service requests should follow standard, repeatable, and predictable steps to fulfill, they can be documented with workflows.

      Image is a flow chart of service and inquiry request processes.

      Review the general standard service request and inquiry fulfillment processes

      Ensure there is a standard and predictable methodology for assessing non-standard requests; inevitably those requests may still cause delay in fulfillment.

      Create a process to ensure reasonable expectations of delivery can be set with the end user and then identify what technology requests should become part of the existing standard offerings.

      Image is a flowchart of non-standard request processes

      Document service requests to ensure consistent delivery and communicate requirements to users

      3.1.2 Define service requests with SLAs

      1. On a flip chart, list standard service requests.
      2. Identify time required to fulfill, including time to schedule resources.
      3. Identify approvals required; determine if approvals can be automated through defining roles.
      4. Discuss opportunities to reduce SLAs or automate, but recognize that this may not happen right away.
      5. Discuss plans to communicate SLAs to the business units, recognizing that some users may take a bit of time to adapt to the new SLAs.
      6. Work toward improving SLAs as new opportunities for process change occur.
      7. Document SLAs in the Service Desk SOP and update as SLAs change.
      8. Build templates in the service desk tool that encapsulate workflows and routing, SLAs, categorization, and resolution.

      Participants

      • Service Desk Managers
      • Service Desk Agents

      What You'll Need

      • Service Desk SOP
      • Flip Chart
      • Whiteboard

      Info-Tech Insight

      These should all be scheduled services. Anything that is requested as a rush needs to be marked as a higher urgency or priority to track end users who need training on the process.

      Analyze service request workflows to improve service delivery

      3.1.3 Build and critique request workflows

      1. Divide the group into small teams.
      2. Each team will choose one service request from the list created in the previous module and then draw the workflow. Include decision points and approvals.
      3. Discuss availability and technical support:
        • Can the service be fulfilled during regular business hours or 24x7?
        • Is technical support and application access available during regular business hours or 24x7?
      4. Reconvene and present workflows to the group.
      5. Document workflows in Visio and add to the Service Desk SOP. Where appropriate, enter workflows in the service desk tool.

      Critique workflows for efficiencies and effectiveness:

      • Do the workflows support the SLAs identified in the previous exercise?
      • Are the workflows efficient?
      • Is the IT staff consistently following the same workflow?
      • Are approvals appropriate? Is there too much bureaucracy or can some approvals be removed? Can they be preapproved?
      • Are approvals interrupting technical processes? If so, can they be moved?

      Participants

      • Service Desk Managers
      • Service Desk Agents

      What You'll Need

      • Service Desk SOP
      • Project Summary
      • Flip Chart
      • Whiteboard

      Step 3.2: Build a targeted knowledgebase

      Image shows the steps in phase 3. Highlight is on step 3.2.

      This step will walk you through the following activities:

      • 3.2.1 Design knowledge management processes
      • 3.2.2 Create actionable knowledgebase articles

      This step involves the following participants:

      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      The section will introduce service catalogs and get the organization to envision what self-service tools it might include.

      DELIVERABLES

      • Knowledgebase policy and process

      A knowledgebase is an essential tool in the service management toolbox

      Knowledge Management

      Gathering, analyzing, storing & sharing knowledge to reduce the need to rediscover known solutions.

      Knowledgebase

      Organized repository of IT best practices and knowledge gained from practical experiences.

      • End-User KB
      • Give end users a chance to resolve simple issues themselves without submitting a ticket.

      • Internal KB
      • Shared resource for service desk staff and managers to share and use knowledge.

      Use the knowledgebase to document:

      • Steps for pre-escalation troubleshooting.
      • Known errors.
      • Workarounds or solutions to recurring issues.
      • Solutions that require research or complex troubleshooting.
      • Incidents that have many root causes. Start with the most frequent solution and work toward less likely issues.

      Draw on organizational goals to define the knowledge transfer target state

      Image is Info-Tech’s Knowledge Transfer Maturity Model
      *Source: McLean & Company, 2013; N=120

      It’s better to start small than to have nothing at all

      Service desk teams are often overwhelmed by the idea of building and maintaining a comprehensive integrated knowledgebase that covers an extensive amount of information.

      Don’t let this idea stop you from building a knowledgebase! It takes time to build a comprehensive knowledgebase and you must start somewhere.

      Start with existing documentation or knowledge that depends on the expertise of only a few people and is easy to document and you will already see the benefits.

      Then continue to build and improve from there. Eventually, knowledge management will be a part of the culture.

      Engage the team to build a knowledgebase targeted on your most important incidents and requests

      WHERE DO I START?

      Inventory and consolidate existing documentation, then evaluate it for audience relevancy, accuracy, and usability. Use the exercise and the next slides to develop a knowledgebase template.

      Produce a plan to improve the knowledgebase.

      • Identify the current top five or ten incidents from the service desk reports and create related knowledgebase articles.
      • Evaluate for end-user self-service or technician resolution.
      • Note any resolutions that require access rights to servers.
      • Assign documentation creation tasks for the knowledgebase to individual team members each week.
      • Apply only one incident per article.
      • Set goals for each technician to submit one or two meaningful articles per month.
      • Assign a knowledge manager to monitor creation and edit and maintain the database.
      • Set policy to drive currency of the knowledgebase. See the Service Desk SOP for an example of a workable knowledge policy.

      Use a phased approach to build a knowledgebase

      Image is an example of a phased approach to build a knowledge base

      Use a quarterly, phased approach to continue to build and maintain your knowledgebase

      Continual Knowledgebase Maintenance:

      • Once a knowledgebase is in place, future articles should be written using established templates.
      • Articles should be regularly reviewed and monitored for usage. Outdated information will be retired and archived.
      • Ticket trend analysis should be done on an ongoing basis to identify new articles.
      • A proactive approach will anticipate upcoming issues based on planned upgrades and maintenance or other changes, and document resolution steps in knowledgebase articles ahead of time.

      Every Quarter:

      1. Conduct a ticket trend analysis. Identify the most important and common tickets.
      2. Review the knowledgebase to identify relevant articles that need to be revised or written.
      3. Use data from knowledge management tool to track expiring content and lesser used articles.
      4. Assign the task of writing articles to all IT staff members.
      5. Build and revise ticket templates for incident and service requests.

      Assign a knowledge manager role to ensure accountability for knowledgebase maintenance

      Assign a knowledge manager to monitor creation and edit and maintain database.

      Knowledge Manager/Owner Role:

      • Has overall responsibility for the knowledgebase.
      • Ensures content is consistent and maintains standards.
      • Regularly monitors and updates the list of issues that should be added to the knowledgebase.
      • Regularly reviews existing knowledgebase articles to ensure KB is up to date and flags content to retire or review.
      • Assigns content creation tasks.
      • Optimizes knowledgebase structure and organization.
      • See Info-Tech’s knowledge manager role description if you need a hand defining this position.

      The knowledge manager role will likely be a role assigned to an existing resource rather than a dedicated position.

      Develop a template to ensure knowledgebase articles are easy to read and write

      A screenshot of the Knowledgebase Article Template

      QUICK TIPS

      • Use non-technical language whenever possible to help less-technical readers.
      • Identify error messages and use screenshots where it makes sense.
      • Take advantage of social features like voting buttons to increase use.
      • Use Info-Tech’s Knowledge Base Article Template to get you started.

      Analyze the necessary features for your knowledgebase and compare them against existing tools

      Service desk knowledgebases range in complexity from simple FAQs to fully integrated software suites.

      Options include:

      • Article search with negative and positive filters.
      • Tagging, with the option to have keywords generate top matches.
      • Role-based permissions (to prevent unauthorized deletions).
      • Ability to turn a ticket resolution into a knowledgebase article (typically only available if knowledgebase tool is part of the service desk tool).
      • Natural language search.
      • Partitioning so relevant articles only appear for specific audiences.
      • Editorial workflow management.
      • Ability to set alerts for scheduled article review.
      • Article reporting (most viewed, was it useful?).
      • Rich text fields for attaching screenshots.

      Determine which features your organization needs and check to see if your tools have them.

      For more information on knowledgebase improvement, refer to Info-Tech’s Optimize the Service Desk With a Shift-Left Strategy.

      Document your knowledge management maintenance workflow to identify opportunities for improvement

      Workflow should include:

      • How you will identify top articles that need to be written
      • How you will ensure articles remain relevant
      • How you will assign new articles to be written, inclusive of peer review
      Image of flowchart of knowledgebase maintenance process.

      Design knowledgebase management processes

      3.2.1 Design knowledgebase management processes

      1. Assign a knowledge manager to monitor creation and edit and maintain the database. See Info-Tech’s knowledge manager role description if you need a hand defining this position.
      2. Discuss how you can use the service desk tool to integrate the knowledgebase with incident management, request fulfilment, and self-service processes.
      3. Discuss the suitability of a quarterly process to build and edit articles for a target knowledgebase that covers your most important incidents and requests.
      4. Set knowledgebase creation targets for tier 1, 2, and 3 analysts.
      5. Identify relevant performance metrics.
      6. Brainstorm elements that might be used as an incentive program to encourage the creation of knowledgebase articles and knowledge sharing more generally.
      7. Set policy to drive currency of knowledgebase. See the Service Desk SOP for an example of a workable knowledge policy.

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You’ll Need

      • Service Desk SOP
      • Flip Chart
      • Whiteboard

      Create actionable knowledgebase articles

      3.2.2 Run a knowledgebase working group

      Write and critique knowledgebase articles.

      1. On a whiteboard, build a list of potential knowledgebase articles divided by audience: Technician or End User.
      2. Each team member chooses one topic and spends 20 minutes writing.
      3. Each team member either reads the article and has the team critique or passes to the technician to the right for peer review. If there are many participants, break into smaller groups.
      4. Set a goal with the team for how, when, and how often knowledgebase articles will be created.
      5. Capture knowledgebase processes in the Service Desk SOP.

      Audience: Technician

      • Password update
      • VPN printing
      • Active directory – policy, procedures, naming conventions
      • Cell phones
      • VPN client and creation set-up

      Audience: End users

      • Set up email account
      • Password creation policy
      • Voicemail – access, change greeting, activities
      • Best practices for virus, malware, phishing attempts
      • Windows 10 tips and tricks

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You’ll Need

      • Service Desk SOP
      • Flip Chart
      • Whiteboard

      Step 3.3: Prepare for a self-service portal project

      Image shows the steps in phase 3. Highlight is on step 3.3.

      This step will walk you through the following activities:

      • 3.3.1 Develop self-service tools for the end user
      • 3.3.2 Make a plan for creating or improving the self-service portal

      This step involves the following participants:

      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      The section prepares you to tackle a self-service portal project once the service desk standardization is complete.

      DELIVERABLES

      • High-level activities to create a self-service portal

      Design the self-service portal with the users’ computer skills in mind

      A study by the OECD offers a useful reminder of one of usability’s most hard-earned lessons: you are not the user.

      • There is an important difference between IT professionals and the average user that’s even more damaging to your ability to predict what will be a good self-service tool: skills in using computers, the internet, and technology in general.
      • An international research study explored the computer skills of 215,942 people aged 16-65 in 33 countries.
      • The results show that across 33 rich countries, only 5% of the population has strong computer-related abilities and only 33% of people can complete medium-complexity computer tasks.
      • End users are skilled, they just don’t have the same level of comfort with computers as the average IT professional. Design your self-service tools with that fact in mind.
      Image is of a graph showing the ability of computer skills from age 16-65 among various countries.

      Take an incremental and iterative approach to developing your self-service portal

      Use a web portal to offer self-serve functionality or provide FAQ information to your customers to start.

      • Don’t build from scratch. Ideally, use the functionality included with your ITSM tool.
      • If your ITSM tool doesn’t have an adequate self-service portal functionality, then harness other tools that IT already uses. Common examples include Microsoft SharePoint and Google Forms.
      • Make it as easy as possible to access the portal:
        • Deploy an app to managed devices or put the app in your app store.
        • Create a shortcut on people’s start menus or home screens.
        • Print the URL on swag such as mousepads.
      • Follow Info-Tech’s approach to developing your user facing service catalog.

      Some companies use vending machines as a form of self serve. Users can enter their purchase code and “buy” a thin client, mouse, keyboard, software, USB keys, tablet, headphones, or loaners.

      Info-Tech Insight

      Building the basics first will provide your users with immediate value. Incrementally add new features to your portal.

      Optimize the portal: self-service should be faster and more convenient than the alternative

      Design the portal by demand, not supply

      Don’t build a portal framed around current offerings and capabilities just for the sake of it. Build the portal based on what your users want and need if you want them to use it.

      Make user experience a top priority

      The portal should be designed for users to self-serve, and thus self-service must be seamless, clear, and attractive to users.

      Speak your users’ language

      Keep in mind that users may not have high technical literacy or be familiar with terminology that you find commonplace. Use terms that are easy to understand.

      Appeal to both clickers and searchers

      Ensure that users can find what they’re looking for both by browsing the site and by using search functionality.

      Use one central portal for all departments

      If multiple departments (i.e. HR, Finance) use or will use a portal, set up a shared portal so that users won’t have to guess where to go to ask for help.

      You won’t know unless you test

      You will know how to navigate the portal better than anyone, but that doesn’t mean it’s intuitive for a new user. Test the portal with users to collect and incorporate feedback.

      Self-service portal examples (1/2)

      Image is of an example of the self-service portal

      Image source: Cherwell Service Management

      Self-service examples (2/2)

      Image is of an example of the self-service portal

      Image source: Team Dynamix

      Keep the end-user facing knowledgebase relevant with workflows, multi-device access, and social features

      Workflows:

      • Easily manage peer reviews and editorial and relevance review.
      • Enable links and importing between tickets and knowledgebase articles.
      • Enable articles to appear based on ticket content.

      Multi-device access:

      • Encourage users to access self-service.
      • Enable technicians to solve problems from anywhere.

      Social features:

      • Display most popular articles first to solve trending issues.
      • Enable voting to improve usability of articles.
      • Allow collaboration on self-service.

      For more information on building self-service portal, refer to Info-Tech’s Optimize the Service Desk with a Shift-Left Strategy

      Draft a high-level project plan for a self-service portal project

      3.3.1 Draft a high-level project plan for a self-service portal project

      1. Identify stakeholders who can contribute to the project.
        • Who will help with FAQ creation?
        • Who can design the self-service portal?
        • Who needs to sign off on the project?
      2. Identify the high-level tasks that need to be done.
        • How many FAQs need to be created?
        • How will we design the service catalog’s web portal?
        • What might a phased approach look like?
        • How can we break down the project into design, build, and implementation tasks?
        • What is the rough timeline for these tasks?
      3. Capture the high-level activities in the Service Desk Roadmap.

      Participants

      • Service Desk Manager
      • Service Desk Agents

      What You’ll Need

      • Flip Chart
      • Whiteboard
      • Implementation Roadmap

      Once you have a service portal, you can review the business requirements for a service catalog

      A service catalog is a communications device that lists the IT services offered by an organization. The service catalog is designed to enable the creation of a self-service portal for the end user. The portal augments the service desk so analysts can spend time managing incidents and providing technical support.

      The big value comes from workflows:

      • Improved economics and a means to measure the costs to serve over time.
      • Incentive for adoption because things work better.
      • Abstracts delivery from offer to serve so you can outsource, insource, crowdsource, slow, speed, reassign, and cover absences without involving the end user.

      There are three types of catalogs:

      • Static:Informational only, so can be a basic website.
      • Routing and workflow: Attached to service desk tool.
      • Workflow and e-commerce: Integrated with service desk tool and ERP system.
      Image is an example of service catalog

      Image courtesy of University of Victoria

      Understand the time and effort involved in building a service catalog

      A service catalog will streamline IT service delivery, but putting one together requires a significant investment. Service desk standardization comes first.

      • Workflows and back-end services must be in place before setting up a service catalog.
      • Think of the catalog as just the delivery mechanism for service you currently provide. If they aren’t running well and delivery is not consistent, you don’t want to advertise SLAs and options.
      • Service catalogs require maintenance.
      • It’s not a one-time investment – service catalogs must be kept up to date to be useful.
      • Service catalog building requires input from VIPs.
      • Architects and wordsmiths are not the only ones that spend effort on the service catalog. Leadership from IT and the business also provide input on policy and content.

      Sample Service Catalog Efforts

      • A college with 17 IT staff spent one week on a simple service catalog.
      • A law firm with 110 IT staff spent two months on a service catalog project.
      • A municipal government with 300 IT people spent over seven months and has yet to complete the project.
      • A financial organization with 2,000 IT people has spent seven months on service catalog automation alone! The whole project has taken multiple years.

      “I would say a client with 2,000 users and an IT department with a couple of hundred, then you're looking at six months before you have the catalog there.”

      – Service Catalog Implementation Specialist,

      Health Services

      Draft a high-level project plan for a self-service portal project

      3.2.2 Make a plan for creating or improving the self-service portal

      Identify stakeholders who can contribute to the project.

      • Who will help with FAQs creation?
      • Who can design the self-service portal?
      • Who needs to sign off on the project?

      Evaluate tool options.

      • Will you stick with your existing tool or invest in a new tool?

      Identify the high-level tasks that need to be done.

      • How will we design the web portal?
      • What might a phased approach look like?
      • What is the rough timeline for these tasks?
      • How many FAQs need to be created?
      • Will we have a service catalog, and what type?

      Document the plan and tasks in the Service Desk Roadmap.

      Examples of publicly posted service catalogs:

      University of Victoria is an example of a catalog that started simple and now includes multiple divisions, notifications, systems status, communications, e-commerce, incident registration, and more.

      Indiana University is a student, faculty, and staff service catalog and self-service portal that goes beyond IT services.

      If you are ready to start building a service catalog, use Info-Tech’s Design and Build a User-Facing Service Catalog blueprint to get started.

      Phase 4

      Plan the Implementation of the Service Desk

      Step 4.1: Build communication plan

      Image shows the steps in phase 4. Highlight is on step 4.1.

      This step will walk you through the following activities:

      • 4.1.1 Create the communication plan

      This step involves the following participants:

      • CIO
      • IT Director
      • IT Managers
      • Service Desk Manager(s)
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      The communication plan and project summary will help project managers outline recommendations and communicate their benefits.

      DELIVERABLES

      • Communication plan
      • Project summary

      Effectively communicate the game plan to IT to ensure the success of service desk improvements

      Communication is crucial to the integration and overall implementation of your service desk improvement.

      An effective communication plan will:

      • Gain support from management at the project proposal phase.
      • Create end-user buy-in once the program is set to launch.
      • Maintainthe presence of the program throughout the business.
      • Instill ownership throughout the business, from top-level management to new hires.

      Build a communication plan to:

      1. Communicate benefits to IT:
        • Share the standard operating procedures for training and feedback.
        • Train staff on policies as they relate to end users and ensure awareness of all policy changes.
        • As changes are implemented, continue to solicit feedback on what is and is not working and communicate adjustments as appropriate.
      2. Train technicians:
        • Make sure everyone is comfortable communicating changes to customers.
      3. Measure success:
        • Review SLAs and reports. Are you consistently meeting SLAs?
        • Is it safe to communicate with end users?

      Create your communication plan to anticipate challenges, remove obstacles, and secure buy-in

      Why:

      • What problems are you trying to solve?

      What:

      • What processes will it affect (that will affect me)?

      Who:

      • Who will be affected?
      • Who do I go to if I have issues with the new process?
      3 gears are depicted. The top gear is labelled managers with an arrow going clockwise. The middle gear is labelled technical staff with an arrow going counterclockwise. The bottom gear is labelled end users with an arrow going clockwise

      When:

      • When will this be happening?
      • When will it affect me?

      How:

      • How will these changes manifest themselves?

      Goal:

      • What is the final goal?
      • How will it benefit me?

      Create a communication plan to outline the project benefits

      Improved business satisfaction:

      • Improve confidence that the service desk can solve issues within the service-level agreement.
      • Channel incidents and requests through the service desk.
      • Escalate incidents quickly and accurately.

      Fewer recurring issues:

      • Tickets are created for every incident and categorized correctly.
      • Reports can be used for root-cause analysis.

      Increased efficiency or lower cost to serve:

      • Use FAQs to enable end users to self-solve.
      • Use knowledgebase to troubleshoot once, solve many times.
      • Cross-train to improve service consistency.

      Enhanced demand planning:

      • Trend analysis and reporting improve IT’s ability to forecast and address the demands of the business.

      Organize the information to manage the deployment of key messages

      Example of how to organize and manage key messages

      Create the communication plan

      4.1.1 Create the communication plan

      Estimated Time: 45 minutes

      Develop a stakeholder analysis.

      1. Identify everyone affected by the project.
      2. Assess their level of interest, value, and influence.
      3. Develop a communication strategy tailored to their level of engagement.

      Craft key messages tailored to each stakeholder group.

      Finalize the communication plan.

      1. Examine your roadmap and determine the most appropriate timing for communications.
      2. Assess when communications must happen with executives, business unit leaders, end users, and technicians.
      3. Identify any additional communication challenges that have come up.
      4. Identify who will send out the communications.
      5. Identify multiple methods for getting the messages out (newsletters, emails, posters, company meetings).
      6. For inspiration, you can refer to the Sample Communication Plan for the project.

      Participants

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      Step 4.2: Build implementation roadmap

      Image shows the steps in phase 4. Highlight is on step 4.2.

      This step will walk you through the following activities:

      • 4.2.1 Build implementation roadmap

      This step involves the following participants:

      • CIO
      • IT Director
      • IT Managers
      • Service Desk Manager
      • Representation from tier 2 and tier 3 specialists

      Outcomes

      The implementation plan will help track and categorize the next steps and finalize the project.

      DELIVERABLES

      • Implementation roadmap

      Collaborate to create an implementation plan

      4.2.1 Create the implementation plan

      Estimated Time: 45 minutes

      Determine the sequence of improvement initiatives that have been identified throughout the project.

      The purpose of this exercise is to define a timeline and commit to initiatives to reach your goals.

      Instructions:

      1. Review the initiatives that will be taken to improve the service desk and revise tasks, as necessary.
      2. Input each of the tasks in the data entry tab and provide a description and rationale behind the task.
      3. Assign an effort, priority, and cost level to each task (high, medium, low).
      4. Assign ownership to each task.
      5. Identify the timeline for each task based on the priority, effort, and cost (short, medium, and long term).
      6. Highlight risk for each task if it will be deferred.
      7. Track the progress of each task with the status column.

      Participants

      • CIO
      • IT Managers
      • Service Desk Manager
      • Service Desk Agents

      A screenshot of the Roadmap tool.

      Document using the Roadmap tool.

      Related Info-Tech Research

      Standardize the Service Desk

      ImplementHardware and Software Asset Management

      Optimize Change Management Incident and Problem Management Build a Continual Improvement Plan for the Service Desk

      The Standardize blueprint reviews service desk structures and metrics and builds essential processes and workflows for incident management, service request fulfillment, and knowledge management practices.

      Once the service desk is operational, there are three paths to basic ITSM maturity:

      • Having the incident management processes and workflows built allows you to:
        • Introduce Change Management to reduce change-related incidents.
        • Introduce Problem Management to reduce incident recurrence.
        • Introduce Asset Management to augment service management processes with reliable data.

      Solicit targeted department feedback on core IT service capabilities, IT communications, and business enablement. Use the results to assess the satisfaction of end users, with each service broken down by department and seniority level.

      Works cited

      “Help Desk Staffing Models: Simple Analysis Can Save You Money.” Giva, Inc., 2 Sept. 2009. Web.

      Marrone et al. “IT Service Management: A Cross-national Study of ITIL Adoption.” Communications of the Association for Information Systems: Vol. 34, Article 49. 2014. PDF.

      Rumburg, Jeff. “Metric of the Month: First Level Resolution Rate.” MetricNet, 2011. Web.

      “Service Recovery Paradox.” Wikipedia, n.d. Web.

      Tang, Xiaojun, and Yuki Todo. “A Study of Service Desk Setup in Implementing IT Service Management in Enterprises.” Technology and Investment: Vol. 4, pp. 190-196. 2013. PDF.

      “The Survey of Adult Skills (PIAAC).” Organisation for Economic Co-operation and Development (OECD), 2016. Web.

      Contributors

      • Jason Aqui, IT Director, Bellevue College
      • Kevin Sigil, IT Director, Southwest Care Centre
      • Lucas Gutierrez, Service Desk Manager, City of Santa Fe
      • Rama Dhuwaraha, CIO, University of North Texas System
      • Annelie Rugg, CIO, UCLA Humanities
      • Owen McKeith, Manager IT Infrastructure, Canpotex
      • Rod Gula, IT Director, American Realty Association
      • Rosalba Trujillo, Service Desk Manager, Northgate Markets
      • Jason Metcalfe, IT Manager, Mesalabs
      • Bradley Rodgers, IT Manager, SecureTek
      • Daun Costa, IT Manager, Pita Pit
      • Kari Petty, Service Desk Manager, Mansfield Oil
      • Denis Borka, Service Desk Manager, PennTex Midstream
      • Lateef Ashekun, IT Manager, City of Atlanta
      • Ted Zeisner, IT Manager, University of Ottawa Institut de Cardiologie

      Decide if You Are Ready for SAFe

      • Buy Link or Shortcode: {j2store}355|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
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      • Parent Category Name: Architecture & Strategy
      • Parent Category Link: /architecture-and-strategy
      • Complex application landscapes require delivery teams to work together and coordinate changes across multiple product lines and releases.
      • Leadership wants to balance strategic goals with localized prioritization of changes.
      • Traditional methodologies are not well suited to support enterprise agility: Scrum doesn’t scale easily, and Waterfall is too slow and risky.

      Our Advice

      Critical Insight

      SAFe’s popularity is largely due to its structural resemblance to enterprise portfolio and project planning with top-down prioritization and decision making. This directly conflicts with Agile’s purpose and principles of empowerment and agility.

      • Poor culture, processes, governance, and leadership will disrupt any methodology. Many drivers for SAFe could be solved by improving and standardizing development and release management within current methodologies.
      • Few organizations are capable or should be applying a pure SAFe framework. Successful organizations have adopted and modified SAFe frameworks to best fit their needs, teams, value streams, and maturity.

      Impact and Result

      • Start with a clear understanding of your needs, constraints, goals, and culture.
        • Start with an Agile readiness assessment. Agile is core to value realization.
        • Take the time to determine your drivers and goals.
        • If SAFe is right for you, selecting the right implementation partner is key.
      • Plan SAFe as a long-term enterprise cultural transformation requiring changes at all levels.

      Decide if You Are Ready for SAFe Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Decide if You Are Ready for SAFe Storyboard – Research to help you understand where SAFe fits into delivery methodologies and determine if SAFe is right for your organization.

      This deck will guide you to define your primary drivers for SAFe, assess your Agile readiness, define enablers and blockers, estimate implementation risk, and start your SAFe implementation plan.

      • Decide if You Are Ready for SAFe Storyboard

      2. Scaled Agile Readiness Assessment – A tool to conduct an Agile readiness survey.

      Start your journey with a clear understanding about the level of Agile and product maturity throughout the organization. Each area that lacks strength should be evaluated further and added to your journey map.

      • Scaled Agile Readiness Assessment

      3. SAFe Transformation Playbook – A template to build a change management plan to guide your transition.

      Define clear ownership for every critical step.

      • SAFe Transformation Playbook
      [infographic]

      Workshop: Decide if You Are Ready for SAFe

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Understand where SAFe fits into delivery methodologies and SDLCs

      The Purpose

      Understand what is driving your proposed SAFe transformation and if it is the right framework for your organization.

      Key Benefits Achieved

      Better understanding of your scaled agile needs and drivers

      Activities

      1.1 Define your primary drivers for SAFe.

      1.2 Create your own list of pros and cons of SAFe.

      Outputs

      List of primary drivers for SAFe

      List of pros and cons of SAFe

      2 Determine if you are ready for SAFe

      The Purpose

      Identify factors influencing a SAFe implementation and ensure teams are aware and prepared.

      Key Benefits Achieved

      Starting understanding of your organization’s readiness to implement a SAFe framework

      Activities

      2.1 Assess your Agile readiness.

      2.2 Define enablers and blockers of scaling Agile delivery.

      2.3 Estimate your SAFe implementation risk.

      2.4 Start your SAFe implementation plan.

      Outputs

      Agile readiness assessment results

      List of enablers and blockers of scaling Agile delivery

      Estimated SAFe implementation risk

      High-level SAFe implementation plan template

      Further reading

      Decide if You Are Ready for SAFe

      Approach the Scaled Agile Framework (SAFe) with open eyes and an open wallet.

      Analyst Perspective

      Ensure that SAFe is the right move before committing.

      Waterfall is dead. Or obsolete at the very least.

      Organizations cannot wait months or years for product, service, application, and process changes. They need to embrace business agility to respond to opportunities more quickly and deliver value sooner. Agile established values and principles that have promoted smaller cycle times, greater connections between teams, improved return on investment (ROI) prioritization, and improved team empowerment.

      Where organizations continue to struggle is matching localized Scrum teams with enterprise initiatives. This struggle is compounded by legacy executive planning cycles, which undermine Agile team authority. SAFe has provided a series of frameworks to help organizations deal with these issues. It combines enterprise planning and alignment with cross-team collaboration.

      Don't rely on popularity or marketing to make your scaled Agile decision. SAFe is a highly disruptive transformation, and it requires extensive training, coaching, process changes, and time to implement. Without the culture shift to an Agile mindset at all levels, SAFe becomes a mirror of Waterfall processes dressed in SAFe names. Furthermore, SAFe itself will not fix problems with communication, requirements, development, testing, release, support, or governance. You will still need to fix these problems within the SAFe framework to be successful.

      Hans Eckman, Principal Research Director, Applications Delivery and Management

      Hans Eckman
      Principal Research Director, Applications Delivery and Management
      Info-Tech Research Group

      Executive Summary

      Your Challenge Common Obstacles Info-Tech's Approach
      • Complex application landscapes require delivery teams to work together and coordinate changes across multiple product lines and releases.
      • Leadership wants to maintain executive strategic planning with faster delivery of changes.
      • Traditional methodologies are not well suited to support enterprise agility.
        • Waterfall is too slow, inefficient, and full of accumulated risk.
        • Scrum is not easy to scale and requires behavioral changes.
      • Enterprise transformations are never fast or easy, and SAFe is positioned as a complete replacement of your delivery practices.
      • Teams struggle with SAFe's rigid framework, interconnected methodologies, and new terms.
      • Few organizations are successful at implementing a pure SAFe framework.
      • Organizations without scaled product families have difficulties organizing SAFe teams into proper value streams.
      • Team staffing and stability are hard to resolve.
      Start with a clear understanding of your needs, constraints, goals, and culture.
      • Developing an Agile mindset is core to value realization. Start with Info-Tech's Agile Readiness Assessment.
      • Take the time to identify your drivers and goals.
      • If SAFe is right for you, build a transformation plan and select the right implementation partner.
      Plan SAFe as a long-term enterprise cultural transformation, requiring changes at all levels.

      Info-Tech Insight
      SAFe is a highly disruptive enterprise transformation, and it won't solve your organizational delivery challenges by itself. Start with an open mind, and understand what is needed to support a multi-year cultural transition. Decide how far and how fast you are willing to transform, and make sure that you have the right transformation and coaching partner in place. There is no right software development lifecycle (SDLC) or methodology. Find or create the methodology that best aligns to your needs and goals.

      Agile's Four Core Values

      "...while there is value in the items on the right, we value the items on the left more."
      - The Agile Manifesto

      STOP! If you're not Agile, don't start with SAFe.

      Agile over SAFe

      Successful SAFe requires an Agile mindset at all levels.

      Be aware of common myths around Agile and SAFe

      SAFe does not...

      1...solve development and communication issues.

      2...ensure that you will finish requirements faster.

      3...mean that you do not need planning and documentation.

      "Without proper planning, organizations can start throwing more resources at the work, which spirals into the classic Waterfall issues of managing by schedule."
      – Kristen Morton, Associate Implementation Architect,
      OneShield Inc. (Info-Tech Interview)

      Info-Tech Insight
      Poor culture, processes, governance, and leadership will disrupt any methodology. Many drivers for SAFe could be solved by improving and standardizing development and release management within current methodologies.

      Review the drivers that are motivating your organization to adopt and scale Agile practices

      Functional groups have their own drivers to adopt Agile development processes, practices, and techniques (e.g. to improve collaboration, decrease churn, or increase automation). Their buy-in to scaling Agile is just as important as the buy-in of stakeholders.

      If a group's specific needs and drivers are not addressed, its members may develop negative sentiments toward Agile development. These negative sentiments can affect their ability to see the benefits of Agile, and they may return to their old habits once the opportunity arises.

      It is important to find opportunities in which both business objectives and functional group drivers can be achieved by scaling Agile development. This can motivate teams to continuously improve and adhere to the new environment, and it will maintain business buy-in. It can also be used to justify activities that specifically address functional group drivers.

      Examples of Motivating Drivers for Scaling Agile

      • Improve artifact handoffs between development and operations.
      • Increase collaboration among development teams.
      • Reveal architectural and system risks early.
      • Expedite the feedback loop from support.
      • Improve capacity management.
      • Support development process innovation.
      • Create a safe environment to discuss concerns.
      • Optimize value streams.
      • Increase team engagement and comradery.

      Don't start with scaled Agile!

      Scaling Agile is a way to optimize product management and product delivery in application lifecycle management practices. Do not try to start with SAFe when the components are not yet in place.

      Scaled Agile


      Thought model describing how Agile connects Product Management to Product Delivery to elevate the entire Solution Lifecycle.

      Scale Agile delivery to improve cross-functional dependencies and releases

      Top Business Concerns When Scaling Agile

      1 Organizational Culture: The current culture may not support team empowerment, learning from failure, and other Agile principles. SAFe also allows top-down decisions to persist.

      2 Executive Support: Executives may not dedicate resources, time, and effort into removing obstacles to scaling Agile because of lack of business buy-in.

      3 Team Coordination: Current collaboration structures may not enable teams and stakeholders to share information freely and integrate workflows easily.

      4 Business Misalignment: Business vision and objectives may be miscommunicated early in development, risking poorly planned and designed initiatives and low-quality products.

      Extending collaboration is the key to success.

      Uniting stakeholders and development into a single body is the key to success. Assess the internal and external communication flow and define processes for planning and tracking work so that everyone is aware of how to integrate, communicate, and collaborate.

      The goal is to enable faster reaction to customer needs, shorter release cycles, and improved visibility of the project's progress with cross-functional and diverse conversations.

      Advantages of successful SAFe implementations

      Once SAFe is complete and operational, organizations have seen measurable benefits:

      • Multiple frameworks to support different levels of SAFe usage
      • Deliberate and consistent planning and coordination
      • Coordinating dependencies within value streams
      • Reduced time to delivery
      • Focus on customers and end users
      • Alignment to business goals and value streams
      • Increased employee engagement

      Sources: TechBeacon, 2019; Medium, 2020; "Benefits," Scaled Agile, 2023;
      "Pros and Cons," PremierAgile, n.d.; "Scaling Agile Challenges," PremierAgile, n.d.

      Advantages of successful SAFe implementations

      Source: "Benefits," Scaled Agile, 2023

      Recognize the difference between Scrum teams and the Scaled Agile Framework (SAFe)

      SAFe provides a framework that aligns Scrum teams into coordinated release trains driven by top-down prioritization.

      Scrum vs SAFe

      Develop Your Agile Approach for a Successful Transformation

      Source: Scaled Agile, Inc.

      Info-Tech's IT Management & Governance Framework

      Info-Tech's IT Management & Governance Framework

      Info-Tech Insight
      SAFe is an enterprise, culture, and process transformation that impacts all IT services. Some areas of Info-Tech's IT Management & Governance Framework have higher impacts and require special attention. Plan to include transformation support for each of these topics during your SAFe implementation. SAFe will not fix broken processes on its own.

      Without adopting an Agile mindset, SAFe becomes Waterfall with SAFe terminology

      Waterfall with SAFe terminology

      Source: Scaled Agile, Inc.

      Info-Tech Insight
      When first implementing SAFe, organizations reproduce their organizational design and Waterfall delivery structures with SAFe terms:

      • Delivery Manager = Release Train Engineer
      • Stakeholder/Sponsor = Product Manager
      • Release = Release Train
      • Project/Program = Project or Portfolio

      SAFe isn't without risks or challenges

      Risks and Causes of Failed SAFe Transformations

      • SAFe conflicts with legacy cultures and delivery processes.
      • SAFe promotes continued top-down decisions, undermining team empowerment.
      • Scaled product families are required to define proper value streams.
      • Team empowerment and autonomy are reduced.
      • SAFe activities are poorly executed.
      • There are high training and coaching costs.
      • Implementation takes a long time.
      • End-to-end delivery management tools aligned to SAFe are required.
      • Legacy delivery challenges are not specifically solved with SAFe.
      • SAFe is designed to work for large-scale development teams.

      Challenges

      • Adjusting to a new set of terms for common roles, processes, and activities
      • Executing planning cycles
      • Defining features and epics at the right level
      • Completing adequate requirements
      • Defining value streams
      • Coordinating releases and release trains
      • Providing consistent quality

      Sources: TechBeacon, 2019; Medium, 2020; "Benefits," Scaled Agile, 2023;
      "Pros and Cons," PremierAgile, n.d.; "Scaling Agile Challenges," PremierAgile, n.d.

      Focus on your core competencies instead

      Before undertaking an enterprise transformation, consider improving the underlying processes that will need to be fixed anyway. Fixing these areas while implementing SAFe compounds the effort and disruption.

      Product Delivery

      Product Management

      "But big-bang transitions are hard. They require total leadership commitment, a receptive culture, enough talented and experienced agile practitioners to staff hundreds of teams without depleting other capabilities, and highly prescriptive instruction manuals to align everyone's approach."
      – "Agile at Scale," Harvard Business Review

      Insight Summary

      Overarching insight
      SAFe is a highly disruptive enterprise transformation, and it will not solve your organizational delivery challenges by itself. Start with an open mind, and understand what is needed to support a multi-year cultural transition. Decide how far and fast you are willing to transform and make sure that you have the right transformation and coaching partner in place.

      SAFe conflicts with core Agile principles.
      The popularity of SAFe is largely due to its structural resemblance to enterprise portfolio and project planning with top-down prioritization and decision-making. This directly conflicts with Agile's purpose and principles of empowerment and agility.

      SAFe and Agile will not solve enterprise delivery challenges.
      Poor culture, processes, governance, and leadership will disrupt any methodology. Many issues with drivers for SAFe could be solved by improving development and release management within current methodologies.

      Most organizations should not be using a pure SAFe framework
      Few organizations are capable of, or should be, applying a pure SAFe framework. Successful organizations have adopted and modified SAFe frameworks to best fit their needs, teams, value streams, and maturity.

      Without an Agile mindset, SAFe will be executed as Waterfall stages using SAFe terminology.
      Groups that "Do Agile" are not likely to embrace the behavioral changes needed to make any scaled framework effective. SAFe becomes a series of Waterfall PIs using SAFe terminology.

      Your transformation does not start with SAFe.
      Start your transition to scaled Agile with a maturity assessment for current delivery practices. Fixing broken process, tools, and teams must be at the heart of your initiative.

      Blueprint Deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Key Deliverable

      SAFe Transformation Playbook

      Build a transformation and organizational change management plan to guide your transition. Define clear ownership for every critical step.

      Scaled Agile Readiness Assessment

      Conduct the Agile readiness survey. Without an Agile mindset, SAFe will follow Waterfall or WaterScrumFall practices.

      Case Study

      Spotify's approach to Agile at scale

      INDUSTRY: Digital Media
      SOURCE: Unified Communications and Collaborations

      Spotify's Scaling Agile Initiative

      With rapid user adoption growth (over 15 million active users in under six years), Spotify had to find a way to maintain an Agile mindset across 30+ teams in three different cities, while maintaining the benefits of cross-functional collaboration and flexibility for future growth.

      Spotify's Approach

      Spotify found a fit-for-purpose way for the organization to increase team autonomy without losing the benefits of cross-team communication from economics of scale. Spotify focused on identifying dependencies that block or slow down work through a mix of reprioritization, reorganization, architectural changes, and technical solutions. The organization embraced dependencies that led to cross-team communication and built in the necessary flexibility to allow Agile to grow with the organization.

      Spotify's scaling Agile initiative used interview processes to identify what each team depended on and how those dependencies blocked or slowed the team.

      Squad refers to an autonomous Agile release team in this case study.

      Case Study

      Suncorp instilled dedicated communication streams to ensure cross-role collaboration and culture.

      INDUSTRY: Insurance
      SOURCE: Agile India, International Conference on Agile and Lean Software Development, 2014

      Challenge Solution Results
      • Suncorp Group wanted to improve delivery and minimize risk. Suncorp realized that it needed to change its project delivery process to optimize business value delivery.
      • With five core business units, over 15,000 employees, and US$96 billion in assets, Suncorp had to face a broad set of project coordination challenges.
      • Suncorp decided to deliver all IT projects using Agile.
      • Suncorp created a change program consisting of five main streams of work, three of which dealt with the challenges specific to Agile culture:
        • People: building culture, leadership, and support
        • Communication: ensuring regular employee collaboration
        • Capabilities: blending training and coaching
      • Sponsorship from management and champions to advocate Agile were key to ensure that everyone was unified in a common purpose.
      • Having a dedicated communication stream was vital to ensure regular sharing of success and failure to enable learning.
      • Having a structured, standard approach to execute the planned culture change was integral to success.

      Case Study

      Nationwide embraces DevOps and improves software quality.

      INDUSTRY: Insurance
      SOURCE: Agile India, International Conference on Agile and Lean Software Development, 2014

      Challenge Solution Results
      • In the past, Nationwide primarily followed a Waterfall development process. However, this method created conflicts between IT and business needs.
      • The organization began transitioning from Waterfall to Agile development. It has seen early successes with Agile: decrease in defects per release and more success in meeting delivery times.
      • Nationwide needed to respond more efficiently to changing market requirements and regulations and to increase speed to market.
      • Nationwide decided to take a DevOps approach to application development and delivery.
      • IT wanted to perform continuous integration and deployment in its environments.
      • Cross-functional teams were organically created, made up of members from the business and multiple IT groups, including development and operations.
      • DevOps allowed Nationwide to be more Agile and more responsive to its customers.
      • Teams were able to perform acceptance testing with their customers in parallel with development. This allowed immediate feedback to help steer the project in the right direction.
      • DevOps improved code quality by 50% over a three-year period and reduced user downtime by 70%.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit Guided Implementation Workshop Consulting
      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1

      Call #1:

      Scope your requirements, objectives, and specific challenges.

      Call #2:

      1.1.1 Define your primary drivers for SAFe.

      1.1.2 Create your own list of pros and cons of SAFe.

      Call #3:

      1.2.1 Assess your Agile readiness.

      1.2.2 Define enablers and blockers for scaling Agile delivery.

      1.2.3 Estimate your SAFe implementation risk.

      Call #4:

      1.2.4 Start your SAFe implementation plan.

      Summarize your results and plan your next steps.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is one to four calls over the course of one to six weeks.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Pre-Planning Step 1.1 Step 1.2
      Identify your stakeholders. Step 1.1 Understand where SAFe fits into your delivery methodologies and SDLCs. Step 1.2 Determine if you are ready for SAFe.
      Activities 1. Determine stakeholders and subject matter experts.
      2. Coordinate timing and participation.
      3. Set goals and expectations for the workshop.
      1.1.1 Define your primary drivers for SAFe.
      1.1.2 Create your own list of pros and cons of SAFe
      1.2.1 Assess your Agile readiness.
      1.2.2 Define enablers and blockers for scaling Agile delivery.
      1.2.3 Estimate your SAFe implementation risk.
      1.2.4 Start your SAFe implementation plan.
      Deliverables
    • Workshop schedule
    • Participant commitment
      • List of primary drivers for SAFe
      • List of pros and cons of SAFe
      • Agile Readiness Assessment results
      • List of enablers and blockers for scaling Agile delivery
      • Estimated SAFe implementation risk
      • Template for high-level SAFe implementation plan

      Supporting Your Agile Journey

      Enable Product Agile Delivery Executive Workshop Develop Your Agile Approach Spread Best Practices with an Agile Center of Excellence Implement DevOps Practices That Work Enable Organization-Wide Collaboration by Scaling Agile
      Number One Number two Number Three Number Four Number Five

      Align and prepare your IT leadership teams.

      Audience: Senior and IT delivery leadership

      Size: 8-16 people

      Time: 7 hours

      Tune Agile team practices to fit your organization culture.

      Audience: Agile pilot teams and subject matter experts (SMEs)

      Size: 10-20 people

      Time: 4 days

      Leverage Agile thought leadership to expand your best practices.

      Audience: Agile SMEs and thought leaders

      Size: 10-20 people

      Time: 4 days

      Build a continuous integration and continuous delivery pipeline.

      Audience: Product owners (POs) and delivery team leads

      Size: 10-20 people

      Time: 4 days

      Execute a disciplined approach to rolling out Agile methods.

      Audience: Agile steering team and SMEs

      Size: 3-8 people

      Time: 3 hours

      Repeat Legend

      Sample agendas are included in the following sections for each of these topics.

      Your Product Transformation Journey

      1. Make the Case for Product Delivery2. Enable Product Delivery - Executive Workshop3. Deliver on Your Digital Product Vision4. Deliver Digital Products at Scale5. Mature and Scale Product Ownership
      Align your organization with the practices to deliver what matters most.Participate in a one-day executive workshop to help you align and prepare your leadership.Enhance product backlogs, roadmapping, and strategic alignment.Scale product families to align with your organization's goals.Align and mature your product owners.

      Audience: Senior executives and IT leadership

      Size: 8-16 people

      Time: 6 hours

      Repeat Symbol

      Audience: Product owners/managers

      Size: 10-20 people

      Time: 3-4 days

      Repeat Symbol

      Audience: Product owners/managers

      Size: 10-20 people

      Time: 3-4 days

      Audience: Product owners/managers

      Size: 8-16 people

      Time: 2-4 days

      Repeat Symbol

      Repeat Legend

      Phase 1

      Determine if SAFe Is Right for Your Organization

      Phase 1
      1.1 Understand where SAFe fits into your delivery methodologies and SDLCs
      1.2 Determine if you are ready for SAFe (fit for purpose)

      This phase will walk you through the following activities:

      • 1.1.1 Define your primary drivers for SAFe.
      • 1.1.2 Create your own list of pros and cons of SAFe.
      • 1.2.1 Assess your Agile readiness.
      • 1.2.2 Define enablers and blockers for scaling Agile delivery.
      • 1.2.3 Estimate your SAFe implementation risk.
      • 1.2.4 Start your SAFe implementation plan.

      This phase involves the following participants:

      • Senior leadership
      • IT leadership
      • Project Management Office
      • Delivery managers
      • Product managers/owners
      • Agile thought leaders and coaches
      • Compliance teams leads

      Step 1.1

      Understand where SAFe fits into your delivery methodologies and SDLCs

      Activities
      1.1.1 Define your primary drivers for SAFe
      1.1.2 Create your own list of pros and cons of SAFe

      This step involves the following participants:

      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Outcomes of this step:

      • List of primary drivers for SAFe
      • List of pros and cons of SAFe

      Agile's Four Core Values

      "...while there is value in the items on the right, we value the items on the left more."
      – The Agile Manifesto

      STOP! If you're not Agile, don't start with SAFe.

      Agile's Four Core Values

      Successful SAFe requires an Agile mindset at all levels.

      Be aware of common myths around Agile and SAFe

      SAFe does not...

      1...solve development and communication issues.

      2...ensure that you will finish requirements faster.

      3...mean that you do not need planning and documentation.

      "Without proper planning, organizations can start throwing more resources at the work, which spirals into the classic Waterfall issues of managing by schedule."
      – Kristen Morton, Associate Implementation Architect,
      OneShield Inc. (Info-Tech Interview)

      Info-Tech Insight
      SAFe only provides a framework and steps where these issues can be resolved.

      The importance of values and principles

      Modern development practices (such as Agile, Lean, and DevOps) are based on values and principles. This supports the move away from command-and-control management to self-organizing teams.

      Values

      • Values represent your team's core beliefs and capture what you want to instill in your team.

      Principles

      • Principles represent methods for solving a problem or deciding.
      • Given that principles are rooted in specifics, they can change more frequently because they are both fallible and conducive to learning.

      Consider the guiding principles of your application team

      Teams may have their own perspectives on how they deliver value and their own practices for how they do this. These perspectives can help you develop guiding principles for your own team to explain your core values and cement your team's culture. Guiding principles can help you:

      • Enable the appropriate environment to foster collaboration within current organizational, departmental, and cultural constraints
      • Foster the social needs that will engage and motivate your team in a culture that suits its members
      • Ensure that all teams are driven toward the same business and team goals, even if other teams are operating differently
      • Build organizational camaraderie aligned with corporate strategies

      Info-Tech Insight
      Following methodologies by the book can be detrimental if they do not fit your organization's needs, constraints, and culture. The ultimate goal of all teams is to deliver value. Any practices or activities that drive teams away from this goal should be removed or modified.

      Review the drivers that are motivating your organization to adopt and scale Agile practices

      Functional groups have their own drivers to adopt Agile development processes, practices, and techniques (e.g. to improve collaboration, decrease churn, or increase automation). Their buy-in to scaling Agile is just as important as the buy-in of stakeholders.

      By not addressing a group's specific needs and drivers, the resulting negative sentiments of its members toward Agile development can affect their ability to see the benefits of Agile and they may return to old habits once the opportunity arises.

      Find opportunities in which both business objectives and functional group drivers can be achieved with scaling Agile development. This alignment can motivate teams to continuously improve and adhere to the new environment, and it will maintain business buy-in. This assessment can also be used to justify activities that specifically address functional group drivers.

      Examples of Motivating Drivers for Scaling Agile

      • Improve artifact hand-offs between development and operations.
      • Increase collaboration among development teams.
      • Reveal architectural and system risks early.
      • Expedite the feedback loop from support.
      • Improve capacity management.
      • Support development process innovation.
      • Create a safe environment to discuss concerns.
      • Optimize value streams.
      • Increase team engagement and comradery.

      Exercise 1.1.1 Define your primary drivers for SAFe

      30 minutes

      • Brainstorm a list of drivers for scaling Agile.
      • Build a value canvas to help capture and align team expectations.
      • Identify jobs or functions that will be impacted by SAFe.
      • List your current pains and gains.
      • List the pain relievers and gain creators.
      • Identify the deliverable needed for a successful transformation.
      • Complete your SAFe value canvas in your SAFe Transformation Playbook.

      Enter the results in your SAFe Transformation Playbook.

      Input
      • Organizational understanding
      • Existing Agile delivery strategic plans
      Output
      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      SAFe Value Canvas Template

      SAFe Value Canvas Template

      Case Study

      A public utilities organization steadily lost stakeholder engagement, diminishing product quality.

      INDUSTRY: Public Utilities
      SOURCE: Info-Tech Expert Interview

      Challenge

      • The goal of a public utilities organization was to adopt Agile so it could quickly respond to changes and trim costs.
      • The organization decided to scale Agile using a structured approach. It began implementation with IT teams that were familiar with Agile principles and leveraged IT seniors as Agile champions. To ensure that Agile principles were widespread, the organization decided to develop a training program with vendor assistance.
      • As Agile successes began to be seen, the organization decided to increase the involvement of business teams gradually so it could organically grow the concept within the business.

      Results

      • Teams saw significant success with many projects because they could easily demonstrate deliverables and clearly show the business value. Over time, the teams used Agile for large projects with complex processing needs.
      • Teams continued to deliver small projects successfully, but business engagement waned over time. Some of the large, complex applications they delivered using Agile lacked the necessary functionality and appropriate controls and, in some cases, did not have the ability to scale due to a poor architectural framework. These applications required additional investment, which far exceeded the original cost forecasts.

      While Agile and product development are intertwined, they are not the same!

      Delivering products does not necessarily require an Agile mindset. However, Agile methods help to facilitate the journey because product thinking is baked into them.

      Agile and product development are intertwined

      Recognize the difference between Scrum teams and the Scaled Agile Framework (SAFe)

      SAFe provides a framework that aligns Scrum teams into coordinated release trains driven by top-down prioritization.

      Difference between Scrum and SAFe

      Develop Your Agile Approach for a Successful Transformation

      Without adopting an Agile mindset, SAFe becomes Waterfall with SAFe terminology

      Waterfall with SAFe terminology

      Info-Tech Insight
      When first implementing SAFe, organizations reproduce their organizational design and Waterfall delivery structures with SAFe terms:

      • Delivery Manager = Release Train Engineer
      • Stakeholder/Sponsor = Product Manager
      • Release = Release Train
      • Project/Program = Project or Portfolio

      Advantages of successful SAFe implementations

      Once SAFe is complete and operational, organizations have seen measurable benefits:

      • Multiple frameworks to support different levels of SAFe usage
      • Deliberate and consistent planning and coordination
      • Coordinating dependencies within value streams
      • Reduced time to delivery
      • Focus on customers and end users
      • Alignment to business goals and value streams
      • Increased employee engagement

      Sources: TechBeacon, 2019; Medium, 2020; "Benefits," Scaled Agile, 2023;
      "Pros and Cons," PremierAgile, n.d.; "Scaling Agile Challenges," PremierAgile, n.d.

      Advantages of successful SAFe implementations

      Source: "Benefits," Scaled Agile, 2023

      SAFe isn't without risks or challenges

      Risks and Causes of Failed SAFe Transformations

      • SAFe conflicts with legacy cultures and delivery processes.
      • SAFe promotes continued top-down decisions, undermining team empowerment.
      • Scaled product families are required to define proper value streams.
      • Team empowerment and autonomy are reduced.
      • SAFe activities are poorly executed.
      • There are high training and coaching costs.
      • Implementation takes a long time.
      • End-to-end delivery management tools aligned to SAFe are required.
      • Legacy delivery challenges are not specifically solved with SAFe.
      • SAFe is designed to work for large-scale development teams.

      Challenges

      • Adjusting to a new set of terms for common roles, processes, and activities
      • Executing planning cycles
      • Defining features and epics at the right level
      • Completing adequate requirements
      • Defining value streams
      • Coordinating releases and release trains
      • Providing consistent quality

      Sources: TechBeacon, 2019; Medium, 2020; "Benefits," Scaled Agile, 2023; "Pros and Cons," PremierAgile, n.d.; "Scaling Agile Challenges," PremierAgile, n.d.

      Exercise 1.1.2 Create your own list of the pros and cons of SAFe

      1 hour

      Pros Cons

      Enter the results in your SAFe Transformation Playbook

      Input
      • Organizational drivers
      • Analysis of SAFe
      • Estimate of fit for purpose
      Output
      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Focus on your core competencies instead

      Before undertaking an enterprise transformation, consider improving the underlying processes that will need to be fixed anyway. Fixing these areas while implementing SAFe compounds the effort and disruption.

      Product Delivery

      Product Management

      "But big-bang transitions are hard. They require total leadership commitment, a receptive culture, enough talented and experienced agile practitioners to staff hundreds of teams without depleting other capabilities, and highly prescriptive instruction manuals to align everyone's approach."
      - "Agile at Scale," Harvard Business Review

      Step 1.2

      Determine if you are ready for SAFe (fit for purpose)

      Activities
      1.2.1 Assess your Agile readiness
      1.2.2 Define enablers and blockers for scaling Agile delivery
      1.2.3 Estimate your SAFe implementation risk
      1.2.4 Start your SAFe implementation plan

      This step involves the following participants:

      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Outcomes of this step:

      • Agile Readiness Assessment results
      • Enablers and blockers for scaling Agile
      • SAFe implementation risk
      • SAFe implementation plan

      Use CLAIM to guide your Agile journey

      Use CLAIM to guide your Agile journey

      Conduct the Agile Readiness Assessment Survey

      Without an Agile mindset, SAFe will follow Waterfall or WaterScrumFall practices.

      • Start your journey with a clear understanding of the level of Agile and product maturity throughout your organization.
      • Each area that lacks strength should be evaluated further and added to your journey map.

      Chart of Agile Readiness

      Exercise 1.2.1 Assess your Agile readiness

      1 hour

      • Open and complete the Agile Readiness Assessment in your playbook or the Excel tool provided.
      • Discuss each area's high and low scores to reach a consensus.
      • Record your results in your SAFe Transformation Playbook.

      Chart of Agile Readiness

      Enter the results in Scaled Agile Readiness Assessment.

      Input
      • Organizational knowledge
      • Agile Readiness Assessment
      Output
      • IT leadership
      • Delivery managers
      • Project Management Office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Exercise 1.2.2 Define enablers and blockers for scaling Agile delivery

      1 hour

      • Identify and mitigate blockers for scaling Agile in your organization.
        • Identify enablers who will support successful SAFe transformation.
        • Identify blockers who will make the transition to SAFe more difficult.
        • For each blocker, define at least one mitigating step.
      Enablers Blockers Mitigation

      Enter the results in your SAFe Transformation Playbook

      Input
      • Agile Readiness Assessment
      • Organizational knowledge
      Output
      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Estimate your SAFe implementation risk

      Poor Fit High Risk Scaling Potential
      Team size <50 >150 or non-dedicated 50-150 dedicated
      Agile maturity Waterfall and project delivery Individual Scrum DevOps teams Scrum DevOps teams coordinating dependencies
      Product management maturity Project-driver changes from stakeholders Proxy product owners within delivery teams Defined product families and products
      Strategic goals Localized decisions Enterprise goals implemented at the app level Translation and refinement of enterprise goals through product families
      Enterprise architecture Siloed architecture standards Common architectures Future enterprise architecture and employee review board (ERB) reviews
      Release management Independent release schedules Formal release calendar Continuous integration/development (CI/CD) with organizational change management (OCM) scheduled cross-functional releases
      Requirements management and quality assurance Project based Partial requirements and test case coverage Requirements as an asset and test automation

      Exercise 1.2.3 Estimate your SAFe implementation risk

      30 minutes

      • Determine which description best matches your overall organizational state.
      • Enter the results in your SAFe Transformation Playbook.
      • Change the text to bold in the cell you selected to describe your current state and/or add a border around the cell.

      Chart of SAFe implementation risk

      Enter the results in SAFe Transformation Playbook.

      Input
      • Agile Readiness Assessment
      • Organizational knowledge
      Output
      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Interpret your SAFe implementation risks

      Analyze your highlighted selections and patterns in the rows and columns. Use these factors to inform your SAFe implementation steps and timing.

      Interpret your SAFe implementation risks

      Build your implementation plan

      Build a transformation and organizational change management plan to guide your transition. Define clear ownership for every critical step.

      Plan your transformation.

      • Align stakeholders and thought leaders.
      • Select an implementation partner.
      • Insert critical steps.

      Build your SAFe framework.

      • Define your target SAFe framework.
      • Customize your SAFe framework.
      • Establish SAFe governance and reporting.
      • Insert critical steps.

      Implement SAFe practices.

      • Define product families and value streams.
      • Conduct SAFe training for:
        • Executive leadership
        • Agile SAFe coaches
        • Practitioners
      • Insert critical steps.

      For additional help with OCM, please download Master Organizational Change Management Practices.

      Exercise 1.2.4 Start your SAFe implementation plan

      30 minutes

      • Using the high-level SAFE implementation framework, begin building out the critical steps.
      • Record the results in your SAFe Transformation Playbook.
      • Your playbook is an evergreen document to help guide your implementation. It should be reviewed often.

      SAFe implementation plan

      Enter the results in your SAFe Transformation Playbook

      Input
      • SAFe readiness assessment
      • Enablers and blockers
      • Drivers for SAFe
      Output
      • IT leadership
      • Delivery managers
      • Project management office
      • Product owners and managers
      • Development team leads
      • Portfolio managers
      • Architects

      Select an implementation partner

      Finding the right SAFe implementation partner is critical to your transformation success.

      • Using your previous assessment, align internal and external resources to support your transformation.
      • Select a partner who has experience in similar organizations and is aligned with your delivery goals.
      • Plan to transition support to internal teams when SAFe practices have stabilized and moved into continuous improvement.
      • Augment your transformation partner with internal coaches.
      • Plan for a multiyear engagement before SAFe benefits are realized.

      Summary of Accomplishments

      Your journey begins.

      Implementing SAFe is a long, expensive, and difficult process. For some organizations, SAFe provides the balance of leadership-driven prioritization and control with shorter release cycles and time to value. The key is making sure that SAFe is right for you and you are ready for SAFe. Few organizations fit perfectly into one of the SAFe frameworks. Instead, consider fine-tuning and customizing SAFe to meet your needs and gradual transformation.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Contact your account representative for more information.
      workshops@infotech.com
      1-888-670-8889

      Additional Support

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech Workshop.

      To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.

      Info-Tech analysts will join you and your team at your location or welcome you to Info-Tech's historic Toronto office to participate in an innovative onsite workshop.

      Below are sample activities that will be conducted by Info-Tech analysts with your team:

      Scaled Agile Delivery Readiness Assessment
      This assessment will help identify enablers and blockers in your organizational culture using our CLAIM+G organization transformation model.

      SAFE Value Canvas
      Use a value campus to define jobs, pains, gains, pain relievers, gain creators, and needed deliverables to help inform and guide your SAFe transformation.

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

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      Berkowitz, Emma. "The Cost of a SAFe(r) Implementation: CPRIME Blog." Cprime, 30 Jan. 2023.

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      Islam, Ayvi. "SAFe Implementation 101 - The Complete Guide for Your Company." //Seibert/Media, 22 Dec. 2020.

      "Johnson Controls - SAFe Implementation Case Study." Scaled Agile, 28 Nov. 2022.

      "The New Rules and Opportunities of Business Transformation." KPMG.

      "Nokia Software - SAFe Agile Transformation." Scaled Agile, 28 Nov. 2022.

      Pichler, Roman. "What Is Product Management?" Romanpichler, 2014.

      "Product Documentation." ServiceNow.

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      R, Ramki. "Pros and Cons of Scaled Agile Framework (SAFe)." Medium, 3 Mar. 2019.

      R, Ramki. "When Should You Consider Implementing SAFe (Scaled Agile Framework)?" Medium, Medium, 3 Mar. 2019.

      Rigby, Darrell, Jeff Sutherland, and Andy Noble. "Agile at Scale: How to go from a few teams to hundreds." Harvard Business Review, 2018.

      "SAFe Implementation Roadmap." Scaled Agile Framework, Scaled Agile, Inc., 14 Mar. 2023.

      "SAFe Partner Cprime: SAFe Implementation Roadmap: Scaled Agile." Cprime, 5 Apr. 2023.

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      "Scaling Agile Challenges and How to Overcome Them." PremierAgile.

      "SproutLoud - a Case Study of SAFe Agile Planning." Scaled Agile, 29 Nov. 2022.

      "Story." Scaled Agile Framework, 13 Apr. 2023.

      Sutherland , Jeff. "Scrum: How to Do Twice as Much in Half the Time." Tedxaix, YouTube, 7 July 2014.

      Venema, Marjan. "6 Scaled Agile Frameworks - Which One Is Right for You?" NimbleWork, 23 Dec. 2022.

      Warner, Rick. "Scaled Agile: What It Is and Why You Need It." High-Performance Low-Code for App Development, OutSystems, 25 Oct. 2019.

      Watts, Stephen, and Kirstie Magowan. "The Scaled Agile Framework (SAFE): What to Know and How to Start." BMC Blogs, 9 Sept. 2020.

      "What Is SAFe? The Scaled Agile Framework Explained." CIO, 9 Feb. 2021.

      "Why Agile Transformations Fail: Four Common Culprits." Planview.

      "Why You Should Use SAFe (and How to Find SAFe Training to Help)." Easy Agile.

      Y., H. "Story Points vs. 'Ideal Days.'" Cargo Cultism, 19 Aug. 2010.

      Bibliography

      Enable Organization-Wide Collaboration by Scaling Agile

      Ambler, Scott W. "Agile Architecture: Strategies for Scaling Agile Development." Agile Modeling, 2012.

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      Ambler, Scott W. and Mark Lines. Disciplined Agile Delivery: A Practitioner's Guide to Agile Software Delivery in the Enterprise. IBM Press, 2012.

      Ambler, Scott W., and Mark Lines. "Scaling Agile Software Development: Disciplined Agility at Scale." Disciplined Agile Consortium White Paper Series, 2014.

      AmbySoft. "2014 Agile Adoption Survey Results." Scott W. Ambler + Associates, 2014.

      Bersin, Josh. "Time to Scrap Performance Appraisals?" Forbes Magazine, 5 June 2013. Accessed 30 Oct. 2013..

      Cheese, Peter, et al. " Creating an Agile Organization." Accenture, Oct. 2009. Accessed Nov. 2013..

      Croxon, Bruce, et al. "Dinner Series: Performance Management with Bruce Croxon from CBC's 'Dragon's Den.'" HRPA Toronto Chapter. Sheraton Hotel, Toronto, ON, 12 Nov. 2013. Panel discussion.

      Culbert, Samuel. "10 Reasons to Get Rid of Performance Reviews." Huffington Post Business, 18 Dec. 2012. Accessed 28 Oct. 2013.

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      Holler, Robert, and Ian Culling. "From Agile Pilot Project to Enterprise-Wide Deployment: Five Sure-Fire Ways To Fail When You Scale." VersionOne, 2010.

      Kniberg, Henrik, and Anders Ivarsson, "Scaling Agile @ Spotify," Unified Communications and Collaborations, 2012.

      Narayan, Sriram. "Agile IT Organization Design: For Digital Transformation and Continuous Delivery." Addison-Wesley Professional, 2015.

      Shrivastava, NK, and Phillip George. "Scaling Agile." RefineM, 2015.

      Sirkia, Rami, and Maarit Laanti. "Lean and Agile Financial Planning." Scaled Agile Framework Blog, 2014.

      Scaled Agile Framework (SAFe). "Agile Architecture." Scaled Agile Inc., 2015.

      VersionOne. 9th Annual: State of Agile Survey. VersionOne, LLC, 2015.

      Appendix A: Supporting Info-Tech Research

      Transformation topics and supporting research to make your journey easier, with less rework

      Supporting research and services

      Improving IT Alignment

      Build a Business-Aligned IT Strategy
      Success depends on IT initiatives clearly aligned to business goals, IT excellence, and driving technology innovation.

      Make Your IT Governance Adaptable
      Governance isn't optional, so keep it simple and make it flexible.

      Create an IT View of the Service Catalog
      Unlock the full value of your service catalog with technical components.

      Application Portfolio Management Foundations
      Ensure your application portfolio delivers the best possible return on investment.

      Shifting Toward Agile DevOps

      Agile/DevOps Research Center
      Access the tools and advice you need to be successful with Agile.

      Develop Your Agile Approach for a Successful Transformation
      Understand Agile fundamentals, principles, and practices so you can apply them effectively in your organization.

      Implement DevOps Practices That Work
      Streamline business value delivery through the strategic adoption of DevOps practices.

      Perform an Agile Skills Assessment
      Being Agile isn't about processes, it's about people.

      Define the Role of Project Management in Agile and Product-Centric Delivery
      Projects and products are not mutually exclusive.

      Shifting Toward Product Management

      Make the Case for Product Delivery
      Align your organization on the practices to deliver what matters most.

      Deliver on Your Digital Product Vision
      Build a product vision your organization can take from strategy through execution.

      Deliver Digital Products at Scale
      Deliver value at the scale of your organization through defining enterprise product families.

      Mature and Scale Product Ownership
      Strengthen the product owner role in your organization by focusing on core capabilities and proper alignment.

      Build a Value Measurement Framework
      Focus product delivery on business value- driven outcomes.

      Improving Value and Delivery Metrics

      Build a Value Measurement Framework
      Focus product delivery on business value-driven outcomes.

      Create a Holistic IT Dashboard
      Mature your IT department by measuring what matters.

      Select and Use SDLC Metrics Effectively
      Be careful what you ask for, because you will probably get it.

      Reduce Time to Consensus With an Accelerated Business Case
      Expand on the financial model to give your initiative momentum.

      Improving Governance, Prioritization, and Value

      Make Your IT Governance Adaptable
      Governance isn't optional, so keep it simple and make it flexible.

      Maximize Business Value From IT Through Benefits Realization
      Embed benefits realization into your governance process to prioritize IT spending and confirm the value of IT.

      Drive Digital Transformation With Platform Strategies
      Innovate and transform your business models with digital platforms.

      Succeed With Digital Strategy Execution
      Building a digital strategy is only half the battle: create a systematic roadmap of technology initiatives to execute the strategy and drive digital transformation.

      Build a Value Measurement Framework
      Focus product delivery on business value-driven outcomes.

      Create a Holistic IT Dashboard
      Mature your IT department by measuring what matters.

      Improving Requirements Management and Quality Assurance

      Requirements Gathering for Small Enterprises
      Right-size the guidelines of your requirements gathering process.

      Improve Requirements Gathering
      Back to basics: great products are built on great requirements.

      Build a Software Quality Assurance Program
      Build quality into every step of your SDLC.

      Automate Testing to Get More Done
      Drive software delivery throughput and quality confidence by extending your automation test coverage.

      Manage Your Technical Debt
      Make the case to manage technical debt in terms of business impact.

      Create a Business Process Management Strategy
      Avoid project failure by keeping the "B" in BPM.

      Build a Winning Business Process Automation Playbook
      Optimize and automate your business processes with a user-centric approach.

      Improving Release Management

      Optimize Applications Release Management
      Build trust by right-sizing your process using appropriate governance.

      Streamline Application Maintenance
      Effective maintenance ensures the long-term value of your applications.

      Streamline Application Management
      Move beyond maintenance to ensure exceptional value from your apps.

      Optimize IT Change Management
      Right-size IT change management to protect the live environment.

      Manage Your Technical Debt
      Make the case to manage technical debt in terms of business impact.

      Improve Application Development Throughput
      Drive down your delivery time by eliminating development inefficiencies and bottlenecks while maintaining high quality.

      Improving Business Relationship Management

      Embed Business Relationship Management in IT
      Show that IT is worthy of Trusted Partner status.

      Mature and Scale Product Ownership
      Strengthen the product owner role in your organization by focusing on core capabilities and proper alignment.

      Improving Security

      Build an Information Security Strategy
      Create value by aligning your strategy to business goals and business risks.

      Develop and Deploy Security Policies
      Enhance your overall security posture with a defensible and prescriptive policy suite.

      Simplify Identity and Access Management
      Leverage risk- and role-based access control to quantify and simplify the identity and access management (IAM) process.

      Improving and Supporting Business-Managed Applications

      Embrace Business-Managed Applications
      Empower the business to implement their own applications with a trusted business-IT relationship.

      Enhance Your Solution Architecture Practices
      Ensure your software systems solution is architected to reflect stakeholders' short- and long-term needs.

      Satisfy Digital End Users With Low- and No-Code
      Extend IT, automation, and digital capabilities to the business with the right tools, good governance, and trusted organizational relationships.

      Build Your First RPA Bot
      Support RPA delivery with strong collaboration and management foundations.

      Automate Work Faster and More Easily With Robotic Process Automation
      Embrace the symbiotic relationship between the human and digital workforce.

      Improving Business Intelligence, Analytics, and Reporting

      Modernize Data Architecture for Measurable Business Results
      Enable the business to achieve operational excellence, client intimacy, and product leadership with an innovative, agile, and fit-for-purpose data architecture practice.

      Build a Reporting and Analytics Strategy
      Deliver actionable business insights by creating a business-aligned reporting and analytics strategy.

      Build Your Data Quality Program
      Quality data drives quality business decisions.

      Design Data-as-a-Service
      Journey to the data marketplace ecosystems.

      Build a Robust and Comprehensive Data Strategy
      Learn about the key to building and fostering a data-driven culture.

      Build an Application Integration Strategy
      Level the table before assembling the application integration puzzle or risk losing pieces.

      Appendix B: SDLC Transformation Steps

      Waterfall SDLC

      Valuable product delivered at the end of an extended project lifecycle, frequently in years

      Waterfall SDLC

      • Business is separated from the delivery of technology it needs. Only one-third of the product is actually valuable (ITRG, N=40,000).
      • In Waterfall, a team of experts in specific disciplines hand off different aspects of the lifecycle.
      • Document sign-offs are required to ensure integration between silos (Business, Development, and Operations) and individuals.
      • A separate change-request process lays over the entire lifecycle to prevent changes from disrupting delivery.
      • Tools are deployed to support a specific role (e.g. BA) and seldom integrated (usually requirements <-> test).

      Wagile/Agifall/WaterScrumFall SDLC

      Valuable product delivered in multiple releases

       Wagile/Agifall/WaterScrumFall SDLC

      • Business is more closely integrated by a business product owner, who is accountable for day-to-day delivery of value for users.
      • The team collaborates and develops cross-functional skills as they define, design, build, and test code over time.
      • Sign-offs are reduced but documentation is still focused on satisfying project delivery and operations policy requirements.
      • Change is built into the process to allow the team to respond to change dynamically.
      • Tools start to be integrated to streamline delivery (usually requirements and Agile work management tools).

      Agile SDLC

      Valuable product delivered iteratively: frequency depends Ops' capacity

      Agile SDLC

      • Business users are closely integrated through regularly scheduled demos (e.g. every two weeks).
      • Team is fully cross-functional and collaborates to plan, define, design, build, and test the code, supported by specialists.
      • Documentation is focused on future development and operations needs.
      • Change is built into the process to allow the team to respond to change dynamically.
      • Automation is explored for application development (e.g. automated regression testing).

      Agile With DevOps SDLC

      High frequency iterative delivery of valuable product (e.g. every two weeks)

       Agile With DevOps SDLC

      • Business users are closely integrated through regularly scheduled demos.
      • Development and operations teams collaborate to plan, define, design, build, test, and deploy code, supported by automation.
      • Documentation is focused on supporting users, future changes, and operational support.
      • Change is built into the process to allow the team to respond to change dynamically.
      • Test, build, deploy process is fully automated. (Service desk is still separated.)

      DevOps SDLC

      Continuous integration and delivery

       DevOps SDLC

      • Business users are closely integrated through regularly scheduled demos.
      • Fully integrated DevOps team collaborates to plan, define, design, build, test, deploy, and maintain code.
      • Documentation is focused on future development and use adoption.
      • Change is built into the process to allow the team to respond to change dynamically.
      • Development and operations toolchain are fully integrated.

      Fully integrated product SDLC

      Agile + DevOps + continuous delivery of valuable product on demand

       Fully integrated product SDLC

      • Business users are fully integrated with the teams through dedicated business product owner.
      • Cross-functional teams collaborate across the business and technical life of the product.
      • Documentation supports internal and external needs (business, users, operations).
      • Change is built into the process to allow the team to respond to change dynamically.
      • Toolchain is fully integrated (including service desk).

      Appendix C: Understanding Agile Scrum Practices and Ceremonies

      Cultural advantages of Agile

      Cultural advantages of Agile

      Agile* SDLC

      With shared ownership instead of silos, we are able to deliver value at the end of every iteration (aka sprint)

      Agile SDLC

      Key Elements of the Agile SDLC

      • You are not "one and done." There are many short iterations with constant feedback.
      • There is an empowered product owner. This is a single authoritative voice who represents stakeholders.
      • There is a fluid product backlog. This enables prioritization of requirements "just-in-time."
      • There is a cross-functional, self-managing team. This team makes commitments and is empowered by the organization to do so.
      • There is working, tested code at the end of each sprint: Value becomes more deterministic along sprint boundaries.
      • Stakeholders are allowed to see and use the functionality and provide necessary feedback.
      • Feedback is being continuously injected back into the product backlog. This shapes the future of the solution.
      • There is continuous improvement through sprint retrospectives.
      • The virtuous cycle of sprint-demo-feedback is internally governed when done right.

      * There are many Agile methodologies to choose from, but Scrum is by far the most widely used (and is shown above).

      Understand the Scrum process

      The scrum process coordinates multiple stakeholders to deliver on business priorities.

      Understand the Scrum process

      Understand the ceremonies part of the scrum process

       Understand the ceremonies part of the scrum process

      Scrum vs. Kanban: Key differences

      Scrum vs. Kanban: Key differences

      Scrum vs. Kanban: When to use each

      Scrum

      Related or grouped changes are delivered in fixed time intervals.

      Use when:

      • Coordinating the development or release of related items
      • Maturing a product or service
      • Coordinating interdependencies between work items

      Kanban

      Independent items are delivered as soon as each is ready.

      Use when:

      • Completing work items from ticketing or individual requests
      • Completing independent changes
      • Releasing changes as soon as possible

      Appendix D: Improving Product Management

      Product delivery realizes value for your product family

      While planning and analysis are done at the family level, work and delivery are done at the individual product level.

      Product delivery realizes value for your product family

      Manage and communicate key milestones

      Successful product-delivery managers understand and define key milestones in their product-delivery lifecycles. These milestones need to be managed along with the product backlog and roadmap.

      Manage and communicate key milestones

      Info-Tech Best Practice
      Product management is not just about managing the product backlog and development cycles. Teams need to manage key milestones, such as learning milestones, test releases, product releases, phase gates, and other organizational checkpoints.

      A backlog stores and organizes product backlog items (PBIs) at various stages of readiness

      Organize product backlog at various stages of readiness

      A well-formed backlog can be thought of as a DEEP backlog:

      Detailed Appropriately: PBIs are broken down and refined as necessary.

      Emergent: The backlog grows and evolves over time as PBIs are added and removed.

      Estimated: The effort that a PBI requires is estimated at each tier.

      Prioritized: A PBI's value and priority are determined at each tier.

      Source: Perforce, 2018

      Backlog tiers facilitate product planning steps

      Ranging from the intake of an idea to a PBI ready for development; to enter the backlog, each PBI must pass through a given quality filter.

      Backlog tiers facilitate product planning steps

      Each activity is a variation of measuring value and estimating effort in order to validate and prioritize a PBI.

      A PBI successfully completes an activity and moves to the next backlog tier when it meets the appropriate criteria. Quality filters should exist between each tier.

      Use quality filters to ensure focus on the most important PBIs

      Expand the concepts of defining "ready" and "done" to include the other stages of a PBI's journey through product planning.

      Use quality filters to ensure focus on the most important PBIs

      Info-Tech Best Practice
      A quality filter ensures that quality is met and the appropriate teams are armed with the correct information to work more efficiently and improve throughput.

      Define product value by aligning backlog delivery with roadmap goals

      In each product plan, the backlogs show what you will deliver. Roadmaps identify when and in what order you will deliver value, capabilities, and goals.

      Define product value by aligning backlog delivery with roadmap goals

      Product roadmaps guide delivery and communicate your strategy

      In "Deliver on Your Digital Product Vision," we demonstrate how a product roadmap is core to value realization. The product roadmap is your communicated path. As a product owner, you use it to align teams and changes to your defined goals, as well as your product to enterprise goals and strategy.

      Product roadmaps guide delivery and communicate your strategy

      Info-Tech Insight
      The quality of your product backlog - and your ability to realize business value from your delivery pipeline - is directly related to the input, content, and prioritization of items in your product roadmap.

      Info-Tech's approach

      Operationally align product delivery to enterprise goals

      Operationally align product delivery to enterprise goals

      The Info-Tech Difference

      Create a common definition of what a product is and identify the products in your inventory.

      Use scaling patterns to build operationally aligned product families.

      Develop a roadmap strategy to align families and products to enterprise goals and priorities.

      Use products and families to assess value realization.

      Network Segmentation

      • Buy Link or Shortcode: {j2store}503|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Network Management
      • Parent Category Link: /network-management
      • Many legacy networks were built for full connectivity and overlooked potential security ramifications.
      • Malware, ransomware, and bad actors are proliferating. It is not a matter of if you will be compromised but how can the damage be minimized.
      • Cyber insurance will detective control, not a preventative one. Prerequisite audits will look for appropriate segmentation.

      Our Advice

      Critical Insight

      • Lateral movement amplifies damage. Contain movement within the network through segmentation.
      • Good segmentation is a balance between security and manageability. If solutions are too complex, they won’t be updated or maintained.
      • Network services and users change over time, so must your segmentation strategy. Networks are not static; your segmentation must maintain pace.

      Impact and Result

      • Create a common understanding of what is to be built, for whom, and why.
      • Define what services will be offered and how they will be governed.
      • Understand which assets that you already have can jump start the project.

      Network Segmentation Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Network Segmentation Deck – A deck to help you minimize risk by controlling traffic flows within the network.

      Map out appropriate network segmentation to minimize risk in your network.

      • Network Segmentation Storyboard
      [infographic]

      Further reading

      Network Segmentation

      Protect your network by controlling the conversations within it.

      Executive Summary

      Info-Tech Insight

      Lateral movement amplifies damage

      From a security perspective, bad actors often use the tactic of “land and expand.” Once a network is breached, if east/west or lateral movement is not restricted, an attacker can spread quickly within a network from a small compromise.

      Good segmentation is a balance between security and manageability

      The ease of management in a network is usually inversely proportional to the amount of segmentation in that network. Highly segmented networks have a lot of potential complications and management overhead. In practice, this often leads to administrators being confused or implementing shortcuts that circumvent the very security that was intended with the segmentation in the first place.

      Network services and users change over time, so must your segmentation strategy

      Network segmentation projects should not be viewed as singular or “one and done.” Services and users on a network are constantly evolving; the network segmentation strategy must adapt with these changes. Be sure to monitor and audit segmentation deployments and change or update them as required to maintain a proper risk posture.

      Executive Summary

      Your Challenge

      Common Obstacles

      Info-Tech’s Approach

      Networks are meant to facilitate communication, and when devices on a network cannot communicate, it is generally seen as an issue. The simplest answer to this is to design flat, permissive networks. With the proliferation of malware, ransomware, and advanced persistent threats (ATPs) a flat or permissive network is an invitation for bad actors to deliver more damage at an increased pace.

      Cyber insurance may be viewed as a simpler mitigation than network reconfiguration or redesign, but this is not a preventative solution, and the audits done before policies are issued will flag flat networks as a concern.

      Network segmentation is not a “bolt on” fix. To properly implement a minimum viable product for segmentation you must, at a minimum:

      • Understand the endpoints and their appropriate traffic flows.
      • Understand the technologies available to implement segmentation.

      Implementing appropriate segmentation often involves elements of (if not a full) network redesign.

      To ensure the best results in a timely fashion, Info-Tech recommends a methodology that consists of:

      • Understand the network (or subset thereof) and prioritizing segmentation based on risk.
      • Align the appropriate segmentation methodology for each surfaced segment to be addressed.
      • Monitor the segmented environment for compliance and design efficacy, adding to and modifying existing as required.

      Info-Tech Insight

      The aim of networking is communication, but unfettered communication can be a liability. Appropriate segmentation in networks, blocking communications where they are not required or desired, restricts lateral movement within the network, allowing for better risk mitigation and management.

      Network segmentation

      Compartmentalization of risk:

      Segmentation is the practice of compartmentalizing network traffic for the purposes of mitigating or reducing risk. Segmentation methodologies can generally be grouped into three broad categories:

      1. Physical Segmentation

      The most common implementation of physical segmentation is to build parallel networks with separate hardware for each network segment. This is sometimes referred to as “air gapping.”

      2. Static Virtual Segmentation

      Static virtual segmentation is the configuration practice of using technologies such as virtual LANs (VLANs) to assign ports or connections statically to a network segment.

      3. Dynamic Virtual Segmentation

      Dynamic virtual segmentation assigns a connection to a network segment based on the device or user of the connection. This can be done through such means as software defined networking (SDN), 802.1x, or traffic inspection and profiling.

      Common triggers for network segmentation projects

      1. Remediate Audit Findings

      Many security audits (potentially required for or affecting premiums of cyber insurance) will highlight the potential issues of non-segmented networks.

      2. Protect Vulnerable Technology Assets

      Whether separating IT and OT or segmenting off IoT/IIoT devices, keeping vulnerable assets separated from potential attack vectors is good practice.

      3. Minimize Potential for Lateral Movement

      Any organization that has experienced a cyber attack will realize the value in segmenting the network to slow a bad actor’s movement through technology assets.

      How do you execute on network segmentation?

      The image contains a screenshot of the network segmentation process. The process includes: identify risk, design segmentation, and operate and optimize.

      Identify risks by understanding access across the network

      Gain visibility

      Create policy

      Prioritize change

      "Security, after all, is a risk business. As companies don't secure everything, everywhere, security resilience allows them to focus their security resources on the pieces of the business that add the most value to an organization, and ensure that value is protected."

      – Helen Patton,

      CISO, Cisco Security Business Group, qtd. In PR News, 2022

      Discover the data flows within the network. This should include all users on the network and the environments they are required to access as well as access across environments.

      Examine the discovered flows and define how they should be treated.

      Change takes time. Use a risk assessment to prioritize changes within the network architecture.

      Understand the network space

      A space is made up of both services and users.

      Before starting to consider segmentation solutions, define whether this exercise is aimed at addressing segmentation globally or at a local level. Not all use cases are global and many can be addressed locally.

      When examining a network space for potential segmentation we must include:

      • Services offered on the network
      • Users of the network

      To keep the space a consumable size, both of these areas should be approached in the abstract. To abstract, users and services should be logically grouped and generalized.

      Groupings in the users and services categories may be different across organizations, but the common thread will be to contain the amount of groupings to a manageable size.

      Service Groupings

      • Are the applications all components of a larger service or environment?
      • Do the applications serve data of a similar sensitivity?
      • Are there services that feed data and don’t interact with users (IoT, OT, sensors)?

      User Groupings

      • Do users have similar security profiles?
      • Do users use a similar set of applications?
      • Are users in the same area of your organization chart?
      • Have you considered access by external parties?

      Info-Tech Insight

      The more granular you are in the definition of the network space, the more granular you can be in your segmentation. The unfortunate corollary to this is that the difficulty of managing your end solution grows with the granularity of your segmentation.

      Create appropriate policy

      Understand which assets to protect and how.

      Context is key in your ability to create appropriate policy. Building on the definition of the network space that has been created, context in the form of the appropriateness of communications across the space and the vulnerabilities of items within the space can be layered on.

      To decide where and how segmentation might be appropriate, we must first examine the needs of communication on the network and their associated risk. Once defined, we can assess how permissive or restrictive we should be with that communication.

      The minimum viable product for this exercise is to define the communication channel possibilities, then designate each possibility as one of the following:

      • Permissive – we should freely allow this traffic
      • Restricted – we should allow some of the traffic and/or control it
      • Rejected – we should not allow this traffic

      Appropriate Communications

      • Should a particular group of users have access to a given service?
      • Are there external users involved in any grouping?

      Potential Vulnerabilities

      • Are the systems in question continually patched/updated?
      • Are the services exposed designed with the appropriate security?

      Prioritize the potential segmentation

      Use risk as a guide to prioritize segmentation.

      For most organizations, the primary reason for network segmentation is to improve security posture. It follows that the prioritization of initiatives and/or projects to implement segmentation should be based on risk.

      When examining risk, an organization needs to consider both:

      • Impact and likelihood of visibility risk in respect to any given asset, data, or user
      • The organization’s level of risk tolerance

      The assets or users that are associated with risk levels higher than the tolerance of the organization should be prioritized to be addressed.

      Service Risks

      • If this service was affected by an adverse event, what would the impact on the organization be?

      User Risks

      • Are the users in question FTEs as opposed to contractors or outsourced resources?
      • Is a particular user group more susceptible to compromise than others?

      Info-Tech Insight

      Be sure to keep this exercise relative so that a clear ranking occurs. If it turns out that everything is a priority, then nothing is a priority. When ranking things relative to others in the exercise, we ensure clear “winners” and “losers.”

      Assess risk and prioritize action

      1-3 hours

      1. Define a list of users and services that define the network space to be addressed. If the lists are too long, use an exercise like affinity diagramming to appropriately group them into a smaller subset.
      2. Create a matrix from the lists (put users and services along the rows and columns). In the intersecting points, label how the traffic should be treated (e.g. Permissive, Restricted, Rejected).
      3. Examine the matrix and assess the intersections for risk using the lens of impact and likelihood of an adverse event. Label the intersections for risk level with one of green (low impact/likelihood), yellow (medium impact/likelihood), or red (high impact/likelihood).
      4. Find commonalities within the medium/high areas and list the users or services as priorities to be addressed.
      Input Output
      • Network, application, and security documentation
      • A prioritized list of areas to address with segmentation
      Materials Participants
      • Whiteboard/Flip Charts

      OR

      • Excel spreadsheet
      • Network Team
      • Application Team
      • Security Team
      • Data Team

      Design segmentation

      Segmentation comes in many flavors; decide which is right for the specific circumstance.

      Methodology

      Access control

      "Learning to choose is hard. Learning to choose well is harder. And learning to choose well in a world of unlimited possibilities is harder still, perhaps too hard."

      ― Barry Schwartz, The Paradox of Choice: Why More Is Less

      What is the best method to segment the particular user group, service, or environment in question?

      How can data or user access move safely and securely between network segments?

      Decide on which methods work for your circumstances

      You always have options…

      There are multiple lenses to look through when making the decision of what the correct segmentation method might be for any given user group or service. A potential subset could include:

      • Effort to deploy
      • Cost of the solution
      • Skills required to operate
      • Granularity of the segmentation
      • Adaptability of the solution
      • Level of automation in the solution

      Info-Tech Insight

      Network segmentation within an organization is rarely a one-size-fits-all proposition. Be sure to look at each situation that has been identified to need segmentation and align it with an appropriate solution. The overall number of solutions deployed has to maintain a balance between that appropriateness and the effort to manage multiple environments.

      Framework to examine segmentation methods

      To assess we need to understand.

      To assess when technologies or methodologies are appropriate for a segmentation use case, we need to understand what those options are. We will be examining potential segmentation methods and concepts within the following framework:

      WHAT

      A description of the segmentation technology, method, or concept.

      WHY

      Why would this be used over other choices and/or in what circumstances?

      HOW

      A high-level overview of how this option could or would be deployed.

      Notional assessments will be displayed in a sidebar to give an idea of Effort, Cost, Skills, Granularity, Adaptability, and Automation.

      Implement

      Notional level of effort to implement on a standard network

      Cost

      Relative cost of implementing this segmentation strategy

      Maintain

      Notional level of time and skills needed to maintain

      Granularity

      How granular this type of segmentation is in general

      Adaptability

      The ability of the solution to be easily modified or changed

      Automation

      The level of automation inherent in the solution

      Air gap

      … And never the twain shall meet.

      – Rudyard Kipling, “The Ballad of East and West.”

      WHAT

      Air gapping is a strategy to protect portions of a network by segmenting those portions and running them on completely separate hardware from the primary network. In an air gap scenario, the segmented network cannot have connectivity to outside networks. This difference makes air gapping a very specific implementation of parallel networks (which are still segmented and run on separate hardware but can be connected through a control point).

      WHY

      Air gap is a traditional choice when environments need to be very secure. Examples where air gaps exist(ed) are:

      • Operational technology (OT) networks
      • Military networks
      • Critical infrastructure

      HOW

      Most networks are not overprovisioned to a level that physical segmentation can be done without purchasing new equipment. The major steps required for constructing an air gap include:

      • Design segmentation
      • Purchase and install new hardware
      • Cable to new hardware

      The image contains a screenshot that demonstrates pie graphs with the notional assessments: Effort, Cost, Skills, Granularity, and Automation.

      Info-Tech Insight

      An air gapped network is the ultimate in segmentation and security … as long as the network does not require connectivity. It is unfortunately rare in today’s world that a network will stand on its own without any need for external connectivity.

      VLAN

      Do what you can, with what you’ve got…

      – Theodore Roosevelt

      WHAT

      Virtual local area networks (VLANs) are a standard feature on today’s firewalls, routers, and manageable switches. This configuration option allows for network traffic to be segmented into separate virtual networks (broadcast domains) on existing hardware. This segmentation is done at layer 2 of the OSI model. All traffic will share the same hardware but be partitioned based on “tags” that the local device applies to the traffic. Because of these tags, traffic is handled separately at layer 2 of the OSI model, but traffic can pass between segments at layer 3 (e.g. IP layer).

      WHY

      VLANs are commonly used because most existing deployments already have the technology available without extra licensing. VLANs are also potentially used as foundational components in more complex segmentation strategies such as static or dynamic overlays.

      HOW

      VLANs allow for segmentation of a device at the port level. VLAN strategies are generally on a location level (e.g. most VLAN deployments are local to a site, though the same structure may be used among sites). To deploy VLANs you must:

      • Define VLAN segments
      • Assign ports appropriately

      The image contains a screenshot that demonstrates pie graphs with the notional assessments: Effort, Cost, Skills, Granularity, and Automation.

      Info-Tech Insight

      VLANs are tried and true segmentation workhorses. The fact that they are already included in modern manageable solutions means that there is very little reason to not have some level of segmentation within a network.

      Micro-segmentation

      Everyone is against micromanaging, but macro managing means you’re working on the big picture but don’t understand the details.

      – Henry Mintzberg

      WHAT

      Micro-segmentation is used to secure and control network traffic between workloads. This is a foundational technology when implementing zero trust or least-privileged access network designs. Segmentation is done at or directly adjacent to the workload (on the system or its direct network connectivity) through firewall or similar policy controls. The controls are set to only allow the network communication required to execute the workload and is limited to appropriate endpoints. This restrictive design restricts all traffic (including east-west) and reduces the attack surface.

      WHY

      Micro-segmentation is primarily used:

      • In server-to-server communication.
      • When lateral movement by bad actors is identified as a concern.

      HOW

      Micro-segmentation can be deployed at different places within the connectivity depending on the technologies used:

      • Workload/server (e.g. server firewall)
      • VM network overlay (e.g. VMware NSX)
      • Network port (e.g. ACL, firewall, ACI)
      • Cloud native (e.g. Azure Firewall)

      Info-Tech Insight

      Micro-segmentation is necessary in the data center to limit lateral movement. Just be sure to be thorough in defining required communication as this technology works on allowlists, not traditional blocklists.

      Static overlay

      Adaptability is key.

      – Marc Andreessen

      WHAT

      Static overlays are a form of virtual segmentation that allows multiple network segments to exist on the same device. Most of these solutions will also allow for these segments to expand across multiple devices or sites, creating overlay virtual networks on top of the existing physical networks. The static nature of the solution is because the ports that participate in the overlays are statically assigned and configured. Connectivity between devices and sites is done through encapsulation and may have a dynamic component of the control plane handled through routing protocols.

      WHY

      Static overlays are commonly deployed when the need is to segment different use cases or areas of the organization consistently across sites while allowing easy access within the segments between sites. This could be representative of segmenting a department like Finance or extending a layer 2 segment across data centers.

      HOW

      Static overlays are can segment and potentially extend a layer 2 or layer 3 network. These solutions could be executed with technologies such as:

      • VXLAN (Virtual eXtensible LAN)
      • MPLS (Multi Protocol Label Switching)
      • VRF (Virtual Routing & Forwarding)

      The image contains a screenshot that demonstrates pie graphs with the notional assessments: Effort, Cost, Skills, Granularity, and Automation.

      Info-Tech Insight

      Static overlays are commonly deployed by telecommunications providers when building out their service offerings due to the multitenancy requirements of the network.

      Dynamic overlay

      Never tell people how to do things. Tell them what to do and they will surprise you with their ingenuity.

      – George S. Patton

      WHAT

      A dynamic overlay segmentation solution has the ability to make security or traffic decisions based on policy. Rather than designing and hardcoding the network architecture, the policy is architected and the network makes decisions based on that policy. Differing levels of control exist in this space, but the underlying commonality is that the segmentation would be considered “software defined” (SDN).

      WHY

      Dynamic overlay solutions provide the most flexibility of the presented solutions. Some use cases such as BYOD or IoT devices may not be easily identified or controlled through static means. As a general rule of thumb, the less static the network is, the more dynamic your segmentation solution must be.

      HOW

      Policy is generally applied at the network ingress. When applying policy, which policy to be applied can be identified through different methodologies such as:

      • Authentication (e.g. 802.1x)
      • Device agents
      • Device profiling

      The image contains a screenshot that demonstrates pie graphs with the notional assessments: Effort, Cost, Skills, Granularity, and Automation.

      Info-Tech Insight

      Dynamic overlays allow for more flexibility through its policy-based configurations. These solutions can provide the highest value when positioned where we have less control of the points within a network (e.g. BYOD scenarios).

      Define how your segments will communicate

      No segment is an island…

      Network segmentation allows for protection of devices, users, or data through the act of separating the physical or virtual networks they are on. Counter to this protective stance, especially in today’s networks, these devices, users, or data tend to need to interact with each other outside of the neat lines we draw for them. Proper network segmentation has to allow for the transfer of assets between networks in a safe and secure manner.

      Info-Tech Insight

      The solutions used to facilitate the controlled communication between segments has to consider the friction to the users. If too much friction is introduced, people will try to find a way around the controls, potentially negating the security that is intended with the solution.

      Potential access methods

      A ship in harbor is safe, but that is not what ships are built for.

      – John A. Shedd

      Firewall

      Two-way controlled communication

      Firewalls are tried and true control points used to join networks. This solution will allow, at minimum, port-level control with some potential for deeper inspection and control beyond that.

      • Traditionally firewalls are sized to handle internet-bound (North-South) traffic. When being used between segments, (East-West) loads are usually much higher, necessitating a more powerful device.

      Jump Box

      A place between worlds

      Also sometimes referred to as a “Bastion Host,” a jump box is a special-purpose computer/server that has been hardened and resides on multiple segments of a network. Administrators or users can log into this box and use it to securely use the tools installed to act on other segments of the network.

      • Jump box security is of utmost importance. Special care should be taken in hardening, configuration, and application installed to ensure that users cannot use the box to tunnel or traverse between the segments outside of well-defined and controlled circumstances.

      Protocol Gateway

      Command-level control

      A protocol gateway is a specific and special subset of a firewall. Whereas a firewall is a security generalist, a protocol gateway is designed to understand and have rule-level control over the commands passing through it within defined protocols. This granularity, for example, allows for control and filtering to only allow defined OT commands to be passed to a secure SCADA network.

      • Protocol gateways are generally specific feature sets of a firewall and traditionally target OT network security as their core use case.

      Network Pump

      One-way data extraction

      A network pump is a concept designed to allow data to be transferred from a secure network to a less secure network while still protecting against covert channels such as using the ACK within a transfer to transmit data. A network pump will consist of trusted processes and schedulers that allow for data to pass but control channels to be sufficiently modified so as to not allow security concerns.

      • Network pumps would generally be deployed in the most security demanding of environments and are generally not “off the shelf” products.

      Operate and optimize

      Security is not static. Monitor and iterate on policies within the environment.

      Monitor

      Iterate

      Two in three businesses (68%) allow more employee data access than necessary.

      GetApp's 2022 Data Security Survey Report

      Are the segmentation efforts resulting in the expected traffic changes? Are there any anomalies that need investigation?

      Using the output from the monitoring stage, refine and optimize the design by iterating on the process.

      Monitor for efficacy, compliance, and the unknown

      Monitor to ensure your intended results and to identify new potential risks.

      Monitoring network segments

      A combination of passive and active monitoring is required to ensure that:

      • The rules that have been deployed are working as expected.
      • Appropriate proof of compliance is in place for auditing and insurance purposes.
      • Environments are being monitored for unexpected traffic.

      Active monitoring goes beyond the traditional gathering of information for alerts and dashboards and moves into the space of synthetic users and anomaly detection. Using these strategies helps to ensure that security is enforced appropriately and responses to issues are timely.

      "We discovered in our research that insider threats are not viewed as seriously as external threats, like a cyberattack. But when companies had an insider threat, in general, they were much more costly than external incidents. This was largely because the insider that is smart has the skills to hide the crime, for months, for years, sometimes forever."

      – Dr. Larry Ponemon, Chairman Ponemon Institute, at SecureWorld Boston

      Info-Tech Insight

      Using solutions like network detection and response (NDR) will allow for monitoring to take advantage of advanced analytical techniques like artificial intelligence (AI) and machine learning (ML). These technologies can help identify anomalies that a human might miss.

      Monitoring options

      It’s not what you look at that matters, it’s what you see.

      – Henry David Thoreau

      Traditional

      Monitor cumulative change in a variable

      Traditional network monitoring is a minimum viable product. With this solution variables can be monitored to give some level of validation that the segmentation solution is operating as expected. Potential areas to monitor include traffic volumes, access-list (ACL) matches, and firewall packet drops.

      • This is expected baseline monitoring. Without at least this level of visibility, it is hard to validate the solutions in place

      Rules Based

      Inspect traffic to find a match against a library of signatures

      Rules-based systems will monitor traffic against a library of signatures and alert on any matches. These solutions are good at identifying the “known” issues on the network. Examples of these systems include security incident and event management (SIEM) and intrusion detection/prevention systems (IDS/IPS).

      • These solutions are optimally used when there are known signatures to validate traffic against.
      • They can identify known attacks and breaches.

      Anomaly Detection

      Use computer intelligence to compare against baseline

      Anomaly detection systems are designed to baseline the network traffic then compare current traffic against that to find anomalies using technologies like Bayesian regression analysis or artificial intelligence and machine learning (AI/ML). This strategy can be useful in analyzing large volumes of traffic and identifying the “unknown unknowns.”

      • Computers can analyze large volumes of data much faster than a human. This allows these solutions to validate traffic in (near) real-time and alert on things that are out of the ordinary and would not be easily visible to a human.

      Synthetic Data

      Mimic potential traffic flows to monitor network reaction

      Rather than wait for a bad actor to find a hole in the defenses, synthetic data can be used to mimic real-world traffic to validate configuration and segmentation. This often takes the form of real user monitoring tools, penetration testing, or red teaming.

      • Active monitoring or testing allows a proactive stance as opposed to a reactive one.

      Gather feedback, assess the situation, and iterate

      Take input from operating the environment and use that to optimize the process and the outcome.

      Optimize through iteration

      Output from monitoring must be fed back into the process of maintaining and optimizing segmentation. Network segmentation should be viewed as an ongoing process as opposed to a singular structured project.

      Monitoring can and will highlight where and when the segmentation design is successful and when new traffic flows arise. If these inputs are not fed back through the process, designs will become stagnant and admins or users will attempt to find ways to circumvent solutions for ease of use.

      "I think it's very important to have a feedback loop, where you're constantly thinking about what you've done and how you could be doing it better. I think that's the single best piece of advice: constantly think about how you could be doing things better and questioning yourself."

      – Elon Musk, qtd. in Mashable, 2012

      Info-Tech Insight

      The network environment will not stay static; flows will change as often as required for the business to succeed. Take insights from monitoring the environment and integrate them into an iterative process that will maintain relevance and usability in your segmentation.

      Bibliography

      Andreessen, Marc. “Adaptability is key.” BrainyQuote, n.d.
      Barry Schwartz. The Paradox of Choice: Why More Is Less. Harper Perennial, 18 Jan. 2005.
      Capers, Zach. “GetApp’s 2022 Data Security Report—Seven Startling Statistics.” GetApp,
      19 Sept. 2022.
      Cisco Systems, Inc. “Cybersecurity resilience emerges as top priority as 62 percent of companies say security incidents impacted business operations.” PR Newswire, 6 Dec. 2022.
      “Dynamic Network Segmentation: A Must-Have for Digital Businesses in the Age of Zero Trust.” Forescout Whitepaper, 2021. Accessed Nov. 2022.
      Eaves, Johnothan. “Segmentation Strategy - An ISE Prescriptive Guide.” Cisco Community,
      26 Oct. 2020. Accessed Nov. 2022.
      Kambic, Dan, and Jason Fricke. “Network Segmentation: Concepts and Practices.” Carnegie Mellon University SEI Blog, 19 Oct. 2020. Accessed Nov. 2022.
      Kang, Myong H., et al. “A Network Pump.” IEEE Transactions on Software Engineering, vol. 22 no. 5, May 1996.
      Kipling, Rudyard. “The Ballad of East and West.” Ballads and Barrack-Room Ballads, 1892.
      Mintzberg, Henry. “Everyone is against micro managing but macro managing means you're working at the big picture but don't know the details.” AZ Quotes, n.d.
      Murphy, Greg. “A Reimagined Purdue Model For Industrial Security Is Possible.” Forbes Magazine, 18 Jan. 2022. Accessed Oct. 2022.
      Patton, George S. “Never tell people how to do things. Tell them what to do and they will surprise you with their ingenuity.” BrainyQuote, n.d.
      Ponemon, Larry. “We discovered in our research […].” SecureWorld Boston, n.d.
      Roosevelt, Theodore. “Do what you can, with what you've got, where you are.” Theodore Roosevelt Center, n.d.
      Sahoo, Narendra. “How Does Implementing Network Segmentation Benefit Businesses?” Vista Infosec Blog. April 2021. Accessed Nov. 2022.
      “Security Outcomes Report Volume 3.” Cisco Secure, Dec 2022.
      Shedd, John A. “A ship in harbor is safe, but that is not what ships are built for.” Salt from My Attic, 1928, via Quote Investigator, 9 Dec. 2023.
      Singleton, Camille, et al. “X-Force Threat Intelligence Index 2022” IBM, 17 Feb. 2022.
      Accessed Nov. 2022.
      Stone, Mark. “What is network segmentation? NS best practices, requirements explained.” AT&T Cyber Security, March 2021. Accessed Nov. 2022.
      “The State of Breach and Attack Simulation and the Need for Continuous Security Validation: A Study of US and UK Organizations.” Ponemon Institute, Nov. 2020. Accessed Nov. 2022.
      Thoreau, Henry David. “It’s not what you look at that matters, it’s what you see.” BrainyQuote, n.d.
      Ulanoff, Lance. “Elon Musk: Secrets of a Highly Effective Entrepreneur.” Mashable, 13 April 2012.
      “What Is Microsegmenation?” Palo Alto, Accessed Nov. 2022.
      “What is Network Segmentation? Introduction to Network Segmentation.” Sunny Valley Networks, n.d.

      Define Your Virtual and Hybrid Event Requirements

      • Buy Link or Shortcode: {j2store}64|cart{/j2store}
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      • Parent Category Name: End-User Computing Applications
      • Parent Category Link: /end-user-computing-applications

      Your organization is considering holding an event online, or has been, but:

      • The organization (both on the business and IT sides) may not have extensive experience hosting events online.
      • It is not immediately clear how your formerly in-person event’s activities translate to a virtual environment.
      • Like the work-from-home transformation, bringing events online instantly expands IT’s role and responsibilities.

      Our Advice

      Critical Insight

      If you don't begin with strategy, you will fit your event to technology, instead of the other way around.

      Impact and Result

      To determine your requirements:

      • Determine the scope of the event.
      • Narrow down your list of technical requirements.
      • Use Info-Tech’s Rapid Application Selection Framework to select the right software solution.

      Define Your Virtual and Hybrid Event Requirements Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Define Your Virtual and Hybrid Event Requirements Storyboard – Use this storyboard to work through key decision points involved in creating digital events.

      This deck walks you through key decision points in creating virtual or hybrid events. Then, begin the process of selecting the right software by putting together the first draft of your requirements for a virtual event software solution.

      • Define Your Virtual and Hybrid Event Requirements Storyboard

      2. Virtual Events Requirements Tool – Use this tool to begin selecting your requirements for a digital event solution.

      The business should review the list of features and select which ones are mandatory and which are nice to have or optional. Add any features not included.

      • Virtual/Hybrid Event Software Feature Analysis Tool
      [infographic]

      Further reading

      Define Your Virtual and Hybrid Event Requirements

      Accelerate your event scoping and software selection process.

      Analyst Perspective

      When events go virtual, IT needs to cover its bases.

      The COVID-19 pandemic imposed a dramatic digital transformation on the events industry. Though event ticket and registration software, mobile event apps, and onsite audio/visual technology were already important pieces of live events, the total transformation of events into online experiences presented major challenges to organizations whose regular business operations involve at least one annual mid-sized to large event (association meetings, conferences, trade shows, and more).

      Many organizations worked to shift to online, or virtual events, in order to maintain business continuity. As time went on, and public gatherings began to restart, a shift to “hybrid” events began to emerge—events that accommodate both in-person and virtual attendance. Regardless of event type, this pivot to using virtual event software, or digital event technology, brings events more closely into IT’s areas of responsibility. If you don't begin with strategy, you risk fitting your event to technology, instead of the other way around.

      If virtual and hybrid events are becoming standard forms of delivering content in your organization, use Info-Tech’s material to help define the scope of the event and your requirements, and to support your software selection process.

      Photo of Emily Sugerman
      Emily Sugerman
      Research Analyst, Infrastructure & Operations
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      The organization (both on the business and IT sides) may not have extensive experience hosting events online.

      It is not immediately clear how a formerly in-person event’s activities translate to a virtual environment.

      Like the work-from-home transformation, bringing events online expands IT’s role and responsibilities.

      Common Obstacles

      It is not clear what technological capabilities are needed for the event, which capabilities you already own, and what you may need to purchase.

      Though virtual events remove some barriers to attendance (distance, travel), it introduces new complications and considerations for planners.

      Hybrid events introduce another level of complexity.

      Info-Tech’s Approach

      In order to determine your requirements:

      Determine the scope of the event.

      Narrow down your list of technical requirements.

      Use Info-Tech’s Rapid Application Selection Framework to select the right software solution.

      Info-Tech Insight

      If you don't begin with strategy, you will fit your event to technology, instead of the other way around.

      Your challenge

      The solution you have been using for online events does not meet your needs.

      Though you do have some tools that support large meetings, it is not clear if you require a larger and more comprehensive virtual event solution. There is a need to determine what type of technology you might need to purchase versus leveraging what you already have.

      It is difficult to quickly and practically identify core event requirements and how they translate into technical capabilities.

      Maintaining or improving audience engagement is a perpetual challenge for virtual events.

      38%
      of event professionals consider virtual event technology “a tool for reaching a wider audience as part of a hybrid strategy.”

      21%
      consider it “a necessary platform for virtual events, which remain my go-to event strategy.”

      40%
      prioritize “mid-budget all-in-one event tech solution that will prevent remote attendees from feeling like second-class participants.”

      Source: Virtual Event Tech Guide, 2022

      Common obstacles

      These barriers make this challenge difficult to address for many organizations.

      Events with networking objectives are not always well served by webinars, which are traditionally more limited in their interactive elements.

      Events that include the conducting of organizational/association business (like voting) may have bylaws that make selecting a virtual solution more challenging.

      Maintaining attendee engagement is more challenging in a virtual environment.

      Prior to the pandemic, your organization may not have been as experienced in putting on fully virtual events, putting more responsibility in your corner as IT. Navigating virtual events can also require technological competencies that your attendee userbase may not universally possess.

      Technological limitations and barriers to access can exclude potential attendees just as much as bringing events online can open up attendance to new audiences.

      Opportunity: Virtual events can significantly increase an event’s reach

      Events held virtually during the pandemic noted significant increases in attendees.

      “We had 19,000 registrations from all over the world, almost 50 times the number of people we had expected to host in Amsterdam. . . . Most of this year’s [2020] attendees would not have been able to participate in a physical GrafanaCon in Amsterdam. That was a huge win.” – Raj Dutt, Grafana Labs CEO[5]

      Event In-person Online 2022
      Microsoft Build 2019: 6,000 attendees 2020: 230,000+ registrants[1] The 2022 conference was also held virtually[3]
      Stanford Institute for Human-Centered Artificial Intelligence A few hundred attendees expected for the original (cancelled) 2020 in-person conference 2020: 30,000 attendees attended the “COVID-19 and AI” virtual conference[2] The 2022 Spring Conference was a hybrid event[4]

      [1] Kelly, 2020; [2] Price, 2020; [3] Stanford Digital Economy Lab, 2022; [4] Warren, 2022; [5] Fast Company, 2020

      Info-Tech’s methodology for defining virtual/hybrid event requirements

      A diagram that shows defining event scope, creating list of requirements, and selecting software.

      Event planning phases

      Apply project management principles to your virtual/hybrid event planning process.

      Online event planning should follow the same established principles as in-person event planning.
      Align the event’s concept and objectives with organizational goals.

      A diagram of event planning phases
      Source: Adapted from Event Management Body of Knowledge, CC BY 4.0

      Gather inputs to the planning processes

      Acquire as much of this information as possible before you being the planning process.

      Budget: Determine your organization’s budget for this event to help decide the scope of the event and the purchasing decisions you make as you plan.

      Internal human resources: Identify who in your organization is usually involved in the organization of this event and if they are available to organize this one.

      List of communication and collaboration tools: Acquire the list of the existing communication and collaboration tools you are currently licensed for. Ensure you know the following information about each tool:

      • Type of license
      • License limitations (maximum number of users)
      • Internal or external-facing tool (or capable of both)
      • Level of internal training and competency on the tool

      Decision point: Relate event goals to organizational goals

      What is driving the event?

      Your organization may hold a variety of in-person events that you now wish, for various reasons, to hold fully or partially online. Each event likely has a slightly different set of goals.

      Before getting into the details of how to transition your event online, return to the business/organizational goals the event is serving.

      Ensure each event (and each component of each event) maps back to an organizational goal.

      If a component of the event does not align to an organizational goal, assess whether it should remain as part of the event.

      Common organizational goals

      • Increase revenue
      • Increase productivity
      • Attract and retain talent
      • Improve change management
      • Carry out organizational mission
      • Identify new markets
      • Increase market share
      • Improve customer service
      • Launch new product/service

      Common event goals

      • Education/training
      • Knowledge transfer
      • Decision making
      • Professional development
      • Sales/lead generation
      • Fundraising
      • Entertainment
      • Morale boosting
      • Recognition of achievement

      Decision point: Identify your organization’s digital event vision

      What do you want the outcome of this event to be?

      Attendee goals: Who are your attendees? Why do they attend this event? What attendee needs does your event serve? What is your event’s value proposition? Are they intrinsically or extrinsically motivated to attend?

      Event goals: From the organizer perspective, why do you usually hold this event? Who are your stakeholders?

      Organizational goals: How do the event goals map to your organizational goals? Is there a clear understanding of what the event’s larger strategic purpose is.

      Common attendee goals

      Education: our attendees need to learn something new that they cannot learn on their own.
      Networking: our attendees need to meet people and make new professional connections.
      Professional development: our attendees have certain obligations to keep credentials updated or to present their work publicly to advance their careers.
      Entertainment: our attendees need to have fun.
      Commerce: our attendees need to buy and sell things.

      Decision point: Level of external event production

      Will you be completely self-managed, reliant on external event production services, or somewhere in the middle?

      You can review this after working through the other decision points and the scope becomes clearer.

      A diagram that shows Level of external event production, comparing Completely self-managed vs Fully externally-managed.

      Decision point: Assign event planning roles

      Who will be involved in planning the event? Fill/combine these roles as needed.

      Planning roles Description
      Project manager Shepherd event planning until completion while ensuring project remains on schedule and on budget.
      Event manager Correspond with presenters during leadup to event, communicate how to use online event tools/platform, perform tests with presenters/exhibitors, coordinate digital event staff/volunteers.
      Program planner Select the topics, speakers, activity types, content, streams.
      Designer and copywriter Design the event graphics; compose copy for event website.
      Digital event technologist Determine event technology requirements; determine how event technology fits together; prepare RFP, if necessary, for new hardware/software.
      Platform administrator Set up registration system/integrate registrations into platform(s) of choice; upload video files and collateral; add livestream links; add/delete staff roles and set controls and permissions; collect statistics and recordings after event.
      Commercial partner liaison Recruit sponsors and exhibitors (offer sponsorship packages); facilitate agreement/contract between commercial partners and organization; train commercial partners on how to use event technology; retrieve lead data.
      Marketing/social media Plan and execute promotional campaigns (email, social media) in the lead up to, and during, the event. Post-event, send follow-up communications, recording files, and surveys.

      Decision point: Assign event production roles

      Who will be involved in running the event?

      Event production roles Description
      Hosts/MCs Address attendees at beginning and end of event, and in-between sessions
      Provide continuity throughout event
      Introduce sessions
      Producers Prepare presenters for performance
      Begin and end sessions
      Use controls to share screens, switch between feeds
      Send backchannel messages to presenters (e.g., "Up next," "Look into webcam")
      Moderators Admit attendees from waiting room
      Moderate incoming questions from attendees
      Manage slides
      Pass questions to host/panelists to answer
      Moderate chat
      IT support Manage event technology stack
      Respond to attendee technical issues
      Troubleshoot network connectivity problems
      Ensure audio and video operational
      Start and stop session recording
      Save session recordings and files (chat, Q&As)

      Decision point: Map attendee goals to event goals to organizational goals

      Input: List of attendee benefits, List of event goals, List of organizational goals
      Output: Ranked list of event goals as they relate to attendee needs and organizational goals
      Materials: Whiteboard/flip charts
      Participants: Planning team

      1. Define attendee benefits:
        1. List the attendee benefits derived from your event (as many as possible).
        2. Rank attendee benefits from most to least important.
      2. Define event goals:
        1. List your event goals (as many as possible).
        2. Draw a connecting line to your ranked list of attendee benefits.
        3. Identify if any event goals exist with no clear relationship to attendee benefits. Discuss whether this event goal needs to be re-envisioned. If it connects to no discernible attendee benefits, consider removing it. Otherwise, figure out what attendee benefits the event goal provides.
      3. Define organizational goals:
        1. Acquire a list of your organization’s main strategic goals.
        2. Draw a connecting line from each event goal to the organizational goal it supports.
        3. If most of your event goals do not immediately seem to support an organizational goal, discuss why this is. Try to find the connection. If you cannot, discuss whether the event should proceed or be rethought.

      Decision point: Break down your event into its constituent components

      Identify your event archetype

      Decompose the event into its component parts

      Identify technical requirements that help meet event goals

      Benefits:

      • Clarify how formerly in-person events map to virtual archetypes.
      • Ensure your virtual event planning is anchored to organizational goals from the outset.
      • Streamline your virtual event tech stack planning later.

      Decision point: Determine your event archetype

      Analyze your event’s:

      • Main goals.
      • The components and activities that support those goals.
      • How these components and activities fall into people- vs. content-centric activities, and real-time vs. asynchronous activities.
      1. Conference
      2. Trade show
      3. Annual general meeting
      4. Department meeting
      5. Town hall
      6. Workshop

      A diagram that shows people- vs. content-centric activities, and real-time vs. asynchronous activities

      Info-Tech Insight

      Begin the digital event planning process by understanding how your event’s content is typically consumed. This will help you make decisions later about how best to deliver the content virtually.

      Conference

      Goals: Education/knowledge transfer; professional advancement; networking.

      Major content

      • Call for proposals/circulation of abstracts
      • Keynotes or plenary address: key talk addressed to large audience
      • Panel sessions: multiple panelists deliver address on common theme
      • Poster sessions: staffed/unstaffed booths demonstrate visualization of major research on a poster
      • Association meetings (see also AGM archetype): professional associations hold AGM as one part of a larger conference agenda

      Community

      • Formal networking (happy hours, social outings)
      • Informal networking (hallway track, peer introductions)
      • Business card exchange
      • Pre- and post-event correspondence

      Commercial Partners

      • Booth reps: Publishing or industry representatives exhibit products/discuss collaboration

      A quadrants matrix of conference

      Trade show

      Objectives: Information transfer; sales; lead generation.

      Major content

      • Live booth reps answer questions
      • Product information displayed
      • Promotional/information material distributed
      • Product demonstrations at booths or onstage
      • Product samples distributed to attendees

      Community interactions

      • Statements of intent to buy
      • Lead generation (badge scanning) of booth visitors
      • Business card exchange
      • Pre- and post-event correspondence

      A quadrants matrix of Trade show

      Annual general meeting

      Objectives: Transparently update members; establish governance and alignment.

      Meeting events

      • Updates provided to members on organization’s activities/finances
      • Decisions made regarding organization’s direction
      • Governance over organization established (elections)
      • Speakers addressing large audience from stage
      • In-camera sessions
      • Translation of proceedings
      • Real-time weighted voting
      • Minutes taken during meeting

      Administration

      • Notice given of meeting within mandated time period
      • Agenda circulated prior to meeting
      • Distribution of proxy material
      • Minutes distributed

      A quadrants matrix of Annual general meeting

      Department meeting

      Objectives: Information transfer of company agenda/initiatives; group decision making.

      Major content

      • Agenda circulated prior to meeting
      • Updates provided from senior management/leadership to employees on organization’s initiatives and direction
      • Employee questions and feedback addressed
      • Group decision making
      • Minutes taken during meeting
      • Minutes or follow-up circulated

      A quadrants matrix of department meeting

      Town hall meeting

      Objectives: Update public; answer questions; solicit feedback.

      Major content

      • Public notice of meeting announced
      • Agenda circulated prior to meeting
      • Speakers addressing large audience from stage
      • Presentation of information pertinent to public interest
      • Audience members line up to ask questions/provide feedback
      • Translation of proceedings
      • Recording of meeting archived

      A quadrants matrix of Town hall meeting

      Workshop

      Objectives: Make progress on objective; achieve consensus; knowledge transfer.

      Major content

      • Scheduling of workshop
      • Agenda circulated prior to meeting
      • Facilitator leads group activities
      • Participants develop alignment on project
      • Progress achieved on workshop project
      • Feedback on workshop shared with facilitator

      A quadrants matrix of Workshop

      Decision point: Analyze your event’s purpose and value

      Use the event archetypes to help you identify your event’s core components and value proposition.

      1. Attendee types: Who typically attends your event? Exclusively internal participants? External participants? A mix of the two?
      2. Communication: How do participants usually communicate with each other during this event? How do they communicate with the event organizers? Include both formal types of communication (listening to panel sessions) and informal (serendipitous conversations in the hallway).
      3. Connection: What types of connections do your attendees need to experience? (networking with peers; interactions with booth reps; consensus building with colleagues).
      4. Exchange of material: What kind of material is usually exchanged at this event and between whom? (Pamphlets, brochures, business cards, booth swag).
      5. Engagement: How do you usually retain attendees' attention and make sure they remain engaged throughout the event?
      6. Length: How long does the event typically last?
      7. Location and setup: Where does the event usually take place and who is involved in its setup?
      8. Success metrics: How do you usually measure your event's success?

      Info-Tech Insight

      Avoid trying to exactly reproduce the formerly in-person event online. Instead, identify the value proposition of each event component, then determine what its virtual expression could be.

      Example: Trade show

      Goals: Information transfer; sales; lead generation.

      1. Identify event component(s)
      2. Document its face-to-face expression(s)
      3. Identify the expression’s value proposition
      4. Translate the value proposition to a virtual component that facilitates overall event goal

      Event component

      Face-to-face expression

      Value proposition of component

      Virtual expression

      Attendee types Paying attendees Revenue for event organizer; sales and lead generation for booth rep Access to virtual event space
      Attendee types Booth rep Revenue for event organizer; information source for paying attendees Access to virtual event space
      Communication/connection Conversation between booth rep and attendee Lead generation for booth rep; information to inform decision making for attendee Ability to enter open video breakout session staffed by booth reps OR

      Ability to schedule meeting times with booth rep

      Multiple booth reps on hand to monitor different elements of the booth (one person to facilitate the discussion over video, another to monitor chat and Q&A)
      Communication/connection Serendipitous conversation between attendees Increased attendee contacts; fun Multiple attendees can attend the booth’s breakout session simultaneously and participate in web conferencing, meeting chat, or submit questions to Q&A
      Communication/connection Badges scanned at booth/email sign-up sheets filled out at table Lead generation for exhibitors List of visitors to booth shared with exhibitor (if consent given by attendees)

      Ability for attendees to request to be contacted for more information
      Exchange of material Catering (complimentary coffee, pastries) Obviate the need for attendees to leave the event for refreshments N/A: not included in virtual event
      Exchange of material Pamphlets, product literature, swag Portable information for attendee decision making Downloadable files (pdf)
      Location Responsibility of both the organizers (tables, chairs, venue) and booth reps (posters, handouts) Booth reps need a dedicated space where they can be easily found by attendees and advertise themselves Booth reps need access to virtual platform to upload files, images, provide booth description
      Engagement Attendees able to visit all booths by strolling through space Event organizers have a captive audience who is present in the immediacy of the event site Attendees motivated to stay in the event space and attend booths through gamification strategies (points awarded for number of booths visited or appointments booked)
      Length of event 2 full days Attendees travel to event site and spend the entire 2 days at the event, allowing them to be immersed in the event and absorb as much information in as little time as possible Exhibitors’ visiting hours will be scheduled so they work for both attendees attending in Eastern Standard Time and Pacific Time
      Metrics for success -Positive word of mouth
      -Number of registrations
      These metrics can be used to advertise to future exhibitors and attendees Number of virtual booths visited

      Number of file downloads

      Survey sent to attendees after event (favorite booths, preferred way to interact with exhibitors, suggestions for improvement, most valuable part of experience)

      Plan your metrics

      Use the analytics and reporting features available in your event technology toolset to capture the data you want to measure. Decide how each metric will impact your planning process for the next event.

      Examples of metrics:

      • Number of overall participants/registrants: Did you have more or fewer registrants/attendees than previous iterations of the event? What is the difference between number of registrants and number of real attendees?
      • Locations of participants: Where are people participating from? How many are attending for the first time? Are there new audiences you can pursue next time?
      • Most/least popular sessions: How long did people stay in the sessions and the event overall?
      • Most/least popular breakout rooms and discussion boards: Which topics should be repeated/skipped next time?
      • Social media mentions: Which topics received the most engagement on social media?
      • Surveys: What do participants report enjoying most? Least?
      • Technical failures: Can your software report on failures? Identify what technical problems arose and prepare a plan to mitigate them next time.

      Ensure the data you capture feeds into better planning for the next event

      Determine compliance requirements

      A greater event reach also means new data privacy considerations, depending on the location of your guests.

      General Data Protection Regulation (GDPR)

      Concerns over the collection of personal electronic data may not have previously been a part of your event planning considerations. However, now that your event is online, it’s wise to explore which data protection regulations apply to you. Remember, even if your organization is not located in the EU, if any of your attendees are European data subjects you may still be required to comply with GDPR, which involves the notification of data collected, allowing for opt-out options and the right to have data purged. The data must be collected for a specific purpose; if that purpose is expired, it can no longer be retained. You also have an obligation to report any breaches.

      Accessibility requirements

      What kind of accessibility laws are you subject to (AODA, WCAG2)? Regardless of compliance requirements, it is a good idea to ensure the online event follows accessibility best practices.

      Decision point: Set event policies

      What event policies need to be documented?
      How will you communicate them to attendees?

      Code of conduct

      One trend in the large event and conference space in recent years has been the development of codes of conduct that attendees are required to abide by to continue participating in the event.
      Now that your event is online, consider whether your code of conduct requires updating. Are there new types of appropriate/inappropriate online behavior that you need to define for your attendees?

      Harassment reporting

      If your organization has an event harassment reporting process, determine how this process will transfer over to the digital event.
      Ensure the reporting process has an owner and a clear methodology to follow to deal with complaints, as well as a digital reporting channel (a dedicated email or form) that is only accessed by approved staff to protect sensitive information.

      Develop a risk management plan

      Plan for how you will mitigate technical risks during your virtual event
      Provide presenters with a process to follow if technical problems arise.

      • Presenter’s internet connection cuts out
      • Attendees cannot log in to event platform
      • Attendees cannot hear/see video feed
      • What process will be followed when technical problems occur: ticketing system; chatbot; generic email accessible by all IT support assigned

      Testing/Rehearsal

      Test audio hardware: Ensure speakers use headphones/earbuds and mics (they do not have to be fancy/expensive). Relying on the computer/laptop mic can lead to more ambient noise and potential feedback problems.

      Check lighting: Avoid backlighting. Reposition speakers so they are not behind windows. Ask them to open/close shades. Add lamps as needed.

      Prevent interruptions: Before the event, ask panelists to turn phone and computer notifications to silent. Put a sign on the door saying Do not Disturb.

      Control audience view of screenshare: If your presenters will be sharing their screens, teach them how this works on the platform they are using. Advise them to exit out of any other application that is not part of their presentation, so they do not share the wrong screen unintentionally. Advise them to remove anything from the desktop that they do not want the audience to see, in case their desktop becomes visible at any point.

      Control audience view of physical environment: Before the event, advise participants to turn their cameras on and examine their backgrounds. Remove anything the audience should not be able to see.

      Test network connectivity: Send the presenters a link to a speed test and check their internet speed.

      Emergency contact: Exchange cell phone numbers for emergency backchannel conversations if problems arise on the day of the event.

      Set expectations: Presenting to an online audience feels very different to a live crowd. Prepare presenters for a lack of applause and lack of ability to see their audience, and that this does not mean the presentation was unsuccessful.

      Identify requirements

      To determine what kind of technical requirements you need to build the virtual expression of your event, consult the Virtual Event Platform Requirements Tool.

      1. If you have determined that the requirements you wish to use for the event exceed the capabilities of your existing communication and collaboration toolset, identify whether these gaps tip the scale toward purchasing a new tool. Use the requirement gaps to make the business case for purchasing a new tool.
      2. Use the Virtual Event Platform Requirements Tool to create a list of requirements.
      3. Consult the Software Reviews category for Virtual Event Platform Data Quadrant and Emotional Footprint reports.
      4. Assemble your documentation for approvals and the Rapid Application Selection Process.

      A photo of Detailed Feature Analysis Worksheet.

      Download the Virtual/Hybrid Event Software Feature Analysis Tool

      Rapid Application Selection Framework and Contract Review

      A photo of Rapid Application Selection Framework
      Launch Info-Tech’s Rapid Application Selection Framework.

      Using the requirements you’ve just gathered as a base, use Info-Tech’s complete framework to improve the efficiency and effectiveness of software selection.

      Once you’ve selected a vendor(s), review the contract. Does it define an exit strategy? Does it define when your data will be deleted? Does it set service-level agreements that you find acceptable? Leverage Info-Tech’s contract review service once you have selected the virtual event solution and have received a contract from the vendor.

      Further research

      Photo of Run Better Meetings
      Run Better Meetings

      Bibliography

      Dutt, Raj. “7 Lessons from This Company’s First-Ever Virtual Conference.” Fast Company, 29 Jul 2020. Web.

      Kelly, Samantha Murphy. “Microsoft Build Proves Splashy Tech Events Can Thrive Online.” CNN, 21 May 2020. Web.

      “Phases.” Event Management Body of Knowledge (EMBOK), n.d. Web.

      Price, Michael. “As COVID-19 Forces Conferences Online, Scientists Discover Upsides of Virtual Format.” Science, 28 Apr 2020. Web.

      “Stanford HAI Spring Conference - Key Advances in Artificial Intelligence.” Stanford Digital Economy Lab, 2022. Web.

      “Virtual Event Tech Guide 2022.” Skift Meetings, April 2022. Web.

      Warren, Tom. “Microsoft Build 2022 Will Take Place May 24th–26th.” The Verge, 30 March 2022. Web.

      Contributors

      6 anonymous contributors

      Build a Robust and Comprehensive Data Strategy

      • Buy Link or Shortcode: {j2store}120|cart{/j2store}
      • member rating overall impact (scale of 10): 9.3/10 Overall Impact
      • member rating average dollars saved: $46,734 Average $ Saved
      • member rating average days saved: 29 Average Days Saved
      • Parent Category Name: Data Management
      • Parent Category Link: /data-management
      • The volume and variety of data that organizations have been collecting and producing have been growing exponentially and show no sign of slowing down.
      • At the same time, business landscapes and models are evolving, and users and stakeholders are becoming more and more data centric, with maturing expectations and demands.

      Our Advice

      Critical Insight

      • As the CDO or equivalent data leader in your organization, a robust and comprehensive data strategy is the number one tool in your toolkit for delivering on your mandate of creating measurable business value from data.
      • A data strategy should never be formulated disjointed from the business. Ensure the data strategy aligns with the business strategy and supports the business architecture.
      • Building and fostering a data-driven culture will accelerate and sustain adoption of, appetite for, and appreciation for data and hence drive the ROI on your various data investments.

      Impact and Result

      • Formulate a data strategy that stitches all of the pieces together to better position you to unlock the value in your data:
        • Establish the business context and value: Identify key business drivers for executing on an optimized data strategy, build compelling and relevant use cases, understand your organization’s culture and appetite for data, and ensure you have well-articulated vision, principles, and goals for your data strategy
        • Ensure you have a solid data foundation: Understand your current data environment, data management enablers, people, skill sets, roles, and structure. Know your strengths and weakness so you can optimize appropriately.
        • Formulate a sustainable data strategy: Round off your strategy with effective change management and communication for building and fostering a data-driven culture.

      Build a Robust and Comprehensive Data Strategy Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Data Strategy Research – A step-by-step document to facilitate the formulation of a data strategy that brings together the business context, data management foundation, people, and culture.

      Data should be at the foundation of your organization’s evolution. The transformational insights that executives and decision makers are constantly seeking to leverage can be unlocked with a data strategy that makes high-quality, trusted, and relevant data readily available to the users who need it.

      • Build a Robust and Comprehensive Data Strategy – Phases 1-3

      2. Data Strategy Stakeholder Interview Guide and Findings – A template to support you in your meetings or interviews with key stakeholders as you work on understanding the value of data within the various lines of business.

      This template will help you gather insights around stakeholder business goals and objectives, current data consumption practices, the types or domains of data that are important to them in supporting their business capabilities and initiatives, the challenges they face, and opportunities for data from their perspective.

      • Data Strategy Stakeholder Interview Guide and Findings

      3. Data Strategy Use Case Template – An exemplar template to demonstrate the business value of your data strategy.

      Data strategy optimization anchored in a value proposition will ensure that the data strategy focuses on driving the most valuable and critical outcomes in support of the organization’s enterprise strategy. The template will help you facilitate deep-dive sessions with key stakeholders for building use cases that are of demonstrable value not only to their relevant lines of business but also to the wider organization.

      • Data Strategy Use Case Template

      4. Chief Data Officer – A job description template that includes a detailed explication of the responsibilities and expectations of a CDO.

      Bring data to the C-suite by creating the Chief Data Officer role. This position is designed to bridge the gap between the business and IT by serving as a representative for the organization's data management practices and identifying how the organization can leverage data as a competitive advantage or corporate asset.

      • Chief Data Officer

      5. Data Strategy Document Template – A structured template to plan and document your data strategy outputs.

      Use this template to document and formulate your data strategy. Follow along with the sections of the blueprint Build a Robust and Comprehensive Data Strategy and complete the template as you progress.

      • Data Strategy Document Template
      [infographic]

      Workshop: Build a Robust and Comprehensive Data Strategy

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Establish Business Context and Value: Understand the Current Business Environment

      The Purpose

      Establish the business context for the business strategy.

      Key Benefits Achieved

      Substantiates the “why” of the data strategy.

      Highlights the organization’s goals, objectives, and strategic direction the data must align with.

      Activities

      1.1 Data Strategy 101

      1.2 Intro to Tech’s Data Strategy Framework

      1.3 Data Strategy Value Proposition: Understand stakeholder’s strategic priorities and the alignment with data

      1.4 Discuss the importance of vision, mission, and guiding principles of the organization’s data strategy

      1.5 Understand the organization’s data culture – discuss Data Culture Survey results

      1.6 Examine Core Value Streams of Business Architecture

      Outputs

      Business context; strategic drivers

      Data strategy guiding principles

      Sample vision and mission statements

      Data Culture Diagnostic Results Analysis

      2 Business-Data Needs Discovery: Key Business Stakeholder Interviews

      The Purpose

      Build use cases of demonstrable value and understand the current environment.

      Key Benefits Achieved

      An understanding of the current maturity level of key capabilities.

      Use cases that represent areas of concern and/or high value and therefore need to be addressed.

      Activities

      2.1 Conduct key business stakeholder interviews to initiate the build of high-value business-data cases

      Outputs

      Initialized high-value business-data cases

      3 Understand the Current Data Environment & Practice: Analyze Data Capability and Practice Gaps and Develop Alignment Strategies

      The Purpose

      Build out a future state plan that is aimed at filling prioritized gaps and that informs a scalable roadmap for moving forward on treating data as an asset.

      Key Benefits Achieved

      A target state plan, formulated with input from key stakeholders, for addressing gaps and for maturing capabilities necessary to strategically manage data.

      Activities

      3.1 Understand the current data environment: data capability assessment

      3.2 Understand the current data practice: key data roles, skill sets; operating model, organization structure

      3.3 Plan target state data environment and data practice

      Outputs

      Data capability assessment and roadmapping tool

      4 Align Business Needs with Data Implications: Initiate Roadmap Planning and Strategy Formulation

      The Purpose

      Consolidate business and data needs with consideration of external factors as well as internal barriers and enablers to the success of the data strategy. Bring all the outputs together for crafting a robust and comprehensive data strategy.

      Key Benefits Achieved

      A consolidated view of business and data needs and the environment in which the data strategy will be operationalized.

      An analysis of the feasibility and potential risks to the success of the data strategy.

      Activities

      4.1 Analyze gaps between current- and target-state

      4.2 Initiate initiative, milestone and RACI planning

      4.3 Working session with Data Strategy Owner

      Outputs

      Data Strategy Next Steps Action Plan

      Relevant data strategy related templates (example: data practice patterns, data role patterns)

      Initialized Data Strategy on-a-Page

      Further reading

      Build a Robust and Comprehensive Data Strategy

      Key to building and fostering a data-driven culture.

      ANALYST PERSPECTIVE

      Data Strategy: Key to helping drive organizational innovation and transformation

      "In the dynamic environment in which we operate today, where we are constantly juggling disruptive forces, a well-formulated data strategy will prove to be a key asset in supporting business growth and sustainability, innovation, and transformation.

      Your data strategy must align with the organization’s business strategy, and it is foundational to building and fostering an enterprise-wide data-driven culture."

      Crystal Singh,

      Director – Research and Advisory

      Info-Tech Research Group

      Our understanding of the problem

      This Research is Designed For:

      • Chief data officers (CDOs), chief architects, VPs, and digital transformation directors and CIOs who are accountable for ensuring data can be leveraged as a strategic asset of the organization.

      This Research Will Help You:

      • Put a strategy in place to ensure data is available, accessible, well integrated, secured, of acceptable quality, and suitably visualized to fuel decision making by the organizations’ executives.
      • Align data management plans and investments with business requirements and the organization’s strategic plans.
      • Define the relevant roles for operationalizing your data strategy.

      This Research Will Also Assist:

      • Data architects and enterprise architects who have been tasked with supporting the formulation or optimization of the organization’s data strategy.
      • Business leaders creating plans for leveraging data in their strategic planning and business processes.
      • IT professionals looking to improve the environment that manages and delivers data.

      This Research Will Help Them:

      • Get a handle on the current situation of data within the organization.
      • Understand how the data strategy and its resulting initiatives will affect the operations, integration, and provisioning of data within the enterprise.

      Executive Summary

      Situation

      • The volume and variety of data that organizations have been collecting and producing have been growing exponentially and show no sign of slowing down. At the same time, business landscapes and models are evolving, and users and stakeholders are becoming more and more data centric, with maturing and demanding expectations.

      Complication

      • As organizations pivot in response to industry disruptions and changing landscapes, a reactive and piecemeal approach leads to data architectures and designs that fail to deliver real and measurable value to the business.
      • Despite the growing focus on data, many organizations struggle to develop a cohesive business-driven strategy for effectively managing and leveraging their data assets.

      Resolution

      Formulate a data strategy that stitches all of the pieces together to better position you to unlock the value in your data:

      • Establish the business context and value: Identify key business drivers for executing on an optimized data strategy, build compelling and relevant use cases, understand your organization’s culture and appetite for data, and ensure you have well-articulated vision, principles, and goals for your data strategy.
      • Ensure you have a solid data foundation: Understand your current data environment, data management enablers, people, skill sets, roles, and structure. Know your strengths and weakness so you can optimize appropriately.
      • Formulate a sustainable data strategy: Round off your strategy with effective change management and communication for building and fostering a data-driven culture.

      Info-Tech Insight

      1. As the CDO or equivalent data leader in your organization, a robust and comprehensive data strategy is the number one tool in your toolkit for delivering on your mandate of creating measurable business value from data.
      2. A data strategy should never be formulated disjointed from the business. Ensure the data strategy aligns with the business strategy and supports the business architecture.
      3. Building and fostering a data-driven culture will accelerate and sustain adoption of, appetite for, and appreciation for data and hence drive the ROI on your various data investments.

      Why do you need a data strategy?

      Your data strategy is the vehicle for ensuring data is poised to support your organization’s strategic objectives.

      The dynamic marketplace of today requires organizations to be responsive in order to gain or maintain their competitive edge and place in their industry.

      Organizations need to have that 360-degree view of what’s going on and what’s likely to happen.

      Disruptive forces often lead to changes in business models and require organizations to have a level of adaptability to remain relevant.

      To respond, organizations need to make decisions and should be able to turn to their data to gain insights for informing their decisions.

      A well-formulated and robust data strategy will ensure that your data investments bring you the returns by meeting your organization’s strategic objectives.

      Organizations need to be in a position where they know what’s going on with their stakeholders and anticipate what their stakeholders’ needs are going to be.

      Data cannot be fully leveraged without a cohesive strategy

      Most organizations today will likely have some form of data management in place, supported by some of the common roles such as DBAs and data analysts.

      Most will likely have a data architecture that supports some form of reporting.

      Some may even have a chief data officer (CDO), a senior executive who has a seat at the C-suite table.

      These are all great assets as a starting point BUT without a cohesive data strategy that stitches the pieces together and:

      • Effectively leverages these existing assets
      • Augments them with additional and relevant key roles and skills sets
      • Optimizes and fills in the gaps around your current data management enablers and capabilities for the growing volume and variety of data you’re collecting
      • Fully caters to real, high-value strategic organizational business needs

      you’re missing the mark – you are not fully leveraging the incredible value of your data.

      Cross-industry studies show that on average, less than half of an organization’s structured data is actively used in making decisions

      And, less than 1% of its unstructured data is analyzed or used at all. Furthermore, 80% of analysts' time is spent simply discovering and preparing, data with over 70% of employees having access to data they should not. Source: HBR, 2017

      Organizational drivers for a data strategy

      Your data strategy needs to align with your organizational strategy.

      Main Organizational Strategic Drivers:

      1. Stakeholder Engagement/Service Excellence
      2. Product and Service Innovations
      3. Operational Excellence
      4. Privacy, Risk, and Compliance Management

      “The companies who will survive and thrive in the future are the ones who will outlearn and out-innovate everyone else. It is no longer ‘survival of the fittest’ but ‘survival of the smartest.’ Data is the element that both inspires and enables this new form of rapid innovation.– Joel Semeniuk, 2016

      A sound data strategy is the key to unlocking the value in your organization’s data.

      Data should be at the foundation of your organization’s evolution.

      The transformational insights that executives are constantly seeking to leverage can be unlocked with a data strategy that makes high-quality, well-integrated, trustworthy, relevant data readily available to the business users who need it.

      Whether hoping to gain a better understanding of your business, trying to become an innovator in your industry, or having a compliance and regulatory mandate that needs to be met, any organization can get value from its data through a well-formulated, robust, and cohesive data strategy.

      According to a leading North American bank, “More than one petabyte of new data, equivalent to about 1 million gigabytes” is entering the bank’s systems every month. – The Wall Street Journal, 2019

      “Although businesses are at many different stages in unlocking the power of data, they share a common conviction that it can make or break an enterprise.”– Jim Love, ITWC CIO and Chief Digital Officer, IT World Canada, 2018

      Data is a strategic organizational asset and should be treated as such

      The expression “Data is an asset” or any other similar sentiment has long been heard.

      With such hype, you would have expected data to have gotten more attention in the boardrooms. You would have expected to see its value reflected on financial statements as a result of its impact in driving things like acquisition, retention, product and service development and innovation, market growth, stakeholder satisfaction, relationships with partners, and overall strategic success of the organization.

      The time has surely come for data to be treated as the asset it is.

      “Paradoxically, “data” appear everywhere but on the balance sheet and income statement.”– HBR, 2018

      “… data has traditionally been perceived as just one aspect of a technology project; it has not been treated as a corporate asset.”– “5 Essential Components of a Data Strategy,” SAS

      According to Anil Chakravarthy, who is the CEO of Informatica and has a strong vantage point on how companies across industries leverage data for better business decisions, “what distinguishes the most successful businesses … is that they have developed the ability to manage data as an asset across the whole enterprise.”– McKinsey & Company, 2019

      How data is perceived in today’s marketplace

      Data is being touted as the oil of the digital era…

      But just like oil, if left unrefined, it cannot really be used.

      "Data is the new oil." – Clive Humby, Chief Data Scientist

      Source: Joel Semeniuk, 2016

      Enter your data strategy.

      Data is being perceived as that key strategic asset in your organization for fueling innovation and transformation.

      Your data strategy is what allows you to effectively mine, refine, and use this resource.

      “The world’s most valuable resource is no longer oil, but data.”– The Economist, 2017

      “Modern innovation is now dependent upon this data.”– Joel Semeniuk, 2016

      “The better the data, the better the resulting innovation and impact.”– Joel Semeniuk, 2016

      What is it in it for you? What opportunities can data help you leverage?

      GOVERNMENT

      Leveraging data as a strategic asset for the benefit of citizens.

      • The strategic use of data can enable governments to provide higher-quality services.
      • Direct resources appropriately and harness opportunities to improve impact.
      • Make better evidence-informed decisions and better understand the impact of programs so that funds can be directed to where they are most likely to deliver the best results.
      • Maintain legitimacy and credibility in an increasingly complex society.
      • Help workers adapt and be competitive in a changing labor market.
      • A data strategy would help protect citizens from the misuse of their data.

      Source: Privy Council Office, Government of Canada, 2018

      What is it in it for you? What opportunities can data help you leverage?

      FINANCIAL

      Leveraging data to boost traditional profit and loss levers, find new sources of growth, and deliver the digital bank.

      • One bank used credit card transactional data (from its own terminals and those of other banks) to develop offers that gave customers incentives to make regular purchases from one of the bank’s merchants. This boosted the bank’s commissions, added revenue for its merchants, and provided more value to the customer (McKinsey & Company, 2017).
      • In terms of enhancing productivity, a bank used “new algorithms to predict the cash required at each of its ATMs across the country and then combined this with route-optimization techniques to save money” (McKinsey & Company, 2017).

      A European bank “turned to machine-learning algorithms that predict which currently active customers are likely to reduce their business with the bank.” The resulting understanding “gave rise to a targeted campaign that reduced churn by 15 percent” (McKinsey & Company, 2017).

      A leading Canadian bank has built a marketplace around their data – they have launched a data marketplace where they have productized the bank’s data. They are providing data – as a product – to other units within the bank. These other business units essentially represent internal customers who are leveraging the product, which is data.

      Through the use of data and advanced analytics, “a top bank in Asia discovered unsuspected similarities that allowed it to define 15,000 microsegments in its customer base. It then built a next-product-to-buy model that increased the likelihood to buy three times over.” Several sets of big data were explored, including “customer demographics and key characteristics, products held, credit-card statements, transaction and point-of-sale data, online and mobile transfers and payments, and credit-bureau data” (McKinsey & Company, 2017).

      What is it in it for you? What opportunities can data help you leverage?

      HEALTHCARE

      Leveraging data and analytics to prevent deadly infections

      The fifth-largest health system in the US and the largest hospital provider in California uses a big data and advanced analytics platform to predict potential sepsis cases at the earliest stages, when intervention is most helpful.

      Using the Sepsis Bio-Surveillance Program, this hospital provider monitors 120,000 lives per month in 34 hospitals and manages 7,500 patients with potential sepsis per month.

      Collecting data from the electronic medical records of all patients in its facilities, the solution uses natural language processing (NLP) and a rules engine to continually monitor factors that could indicate a sepsis infection. In high-probability cases, the system sends an alarm to the primary nurse or physician.

      Since implementing the big data and predictive analytics system, this hospital provider has seen a significant improvement in the mortality and the length of stay in ICU for sepsis patients.

      At 28 of the hospitals which have been on the program, sepsis mortality rates have dropped an average of 5%.

      With patients spending less time in the ICU, cost savings were also realized. This is significant, as sepsis is the costliest condition billed to Medicare, the second costliest billed to Medicaid and the uninsured, and the fourth costliest billed to private insurance.

      Source: SAS, 2019

      What is it in it for you? What opportunities can data help you leverage?

      RETAIL

      Leveraging data to better understand customer preferences, predict purchasing, drive customer experience, and optimize supply and demand planning.

      Netflix is an example of a big brand that uses big data analytics for targeted advertising. With over 100 million subscribers, the company collects large amounts of data. If you are a subscriber, you are likely familiar with their suggestions messages of the next series or movie you should catch up on. These suggestions are based on your past search data and watch data. This data provides Netflix with insights into your interests and preferences for viewing (Mentionlytics, 2018).

      “For the retail industry, big data means a greater understanding of consumer shopping habits and how to attract new customers.”– Ron Barasch, Envestnet | Yodlee, 2019

      The business case for data – moving from platitudes to practicality

      When building your business case, consider the following:

      • What is the most effective way to communicate the business case to executives?
      • How can CDOs and other data leaders use data to advance their organizations’ corporate strategy?
      • What does your data estate look like? Are you looking to leverage and drive value from your semi-structured and unstructured data assets?
      • Does your current organizational culture support a data-driven one? Does the organization have a history of managing change effectively?
      • How do changing privacy and security expectations alter the way businesses harvest, save, use, and exchange data?

      “We’re the converted … We see the value in data. The battle is getting executive teams to see it our way.”– Ted Maulucci, President of SmartONE Solutions Inc. IT World Canada, 2018

      Where do you stack up? What is your current data management maturity?

      Info-Tech’s IT Maturity Ladder denotes the different levels of maturity for an IT department and its different functions. What is the current state of your data management capability?

      Innovator - Transforms the Business. Business Partner - Expands the Business. Trusted Operator - Optimizes the Business. Firefighter - Supports the Business. Unstable - Struggles to Support.

      Info-Tech Insight

      You are best positioned to successfully execute on a data strategy if you are currently at or above the Trusted Operator level. If you find yourself still at the Unstable or Firefighter stage, your efforts are best spent on ensuring you can fulfill your day-to-day data and data management demands. Improving this capability will help build a strong data management foundation.

      Guiding principles of a data strategy

      Value of Clearly Defined Data Principles

      • Guiding principles help define the culture and characteristics of your practice by describing your beliefs and philosophy.
      • Guiding principles act as the heart of your data strategy, helping to shape initiative plans and day-to-day behaviors related to the use and treatment of the organization’s data assets.

      “Organizational culture can accelerate the application of analytics, amplify its power, and steer companies away from risky outcomes.”– McKinsey, 2018

      Build a Robust and Comprehensive Data Strategy

      Business Strategy and Current Environment connect with the Data Strategy. Data Strategy includes: Organizational Drivers and Data Value, Data Strategy Objectives and Guiding Principles, Data Strategy Vision and Mission, Data Strategy Roadmap, People: Roles and Organizational Structure, Data Culture and Data Literacy, Data Management and Tools, Risk and Feasibility.

      Follow Info-Tech’s methodology for effectively leveraging the value out of your data

      Some say it’s the new oil. Or the currency of the new business landscape. Others describe it as the fuel of the digital economy. But we don’t need platitudes — we need real ways to extract the value from our data. – Jim Love, CIO and Chief Digital Officer, IT World Canada, 2018

      1. Business Context. 2. Data and Resources Foundation. 3. Effective Data Strategy

      Our practical step-by-step approach helps you to formulate a data strategy that delivers business value.

      1. Establish Business Context and Value: In this phase, you will determine and substantiate the business drivers for optimizing the data strategy. You will identify the business drivers that necessitate the data strategy optimization and examine your current organizational data culture. This will be key to ensuring the fruits of your optimization efforts are being used. You will also define the vision, mission, and guiding principles and build high-value use cases for the data strategy.
      2. Ensure You Have a Solid Data and Resources Foundation: This phase will help you ensure you have a solid data and resources foundation for operationalizing your data strategy. You will gain an understanding of your current environment in terms of data management enablers and the required resources portfolio of key people, roles, and skill sets.
      3. Formulate a Sustainable Data Strategy: In this phase, you will bring the pieces together for formulating an effective data strategy. You will evaluate and prioritize the use cases built in Phase 1, which summarize the alignment of organizational goals with data needs. You will also create your strategic plan, considering change management and communication.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks are used throughout all four options.

      Select an EA Tool Based on Business and User Need

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      • Parent Category Name: Architecture Domains
      • Parent Category Link: /architecture-domains
      • A mature EA function is increasingly becoming an organizational priority to drive innovation, provide insight, and define digital capabilities.
      • Proliferation of digital technology has increased complexity, straining the EA function to deliver insights.
      • An EA tool increases the efficiency with which the EA function can deliver insights, but a large number of organizations have not a selected an EA tool that suits their needs.

      Our Advice

      Critical Insight

      • EA tool value largely comes from tying organizational context and requirements to the selection process.
      • Organizations that have selected an EA tool often fail to have it adopted and show its true value. To ensure successful adoption and value delivery, the EA tool selection process must account for the needs of business stakeholders and tool users.

      Impact and Result

      • Link the need for the EA tool to your organization’s EA value proposition. The connection enables the EA tool to address the future needs of stakeholders and the design style of the EA team.
      • Use Info-Tech’s EA Solution Recommendation Tool to create a shortlist of EA tools that is suited to the preferences of the organization.
      • Gather additional information on the shortlist of EA tool vendors to narrow down the selection using the EA Tool Request for Information Template.

      Select an EA Tool Based on Business and User Need Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should procure an EA tool in the digital age, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      • Select an EA Tool Based on Business and User Need – Executive Brief
      • Select an EA Tool Based on Business and User Need – Phases 1-3

      1. Make the case

      Decide if an EA tool is needed in your organization and define the requirements of EA tool users.

      • Select an EA Tool Based on Business and User Need – Phase 1: Make the Case
      • EA Value Proposition Template
      • EA Tool User Requirements Template

      2. Shortlist EA tools

      Determine your organization’s preferences in terms of product capabilities and vendor characteristics.

      • Select an EA Tool Based on Business and User Need – Phase 2: Shortlist EA Tools
      • EA Solution Recommendation Tool

      3. Select and communicate the process

      Gather information on shortlisted vendors and make your final decision.

      • Select an EA Tool Based on Business and User Need – Phase 3: Select and Communicate the Process
      • EA Tool Request for Information Template
      • EA Tool Demo Script Template
      • Request for Proposal (RFP) Template
      • EA Tool Selection Process Template
      [infographic]

      Considerations to Optimize Container Management

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      Do you experience challenges with the following:

      • Equipping IT operations processes to manage containers.
      • Choosing the right container technology.
      • Optimizing your infrastructure strategy for containers.

      Our Advice

      Critical Insight

      • Plan ahead to ensure your container strategy aligns with your infrastructure roadmap. Before deciding between bare metal and cloud, understand the different components of a container management solution and plan for current and future infrastructure services.
      • When selecting tools from multiple sources, it is important to understand what each tool should and should not meet. This holistic approach is necessary to avoid gaps and duplication of effort.

      Impact and Result

      Use the reference architecture to plan for the solution you need and want to deploy. Infrastructure planning and strategy optimizes the container image supply chain, uses your current infrastructure, and reduces costs for compute and image scan time.

      Considerations to Optimize Container Management Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Considerations to Optimize Container Management Deck – A document to guide you design your container strategy.

      A document that walks you through the components of a container management solution and helps align your business objectives with your current infrastructure services and plan for your future assets.

      • Considerations to Optimize Container Management Storyboard

      2. Container Reference Architecture – A best-of-breed template to help you build a clear, concise, and compelling strategy document for container management.

      Complete the reference architecture tool to strategize your container management.

      • Container Reference Architecture
      [infographic]

      Further reading

      Considerations to Optimize Container Management

      Design a custom reference architecture that meets your requirements.

      Analyst Perspective

      Containers have become popular as enterprises use DevOps to develop and deploy applications faster. Containers require managed services because the sheer number of containers can become too complex for IT teams to handle. Orchestration platforms like Kubernetes can be complex, requiring management to automatically deploy container-based applications to operating systems and public clouds. IT operations staff need container management skills and training.

      Installing and setting up container orchestration tools can be laborious and error-prone. IT organizations must first implement the right infrastructure setup for containers by having a solid understanding of the scope and scale of containerization projects and developer requirements. IT administrators also need to know how parts of the existing infrastructure connect and communicate to maintain these relationships in a containerized environment. Containers can run on bare metal servers, virtual machines in the cloud, or hybrid configurations, depending on your IT needs

      Nitin Mukesh, Senior Research Analyst, Infrastructure and Operations

      Nitin Mukesh
      Senior Research Analyst, Infrastructure and Operations
      Info-Tech Research Group

      Executive Summary

      Your Challenge Common Obstacles Info-Tech’s Approach

      The container software market is constantly evolving. Organizations must consider many factors to choose the right container management software for their specific needs and fit their future plans.

      It's important to consider your organization's current and future infrastructure strategy and how it fits with your container management strategy. The container management platform you choose should be compatible with the existing network infrastructure and storage capabilities available to your organization.

      IT operations staff have not been thinking the same way as developers who have now been using an agile approach for some time. Container image builds are highly automated and have several dependencies including scheduling, testing, and deployment that the IT staff is not trained for or lack the ability to create anything more than a simple image.

      Use the reference architecture to plan for the solution you need and want to deploy. Infrastructure planning and strategy optimizes the container image supply chain and reduces costs for compute and image scan time.

      Plan ahead to ensure your container strategy aligns with your infrastructure roadmap. Before deciding between bare metal and cloud, understand the different components of a container management solution and plan for current and future infrastructure services.

      Your challenge

      Choosing the right container technology: IT is a rapidly changing and evolving market, with startups and seasoned technology vendors maintaining momentum in everything from container platforms to repositories to orchestration tools. The rapid evolution of container platform components such as orchestration, storage, networking, and system services such as load balancing has made the entire stack a moving target.

      However, waiting for the industry to be standardized can be a recipe for paralysis, and waiting too long to decide on solutions and approaches can put a company's IT operations in catch-up mode.

      Keeping containers secure: Security breaches in containers are almost identical to operating system level breaches in virtual machines in terms of potential application and system vulnerabilities. It is important for any DevOps team working on container and orchestration architecture and management to fully understand the potential vulnerabilities of the platforms they are using.

      Optimize your infrastructure strategy for containers: One of the challenges enterprise IT operations management teams face when it comes to containers is the need to rethink the underlying infrastructure to accommodate the technology. While you may not want to embrace the public cloud for your critical applications just yet, IT operations managers will need an on-premises infrastructure so that applications can scale up and down the same way as they are containerized.

      Common ways organizations use containers

      A Separation of responsibilities
      Containerization provides a clear separation of responsibilities as developers can focus on application logic and dependencies, while IT operations teams can focus on deployment and management instead of application details such as specific software versions and configurations.

      B Workload portability
      Containers can run almost anywhere: physical servers or on-premise data centers on virtual machines or developer machines, as well as public clouds on Linux, Windows, or Mac operating systems, greatly easing development and deployment.

      “Lift and shift” existing applications into a modern cloud architecture. Some organizations even use containers to migrate existing applications to more modern environments. While this approach provides some of the basic benefits of operating system virtualization, it does not provide all the benefits of a modular, container-based application architecture.

      C Application isolation
      Containers virtualize CPU, memory, storage, and network resources at the operating system level, providing developers with a logically isolated view of the operating system from other applications.

      Source: TechTarget, 2021

      What are containers and why should I containerize?

      A container is a partially isolated environment in which an application or parts of an application can run. You can use a single container to run anything from small microservices or software processes to larger applications. Inside the container are all the necessary executable, library, and configuration files. Containers do not contain operating system images. This makes them lighter and more portable with much less overhead. Large application deployments can deploy multiple containers into one or more container clusters (CapitalOne, 2020).

      Containers have the following advantages:

      • Reduce overhead costs: Because containers do not contain operating system images, they require fewer system resources than traditional or hardware virtual machine environments.
      • Enhanced portability: Applications running in containers can be easily deployed on a variety of operating systems and hardware platforms.
      • More consistent operations: DevOps teams know that applications in containers run the same no matter where they are deployed.
      • Efficiency improvement: Containers allow you to deploy, patch, or scale applications faster.
      • Develop better applications: Containers support Agile and DevOps efforts to accelerate development and production cycles.

      Source: CapitalOne, 2020

      Container on the cloud or on-premise?

      On-premises containers Public cloud-based containers

      Advantages:

      • Full control over your container environment.
      • Increased flexibility in networking and storage configurations.
      • Use any version of your chosen tool or container platform.
      • No need to worry about potential compliance issues with data stored in containers.
      • Full control over the host operating system and environment.

      Disadvantages:

      • Lack of easy scalability. This can be especially problematic if you're using containers because you want to be more agile from a DevOps perspective.
      • No turnkey container deployment solution. You must set up and maintain every component of the container stack yourself.

      Advantages:

      • Easy setup and management through platforms such as Amazon Elastic Container Service or Azure Container Service. These products require significant Docker expertise to use but require less installation and configuration than on-premise installations.
      • Integrates with other cloud-based tools for tasks such as monitoring.
      • Running containers in the cloud improves scalability by allowing you to add compute and storage resources as needed.

      Disadvantages:

      • You should almost certainly run containers on virtual machines. That can be a good thing for many people; however, you miss out on some of the potential benefits of running containers on bare metal servers, which can be easily done.
      • You lose control. To build a container stack, you must use the orchestrator provided by your cloud host or underlying operating system.

      Info-Tech Insight
      Start-ups and small businesses that don't typically need to be closely connected to hardware can easily move (or start) to the cloud. Large (e.g. enterprise-class) companies and companies that need to manage and control local hardware resources are more likely to prefer an on-premises infrastructure. For enterprises, on-premises container deployments can serve as a bridge to full public cloud deployments or hybrid private/public deployments. The answer to the question of public cloud versus on premises depends on the specific needs of your business.

      Container management

      From container labeling that identifies workloads and ownership to effective reporting that meets the needs of different stakeholders across the organization, it is important that organizations establish an effective framework for container management.

      Four key considerations for your container management strategy:

      01 Container Image Supply Chain
      How containers are built

      02 Container Infrastructure and Orchestration
      Where and how containers run together

      03 Container Runtime Security and Policy Enforcement
      How to make sure your containers only do what you want them to do

      04 Container Observability
      Runtime metrics and debugging

      To effectively understand container management solutions, it is useful to define the various components that make up a container management strategy.

      1: Container image supply chain

      To run a workload as a container, it must first be packaged into a container image. The image supply chain includes all libraries or components that make up a containerized application. This includes CI/CD tools to test and package code into container images, application security testing tools to check for vulnerabilities and logic errors, registries and mirroring tools for hosting container images, and attribution mechanisms such as image signatures for validating images in registries.

      Important functions of the supply chain include the ability to:

      • Scan container images in registries for security issues and policy compliance.
      • Verify in-use image hashes have been scanned and authorized.
      • Mirror images from public registries to isolate yourself from outages in these services.
      • Attributing images to the team that created them.

      Source: Rancher, 2022

      Info-Tech Insight
      It is important to consider disaster recovery for your image registry. As mentioned above, it is wise to isolate yourself from registry disruptions. However, external registry mirroring is only one part of the equation. You also want to make sure you have a high availability plan for your internal registry as well as proper backup and recovery processes. A highly available, fault-tolerant container management platform is not just a runtime environment.

      2: Container infrastructure and orchestration

      Orchestration tools

      Once you have a container image to run, you need a location to run it. That means both the computer the container runs on and the software that schedules it to run. If you're working with a few containers, you can make manual decisions about where to run container images, what to run with container images, and how best to manage storage and network connectivity. However, at scale, these kinds of decisions should be left to orchestration tools like Kubernetes, Swarm, or Mesos. These platforms can receive workload execution requests, determine where to run based on resource requirements and constraints, and then actually launch that workload on its target. And if a workload fails or resources are low, it can be restarted or moved as needed.

      Source: DevOpsCube, 2022

      Storage

      Storage is another important consideration. This includes both the storage used by the operating system and the storage used by the container itself. First, you need to consider the type of storage you actually need. Can I outsource my storage concerns to a cloud provider using something like Amazon Relational Database Service instead? If not, do you really need block storage (e.g. disk) or can an external object store like AWS S3 meet your needs? If your external object storage service can meet your performance and durability requirements as well as your governance and compliance needs, you're in luck. You may not have to worry about managing the container's persistent storage. Many external storage services can be provisioned on demand, support discrete snapshots, and some even allow dynamic scaling on demand.

      Networking

      Network connectivity inside and outside the containerized environment is also very important. For example, Kubernetes supports a variety of container networking interfaces (CNIs), each providing different functionality. Questions to consider here are whether you can set traffic control policies (and the OSI layer), how to handle encryption between workloads and between workloads and external entities, and how to manage traffic import for containerized workloads. The impact of these decisions also plays a role on performance.

      Backups

      Backups are still an important task in containerized environments, but the backup target is changing slightly. An immutable, read-only container file system can be recreated very easily from the original container image and does not need to be backed up. Backups or snapshots on permanent storage should still be considered. If you are using a cloud provider, you should also consider fault domain and geo-recovery scenarios depending on the provider's capabilities. For example, if you're using AWS, you can use S3 replication to ensure that EBS snapshots can be restored in another region in case of a full region outage.

      3: Container runtime security and policy enforcement

      Ensuring that containers run in a place that meets the resource requirements and constraints set for them is necessary, but not sufficient. It is equally important that your container management solution performs continuous validation and ensures that your workloads comply with all security and other policy requirements of your organization. Runtime security and policy enforcement tools include a function for detecting vulnerabilities in running containers, handling detected vulnerabilities, ensuring that workloads are not running with unnecessary or unintended privileges, and ensuring that only other workloads that need to be allowed can connect.

      One of the great benefits of (well implemented) containerized software is reducing the attackable surface of the application. But it doesn't completely remove it. This means you need to think about how to observe running applications to minimize security risks. Scanning as part of the build pipeline is not enough. This is because an image without vulnerabilities at build time can become a vulnerable container because new flaws are discovered in its code or support libraries. Instead, some modern tools focus on detecting unusual behavior at the system call level. As these types of tools mature, they can make a real difference to your workload’s security because they rely on actual observed behavior rather than up-to-date signature files.

      4: Container observability

      What’s going on in there?

      Finally, if your container images are being run somewhere by orchestration tools and well managed by security and policy enforcement tools, you need to know what your containers are doing and how well they are doing it. Orchestration tools will likely have their own logs and metrics, as will networking layers, and security and compliance checking tools; there is a lot to understand in a containerized environment. Container observability covers logging and metrics collection for both your workloads and the tools that run them.

      One very important element of observability is the importance of externalizing logs and metrics in a containerized environment. Containers come and go, and in many cases the nodes running on them also come and go, so relying on local storage is not recommended.

      The importance of a container management strategy

      A container management platform typically consists of a variety of tools from multiple sources. Some container management software vendors or container management services attempt to address all four key components of effective container management. However, many organizations already have tools that provide at least some of the features they need and don't want to waste existing licenses or make significant changes to their entire infrastructure just to run containers.

      When choosing tools from multiple sources, it's important to understand what needs each tool meets and what it doesn't. This holistic approach is necessary to avoid gaps and duplication of effort.

      For example, scanning an image as part of the build pipeline and then rescanning the image while the container is running is a waste of CPU cycles in the runtime environment. Similarly, using orchestration tools and separate host-based agents to aggregate logs or metrics can waste CPU cycles as well as storage and network resources.

      Planning a container management strategy

      1 DIY, Managed Services, or Packaged Products
      Developer satisfaction is important, but it's also wise to consider the team running the container management software. Migrating from bare metal or virtual machine-based deployment methodologies to containers can involve a significant learning curve, so it's a good idea to choose a tool that will help smooth this curve.
      2 Kubernetes
      In the world of container management, Kubernetes is fast becoming the de facto standard for container orchestration and scheduling. Most of the products that address the other aspects of container management discussed in this post (image supply chain, runtime security and policy enforcement, observability) integrate easily with Kubernetes. Kubernetes is open-source software and using it is possible if your team has the technical skills and the desire to implement it themselves. However, that doesn't mean you should automatically opt to build yourself.
      3 Managed Kubernetes
      Kubernetes is difficult to implement well. As a result, many solution providers offer packaged products or managed services to facilitate Kubernetes adoption. All major cloud providers now offer Kubernetes services that reduce the operational burden on your teams. Organizations that have invested heavily in the ecosystem of a particular cloud provider may find this route suitable. Other organizations may be able to find a fully managed service that provides container images and lets the service provider worry about running the images which, depending on the cost and capacity of the organization, may be the best option.
      4 Third-Party Orchestration Products
      A third approach is packaged products from providers that can be installed on the infrastructure (cloud or otherwise). These products can offer several potential advantages over DIY or cloud provider offerings, such as access to additional configuration options or cluster components, enhanced functionality, implementation assistance and training, post-installation product support, and reduced risk of cloud provider lock-in.

      Source: Kubernetes, 2022; Rancher, 2022

      Infrastructure considerations

      It's important to describe your organization’s current and future infrastructure strategy and how it fits into your container management strategy. It’s all basic for now, but if you plan to move to a virtual machine or cloud provider next year, your container management solution should be able to adapt to your environment now and in the future. Similarly, if you’ve already chosen a public cloud, you may want to make sure that the tool you choose supports some of the cloud options, but full compatibility may not be an important feature.

      Infrastructure considerations extend beyond computing. Choosing a container management platform should be compatible with the existing network infrastructure and storage capacity available to your organization. If you have existing policy enforcement, monitoring, and alerting tools, the ideal solution should be able to take advantage of them. Moving to containers can be a game changer for developers and operations teams, so continuing to use existing tools to reduce complexity where possible can save time and money.

      Leverage the reference architecture to guide your container management strategy

      Questions for support transition

      Using the examples as a guide, complete the tool to strategize your container management

      Download the Reference Architecture

      Bibliography

      Mell, Emily. “What is container management and why is it important?” TechTarget, April 2021.
      https://www.techtarget.com/searchitoperations/definition/container-management-software#:~:text=A%20container%20management%20ecosystem%20automates,operator%20to%20keep%20up%20with

      Conrad, John. “What is Container Orchestration?” CapitalOne, 24 August 2020.
      https://www.capitalone.com/tech/cloud/what-is-container-orchestration/?v=1673357442624

      Kubernetes. “Cluster Networking.” Kubernetes, 2022.
      https://kubernetes.io/docs/concepts/cluster-administration/networking/

      Rancher. “Comparing Kubernetes CNI Providers: Flannel, Calico, Canal, and Weave.” Rancher, 2022.
      https://www.suse.com/c/rancher_blog/comparing-kubernetes-cni-providers-flannel-calico-canal-and-weave/

      Wilson, Bob. “16 Best Container Orchestration Tools and Services.” DevopsCube, 5 January 2022.
      https://devopscube.com/docker-container-clustering-tools/

      Maintain Employee Engagement During the COVID-19 Pandemic

      • Buy Link or Shortcode: {j2store}548|cart{/j2store}
      • member rating overall impact (scale of 10): 10.0/10 Overall Impact
      • member rating average dollars saved: $12,399 Average $ Saved
      • member rating average days saved: 5 Average Days Saved
      • Parent Category Name: Engage
      • Parent Category Link: /engage
      • The uncertainty of the pandemic means that employee engagement is at higher risk.
      • Organizations need to think beyond targeting traditional audiences by considering engagement of onsite, remote, and laid-off employees.

      Our Advice

      Critical Insight

      • The changing way of work triggered by this pandemic means engagement efforts must be easy to implement and targeted for relevant audiences.

      Impact and Result

      • Identify key drivers to leverage during the pandemic to boost engagement as well as at-risk drivers to focus efforts on.
      • Select quick-win tactics to sustain and boost engagement for relevant target audiences.

      Maintain Employee Engagement During the COVID-19 Pandemic Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Determine the scope

      Evaluate the current state, stakeholder capacity, and target audience of engagement actions.

      • Maintain Employee Engagement During the COVID-19 Pandemic Storyboard
      • Pandemic Engagement Workbook

      2. Identify engagement drivers

      Review impact to engagement drivers in order to prioritize and select tactics for addressing each.

      • Tactics Catalog: Maintain Employee Engagement During the COVID-19 Pandemic
      • Employee Engagement During COVID-19: Manager Tactics

      3. Determine ownership and communicate engagement actions

      Designate owners of tactics, select measurement tools and cadence, and communicate engagement actions.

      • Crisis Communication Guide for HR
      • Crisis Communication Guide for Leaders
      • Leadership Crisis Communication Guide Template
      • HR Action and Communication Plan
      [infographic]

      Build Your Data Practice and Platform

      • Buy Link or Shortcode: {j2store}347|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Data Management
      • Parent Category Link: /data-management

      The complex nature of data investment leads to de-scoping and delivery of data services that do not meet business needs or give value to the business. Subject matter experts are hired to resolve the problem, but their success is impacted by absent architecture, technology, and organizational alignment.

      Our Advice

      Critical Insight

      Walking through a book of architecture building plans with a personal guide is cheaper and faster than employing an architect to build and design your home.

      Impact and Result

      Info-Tech's approach provides a proven methodology that includes the following:

      • Business-aligned data initiatives and capabilities that address data challenges and realize business strategic objectives.
      • Comprehensive data practice designed based on the required business and data capabilities.
      • Data platform design based on Info-Tech data architecture reference patterns and prioritized data initiatives and capabilities.

      Build Your Data Practice and Platform Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build Your Data Practice and Platform Storyboard – A step-by-step document that leverages road-tested patterns and frameworks to properly build your data practice and pattern in continuous alignment with the business landscape.

      Info-Tech's approach provides a proven methodology that includes following:   

    • Business-aligned data initiatives and capabilities that address data challenges and realize business strategic objectives.
    • Comprehensive data practices designed based on the required business and data capabilities.
      • Build Your Data Practice and Platform Storyboard

      2. Data Practice and Platform Models – Leveraging best-of-breed frameworks to help you build a clear, concise, and compelling data practice and platform.

      Data practice & platform pre-build pattern templates based on Info-Tech data reference patterns and data platform design best practices.

      • Data Practice and Platform Models

      Infographic

      Workshop: Build Your Data Practice and Platform

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Establish Business Context and Value

      The Purpose

      Establish business context and value.

      Key Benefits Achieved

      Business context and strategic driver.

      Activities

      1.1 Understand/confirm the organization's strategic goals

      1.2 Classify the strategic goals and map to business drivers

      1.3 Identify the business capabilities that the strategy focuses on

      1.4 Identify the business processes realizing the strategy

      Outputs

      Business context and strategic drivers

      Prioritized business capabilities and processes

      Data culture survey results analysis

      2 Identify Your Top Initiatives

      The Purpose

      Identify your top initiatives.

      Key Benefits Achieved

      High-value business-aligned data initiative.

      Activities

      2.1 Highlight data-related outcomes/goals to realize to fulfill the business goal

      2.2 Map business data initiatives to the business strategic goals

      2.3 Prioritize data initiatives

      Outputs

      High-value, business-aligned data initiatives

      3 Analyze Data Challenges

      The Purpose

      Analyze data challenges.

      Key Benefits Achieved

      Clear understanding of the data challenges.

      Activities

      3.1 Map data challenges to Info-Tech data challenges

      3.2 Review Info-Tech data capabilities based on prioritized initiatives

      3.3 Discuss data platform and practice next steps

      Outputs

      List of data challenges preventing data maturation with the organization

      4 Map Data Capability

      The Purpose

      Map data capability.

      Key Benefits Achieved

      Prioritized data capability.

      Activities

      4.1 Map data challenges to Info-Tech data challenges

      4.2 Review Info-Tech data capabilities based on prioritized initiatives

      4.3 Discuss data platform and practice next steps

      Outputs

      Required data capabilities

      Data platform and practice – plan

      Initialized data management RACI 

      Further reading

      Build Your Data Practice and Platform

      Construct a scalable data foundation

      Analyst Perspective

      Build a data practice and platform that delivers value to your organization.

      The build or optimization of your data practice and data platform must be predicated on a thorough understanding of the organization’s goals, objectives, and priorities and the business capabilities and process they are meant to support and enable.

      Formalizing your practice or constructing your platform just for the sake of doing so often results in an initiative that is lengthy, costly, fizzles out, does not deliver business value, and ends up being considered a failure.

      Leverage Info-Tech’s approach and incorporate our pre-built models and patterns to effectively navigate that crucial and often difficult phase upfront of comprehensively defining business data needs so you can ultimately realize faster time-to-delivery of your overall data practice and platform.

      Photo of Rajesh Parab, Director, Research & Advisory, Data & Analytics Practice, Info-Tech Research Group.

      Rajesh Parab
      Director, Research & Advisory, Data & Analytics Practice
      Info-Tech Research Group

      Photo of Crystal Singh, Director, Research & Advisory, Data & Analytics Practice, Info-Tech Research Group.

      Crystal Singh
      Director, Research & Advisory, Data & Analytics Practice
      Info-Tech Research Group

      Attempting to Solve Data Problems?

      Situation
      • Lack of data centric leadership results in downstream issues such as integration, quality, and accessibility.
      • The complex nature of the data and lack of understanding leads to de-scoping delivery of data services that does not meet business needs or add value.
      • Poorly designed practice and siloed platforms result in an initiative that is lengthy, costly, fizzles out, does not deliver business value, and ends up being considered a failure.
      Complication
      • Data problem: When the data problem is diagnosed, the organization adopts a tactical approach.
      • Confirmation bias: Subject matter experts (SME) are hired to resolve the poorly defined problem, but the success of the SME is impacted by lack of architecture, technology, and organizational alignment.
      • Still no value: The selected tactical approach does not provide a solid foundation or solve your data problem.
      • Strategy for sake of strategy: Implementing a strategic approach for the sake of being strategic but this becomes overwhelming.
      • Fall back to tactical and operational: The data services are now potentially exposed and vulnerable, which strains business continuity and increases data debt.
      • Increased complexity and risk: Data silos, poor understanding, and high complexity results in an unmanageable data environment.
      Resolution
      • Requirements: Define and align your data requirement to business.
      • Capabilities: Discover data, identify data capabilities, and map your requirements.
      • Practices: Design and select fit-for-purpose data practices.
      • Platform: Optimize your data platform investments though sound architecture.

      Info-Tech Insight

      The true value of data comes from defining intentional relationships between the business and the data through a well thought out data platform and practice.

      Situation – Perpetual Data Problem

      Diagram of a head with gears around it and speech bubbles with notes titled 'Data Problem'. The surrounding gears, clockwise from bottom left, say 'Accessibility', 'Trust', 'Data Breach', 'Ambiguity', 'Ownership', 'Duplication', 'System Failure', and 'Manual Manipulation'. The speech bubbles notes, clockwise from bottom left, say 'Value-Add: How do I translate business needs to data capabilities?', 'Practice Organization: How do I organize resources and roles assignment challenges?', 'Platform: How do I organize data flows with no conceptual view of the environment?', and 'Break Down Silos: How do I break down silos?'
      I can’t access the data.
      I don’t trust the data in the report.
      It takes too long to get to the data for decision making
      • Lack of data-centric leadership results in downstream issues: integration, quality, accessibility
      • The organization’s data is too complex to manage without a cohesive plan.
      • The complex nature of the data and a lack of understanding leads to de-scoping delivery of data services that does not meet business needs or add value.
      • Poorly designed practice and siloed platforms result in an initiative that is lengthy, costly, fizzles out, does not deliver business value, and ends up being considered a failure.

      Complication – Data Initiative Fizzles Out

      • Data problem: When the data problem is diagnosed the organization adopts a tactical approach.
      • Confirmation bias: Subject matter experts (SME) are hired to resolve the poorly defined problem, but the success of the SME is impacted by lack of architecture, technology, and organizational alignment.
      • Still no value: the selected tactical approach does not provide a solid foundation or solve your data problem.
      • Strategy for sake of strategy: Implementing a strategic approach for sake of being strategic but this becomes overwhelming.
      • Fall back to tactical and operational: The data services are now potentially exposed and vulnerable, which strains business continuity and increases data debt.
      • Increased complexity and risk: Data silos, poor understanding, and high complexity result in an unmanageable data environment.
      Flowchart beginning with 'Data Symptom Exhibited' and 'Data Problem Diagnosed', then splitting into two paths 'Solve Data Problem as a point solution' or 'Attempt Strategic approach without culture, capacity, and business leadership'. Each approach ends with 'Data too complex, and initiative fizzles out...' and cycles back to the beginning.
      Use the road-tested patterns and frameworks in our blueprint to break the perpetual data solution cycle. Focus on the value that a data and analytics platform will bring rather than focusing on the data problems alone.

      Build Your Data Practice and Platform

      Bring Your Data Strategy to Life

      Logo for Info-Tech.
      Logo for #iTRG.
      CONVENTIONAL WISDOM

      Attempting to Solve Your Data Problems

      DATA SYMPTOM EXHIBITED

      Mismatch report, data quality issue, or similar symptom of a data problem.

      DATA PROBLEM DIAGNOSED

      Data expert identifies it as a data problem.

      COMPLEX STRATEGIC APPROACH ATTEMPTED

      Recognized need to attempt it strategically, but don't have capacity or culture to execute.

      Cycle diagram titled 'Data Problems' with numbers connected to surrounding steps, and a break after Step 3 where one can 'BREAK THE CYCLE'. In the middle are a list of data problems: 'Accessibility’, ‘Data Breach', 'Manual Manipulation', 'System Failure', 'Ambiguity', 'Duplication', 'Ownership', and 'Trust'.
      SOLUTION FAILS

      The tactical solution fails to solve the root cause of the data problem, and the data symptoms persist.

      TACTICAL SOLUTION FALLBACK

      A quick and dirty solution is attempted in order to fix the data problem.

      THE COMPLEX APPROACH FIZZLES OUT

      Attempted strategic approach takes too long, fizzles out.

      BREAK THE CYCLE

      Solving Your Data Problems

      1. DEFINE YOUR DATA REQUIREMENTS Incorporate a Business to Data Approach by utilizing Info-Tech's business capability templates for identifying data needs. BUSINESS-ALIGNED DATA REQUIREMENTS
      2. CONDUCT YOUR DATA DISCOVERY Understand the data behind your business problem. Identify the required data capabilities and domains as required by your business processes. RECOMMENDED DATA CAPABILITIES
      3. DESIGN YOUR DATA PRACTICES Build your custom data practices based on the predefined reusable models. CUSTOMIZED DATA PRACTICE
      4. ARCHITECT YOUR DATA PLATFORM Build your custom data platform based on the redefined reusable architecture patterns. CUSTOMIZED DATA PLATFORM
      CONTINUOUS PHASE: ROADMAP, SPONSORSHIP FEEDBACK AND DELIVERY

      Develop a roadmap to establish the practice and implement the architecture as designed. Ensure continuous alignment of the practice and architecture with the business landscape.

      Phase-by-Phase Approach to Build Your Data Practice and Platform

      Flowchart detailing the path to take through the four phases of this blueprint beginning with the 'Inputs' and 'People' involved and incorporating 'Deliverables' along the way. Phase-by-Phase Approach
      • Phase 1: Step 1 – Define Your Data Requirement
      • Phase 1: Step 2 – Conduct Your Data Discovery
      • Phase 2 – Design Your Data Practice
      • Phase 3 – Architect Your Data Platform

      Measure value when building your data practice and platform

      Sample Data Management Metrics

      Lists of data management metrics in different categories.

      • Refine the metrics for the overall Data Management practice and every initiative therein.
      • Refine the metrics at each platform and practice component to show business value against implementation effort.

      Understand and Build Data Culture

      See your Info-Tech Account Representative for more details on our Data Culture Diagnostic

      Only 14.29% of Transportation and Logistics respondents agree BI and Analytics Process and Technology are sufficient What is a diagnostic?

      Our diagnostics are the simplest way to collect the data you need, turn it into actionable insights, and communicate with stakeholders across the organization.

      52.54% of respondents from the healthcare industry are unaware of their organization’s data security policy
      Ask the Right Questions

      Use our low-effort surveys to get the data you need from stakeholders across the organization.

      Use Our Diagnostic Engine

      Our diagnostic engine does all the heavy lifting and analysis, turning your data into usable information.

      Communicate & Take Action

      Wow your executives with the incredible insights you've uncovered. Then, get to action: make IT better.

      On average only 40% agree that they have the reporting when needed


      (Source: Info-Tech’s Data Culture Diagnostic, 53 Organizations, 3138 Responses)

      35% of respondents feel that a governance body is in place looking at strategic data

      Build a Data-Driven Strategy Using Info-Tech Diagnostic Programs

      Make informed IT decisions by starting your diagnostic program today. Your account manager is waiting to help you.
      Sample of Info-Tech's 'Data Culture Scorecard'.

      Use Our Predefined Data and Analytics Patterns to Build Your DnA Landscape

      Walking through a book of architecture building plans with a personal guide is cheaper and faster than employing an architect to build and design your home

      Two books titled 'The Everything Homebuilding Book' and 'Architecture 101'. An open book with a finger pointing to a diagram.

      The first step is to align business strategy with data strategy and then start building your data practice and data platform

      Flowchart starting with business strategy focuses, then to data strategy focuses, and eventually to 'Data Metrics'.

      Insights

      The true value of data comes from defining intentional relationships between the business and the data through a well-thought-out data platform and practice.

      • Phase 1
        • Some organizations are low maturity so using the traditional Capability Maturity Model Integration (CMMI) would not make sense. A great alternative is to leverage existing models and methodologies to get going off the bat.
        • The Data Strategy is an input into the platform and practice. This is considered the Why; Data Practice and Platform is the How.
      • Phase 2
        • Info-Tech’s approach is business-goal driven and it leverages patterns, which enable the implementation of critical and foundational components and subsequently facilitates the evolution and development of the practice over time.
        • Systems should not be designed in isolation. Cross-functional collaboration throughout the design is critical to ensure all types of issues are revealed early. Otherwise, crucial tests are omitted, deployments fail, and end-users are dissatisfied.
      • Phase 3
        • Build your conceptual data architecture based on well-thought-out formulated patterns that align with your organization’s needs and environment.
        • Functional needs often take precedence over quality architecture. Quality must be baked into design, execution, and decision-making practices to ensure the right trade-offs are made.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      Guided Implementation

      Workshop

      Consulting

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks used throughout all four options

      Info-Tech’s Methodology for Building Your Data Practice and Platform

      Phase 1 –
      Define Your Data Requirements and Conduct Your Data Discovery
      Phase 2 –
      Design Your Data Practices
      Phase 3 –
      Architect Your Data Platform
      Phase Steps
      1. Identify your top initiatives
      2. Map your data initiatives to data capabilities
      1. Understand the practices value statement
      2. Review the Info-Tech practice pattern
      3. Initiate your practice design and setup
      1. Identify your data component
      2. Refine your data platform architecture
      3. Design your data platform
      4. Identify your new components and capabilities
      5. Initiative platform build and rollout
      Phase Outcomes Business-aligned data initiatives and capabilities that address data challenges and realize business strategic objectives Comprehensive data practice design based on the required business and data capabilities Data platform design based on Info-Tech data architecture reference pattern and prioritized data initiatives and capabilities

      Data Platform and Practice Implementation Plan

      Example timeline for data platform and practice implementation plan with 'Fiscal Years' across the top, and below they're broken down into quarters. Along the left side 'Phase 1: Step 1...', 'Phase 1: Step 2...', 'Phase 2...' and 'Phase 3'. Tasks are mapped onto the timeline in each phase with a short explanation.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889
      Info-Tech’s Workshop support for Build Your Data Practice and Platform. 'Build Your Data Practice and Platform' slide from earlier.
      Workshop

      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Workshop 1

      Data Needs and Discovery

      Workshop 2

      Data Practice Design

      Workshop 3

      Data Platform Design

      Workshop 1:
      Data Needs and Discovery

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889
      Day 1 Day 2 Day 3 Day 4
      Establish Business Context and Value
      Identify Your Top Initiatives
      Analyze Data Challenges
      Map Data Capability
      Activities

      1.1 Understand/confirm your organization’s strategic goals

      1.2 Classify the strategic goals and map to business drivers

      1.3 Identify the business capabilities that the strategy focus is on

      1.4 Identify the business processes realizing the strategy

      2.1 Highlight data-related outcomes /goals to realize to fulfill the business goal

      2.2 Map business data initiatives to the business strategic goals

      2.3 Prioritize Data initiatives

      3.1 Understand data management capabilities and framework

      3.2 Classify business data requirements using Info-Tech’s classification approach

      3.3 Highlight data challenges in your current environment

      4.1 Map data challenges to Info-Tech data challenges

      4.2 Review Info-Tech data capabilities based on prioritized initiative

      4.3 Discuss Data Platform and Practice Next Steps

      Deliverables
      • Business context and strategic drivers
      • Prioritized business capabilities and processes
      • Data Culture Survey results analysis
      • High-value business-aligned data initiative
      • List of data challenges preventing data maturation with the organization
      • Required data capabilities
      • Data platform and practice – plan
      • Initialized data management RACI
      Participants Business stakeholder, Business leader Business Subject Matter Expert, Data IT sponsor (CIO), Head of Data, Data Architect Business stakeholder, Business leader Business Subject Matter Expert, Data IT sponsor (CIO), Head of Data, Data Architect Data experts, Business Subject Matter Expert, Head of Data, Data Architect Data experts, Business Subject Matter Expert, Head of Data, Data Architect

      Workshop 2:
      Data Practice Design

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889
      Day 1 Day 2 Day 3 Day 4
      Plan Your Data Practices
      Design Your Data Practices 1
      Design Your Data Practices 2
      Design Your Data Practices 3
      Activities

      Prerequisite: Business context, business data requirement, and data capabilities

      1.1 Understand data practice framework

      1.2 Define your practice implementation approach

      1.3 Review and update data management RACI

      2.1 Understand Info-Tech data practice patterns for each prioritized practice

      2.2 Define your practice setup for each prioritized practice

      2.3 Highlight critical processes for each practice

      3.1 Understand Info-Tech data practice patterns for each prioritized practice

      3.2 Define your practice setup for each prioritized practice

      3.3 Highlight critical processes for each practice

      4.1 Understand Info-Tech data practice patterns for each prioritized practice

      4.2 Define your practice setup for each prioritized practice

      4.3 Highlight critical processes for each practice

      4.4 Discuss data platform and practice next steps

      Deliverables
      • Data practice implementation approach
      • Data management RACI
      • Data practice setup pattern for your organization
      • Data practice process pattern for your organization
      • Data practice setup pattern for your organization
      • Data practice process pattern for your organization
      • Data practice setup pattern for your organization
      • Data practice process pattern for your organization
      • Data platform and practice – plan
      Participants Data experts, Business Subject Matter Expert, Head of Data, Data Architect Data experts, Business Subject Matter Expert, Head of Data, Data Architect Data experts, Business Subject Matter Expert, Head of Data, Data Architect Data experts, Business Subject Matter Expert, Head of Data, Data Architect

      Workshop 3:
      Data Platform Design

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889
      Day 1Day 2Day 3Day 4
      Data Platform Overview
      Update Data Platform Reference Architecture
      Design Your Data Platform
      Design Your Data Practices 4
      Activities

      Prerequisite: Business context, business data requirement, and data capabilities

      1.1 Understand data platform framework and data capabilities

      1.2 Understand key data architecture principles and best practices

      1.3 Shortlist data platform patterns

      2.1 Map and identify data capabilities to data platform components

      2.2 Build data platform architecture using Info-Tech data platform reference architecture

      2.3 Highlight critical processes for each practice

      3.1 Design your target data platform using Info-Tech’s data platform template

      3.2 Identify new capabilities and components in your platform design

      4.1 Identify new capabilities and component in your platform design

      4.2 Discuss data platform initiatives

      Deliverables
      • Shortlisted data platform patterns
      • Data platform reference architecture for your organization
      • Data platform design for your organization
      • Data platform plan
      ParticipantsData experts, Business Subject Matter Expert, Head of Data, Data ArchitectData experts, Business Subject Matter Expert, Head of Data, Data ArchitectData experts, Business Subject Matter Expert, Head of Data, Data ArchitectData experts, Business Subject Matter Expert, Head of Data, Data Architect

      Build Your Data Practice and Platform

      Phase 1

      Phase 1: Step 1 – Define Your Data Requirements
      Phase 1: Step 2 – Conduct Your Data Discovery

      Phase 1

      1.1 Define Your Data Requirements
      1.2 Conduct Your Data Discovery

      Phase 2 Phase 3

      Phase 1: Step 1 – Define Your Data Requirements will walk you through the following activities:

      • Confirm the organizational strategic goals, business drivers, business capabilities, and processes driving the Data Practice and Platform effort.
      • Identify the data related outcomes, goals, and ideal environment needed to fulfill the business goals.

      This phase involves the following participants:

      A blend of business leaders and business SMEs together with the Data Strategy team.

      Phase 1: Step 2 – Conduct Your Data Discovery will walk you through the following activities:

      • Identify and highlight the data challenges faced in achieving the desired outcome.
      • Map the data challenges to the data capabilities required to realize the desired data outcome.

      This phase involves the following participants:

      Key personnel from IT/Data team: (Data Architect, Data Engineers, Head of Head of Reporting and Analytics)

      Mitigate the Risk of Cloud Downtime and Data Loss

      • Buy Link or Shortcode: {j2store}412|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: DR and Business Continuity
      • Parent Category Link: /business-continuity
      • Senior leadership is asking difficult questions about the organization’s dependency on third-party cloud services and the risk that poses.
      • IT leaders have limited control over third-party incidents and that includes cloud services. Yet they are on the hot seat when cloud services go down.
      • While vendors have swooped in to provide resilience options for the more-common SaaS solutions, it is not the case for all cloud services.

      Our Advice

      Critical Insight

      • No control over the software does not mean no recovery options. Solutions range from designing an IT workaround using alternate technologies to pre-defined third-party service continuity options (e.g. see options for O365) to business workarounds.
      • Even where there is limited control, you can at least define an incident response plan to streamline notification, assessment, and implementation of workarounds. Leadership wants more options than simply waiting for the service to come back online.
      • At a minimum, IT’s responsibility is to identify and communicate risk to senior leadership. That starts with a vendor review to identify SLA issues and overall resilience gaps.

      Impact and Result

      • Follow a structured process to assess cloud resilience risk.
      • Identify opportunities to mitigate risk – at the very least, ensure critical data is protected.
      • Summarize cloud services risk, mitigation options, and incident response for senior leadership.

      Mitigate the Risk of Cloud Downtime and Data Loss Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Mitigate the Risk of Cloud Downtime and Data Loss – Step-by-step guide to assess risk, identify risk mitigation options, and create an incident response plan.

      Even where there is limited control, you can define an incident response plan to streamline notification, assessment, and implementation of workarounds.

      • Mitigate the Risk of Cloud Downtime and Data Loss Storyboard

      2. Cloud Services Incident Risk and Mitigation Review – Review your key cloud vendors’ SLAs, incident preparedness, and data protection strategy.

      At a minimum, IT’s responsibility is to identify and communicate risk to senior leadership. That starts with a vendor review to identify SLA and overall resilience gaps.

      • Cloud Services Incident Risk and Mitigation Review Tool

      3. SaaS Incident Response Workflows – Use these examples to guide your efforts to create cloud incident response workflows.

      The examples illustrate different approaches to incident response depending on the criticality of the service and options available.

      • SaaS Incident Response Workflows (Visio)
      • SaaS Incident Response Workflows (PDF)

      4. Cloud Services Resilience Summary – Use this template to capture your results.

      Summarize cloud services risk, mitigation options, and incident response for senior leadership.

      • Cloud Services Resilience Summary
      [infographic]

      Further reading

      Mitigate the Risk of Cloud Downtime and Data Loss

      Resilience and disaster recovery in an increasingly Cloudy and SaaSy world.

      Analyst Perspective

      If you think cloud means you don’t need a response plan, then get your resume ready.

      Frank Trovato

      Most organizations are now recognizing that they can’t ignore the risk of a cloud outage or data loss, and the challenge is “what can I do about it?” since there is limited control.

      If you still think “it’s in the cloud, so I don’t need to worry about it,” then get your resume ready. When O365 goes down, your executives are calling IT, not Microsoft, for an answer of what’s being done and what can they do in the meantime to get the business up and running again.

      The key is to recognize what you can control and what actions you can take to evaluate and mitigate risk. At a minimum, you can ensure senior leadership is aware of the risk and define a plan for how you will respond to an incident, even if that is limited to monitoring and communicating status.

      Often you can do more, including defining IT workarounds, backing up your SaaS data for additional protection, and using business process workarounds to bridge the gap, as illustrated in the case studies in this blueprint.

      Frank Trovato
      Research Director, Infrastructure & Operations

      Info-Tech Research Group

      Use this blueprint to expand your DRP and BCP to account for cloud services

      As more applications are migrated to cloud-based services, disaster recovery (DR) and business continuity plans (BCP) must include an understanding of cloud risks and actions to mitigate those risks. This includes evaluating vendor and service reliability and resilience, security measures, data protection capabilities, and technology and business workarounds if there is a cloud outage or incident.

      Use the risk assessments and cloud service incident response plans developed through this blueprint to supplement your DRP and BCP as well as further inform your crisis management plans (e.g. account for cloud risks in your crisis communication planning).

      Overall Business Continuity Plan

      IT Disaster Recovery Plan

      A plan to restore IT application and infrastructure services following a disruption.

      Info-Tech’s Disaster Recovery Planning blueprint provides a methodology for creating the IT DRP. Leverage this blueprint to validate and provide inputs for your IT DRP.

      BCP for Each Business Unit

      A set of plans to resume business processes for each business unit.

      Info-Tech’s Develop a Business Continuity Plan blueprint provides a methodology for creating business unit BCPs as part of an overall BCP for the organization.

      Crisis Management Plan

      A plan to manage a wide range of crises, from health and safety incidents to business disruptions to reputational damage.

      Info-Tech’s Implement Crisis Management Best Practices blueprint provides a framework for planning a response to any crisis, from health and safety incidents to reputational damage.

      Executive Summary

      Your Challenge

      Common Obstacles

      Info-Tech’s Approach

      • Senior leadership is asking difficult questions about the organization’s dependency on third-party cloud services and the risk that poses.
      • Migrating to cloud services transfers much of the responsibility for day-to-day platform maintenance but not accountability for resilience.
      • IT leaders are often responsible for not just the organization’s IT DRP but also BCP and other elements of overall resilience. Cloud risk adds another element IT leaders need to consider.
      • IT leaders have limited control over third-party incidents and that includes cloud services. With SaaS services in particular, recovery or continuity options may be limited.
      • While vendors have swooped in to provide resilience options for the more common SaaS solutions, that is not the case for all cloud services.
      • Part of the solution is defining business process workarounds and that depends on cooperation from business leaders.
      • At a minimum, IT’s responsibility is to identify and communicate risk to senior leadership. That starts with a vendor review to identify SLA and overall resilience gaps.
      • Adapt how you approach downtime and data loss risk, particularly for SaaS solutions where there is limited or no control over the system.
      • Even where there is limited control, you can define an incident response plan to streamline notification, assessment, and implementation of workarounds. Leadership wants more options than simply waiting for the service to come back online.

      Info-Tech Insight

      Asking vendors about their DRP, BCP, and overall resilience has become commonplace. Expect your vendors to provide answers so you can assess risk. Furthermore, your vendor may have additional offerings to increase resilience or recommendations for third parties who can further assist your goals of improving cloud service resilience.

      Key deliverable

      Cloud Services Resilience Summary

      Provide leadership with a summary of cloud risk, downtime workarounds implemented, and additional data protection.

      The image contains a screenshot of the Cloud Services Resilience Summary.

      Additional tools and templates in this blueprint

      Cloud Services Incident Risk and Mitigation Review Tool

      Use this tool to gather vendor input, evaluate vendor SLAs and overall resilience, and track your own risk mitigation efforts.

      The image contains a screenshot of the Cloud Services Incident Risk and Mitigation Review Tool.

      SaaS Incident Response Workflows

      Use the examples in this document as a model to develop your own incident response workflows for cloud outages or data loss.

      The image contains a screenshot of the SaaS Incident Response Workflows.

      This blueprint will step you through the following actions to evaluate and mitigate cloud services risk

      1. Assess your cloud risk
      • Review your cloud services to determine potential impact of downtime/data loss, vendor SLA gaps, and vendor’s current resilience.
    • Identify options to mitigate risk
      • Explore your cloud vendor’s resilience offerings, third-party solutions, DIY recovery options, and business workarounds.
    • Create an incident response plan
      • Document your cloud risk mitigation strategy and incident response plan, which might include a failover strategy, data protection, and/or business continuity.

      Cloud Risk Mitigation

      Identify options to mitigate risk

      Create an incident response plan

      Assess risk

      Phase 1: Assess your cloud risk

      Phase 1

      Phase 2

      Phase 3

      Assess your cloud risk

      Identify options to mitigate risk

      Create an incident response plan

      Cloud does not guarantee uptime

      Public cloud services (e.g. Azure, GCP, AWS) and popular SaaS solutions experience downtime every year.

      A few cloud outage examples:

      • Microsoft Azure AD outage, March 15, 2022:
        Many users could not log into O365, Dynamics, or the Azure Portal.
        Cause: software change.
      • Three AWS outages in December 2021: December 7 (Netflix and others impacted), December 15 (Duo, Zoom, Slack, others), December 20 (Slack, Epic Games, others). Cause: network issues, power outage.
      • Salesforce outage, May 12, 2022: Users could not access the Lightning platform. Cause: expired certificate.

      Cloud availability

      • Migrating to cloud services can improve availability, as they typically offer more resilience than most organizations can afford to implement themselves.
      • However, having multiple data centers, zones, and regions doesn’t prevent all outages, as we see every year with even the largest cloud vendors.

      DR challenges for IaaS, PaaS, and cloud-native

      While there are limits to what you control, often traditional “failover” DR strategy can apply.

      High-level challenges and resilience options:

      • IaaS: No control over the hardware, but you can failover to another region. This is fairly similar to traditional DR.
      • PaaS: No control over the software platform (e.g. SQL server as a service), but you can back up your data and explore vendor options to replicate your environment.
      • Cloud-native applications: As with PaaS, you can back up your data and explore vendor options to replicate your environment.

      Plan for resilience

      • Include DR requirements when designing cloud service implementation. For example, for IaaS solutions, identify what data would need to be replicated and what services may need to be “always on” (e.g. database services where high-availability is demanded).
      • Similarly, for PaaS and cloud-native solutions, consult your vendor regarding options to build in resilience options (e.g. ability to failover to another environment).

      DR challenges for SaaS solutions

      SaaS is the biggest challenge because you have no control over any part of the base application stack.

      High-level challenges and resilience options:

      • No control over the hardware (or the facility, maintenance processes, and so on).
      • No control over the base application (control is limited to configuration settings and add-on customizations or integrations).
      • Options to back up your data will depend on the service.

      Note: The rest of this blueprint is focused primarily on SaaS resilience due to the challenges listed here. For other cloud services, leverage traditional DR strategies and vendor management to mitigate risk (as summarized on the previous slides).

      Focus on what you can control

      • For SaaS solutions in particular, you must toss out traditional DR. If Salesforce has an outage, you won’t be involved in recovering the system.
      • Instead, DR for SaaS needs to focus on improving resilience where you do have control and implementing business workarounds to bridge the gap.

      Evaluate your cloud services to clarify your specific risks

      Time and money is limited, so focus first on cloud services that are most critical and evaluate the vendors’ SLA and existing resilience capabilities.

      The activities on the next two slides will evaluate risk through two approaches:

      Activity 1: Estimate potential impact of downtime and data loss to quantify the risk and determine which cloud services are most critical and need to be prioritized. This is done through a business impact analysis that assesses:

      • Impact on revenue or costs (if applicable).
      • Impact on reputation (e.g. customer impact).
      • Impact on regulatory compliance and health and safety (if applicable).

      Activity 2: Review the vendor to identify risks and gaps. Specifically, evaluate the following:

      • Incident Management SLAs (e.g. does the SLA include RTO/RPO commitments? Do they meet your requirements?)
      • Incident Response Preparedness (e.g. does the vendor have a DRP, BCP, and security incident response plan?)
      • Data Protection (e.g. does their backup strategy and data security meet your standards?)

      Activity 1: Quantify potential impact and prioritize cloud services using a business impact analysis (BIA)

      1-3 hours

      1. Download the latest version of our DRP BIA: DRP Business Impact Analysis Tool. The tool includes instructions.
      2. Include the cloud services you want to assess in the list of applications/systems (see the tool excerpt below), and follow the BIA methodology outlined in the Create a Right-Sized Disaster Recovery Plan blueprint.
      3. Use the results to quantify potential impact and prioritize your efforts on the most-critical cloud services.

      The image contains a screenshot of the DRP Business Impact Analysis Tool.

      Materials
      • DRP BIA Tool
      Participants
      • Core group of IT management and staff who can provide a well-rounded perspective on potential impact. They will create the first draft of the BIA.
      • Review the draft BIA with relevant business leaders to refine and validate the results.

      Activity 2: Review your key cloud vendors’ SLAs, incident preparedness, and data protection strategy

      1-3 hours

      Use the Cloud Services Incident Risk and Mitigation Review Tool as follows:

      1. Send the Vendor Questionnaire tab to your cloud vendors to gather input, and review your existing agreements.
      2. Copy the vendor responses into the tool (see the instructions in the tool) and evaluate. See the example excerpt below.
      3. Identify action items to clarify gaps or address risks. Some action items might not be defined yet and will need to wait until you have had a chance to further explore risk mitigation options.

      The image contains a screenshot of the Cloud Services Incident Risk and Mitigation Review Tool.

      Materials
      • Cloud Services Incident Risk and Mitigation Review Tool
      Participants
      • Core group of IT management and staff tasked with evaluating and improving cloud services’ resilience.

      Phase 2: Identify options to mitigate risk

      Phase 1

      Phase 2

      Phase 3

      Assess your cloud risk

      Identify options to mitigate risk

      Create an incident response plan

      Consult your vendor to identify options to improve resilience, as a starting point

      Your vendor might also be able to suggest third parties that offer additional support, backup, or service continuity options.

      • The Vendor Questionnaire tab in the Cloud Services Incident Risk and Mitigation Review Tool includes a section at the bottom where your vendor can name additional options to improve resilience (e.g. premium support packages, potentially their own DR services).
      • If your vendor has not completed that part of the questionnaire, meet with them to discuss this. Asking service vendors about resilience has become commonplace, so they should be prepared to answer questions about their own offerings and potentially can name trusted third-party vendors who can further assist you.
      • Leverage Info-Tech’s advisory services to evaluate options outlined by your vendor and potential third-party options (e.g. enterprise backup solutions that support backing up SaaS data).

      Some SaaS solutions have plenty of resilience options; others not so much

      • The pervasiveness of O365 has led vendors to close the service continuity gap, with options to send and receive email during an outage and back up your data.
      • With many SaaS solutions, there isn’t going to be a third-party service continuity option, but you might still be able to at least back up your data and implement business process workarounds to close the service gap.

      Example SaaS risk and mitigation: O365

      Risk

      • Several outages every year (e.g. MS Teams July 20, 2022).
      • SLA exceptions include “Scheduled Downtime,” which can occur with just five days’ notice.
      • The Recycling Bin is your data backup, depending on your setup.

      Options to mitigate risk (not an exhaustive list):

      • Third-party solutions for email service continuity.
      • Several backup vendors (e.g. Veeam, Rubrik) can protect most of your O365 suite.
      • Business continuity workarounds leveraging synced OneDrive, SharePoint, and Outlook (access to calendar invites).

      Example SaaS risk and mitigation: Salesforce

      Risk

      • Downtime has been infrequent, but Salesforce did have a major outage in May 2021 (DNS issue) and May 2022 (expired certificate).
      • At the time of this writing, the Main Services Agreement does not commit to a specific uptime value and specifies the usual exclusions.
      • Similarly, there are limited commitments regarding data protection.

      Options to mitigate risk (not an exhaustive list):

      • Salesforce provides a backup and restore service offering.
      • In addition, some third-party vendors support backing up Salesforce data for additional protection against data corruption or data loss.
      • Business continuity workarounds can further reduce the impact of downtime (e.g. record updates in MS Word and leverage Outlook for contact info until Salesforce is recovered).

      Establish a baseline standard for risk mitigation, regardless of cloud service

      At a minimum, set a goal to review vendor risk at least annually, define standard processes for monitoring outages, and review options to back up your SaaS data.

      Example baseline standard for cloud risk mitigation

      • Review vendor risk at least annually. This includes reviewing SLAs, vendor’s incident preparedness (e.g. do they have a current DRP, BCP, and Security IRP?), and the vendor’s data protection strategy.
      • Incident response plans must include, at a minimum, steps to monitor vendor outage and communicate status to relevant stakeholders. Where possible, business process workarounds are defined to bridge the service gap.
      • For critical data (based on your BIA and an evaluation of risk), maintain your own backups of SaaS data for additional protection.

      Embed risk mitigation standards into existing IT operations

      • Include specific SLA requirements, including incident management processes, in your RFP process and annual vendor review.
      • Define cloud incident response in your incident management procedures.
      • Include cloud data considerations in your backup strategy reviews.

      Phase 3: Create an incident response plan

      Phase 1

      Phase 2

      Phase 3

      Assess your cloud risk

      Identify options to mitigate risk

      Create an incident response plan

      Activity 1: Review the example incident response workflows and case studies as a starting point

      1-3 hours

      1. Review the SaaS Incident Response Workflows examples. The examples illustrate different approaches to incident response depending on the criticality of the service and options available.
      2. Review the case studies on the next few slides, which further illustrate the resilience and incident response solutions implemented.
      3. Note the key elements:
      • Detection
      • Assessment
      • Monitoring status / contacting the vendor
      • Communication with key stakeholders
      • Invoking workarounds, if applicable

      Example SaaS Incident Response Workflow Excerpt

      The image contains a screenshot of an example of the SaaS Incident Response Workflow Excerpt.
      Materials
      • SaaS Incident Response Workflows examples
      Participants
      • Core group of IT management and staff tasked with evaluating and improving cloud services’ resilience.
      • Relevant business process owners to provide input and define business workarounds, where applicable.

      Case Study 1: Recovery plan for critical fundraising event

      If either critical SaaS dependency fails, the following plan is executed:

      1. Donors are redirected to a predefined alternate donation page hosted by a different service. The alternate page connects to the backup payment processing service (with predefined integrations).
      2. Marketing communications support the redirect.
      3. While the backup solution doesn’t gather as much data, the payment details provide enough information to follow up with donors where necessary.

      Criticality justified a failover option

      The Annual Day of Giving generates over 50% of fundraising for the year. It’s critically dependent on two SaaS solutions that host the donation page and payment processing.

      To mitigate the risk, the organization implemented the ability to failover to an alternate “environment” – much like a traditional DR solution – supported by workarounds to manage data collection.

      Case Study 2: Protecting customer data

      Daily exports from a SaaS-hosted donations site reduce potential data loss:

      1. Daily exports to a CRM support donor profile updates and follow-ups (tax receipts, thank-you letters, etc.).
      2. The exports also mitigate the risk of data loss due to an incident with the SaaS-hosted donation site.
      3. This company is exploring more-frequent exports to further reduce the risk of data loss.

      Protecting your data gives you options

      For critical data, do you want to rely solely on the vendor’s default backup strategy?

      If your SaaS vendor is hit by ransomware or if their backup frequency doesn’t meet your needs, having your own data backup gives you options.

      It can also support business process workarounds that need to access that data while waiting for SaaS recovery.

      Case Study 3: Recovery plan for payroll

      To enable a more accurate payroll workaround, the following is done:

      1. After each payroll run, export the payroll data from the SaaS solution to a secure location.
      2. If there is a SaaS outage when payroll must be submitted, the exported data can be modified and converted to an ACH file.
      3. The ACH file is submitted to the bank, which has preapproved this workaround.

      BCP can bridge the gap

      When leadership looks to IT to mitigate cloud risk, include BCP in the discussion.

      Payroll is a good example where the best recovery option might be a business continuity workaround.

      IT often still has a role in business continuity workarounds, as in this case study: specifically, providing a solution to modify and convert the payroll data to an ACH file.

      Activity 2: Run tabletop planning exercises as a starting point to build your incident response plan

      1-3 hours

      1. Follow the tabletop planning instructions provided in the Create a Right-Sized Disaster Recovery Plan blueprint.
      2. Run the exercise for each cloud service. Keep the scenario generic at first (e.g. cloud service is down with no reported root cause) so you can focus on your response. Capture response steps and gaps.
      3. Add complexity in subsequent exercises (e.g. data loss plus downtime), and use that to expand and refine the workflow as needed.
      4. Use the resulting workflows as the core piece of your incident response plan.
      5. Supplement the workflow with relevant checklists or procedures. At this point you can choose to incorporate this into your DRP or BCP or maintain these documents as supplements to those plans.
        See the DRP Case Study and BCP Case Study for an example of DRP-BCP documentation.

      Example tabletop planning results excerpt with gaps identified

      The image contains an example tabletop planning results excerpt with gaps identified.

      Materials
      • SaaS Incident Response Workflows examples
      Participants
      • Core group of IT management and staff tasked with evaluating and improving cloud services’ resilience.
      • Review results with relevant business process owners to provide input and define business workarounds where applicable.

      Activity 3: Summarize cloud services resilience to inform senior leadership of current risks and mitigation efforts

      1-3 hours

      1. Use the Cloud Services Resilience Summary example as a template to capture the following:
      • The results of your vendor review (i.e. incident management SLAs, incident response preparedness, data protections strategy).
      • The current state of your downtime workarounds and additional data loss protection.
      • Your baseline standard for cloud services risk mitigation.
      • Summary of resilience, risks, workarounds, and data loss protection for each individual cloud service that you have reviewed.
    • Present the results to senior leadership to:
      • Highlight risks to inform business decisions to mitigate or accept those risks.
      • Summarize actions already taken to mitigate risks.
      • Communicate next steps (e.g. action items to address remaining risks).

      Cloud Services Resilience Summary – Table of Contents

      The image contains a screenshot of Cloud Services Resilience Summary – Table of Contents.
      Materials
      • Cloud Services Resilience Summary
      Participants
      • Core group of IT management and staff tasked with evaluating and improving cloud services’ resilience.
      • Review results with relevant business process owners to provide input and define business workarounds where applicable.

      Summary: For cloud services, after evaluating risk, IT must adapt how they approach risk mitigation

      1. Identify failover options where possible
      • A failover strategy is possible for many cloud services (e.g. IaaS replication to another region, or failing over SaaS to an alternate solution as in case study 1).
    • At least protect your data
      • Explore supplementary backup options to protect against ransomware, data corruption, or data loss and support business continuity workarounds (see case study 2).
    • Leverage BCP to close the gap
      • This doesn’t absolve IT of its role in mitigating cloud incident risk, but business process workarounds can bridge the gap where IT options are limited (see case study 3).

      Related Info-Tech Research

      IT DRP Maturity Assessment

      Get an objective assessment of your DRP program and recommendations for improvement.

      Create a Right-Sized Disaster Recovery Plan

      Close the gap between your DR capabilities and service continuity requirements.

      Develop a Business Continuity Plan

      Streamline the traditional approach to make BCP development manageable and repeatable.

      Implement Crisis Management Best Practices

      Don’t be another example of what not to do. Implement an effective crisis response plan to minimize the impact on business continuity, reputation, and profitability.

      Cyber Resilience Report 2018

      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A

      "The cyber threat landscape today is highly complex and rapidly changing. Cyber security incidents can have several impacts on organizations and society, both on a physical and non-physical level. Through the use of a computer, criminals can indeed cause IT outages, supply chain disruptions and other physical security incidents"

      -- excerpt from the foreword of the BCI Cyber resilience report 2018 by David Thorp, Executive Director, BCI

      There are a number of things you can do to protect yourself. And they range, as usual, from the fairly simple to the more elaborate and esoteric. Most companies can, with some common sense, if not close the door on most of these issues, at least prepare themselves to limit the consequences.

      Register to read more …

      Establish an Effective IT Steering Committee

      • Buy Link or Shortcode: {j2store}191|cart{/j2store}
      • member rating overall impact (scale of 10): 9.6/10 Overall Impact
      • member rating average dollars saved: $44,821 Average $ Saved
      • member rating average days saved: 11 Average Days Saved
      • Parent Category Name: IT Governance, Risk & Compliance
      • Parent Category Link: /it-governance-risk-and-compliance
      • Unfortunately, when CIOs implement IT steering committees, they often lack the appropriate structure and processes to be effective.
      • Due to the high profile of the IT steering committee membership, CIOs need to get this right – or their reputation is at risk.

      Our Advice

      Critical Insight

      • 88% of IT steering committees fail. The organizations that succeed have clearly defined responsibilities that are based on business needs.
      • Without a documented process your committee can’t execute on its responsibilities. Clearly define the flow of information to make your committee actionable.
      • Limit your headaches by holding your IT steering committee accountable for defining project prioritization criteria.

      Impact and Result

      Leverage Info-Tech’s process and deliverables to see dramatic improvements in your business satisfaction through an effective IT steering committee. This blueprint will provide three core customizable deliverables that you can use to launch or optimize your IT steering committee:

      • IT Steering Committee Charter: Use this template in combination with this blueprint to form a highly tailored committee.
      • IT Steering Committee Stakeholder Presentation: Build understanding around the goals and purpose of the IT steering committee, and generate support from your leadership team.
      • IT Steering Committee Project Prioritization Tool: Engage your IT steering committee participants in defining project prioritization criteria. Track project prioritization and assess your portfolio.

      Establish an Effective IT Steering Committee Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should establish an IT steering committee, review Info-Tech’s methodology, and understand the ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build the steering committee charter

      Build your IT steering committee charter using results from the stakeholder survey.

      • Establish an Effective IT Steering Committee – Phase 1: Build the Steering Committee Charter
      • IT Steering Committee Stakeholder Survey
      • IT Steering Committee Charter

      2. Define IT steering commitee processes

      Define your high level steering committee processes using SIPOC, and select your steering committee metrics.

      • Establish an Effective IT Steering Committee – Phase 2: Define ITSC Processes

      3. Build the stakeholder presentation

      Customize Info-Tech’s stakeholder presentation template to gain buy-in from your key IT steering committee stakeholders.

      • Establish an Effective IT Steering Committee – Phase 3: Build the Stakeholder Presentation
      • IT Steering Committee Stakeholder Presentation

      4. Define the prioritization criteria

      Build the new project intake and prioritization process for your new IT steering committee.

      • Establish an Effective IT Steering Committee – Phase 4: Define the Prioritization Criteria
      • IT Steering Committee Project Prioritization Tool
      • IT Project Intake Form
      [infographic]

      Workshop: Establish an Effective IT Steering Committee

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Build the IT Steering Committee

      The Purpose

      Lay the foundation for your IT steering committee (ITSC) by surveying your stakeholders and identifying the opportunities and threats to implementing your ITSC.

      Key Benefits Achieved

       An understanding of the business environment affecting your future ITSC and identification of strategies for engaging with stakeholders

      Activities

      1.1 Launch stakeholder survey for business leaders.

      1.2 Analyze results with an Info-Tech advisor.

      1.3 Identify opportunities and threats to successful IT steering committee implementation.

      1.4 Develop the fit-for-purpose approach.

      Outputs

      Report on business leader governance priorities and awareness

      Refined workshop agenda

      2 Define the ITSC Goals

      The Purpose

      Define the goals and roles of your IT steering committee.

      Plan the responsibilities of your future committee members.

      Key Benefits Achieved

       Groundwork for completing the steering committee charter

      Activities

      2.1 Review the role of the IT steering committee.

      2.2 Identify IT steering committee goals and objectives.

      2.3 Conduct a SWOT analysis on the five governance areas

      2.4 Define the key responsibilities of the ITSC.

      2.5 Define ITSC participation.

      Outputs

      IT steering committee key responsibilities and participants identified

      IT steering committee priorities identified

      3 Define the ITSC Charter

      The Purpose

      Document the information required to create an effective ITSC Charter.

      Create the procedures required for your IT steering committee.

      Key Benefits Achieved

      Clearly defined roles and responsibilities for your steering committee

      Completed IT Steering Committee Charter document

      Activities

      3.1 Build IT steering committee participant RACI.

      3.2 Define your responsibility cadence and agendas.

      3.3 Develop IT steering committee procedures.

      3.4 Define your IT steering committee purpose statement and goals.

      Outputs

      IT steering committee charter: procedures, agenda, and RACI

      Defined purpose statement and goals

      4 Define the ITSC Process

      The Purpose

      Define and test your IT steering committee processes.

      Get buy-in from your key stakeholders through your stakeholder presentation.

      Key Benefits Achieved

      Stakeholder understanding of the purpose and procedures of IT steering committee membership

      Activities

      4.1 Define your high-level IT steering committee processes.

      4.2 Conduct scenario testing on key processes, establish ITSC metrics.

      4.3 Build your ITSC stakeholder presentation.

      4.4 Manage potential objections.

      Outputs

      IT steering committee SIPOC maps

      Refined stakeholder presentation

      5 Define Project Prioritization Criteria

      The Purpose

      Key Benefits Achieved

      Activities

      5.1 Create prioritization criteria

      5.2 Customize the project prioritization tool

      5.3 Pilot test the tool

      5.4 Define action plan and next steps

      Outputs

      IT Steering Committee Project Prioritization Tool

      Action plan

      Further reading

      Establish an Effective IT Steering Committee

      Have the right people making the right decisions to drive IT success.

      Our understanding of the problem

      This Research Is Designed For:

      • CIOs
      • IT Leaders

      This Research Will Also Assist:

      • Business Partners

      This Research Will Help You:

      • Structure an IT steering committee with the appropriate membership and responsibilities
      • Define appropriate cadence around business involvement in IT decision making
      • Define your IT steering committee processes, metrics, and timelines
      • Obtain buy-in for IT steering committee participations
      • Define the project prioritization criteria

      This Research Will Help Them:

      • Understand the importance of IT governance and their role
      • Identify and build the investment prioritization criteria

      Executive Summary

      Situation

      • An effective IT steering committee (ITSC) is one of the top predictors of value generated by IT, yet only 11% of CIOs believe their committees are effective.
      • An effective steering committee ensures that the right people are involved in critical decision making to drive organizational value.

      Complication

      • Unfortunately, when CIOs do implement IT steering committees, they often lack the appropriate structure and processes to be effective.
      • Due to the high profile of the IT steering committee membership, CIOs need to get this right – or their reputation is at risk.

      Resolution

      Leverage Info-Tech’s process and deliverables to see dramatic improvements in your business satisfaction through an effective IT steering committee. This blueprint will provide three core customizable deliverables that you can use to launch or optimize your IT steering committee. These include:

      1. IT Steering Committee Charter: Customizable charter complete with example purpose, goals, responsibilities, procedures, RACI, and processes. Use this template in combination with this blueprint to get a highly tailored committee.
      2. IT Stakeholder Presentation: Use our customizable presentation guide to build understanding around the goals and purpose of the IT steering committee and generate support from your leadership team.
      3. IT Steering Committee Project Prioritization Tool: Engage your IT steering committee participants in defining the project prioritization criteria. Use our template to track project prioritization and assess your portfolio.

      Info-Tech Insight

      1. 88% of IT steering committees fail. The organizations that succeed have clearly defined responsibilities that are based on business needs.
      2. Without a documented process your committee can’t execute on its responsibilities. Clearly define the flow of information to make your committee actionable.
      3. Limit your headaches by holding your IT steering committee accountable for defining project prioritization criteria.

      IT Steering Committee

      Effective IT governance critical in driving business satisfaction with IT. Yet 88% of CIOs believe that their governance structure and processes are not effective. The IT steering committee (ITSC) is the heart of the governance body and brings together critical organizational stakeholders to enable effective decision making (Info-Tech Research Group Webinar Survey).

      IT STEERING COMMITTEES HAVE 3 PRIMARY OBJECTIVES – TO IMPROVE:

      1. Alignment: IT steering committees drive IT and business strategy alignment by having business partners jointly accountable for the prioritization and selection of projects and investments within the context of IT capacity.
      2. Accountability: The ITSC facilitates the involvement and commitment of executive management through clearly defined roles and accountabilities for IT decisions in five critical areas: investments, projects, risk, services, and data.
      3. Value Generation: The ITSC is responsible for the ongoing evaluation of IT value and performance of IT services. The committee should define these standards and approve remediation plans when there is non-achievement.

      "Everyone needs good IT, but no one wants to talk about it. Most CFOs would rather spend time with their in-laws than in an IT steering-committee meeting. But companies with good governance consistently outperform companies with bad. Which group do you want to be in?"

      – Martha Heller, President, Heller Search Associates

      An effective IT steering committee improves IT and business alignment and increases support for IT across the organization

      CEOs’ PERCEPTION OF IT AND BUSINESS ALIGNMENT

      67% of CIOs/CEOs are misaligned on the target role for IT.

      47% of CEOs believe that business goals are going unsupported by IT.

      64% of CEOs believe that improvement is required around IT’s understanding of business goals.

      28% of business leaders are supporters of their IT departments.

      A well devised IT steering committee ensures that core business partners are involved in critical decision making and that decisions are based on business goals – not who shouts the loudest. Leading to faster decision-making time, and better-quality decisions and outcomes.

      Source: Info-Tech CIO/CEO Alignment data

      Despite the benefits, 9 out of 10 steering committees are unsuccessful

      WHY DO IT STEERING COMMITTEES FAIL?

      1. A lack of appetite for an IT steering committee from business partners
      2. An effective ITSC requires participation from core members of the organization’s leadership team. The challenge is that most business partners don’t understand the benefits of an ITSC and the responsibilities aren’t tailored to participants’ needs or interests. It’s the CIOs responsibility to make this case to stakeholders and right-size the committee responsibilities and membership.
      3. IT steering committees are given inappropriate responsibilities
      4. The IT steering committee is fundamentally about decision making; it’s not a working committee. CIOs struggle with clarifying these responsibilities on two fronts: either the responsibilities are too vague and there is no clear way to execute on them within a meeting, or responsibilities are too tactical and require knowledge that participants do not have. Responsibilities should determine who is on the ITSC, not the other way around.
      5. Lack of process around execution
      6. An ITSC is only valuable if members are able to successfully execute on the responsibilities. Without well defined processes it becomes nearly impossible for the ITSC to be actionable. As a result, participants lack the information they need to make critical decisions, agendas are unmet, and meetings are seen as a waste of time.

      GOVERNANCE and ITSC and IT Management

      Organizations often blur the line between governance and management, resulting in the business having say over the wrong things. Understand the differences and make sure both groups understand their role.

      The ITSC is the most senior body within the IT governance structure, involving key business executives and focusing on critical strategic decisions impacting the whole organization.

      Within a holistic governance structure, organizations may have additional committees that evaluate, direct, and monitor key decisions at a more tactical level and report into the ITSC.

      These committees require specialized knowledge and are implemented to meet specific organizational needs. Those operational committees may spark a tactical task force to act on specific needs.

      IT management is responsible for executing on, running, and monitoring strategic activities as determined by IT governance.

      RELATIONSHIP BETWEEN STRATEGIC, TACTICAL, AND OPERATIONAL GROUPS

      Strategic IT Steering Committee
      Tactical

      Project Governance Service Governance

      Risk Governance Information Governance

      IT Management
      Operational Risk Task Force

      This blueprint focuses exclusively on building the IT steering committee. For more information on IT governance see Info-Tech’s blueprint Tailor an IT Governance Plan to Fit Organizational Needs.

      1. Governance of the IT Portfolio & Investments: ensures that funding and resources are systematically allocated to the priority projects that deliver value
      2. Governance of Projects: ensures that IT projects deliver the expected value, and that the PM methodology is measured and effective.
      3. Governance of Risks: ensures the organization’s ability to assess and deliver IT projects and services with acceptable risk.
      4. Governance of Services: ensures that IT delivers the required services at the acceptable performance levels.
      5. Governance of Information and Data: ensures the appropriate classification and retention of data based on business need.

      If these symptoms resonate with you, it might be time to invest in building an IT steering committee

      SIGNS YOU MAY NEED TO BUILD AN IT STEERING COMMITTEE

      As CIO I find that there is a lack of alignment between business and IT strategies.
      I’ve noticed that projects are thrown over the fence by stakeholders and IT is expected to comply.
      I’ve noticed that IT projects are not meeting target project metrics.
      I’ve struggled with a lack of accountability for decision making, especially by the business.
      I’ve noticed that the business does not understand the full cost of initiatives and projects.
      I don’t have the authority to say “no” when business requests come our way.
      We lack a standardized approach for prioritizing projects.
      IT has a bad reputation within the organization, and I need a way to improve relationships.
      Business partners are unaware of how decisions are made around IT risks.
      Business partners don’t understand the full scope of IT responsibilities.
      There are no SLAs in place and no way to measure stakeholder satisfaction with IT.

      Info-Tech’s approach to implementing an IT steering committee

      Info-Tech’s IT steering committee development blueprint will provide you with the required tools, templates, and deliverables to implement a right-sized committee that’s effective the first time.

      • Measure your business partner level of awareness and interest in the five IT governance areas, and target specific responsibilities for your steering committee based on need.
      • Customize Info-Tech’s IT Steering Committee Charter Template to define and document the steering committee purpose, responsibilities, participation, and cadence.
      • Build critical steering committee processes to enable information to flow into and out of the committee to ensure that the committee is able to execute on responsibilities.
      • Customize Info-Tech’s IT Steering Committee Stakeholder Presentation template to make your first meeting a breeze, providing stakeholders with the information they need, with less than two hours of preparation time.
      • Leverage our workshop guide and prioritization tools to facilitate a meeting with IT steering committee members to define the prioritization criteria for projects and investments and roll out a streamlined process.

      Info-Tech’s Four-Phase Process

      Key Deliverables:
      1 2 3 4
      Build the Steering Committee Charter Define ITSC Processes Build the Stakeholder Presentation Define the Prioritization Criteria
      • IT Steering Committee Stakeholder Survey
      • IT Steering Committee Charter
        • Purpose
        • Responsibilities
        • RACI
        • Procedures
      • IT Steering Committee SIPOC (Suppliers, Inputs, Process, Outputs, Customers)
      • Defined process frequency
      • Defined governance metrics
      • IT Steering Committee Stakeholder Presentation template
        • Introduction
        • Survey outcomes
        • Responsibilities
        • Next steps
        • ITSC goals
      • IT project prioritization facilitation guide
      • IT Steering Committee Project Prioritization Tool
      • Project Intake Form

      Leverage both COBIT and Info-Tech-defined metrics to evaluate the success of your program or project

      COBIT METRICS Alignment
      • Percent of enterprise strategic goals and requirements supported by strategic goals.
      • Level of stakeholder satisfaction with scope of the planned portfolio of programs and services.
      Accountability
      • Percent of executive management roles with clearly defined accountabilities for IT decisions.
      • Rate of execution of executive IT-related decisions.
      Value Generation
      • Level of stakeholder satisfaction and perceived value.
      • Number of business disruptions due to IT service incidents.
      INFO-TECH METRICS Survey Metrics:
      • Percent of business leaders who believe they understand how decisions are made in the five governance areas.
      • Percentage of business leaders who believe decision making involved the right people.
      Value of Customizable Deliverables:
      • Estimated time to build IT steering committee charter independently X cost of employee
      • Estimated time to build and generate customer stakeholder survey and generate reports X cost of employee
      • # of project interruptions due to new or unplanned projects

      CASE STUDY

      Industry: Consumer Goods

      Source: Interview

      Situation

      A newly hired CIO at a large consumer goods company inherited an IT department with low maturity from her predecessor. Satisfaction with IT was very low across all business units, and IT faced a lot of capacity constraints. The business saw IT as a bottleneck or red tape in terms of getting their projects approved and completed.

      The previous CIO had established a steering committee for a short time, but it had a poorly established charter that did not involve all of the business units. Also the role and responsibilities of the steering committee were not clearly defined. This led the committee to be bogged down in politics.

      Due to the previous issues, the business was wary of being involved in a new steering committee. In order to establish a new steering committee, the new CIO needed to navigate the bad reputation of the previous CIO.

      Solution

      The CIO established a new steering committee engaging senior members of each business unit. The roles of the committee members were clearly established in the new steering committee charter and business stakeholders were informed of the changes through presentations.

      The importance of the committee was demonstrated through the new intake and prioritization process for projects. Business stakeholders were impressed with the new process and its transparency and IT was no longer seen as a bottleneck.

      Results

      • Satisfaction with IT increased by 12% after establishing the committee and IT was no longer seen as red tape for completing projects
      • IT received approval to hire two more staff members to increase capacity
      • IT was able to augment service levels, allowing them to reinvest in innovative projects
      • Project prioritization process was streamlined

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Establish an Effective IT Steering Committee

      Build the Steering Committee Charter Define ITSC Processes Build the Stakeholder Presentation Define the Prioritization Criteria
      Best-Practice Toolkit

      1.1 Survey Your Steering Committee Stakeholders

      1.2 Build Your ITSC Charter

      2.1 Build a SIPOC

      2.2 Define Your ITSC Process

      3.1 Customize the Stakeholder Presentation

      4.1 Establish your Prioritization Criteria

      4.2 Customize the Project Prioritization Tool

      4.3 Pilot Test Your New Prioritization Criteria

      Guided Implementations
      • Launch your stakeholder survey
      • Analyze the results of the survey
      • Build your new ITSC charter
      • Review your completed charter
      • Build and review your SIPOC
      • Review your high-level steering committee processes
      • Customize the presentation
      • Build a script for the presentation
      • Practice the presentation
      • Review and select prioritization criteria
      • Review the Project Prioritization Tool
      • Review the results of the tool pilot test
      Onsite Workshop

      Module 1:

      Build a New ITSC Charter

      Module 2:

      Design Steering Committee Processes

      Module 3:

      Present the New Steering Committee to Stakeholders

      Module 4:

      Establish Project Prioritization Criteria

      Phase 1 Results:
      • Customized ITSC charter

      Phase 2 Results:

      • Completed SIPOC and steering committee processes
      Phase 3 Results:
      • Customized presentation deck and script
      Phase 4 Results:
      • Customized project prioritization tool

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Workshop Day 1 Workshop Day 2 Workshop Day 3 Workshop Day 4 Workshop Day 5
      Activities

      Build the IT Steering Committee

      1.1 Launch stakeholder survey for business leaders

      1.2 Analyze results with an Info-Tech Advisor

      1.3 Identify opportunities and threats to successful IT steering committee implementation.

      1.4 Develop the fit-for-purpose approach

      Define the ITSC Goals

      2.1 Review the role of the IT steering committee

      2.2 Identify IT steering committee goals and objectives

      2.3 Conduct a SWOT analysis on the five governance areas

      2.4 Define the key responsibilities of the ITSC 2.5 Define ITSC participation

      Define the ITSC Charter

      3.1 Build IT steering committee participant RACI

      3.2 Define your responsibility cadence and agendas

      3.3 Develop IT steering committee procedures

      3.4 Define your IT steering committee purpose statement and goals

      Define the ITSC Process

      4.1 Define your high-level IT steering committee processes

      4.2 Conduct scenario testing on key processes, establish ITSC metrics

      4.3 Build your ITSC stakeholder presentation

      4.4 Manage potential objections

      Define Project Prioritization Criteria

      5.1 Create prioritization criteria

      5.2 Customize the Project Prioritization Tool

      5.3 Pilot test the tool

      5.4 Define action plan and next steps

      Deliverables
      1. Report on business leader governance priorities and awareness
      2. Refined workshop agenda
      1. IT steering committee priorities identified
      2. IT steering committee key responsibilities and participants identified
      1. IT steering committee charter: procedures, agenda, and RACI
      2. Defined purpose statement and goals
      1. IT steering committee SIPOC maps
      2. Refined stakeholder presentation
      1. Project Prioritization Tool
      2. Action plan

      Phase 1

      Build the IT Steering Committee Charter

      Phase 1 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Formalize the Security Policy Program

      Proposed Time to Completion: 1-2 weeks

      Select Your ITSC Members

      Start with an analyst kick-off call:

      • Launch your stakeholder survey

      Then complete these activities…

      • Tailor the survey questions
      • Identify participants and tailor email templates

      With these tools & templates:

      • ITSC Stakeholder Survey
      • ITSC Charter Template

      Review Stakeholder Survey Results

      Review findings with analyst:

      • Review the results of the Stakeholder Survey

      Then complete these activities…

      • Customize the ITSC Charter Template

      With these tools & templates:

      • ITSC Charter Template

      Finalize the ITSC Charter

      Finalize phase deliverable:

      • Review the finalized ITSC charter with an Info-Tech analyst

      Then complete these activities…

      • Finalize any changes to the ITSC Charter
      • Present it to ITSC Members

      With these tools & templates:

      • ITSC Charter Template

      Build the IT Steering Committee Charter

      This step will walk you through the following activities:

      • Launch and analyze the stakeholder survey
      • Define your ITSC goals and purpose statement
      • Determine ITSC responsibilities and participants
      • Determine ITSC procedures

      This step involves the following participants:

      • CIO
      • IT Steering Committee
      • IT Leadership Team
      • PMO

      Key Insight:

      Be exclusive with your IT steering committee membership. Determine committee participation based on committee responsibilities. Select only those who are key decision makers for the activities the committee is responsible for and, wherever possible, keep membership to 5-8 people.

      Tailor Info-Tech’s IT Steering Committee Charter Template to define terms of reference for the ITSC

      1.1

      A charter is the organizational mandate that outlines the purpose, scope, and authority of the ITSC. Without a charter, the steering committee’s value, scope, and success criteria are unclear to participants, resulting in unrealistic stakeholder expectations and poor organizational acceptance.

      Start by reviewing Info-Tech’s template. Throughout this section we will help you to tailor its contents.

      Committee Purpose: The rationale, benefits of, and overall function of the committee.

      Responsibilities: What tasks/decisions the accountable committee is making.

      Participation: Who is on the committee

      RACI: Who is accountable, responsible, consulted, and informed regarding each responsibility.

      Committee Procedures and Agendas: Includes how the committee will be organized and how the committee will interact and communicate with business units.

      A screenshot of Info-Tech's <em data-verified=IT Steering Committee Charter Template.">

      IT Steering Committee Charter

      Take a data-driven approach to build your IT steering committee based on business priorities

      1.2

      Leverage Info-Tech’s IT Steering Committee Stakeholder Surveyand reports to quickly identify business priorities and level of understanding of how decisions are made around the five governance areas.

      Use these insights to drive the IT steering committee responsibilities, participation, and communication strategy.

      The Stakeholder Survey consists of 17 questions on:

      • Priority governance areas
      • Desired level of involvement in decision making in the five governance areas
      • Knowledge of how decisions are made
      • Five open-ended questions on improvement opportunities

      To simplify your data collection and reporting, Info-Tech can launch a web-based survey, compile the report data and assist in the data interpretation through one of our guided implementations.

      Also included is a Word document with recommended questions, if you prefer to manage the survey logistics internally.

      A screenshot of Info-Tech's first page of the <em data-verified=IT Steering Committee Stakeholder Survey "> A screenshot of Info-Tech's survey.

      Leverage governance reports to define responsibilities and participants, and in your presentation to stakeholders

      1.3

      A screenshot is displayed. It advises that 72% of stakeholders do <strong data-verified= understand how decisions around IT services are made (quality, availability, etc.). Two graphs are included in the screenshot. One of the bar graphs shows the satisfaction with the quality of decisions and transparency around IT services. The other bar graph displays IT decisions around service delivery and quality that involve the right people.">

      OVERALL PRIORITIES

      You get:

      • A clear breakdown of stakeholders’ level of understanding on how IT decisions are made in the five governance areas
      • Stakeholder perceptions on the level of IT and business involvement in decision making
      • Identification of priority areas

      So you can:

      • Get an overall pulse check for understanding
      • Make the case for changes in decision-making accountability
      • Identify which areas the IT steering committee should focus on
      A screenshot is displayed. It advises that 80% of stakeholders do <strong data-verified=not understand how decisions around IT investments or project and service resourcing are made. Two bar graphs are displayed. One of the bar graphs shows the satisfaction with the quality of decisions made around IT investments. The other graph display IT decisions around spending priorities involving the right people.">

      GOVERNANCE AREA REPORTS

      You get:

      • Satisfaction score for decision quality in each governance area
      • Breakdown of decision-making accountability effectiveness
      • Identified level of understanding around decision making
      • Open-ended comments

      So you can:

      • Identify the highest priority areas to change.
      • To validate changes in decision-making accountability
      • To understand business perspectives on decision making.

      Conduct a SWOT analysis of the five governance areas

      1.4

      1. Hold a meeting with your IT leadership team to conduct a SWOT analysis on each of the five governance areas. Start by printing off the following five slides to provide participants with examples of the role of governance and the symptoms of poor governance in each area.
      2. In groups of 1-2 people, have each group complete a SWOT analysis for one of the governance areas. For each consider:
      • Strengths: What is currently working well in this area?
      • Weaknesses: What could you improve? What are some of the challenges you’re experiencing?
      • Opportunities: What are some organizational trends that you can leverage? Consider whether your strengths or weaknesses that could create opportunities?
      • Threats: What are some key obstacles across people, process, and technology?
    • Have each team or individual rotate until each person has contributed to each SWOT. Add comments from the stakeholder survey to the SWOT.
    • As a group rank each of the five areas in terms of importance for a phase one IT steering committee implementation, and highlight the top 10 challenges, and the top 10 opportunities you see for improvement.
    • Document the top 10 lists for use in the stakeholder presentation.
    • INPUT

      • Survey outcomes
      • Governance overview handouts

      OUTPUT

      • SWOT analysis
      • Ranked 5 areas
      • Top 10 challenges and opportunities identified.

      Materials

      • Governance handouts
      • Flip chart paper, pens

      Participants

      • IT leadership team

      Governance of RISK

      Governance of risk establishes the risk framework, establishes policies and standards, and monitors risks.

      Governance of risk ensures that IT is mitigating all relevant risks associated with IT investments, projects, and services.

      GOVERNANCE ROLES:

      1. Defines responsibility and accountability for IT risk identification and mitigation.
      2. Ensures the consideration of all elements of IT risk, including value, change, availability, security, project, and recovery
      3. Enables senior management to make better IT decisions based on the evaluation of the risks involved
      4. Facilitates the identification and analysis of IT risk and ensures the organization’s informed response to that risk.

      Symptoms of poor governance of risk

      • Opportunities for value creation are missed by not considering or assessing IT risk, or by completely avoiding all risk.
      • No formal risk management process or accountabilities exist.
      • There is no business continuity strategy.
      • Frequent security breaches occur.
      • System downtime occurs due to failed IT changes.

      Governance of PPM

      Governance of the IT portfolio achieves optimum ROI through prioritization, funding, and resourcing.

      PPM practices create value if they maximize the throughput of high-value IT projects at the lowest possible cost. They destroy value when they foster needlessly sophisticated and costly processes.

      GOVERNANCE ROLES:

      1. Ensures that the projects that deliver greater business value get a higher priority.
      2. Provides adequate funding for the priority projects and ensures adequate resourcing and funding balanced across the entire portfolio of projects.
      3. Makes the business and IT jointly accountable for setting project priorities.
      4. Evaluate, direct, and monitor IT value metrics and endorse the IT strategy and monitor progress.

      Symptoms of poor governance of PPM/investments

      • The IT investment mix is determined solely by Finance and IT.
      • It is difficult to get important projects approved.
      • Projects are started then halted, and resources are moved to other projects.
      • Senior management has no idea what projects are in the backlog.
      • Projects are approved without a valid business case.

      Governance of PROJECTS

      Governance of projects improves the quality and speed of decision making for project issues.

      Don’t confuse project governance and management. Governance makes the decisions regarding allocation of funding and resources and reviews the overall project portfolio metrics and process methodology.

      Management ensures the project deliverables are completed within the constraints of time, budget, scope, and quality.

      GOVERNANCE ROLES:

      1. Monitors and evaluates the project management process and critical project methodology metrics.
      2. Ensures review and mitigation of project issue and that management is aware of projects in crisis.
      3. Ensures that projects beginning to show characteristics of failure cannot proceed until issues are resolved.
      4. Endorses the project risk criteria, and monitors major risks to project completion.
      5. Approves the launch and execution of projects.

      Symptoms of poor governance of projects

      • Projects frequently fail or get cancelled.
      • Project risks and issues are not identified or addressed.
      • There is no formal project management process.
      • There is no senior stakeholder responsible for making project decisions.
      • There is no formal project reporting.

      Governance of SERVICES

      Governance of services ensures delivery of a highly reliable set of IT services.

      Effective governance of services enables the business to achieve the organization’s goals and strategies through the provision of reliable and cost-effective services.

      GOVERNANCE ROLES:

      1. Ensures the satisfactory performance of those services critical to achieving business objectives.
      2. Monitors and directs changes in service levels.
      3. Ensures operational and performance objectives for IT services are met.
      4. Approves policy and standards on the service portfolio.

      Symptoms of poor governance of service

      • There is a misalignment of business needs and expectations with IT capability.
      • No metrics are reported for IT services.
      • The business is unaware of the IT services available to them.
      • There is no accountability for service level performance.
      • There is no continuous improvement plan for IT services.
      • IT services or systems are frequently unavailable.
      • Business satisfaction with IT scores are low.

      Governance of INFORMATION

      Governance of information ensures the proper handling of data and information.

      Effective governance of information ensures the appropriate classification, retention, confidentiality, integrity, and availability of data in line with the needs of the business.

      GOVERNANCE ROLES:

      1. Ensures the information lifecycle owner and process are defined and endorse by business leadership.
      2. Ensures the controlled access to a comprehensive information management system.
      3. Ensures knowledge, information, and data are gathered, analyzed, stored, shared, used, and maintained.
      4. Ensures that external regulations are identified and met.

      Symptoms of poor governance of information

      • There is a lack of clarity around data ownership, and data quality standards.
      • There is insufficient understanding of what knowledge, information, and data are needed by the organization.
      • There is too much effort spent on knowledge capture as opposed to knowledge transfer and re-use.
      • There is too much focus on storing and sharing knowledge and information that is not up to date or relevant.
      • Personnel see information management as interfering with their work.

      Identify the responsibilities of the IT steering committee

      1.5

      1. With your IT leadership team, review the typical responsibilities of the IT steering committee on the following slide.
      2. Print off the following slide, and in your teams of 1-2 have each group identify which responsibilities they believe the IT steering committee should have, brainstorm any additional responsibilities, and document their reasoning.
      3. Note: The bolded responsibilities are the ones that are most common to IT steering committees, and greyed out responsibilities are typical of a larger governance structure. Depending on their level of importance to your organization, you may choose to include the responsibility.

      4. Have each team present to the larger group, track the similarities and differences between each of the groups, and come to consensus on the list of responsibilities.
      5. Complete a sanity check – review your swot analysis and survey results. Do the responsibilities you’ve identified resolve the critical challenges or weaknesses?
      6. As a group, consider the responsibilities and consider whether you can reasonably implement those in one year, or if there are any that will need to wait until year two of the IT steering committee.
      7. Modify the list of responsibilities in Info-Tech’s IT Steering Committee Charter by deleting the responsibilities you do not need and adding any that you identified in the process.

      INPUT

      • SWOT analysis
      • Survey reports

      OUTPUT

      • Defined ITSC responsibilities documented in the ITSC Charter

      Materials

      • Responsibilities handout
      • Voting dots

      Participants

      • IT leadership team

      Typical IT steering committee and governance responsibilities

      The bolded responsibilities are those that are most common to IT steering committees, and responsibilities listed in grey are typical of a larger governance structure.

      INVESTMENTS / PPM

      • Establish the target investment mix
      • Evaluate and select programs/projects to fund
      • Monitor IT value metrics
      • Endorse the IT budget
      • Monitor and report on program/project outcomes
      • Direct the governance optimization
      • Endorse the IT strategy

      PROJECTS

      • Monitor project management metrics
      • Approve launch of projects
      • Review major obstacles to project completion
      • Monitor a standard approach to project management
      • Monitor and direct project risk
      • Monitor requirements gathering process effectiveness
      • Review feasibility studies and formulate alternative solutions for high risk/high investment projects

      SERVICE

      • Monitor stakeholder satisfaction with services
      • Monitor service metrics
      • Approve plans for new or changed service requirements
      • Monitor and direct changes in service levels
      • Endorse the enterprise architecture
      • Approve policy and standards on the service portfolio
      • Monitor performance and capacity

      RISK

      • Monitor risk management metrics
      • Review the prioritized list of risks
      • Monitor changes in external regulations
      • Maintain risk profiles
      • Approve the risk management emergency action process
      • Maintain a mitigation plan to minimize risk impact and likelihood
      • Evaluate risk management
      • Direct risk management

      INFORMATION / DATA

      • Define information lifecycle process ownership
      • Monitor information lifecycle metrics
      • Define and monitor information risk
      • Approve classification categories of information
      • Approve information lifecycle process
      • Set policies on retirement of information

      Determine committee membership based on the committee’s responsibilities

      • One of the biggest benefits to an IT steering committee is it involves key leadership from the various lines of business across the organization.
      • However, in most cases, more people get involved than is required, and all the committee ends up accomplishing is a lot of theorizing. Participants should be selected based on the identified responsibilities of the IT steering committee.
      • If the responsibilities don’t match the participants, this will negatively impact committee effectiveness as leaders become disengaged in the process and don’t feel like it applies to them or accomplishes the desired goals. Once participants begin dissenting, it’s significantly more difficult to get results.
      • Be careful! When you have more than one individual in a specific role, select only the people whose attendance is absolutely critical. Don’t let your governance collapse under committee overload!

      LIKELY PARTICIPANT EXAMPLES:

      MUNICIPALITY

      • City Manager
      • CIO/IT Leader
      • CCO
      • CFO
      • Division Heads

      EDUCATION

      • Provost
      • Vice Provost
      • VP Academic
      • VP Research
      • VP Public Affairs
      • VP Operations
      • VP Development
      • Etc.

      HEALTHCARE

      • President/CEO
      • CAO
      • EVP/ EDOs
      • VPs
      • CIO
      • CMO

      PRIVATE ORGANIZATIONS

      • CEO
      • CFO
      • COO
      • VP Marketing
      • VP Sales
      • VP HR
      • VP Product Development
      • VP Engineering
      • Etc.

      Identify committee participants and responsibility cadence

      1.6

      1. In a meeting with your IT leadership team, review the list of committee responsibilities and document them on a whiteboard.
      2. For each responsibility, identify the individuals whom you would want to be either responsible or accountable for that decision.
      3. Repeat this until you’ve completed the exercise for each responsibility.
      4. Group the responsibilities with the same participants and highlight groupings with less than four participants. Consider the responsibility and determine whether you need to change the wording to make it more applicable or if you should remove the responsibility.
      5. Review the grouping, the responsibilities within them, and their participants, and assess how frequently you would like to meet about them – annually, quarterly, or monthly. (Note: suggested frequency can be found in the IT Steering Committee Charter.)
      6. Subdivide the responsibilities for the groupings to determine your annual, quarterly, and monthly meeting schedule.
      7. Validate that one steering committee is all that is needed, or divide the responsibilities into multiple committees.
      8. Document the committee participants in the IT Steering Committee Charter and remove any unneeded responsibilities identified in the previous exercise.

      INPUT

      • List of responsibilities

      OUTPUT

      • ITSC participants list
      • Meeting schedule

      Materials

      • Whiteboard
      • Markers

      Participants

      • IT leadership team

      Committees can only be effective if they have clear and documented authority

      It is not enough to participate in committee meetings; there needs to be a clear understanding of who is accountable, responsible, consulted, and informed about matters brought to the attention of the committee.

      Each committee responsibility should have one person who is accountable, and at least one person who is responsible. This is the best way to ensure that committee work gets done.

      An authority matrix is often used within organizations to indicate roles and responsibilities in relation to processes and activities. Using the RACI model as an example, there is only one person accountable for an activity, although several people may be responsible for executing parts of the activity. In this model, accountable means end-to-end accountability for the process.

      RESPONSIBLE: The one responsible for getting the job done.

      ACCOUNTABLE: Only one person can be accountable for each task.

      CONSULTED: Involvement through input of knowledge and information.

      INFORMED: Receiving information about process execution and quality.

      A chart is depicted to show an example of the authority matrix using the RACI model.

      Define IT steering committee participant RACI for each of the responsibilities

      1.7

      1. Use the table provided in the IT Steering Committee Charter and edit he list of responsibilities to reflect the chosen responsibilities of your ITSC.
      2. Along the top of the chart list the participant names, and in the right hand column of the table document the agreed upon timing from the previous exercise.
      3. For each of the responsibilities identify whether participants are Responsible, Accountable, Consulted, or Informed by denoting an R, A, C, I, or N/A in the table. Use N/A if this is a responsibility that the participant has no involvement in.
      4. Review your finalized RACI chart. If there are participants who are only consulted or informed about the majority of responsibilities, consider removing them from the IT steering committee. You only want the decision makers on the committee.

      INPUT

      • Responsibilities
      • Participants

      OUTPUT

      • RACI documented in the ITSC Charter

      Materials

      • ITSC RACI template
      • Projector

      Participants

      • IT leadership

      Building the agenda may seem trivial, but it is key for running effective meetings

      49% of people consider unfocused meetings as the biggest workplace time waster.*

      63% of the time meetings do not have prepared agendas.*

      80% Reduction of time spent in meetings by following a detailed agenda and starting on time.*

      *(Source: http://visual.ly/fail-plan-plan-fail).

      EFFECTIVE MEETING AGENDAS:

      1. Have clearly defined meeting objectives.
      2. Effectively time-boxed based on priority items.
      3. Defined at least two weeks prior to the meetings.
      4. Evaluated regularly – are not static.
      5. Leave time at the end for new business, thus minimizing interruptions.

      BUILDING A CONSENT AGENDA

      A consent agenda is a tool to free up time at meetings by combining previously discussed or simple items into a single item. Items that can be added to the consent agenda are those that are routine, noncontroversial, or provided for information’s sake only. It is expected that participants read this information and, if it is not pulled out, that they are in agreement with the details.

      Members have the option to pull items out of the consent agenda for discussion if they have questions. Otherwise these are given no time on the agenda.

      Define the IT steering committee meeting agendas and procedures

      1.8

      Agendas

      1. Review the listed responsibilities, participants, and timing as identified in a previous exercise.
      2. Annual meeting: Identify if all of the responsibilities will be included in the annual meeting agenda (likely all governance responsibilities).
      3. Quarterly Meeting Agenda: Remove the meeting responsibilities from the annual meeting agenda that are not required and create a list of responsibilities for the quarterly meetings.
      4. Monthly Meeting Agenda: Remove all responsibilities from the list that are only annual or quarterly and compile a list of monthly meeting responsibilities.
      5. Review each responsibility, and estimate the amount of time each task will take within the meeting. We recommend giving yourself at least an extra 10-20% more time for each agenda item for your first meeting. It’s better to have more time than to run out.
      6. Complete the Agenda Template in the IT Steering Committee Charter.

      Procedures:

      1. Review the list of IT steering committee procedures, and replace the grey text with the information appropriate for your organization.

      INPUT

      • Responsibility cadence

      OUTPUT

      • ITSC annual, quarterly, monthly meeting agendas & procedures

      Materials

      • ITSC Charter

      Participants

      • IT leadership team

      Draft your IT steering committee purpose statement and goals

      1.9

      1. In a meeting with your IT leadership team – and considering the defined responsibilities, participants, and opportunities and threats identified – review the example goal statement in the IT Steering Committee Charter, and first identify whether any of these statements apply to your organization. Select the statements that apply and collaboratively make any changes needed.
      2. Define unique goal statements by considering the following questions:
        1. What three things would you realistically list for the ITSC to achieve.
        2. If you were to accomplish three things in the next year, what would those be?
      3. Document those goals in the IT Steering Committee Charter.
      4. With those goal statements in mind, consider the overall purpose of the committee. The purpose statement should be a reflection of what the committee does, why it does it, and the goals.
      5. Have each individual review the example purpose statement, and draft what they think a good purpose statement would be.
      6. Present each statement, and work together to determine a best of breed statement.
      7. Document this in the IT Steering Committee Charter.

      INPUT

      • Responsibilities, participants, top 10 lists of challenges and opportunities.

      OUTPUT

      • ITSC goals and purpose statement

      Materials

      • ITSC Charter

      Participants

      • IT leadership team

      CASE STUDY

      "Clearly defined Committee Charter allows CIO to escape the bad reputation of previous committee."

      Industry: Consumer Goods

      Source: Interview

      CHALLENGE

      The new CIO at a large consumer goods company had difficulty generating interest in creating a new IT steering committee. The previous CIO had created a steering committee that was poorly organized and did not involve all of the pertinent members. This led to a committee focused on politics that would often devolve into gossip. Also, many members were dissatisfied with the irregular meetings that would often go over their allotted time.

      In order to create a new committee, the new CIO needed to dispel the misgivings of the business leadership.

      SOLUTION

      The new CIO decided to build the new steering committee from the ground up in a systematic way.

      She collected information from relevant stakeholders about what they know/how they feel about IT and used this information to build a detailed charter.

      Using this info she outlined the new steering committee charter and included in it the:

      1. Purpose
      2. Responsibilities
      3. RACI Chart
      4. Procedures

      OUTCOME

      The new steering committee included all the key members of business units, and each member was clear on their roles in the meetings. Meetings were streamlined and effective. The adjustments in the charter and the improvement in meeting quality played a role in improving the satisfaction scores of business leaders with IT by 21%.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      1.1

      A screenshot of activity 1.1 is displayed. 1.1 is about surveying your ITSC stakeholders.

      Survey your ITSC stakeholders

      Prior to the workshop, Info-Tech’s advisors will work with you to launch the IT Steering Committee Stakeholder Survey to understand business priorities and level of understanding of how decisions are made. Using this data, we will create the IT steering committee responsibilities, participation, and communication strategy.

      1.7

      A screenshot of activity 1.7 is displayed. 1.7 is about defining a participant RACI for each of the responsibilities.

      Define a participant RACI for each of the responsibilities

      The analyst will facilitate several exercises to help you and your stakeholders create an authority matrix. The output will be defined responsibilities and authorities for members.

      Phase 2

      Build the IT Steering Committee Process

      Phase 2 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Define your ITSC Processes
      Proposed Time to Completion: 2 weeks

      Review SIPOCs and Process Creation

      Start with an analyst kick-off call:

      • Review the purpose of the SIPOC and how to build one

      Then complete these activities…

      • Build a draft SIPOC for your organization

      With these tools & templates:

      Phase 2 of the Establish an Effective IT Steering Committee blueprint

      Finalize the SIPOC

      Review Draft SIPOC:

      • Review and make changes to the SIPOC
      • Discuss potential metrics

      Then complete these activities…

      • Test survey link
      • Info-Tech launches survey

      With these tools & templates:

      Phase 2 of the Establish an Effective IT Steering Committee blueprint

      Finalize Metrics

      Finalize phase deliverable:

      • Finalize metrics

      Then complete these activities…

      • Establish ITSC metric triggers

      With these tools & templates:

      Phase 2 of the Establish an Effective IT Steering Committee blueprint

      Build the IT Steering Committee Process

      This step will walk you through the following activities:

      • Define high-level steering committee processes using SIPOC
      • Select steering committee metrics

      This step involves the following participants:

      • CIO
      • IT Steering Committee
      • IT Leadership Team
      • PMO

      Key Insight:

      Building high-level IT steering committee processes brings your committee to life. Having a clear process will ensure that you have the right information from the right sources so that committees can operate and deliver the appropriate output to the customers who need it.

      Build your high-level IT steering committee processes to enable committee functionality

      The IT steering committee is only valuable if members are able to successfully execute on responsibilities.

      One of the most common mistakes organizations make is that they build their committee charters and launch into their first meeting. Without defined inputs and outputs, a committee does not have the needed information to be able to effectively execute on responsibilities and is unable to meet its stated goals.

      The arrows in this picture represent the flow of information between the IT steering committee, other committees, and IT management.

      Building high-level processes will define how that information flows within and between committees and will enable more rapid decision making. Participants will have the information they need to be confident in their decisions.

      Strategic IT Steering Committee
      Tactical

      Project Governance Service Governance

      Risk Governance Information Governance

      IT Management
      Operational Risk Task Force

      Define the high-level process for each of the IT steering committee responsibilities

      Info-Tech recommends using SIPOC as a way of defining how the IT steering committee will operate.

      Derived from the core methodologies of Six Sigma process management, SIPOC – a model of Suppliers, Inputs, Processes, Outputs, Customers – is one of several tools that organizations can use to build high level processes. SIPOC is especially effective when determining process scope and boundaries and to gain consensus on a process.

      By doing so you’ll ensure that:

      1. Information and documentation required to complete each responsibility is identified.
      2. That the results of committee meetings are distributed to those customers who need the information.
      3. Inputs and outputs are identified and that there is defined accountability for providing these.

      Remember: Your IT steering committee is not a working committee. Enable effective decision making by ensuring participants have the necessary information and appropriate recommendations from key stakeholders to make decisions.

      Supplier Input
      Who provides the inputs to the governance responsibility. The documented information, data, or policy required to effectively respond to the responsibility.
      Process
      In this case this represents the IT steering committee responsibility defined in terms of the activity the ITSC is performing.
      Output Customer
      The outcome of the meeting: can be approval, rejection, recommendation, request for additional information, endorsement, etc. Receiver of the outputs from the committee responsibility.

      Define your SIPOC model for each of the IT steering committee responsibilities

      2.1

      1. In a meeting with your IT leadership, draw the SIPOC model on a whiteboard or flip-chart paper. Either review the examples on the following slides or start from scratch.
      2. If you are adjusting the following slides, consider the templates you already have which would be appropriate inputs and make adjustments as needed.

      For atypical responsibilities:

      1. Start with the governance responsibility and identify what specifically it is that the IT steering committee is doing with regards to that responsibility. Write that in the center of the model.
      2. As a group, consider what information or documentation would be required by the participants to effectively execute on the responsibility.
      3. Identify which individual will supply each piece of documentation. This person will be accountable for this moving forward.
      4. Outputs: Once the committee has met about the responsibility, what information or documentation will be produced. List all of those documents.
      5. Identify the individuals who need to receive the outputs of the information.
      6. Repeat this for all of the responsibilities.
      7. Once complete, document the SIPOC models in the IT Steering Committee Charter.

      INPUT

      • List of responsibilities
      • Example SIPOCs

      OUTPUT

      • SIPOC model for all responsibilities.

      Materials

      • Whiteboard
      • Markers
      • ITSC Charter

      Participants

      • IT leadership team

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Establish the target investment mix
      Supplier Input
      CIO
      • Target investment mix and rationale
      Process
      Responsibility: The IT steering committee shall review and approve the target investment mix.
      Output Customer
      • Approval of target investment mix
      • Rejection of target investment mix
      • Request for additional information
      • CFO
      • CIO
      • IT leadership
      SIPOC: Endorse the IT budget
      Supplier Input
      CIO
      • Recommendations

      See Info-Tech’s blueprint IT Budget Presentation

      Process

      Responsibility: Review the proposed IT budget as defined by the CIO and CFO.

      Output Customer
      • Signed endorsement of the IT budget
      • Request for additional information
      • Recommendation for changes to the IT budget.
      • CFO
      • CIO
      • IT leadership

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Monitor IT value metrics
      Supplier Input
      CIO
      • IT value dashboard
      • Key metric takeaways
      • Recommendations
      CIO Business Vision
      Process

      Responsibility: Review recommendations and either accept or reject recommendations. Refine go-forward metrics.

      Output Customer
      • Launch corrective task force
      • Accept recommendations
      • Define target metrics
      • CEO
      • CFO
      • Business executives
      • CIO
      • IT leadership
      SIPOC: Evaluate and select programs/projects to fund
      Supplier Input
      PMO
      • Recommended project list
      • Project intake documents
      • Prioritization criteria
      • Capacity metrics
      • IT budget

      See Info-Tech’s blueprint

      Grow Your Own PPM Solution
      Process

      Responsibility: The ITSC will approve the list of projects to fund based on defined prioritization criteria – in line with capacity and IT budget.

      It is also responsible for identifying the prioritization criteria in line with organizational priorities.

      Output Customer
      • Approved project list
      • Request for additional information
      • Recommendation for increased resources
      • PMO
      • CIO
      • Project sponsors

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Endorse the IT strategy
      Supplier Input
      CIO
      • IT strategy presentation

      See Info-Tech’s blueprint

      IT Strategy and Roadmap
      Process

      Responsibility: Review, understand, and endorse the IT strategy.

      Output Customer
      • Signed endorsement of the IT strategy
      • Recommendations for adjustments
      • CEO
      • CFO
      • Business executives
      • IT leadership
      SIPOC: Monitor project management metrics
      Supplier Input
      PMO
      • Project metrics report with recommendations
      Process

      Responsibility: Review recommendations around PM metrics and define target metrics. Endorse current effectiveness levels or determine corrective action.

      Output Customer
      • Accept project metrics performance
      • Accept recommendations
      • Launch corrective task force
      • Define target metrics
      • PMO
      • Business executives
      • IT leadership

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Approve launch of planned and unplanned project
      Supplier Input
      CIO
      • Project list and recommendations
      • Resourcing report
      • Project intake document

      See Info-Tech’s Blueprint:

      Grow Your Own PPM Solution
      Process

      Responsibility: Review the list of projects and approve the launch or reprioritization of projects.

      Output Customer
      • Approved launch of projects
      • Recommendations for changes to project list
      • CFO
      • CIO
      • IT leadership
      SIPOC: Monitor stakeholder satisfaction with services and other service metrics
      Supplier Input
      Service Manager
      • Service metrics report with recommendations
      Info-Tech End User Satisfaction Report
      Process

      Responsibility: Review recommendations around service metrics and define target metrics. Endorse current effectiveness levels or determine corrective action.

      Output Customer
      • Accept service level performance
      • Accept recommendations
      • Launch corrective task force
      • Define target metrics
      • Service manager
      • Business executives
      • IT leadership

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Approve plans for new or changed service requirements
      Supplier Input
      Service Manager
      • Service change request
      • Project request and change plan
      Process

      Responsibility: Review IT recommendations, approve changes, and communicate those to staff.

      Output Customer
      • Approved service changes
      • Rejected service changes
      • Service manager
      • Organizational staff
      SIPOC: Monitor risk management metrics
      Supplier Input
      CIO
      • Risk metrics report with recommendations
      Process

      Responsibility: Review recommendations around risk metrics and define target metrics. Endorse current effectiveness levels or determine corrective action.

      Output Customer
      • Accept risk register and mitigation strategy
      • Launch corrective task force to address risks
      • Risk manager
      • Business executives
      • IT leadership

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Review the prioritized list of risks
      Supplier Input
      Risk Manager
      • Risk register
      • Mitigation strategies
      See Info-Tech’s risk management research to build a holistic risk strategy.
      Process

      Responsibility: Accept the risk registrar and define any additional action required.

      Output Customer
      • Accept risk register and mitigation strategy
      • Launch corrective task force to address risks
      • Risk manager
      • IT leadership
      • CRO
      SIPOC: Define information lifecycle process ownership
      Supplier Input
      CIO
      • List of risk owner options with recommendations
      See Info-Tech’s related blueprint: Information Lifecycle Management
      Process

      Responsibility: Define responsibility and accountability for information lifecycle ownership.

      Output Customer
      • Defined information lifecycle owner
      • Organization wide.

      SIPOC examples for typical ITSC responsibilities

      SIPOC: Monitor information lifecycle metrics
      Supplier Input
      Information lifecycle owner
      • Information metrics report with recommendations
      Process

      Responsibility: Review recommendations around information management metrics and define target metrics. Endorse current effectiveness levels or determine corrective action.

      Output Customer
      • Accept information management performance
      • Accept recommendations
      • Launch corrective task force to address challenges
      • Define target metrics
      • IT leadership

      Define which metrics you will report to the IT steering committee

      2.2

      1. Consider your IT steering committee goals and the five IT governance areas.
      2. For each governance area, identify which metrics you are currently tracking and determine whether these metrics are valuable to IT, to the business, or both. For metrics that are valuable to business stakeholders determine whether you have an identified target metric.

      New Metrics:

      1. For each of the five IT governance areas review your SWOT analysis and document your key opportunities and weaknesses.
      2. For each, brainstorm hypotheses around why the opportunity was weak or was a success. For each hypothesis identify if there are any clear ways to measure and test the hypothesis.
      3. Review the list of metrics and select 5-7 metrics to track for each prioritized governance area.

      INPUT

      • List of responsibilities
      • Example SIPOCs

      OUTPUT

      • SIPOC model for all responsibilities

      Materials

      • Whiteboard
      • Markers

      Participants

      • IT leadership team

      IT steering committee metric triggers to consider

      RISK

      • Risk profile % increase
      • # of actionable risks outstanding
      • # of issues arising not identified prior
      • # of security breaches

      SERVICE

      • Number of business disruptions due to IT service incidents
      • Number of service requests by department
      • Number of service requests that are actually projects
      • Causes of tickets overall and by department
      • Percentage of duration attributed to waiting for client response

      PROJECTS

      • Projects completed within budget
      • Percentage of projects delivered on time
      • Project completion rate
      • IT completed assigned portion to scope
      • Project status and trend dashboard

      INFORMATION / DATA

      • % of data properly classified
      • # of incidents locating data
      • # of report requests by complexity
      • # of open data sets

      PPM /INVESTMENTS

      • CIO Business Vision (an Info-Tech diagnostic survey that helps align IT strategy with business goals)
      • Level of stakeholder satisfaction and perceived value
      • Percentage of ON vs. OFF cycle projects by area/silo
      • Realized benefit to business units based on investment mix
      • Percent of enterprise strategic goals and requirements supported by strategic goals
      • Target vs. actual budget
      • Reasons for off-cycle projects causing delays to planned projects

      CASE STUDY

      Industry: Consumer Goods

      Source: Interview

      "IT steering committee’s reputation greatly improved by clearly defining its process."

      CHALLENGE

      One of the major failings of the previous steering committee was its poorly drafted procedures. Members of the committee were unclear on the overall process and the meeting schedule was not well established.

      This led to low attendance at the meetings and ineffective meetings overall. Since the meeting procedures weren’t well understood, some members of the leadership team took advantage of this to get their projects pushed through.

      SOLUTION

      The first step the new CIO took was to clearly outline the meeting procedures in her new steering committee charter. The meeting agenda, meeting goals, length of time, and outcomes were outlined, and the stakeholders signed off on their participation.

      She also gave the participants a SIPOC, which helped members who were unfamiliar with the process a high-level overview. It also reacquainted previous members with the process and outlined changes to the previous, out-of-date processes.

      OUTCOME

      The participation rate in the committee meetings improved from the previous rate of approximately 40% to 90%. The committee members were much more satisfied with the new process and felt like their contributions were appreciated more than before.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      An image of an Info-Tech analyst is depicted.

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      2.1

      A screenshot of activity 2.1 is depicted. Activity 2.1 is about defining a SIPOC for each of the ITSC responsibilities.

      Define a SIPOC for each of the ITSC responsibilities

      Create SIPOCs for each of the governance responsibilities with the help of an Info-Tech advisor.

      2.2

      A screenshot of activity 2.2 is depicted. Activity 2.2 is about establishing the reporting metrics for the ITSC.

      Establish the reporting metrics for the ITSC

      The analyst will facilitate several exercises to help you and your stakeholders define the reporting metrics for the ITSC.

      Phase 3

      Build the Stakeholder Presentation

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Build the Stakeholder Presentation
      Proposed Time to Completion: 1 week

      Customize the Presentation

      Start with an analyst kick-off call:

      • Review the IT Steering Committee Stakeholder Presentation with an analyst

      Then complete these activities…

      • Schedule the first meeting and invite the ITSC members
      • Customize the presentation template

      With these tools & templates:

      IT Steering Committee Stakeholder Presentation


      Review and Practice the Presentation

      Review findings with analyst:

      • Review the changes made to the template
      • Practice the presentation and create a script

      Then complete these activities…

      • Hold the ITSC meeting

      With these tools & templates:

      • IT Steering Committee Stakeholder Presentation
      Review the First ITSC Meeting

      Finalize phase deliverable:

      • Review the outcomes of the first ITSC meeting and plan out the next steps

      Then complete these activities…

      • Review the discussion and plan next steps

      With these tools & templates:

      Establish an Effective IT Steering Committee blueprint

      Build the Stakeholder Presentation

      This step will walk you through the following activities:

      • Organizing the first ITSC meeting
      • Customizing an ITSC stakeholder presentation
      • Determine ITSC responsibilities and participants
      • Determine ITSC procedures

      This step involves the following participants:

      • CIO
      • IT Steering Committee
      • IT Leadership Team
      • PMO

      Key Insight:

      Stakeholder engagement will be critical to your ITSC success, don't just focus on what is changing. Ensure stakeholders know why you are engaging them and how it will help them in their role.

      Hold a kick-off meeting with your IT steering committee members to explain the process, responsibilities, and goals

      3.1

      Don’t take on too much in your first IT steering committee meeting. Many participants may not have participated in an IT steering committee before, or some may have had poor experiences in the past.

      Use this meeting to explain the role of the IT steering committee and why you are implementing one, and help participants to understand their role in the process.

      Quickly customize Info-Tech’s IT Steering Committee Stakeholder Presentation template to explain the goals and benefits of the IT steering committee, and use your own data to make the case for governance.

      At the end of the meeting, ask committee members to sign the committee charter to signify their agreement to participate in the IT steering committee.

      A screenshot of IT Steering Committee: Meeting 1 is depicted. A screenshot of the IT Steering Committee Challenges and Opportunities for the organization.

      Tailor the IT Steering Committee Stakeholder Presentation template: slides 1-5

      3.2 Estimated Time: 10 minutes

      Review the IT Steering Committee Stakeholder Presentation template. This document should be presented at the first IT steering committee meeting by the assigned Committee Chair.

      Customization Options

      Overall: Decide if you would like to change the presentation template. You can change the color scheme easily by copying the slides in the presentation deck and pasting them into your company’s standard template. Once you’ve pasted them in, scan through the slides and make any additional changes needed to formatting.

      Slide 2-3: Review the text on each of the slides and see if any wording should be changed to better suite your organization.

      Slide 4: Review your list of the top 10 challenges and opportunities as defined in section 2 of this blueprint. Document those in the appropriate sections. (Note: be careful that the language is business-facing; challenges and opportunities should be professionally worded.)

      Slide 5: Review the language on slide 5 to make any necessary changes to suite your organization. Changes here should be minimal.

      INPUT

      • Top 10 list
      • Survey report
      • ITSC Charter

      OUTPUT

      • Ready-to-present presentation for defined stakeholders

      Materials

      • IT Steering Committee Stakeholder Presentation

      Participants

      • IT Steering Committee Chair/CIO

      Tailor the IT Steering Committee Stakeholder Presentation template: slides 6-10

      3.2 Estimated Time: 10 minutes

      Customization Options

      Slide 6: The goal of this slide is to document and share the names of the participants on the IT steering committee. Document the names in the right-hand side based on your IT Steering Committee Charter.

      Slides 7-9:

      • Review the agenda items as listed in your IT Steering Committee Charter. Document the annual, quarterly, and monthly meeting responsibilities on the left-hand side of slides 7-9.
      • Meeting Participants: For each slide, list the members who are required for that meeting.
      • Document the key required reading materials as identified in the SIPOC charts under “inputs.”
      • Document the key meeting outcomes as identified in the SIPOC chart under “outputs.”

      Slide 10: Review and understand the rollout timeline. Make any changes needed to the timeline.

      INPUT

      • Top 10 list
      • Survey report
      • ITSC Charter

      OUTPUT

      • Ready-to-present presentation for defined stakeholders

      Materials

      • IT Steering Committee Stakeholder Presentation

      Participants

      • IT Steering Committee Chair/CIO

      Present the information to the IT leadership team to increase your comfort with the material

      3.3 Estimated Time: 1-2 hours

      1. Once you have finished customizing the IT Steering Committee Stakeholder Presentation, practice presenting the material by meeting with your IT leadership team. This will help you become more comfortable with the dialog and anticipate any questions that might arise.
      2. The ITSC chair will present the meeting deck, and all parties should discuss what they think went well and opportunities for improvement.
      3. Each business relationship manager should document the needed changes in preparation for their first meeting.

      INPUT

      • IT Steering Committee Stakeholder Presentation - Meeting 1

      Participants

      • IT leadership team

      Schedule your first meeting of the IT steering committee

      3.4

      By this point, you should have customized the meeting presentation deck and be ready to meet with your IT steering committee participants.

      The meeting should be one hour in duration and completed in person.

      Before holding the meeting, identify who you think is going to be most supportive and who will be least. Consider meeting with those individuals independently prior to the group meeting to elicit support or minimize negative impacts on the meeting.

      Customize this calendar invite script to invite business partners to participate in the meeting.

      Hello [Name],

      As you may have heard, we recently went through an exercise to develop an IT steering committee. I’d like to take some time to discuss the results of this work with you, and discuss ways in which we can work together in the future to better enable corporate goals.

      The goals of the meeting are:

      1. Discuss the benefits of an IT steering committee
      2. Review the results of the organizational survey
      3. Introduce you to our new IT steering committee

      I look forward to starting this discussion with you and working with you more closely in the future.

      Warm regards,

      CASE STUDY

      Industry:Consumer Goods

      Source: Interview

      "CIO gains buy-in from the company by presenting the new committee to its stakeholders."

      CHALLENGE

      Communication was one of the biggest steering committee challenges that the new CIO inherited.

      Members were resistant to joining/rejoining the committee because of its previous failures. When the new CIO was building the steering committee, she surveyed the members on their knowledge of IT as well as what they felt their role in the committee entailed.

      She found that member understanding was lacking and that their knowledge surrounding their roles was very inconsistent.

      SOLUTION

      The CIO dedicated their first steering committee meeting to presenting the results of that survey to align member knowledge.

      She outlined the new charter and discussed the roles of each member, the goals of the committee, and the overarching process.

      OUTCOME

      Members of the new committee were now aligned in terms of the steering committee’s goals. Taking time to thoroughly outline the procedures during the first meeting led to much higher member engagement. It also built accountability within the committee since all members were present and all members had the same level of knowledge surrounding the roles of the ITSC.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.1

      A screenshot of Activity 3.1 is depicted. Activity 3.1 is about creating a presentation for ITSC stakeholders to be presented at the first ITSC meeting.

      Create a presentation for ITSC stakeholders to be presented at the first ITSC meeting

      Work with an Info-Tech advisor to customize our IT Steering Committee Stakeholder Presentation template. Use this presentation to gain stakeholder buy-in by making the case for an ITSC.

      Phase 4

      Define the Prioritization Criteria

      Phase 4 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation : Define the Prioritization Criteria
      Proposed Time to Completion: 4 weeks

      Discuss Prioritization Criteria

      Start with an analyst kick-off call:

      • Review sample project prioritization criteria and discuss criteria unique to your organization

      Then complete these activities...

      • Select the criteria that would be most effective for your organization
      • Input these into the tool

      With these tools & templates:

      IT Steering Committee Project Prioritization Tool

      Customize the IT Steering Committee Project Prioritization Tool

      Review findings with analyst:

      • Review changes made to the tool
      • Finalize criteria weighting

      Then complete these activities…

      • Pilot test the tool using projects from the previous year

      With these tools & templates:

      IT Steering Committee Project Prioritization Tool

      Review Results of the Pilot Test

      Finalize phase deliverable:

      • Review the results of the pilot test
      • Make changes to the tool

      Then complete these activities…

      • Input your current project portfolio into the prioritization tool

      With these tools & templates:

      IT Steering Committee Project Prioritization Tool

      Define the Project Prioritization Criteria

      This step will walk you through the following activities:

      • Selecting the appropriate project prioritization criteria for your organization
      • Developing weightings for the prioritization criteria
      • Filling in Info-Tech’s IT Steering Committee Project Prioritization Tool

      This step involves the following participants:

      • CIO
      • IT Steering Committee
      • IT Leadership Team
      • PMO

      Key Insight:

      The steering committee sets and agrees to principles that guide prioritization decisions. The agreed upon principles will affect business unit expectations and justify the deferral of requests that are low priority. In some cases, we have seen the number of requests drop substantially because business units are reluctant to propose initiatives that do not fit high prioritization criteria.

      Understand the role of the IT steering committee in project prioritization

      One of the key roles of the IT steering committee is to review and prioritize the portfolio of IT projects.

      What is the prioritization based on? Info-Tech recommends selecting four broad criteria with two dimensions under each to evaluate the value of the projects. The criteria are aligned with how the project generates value for the organization and the execution of the project.

      What is the role of the steering committee in prioritizing projects? The steering committee is responsible for reviewing project criteria scores and making decisions about where projects rank on the priority list. Planning, resourcing, and project management are the responsibility of the PMO or the project owner.

      Info-Tech’s Sample Criteria

      Value

      Strategic Alignment: How much a project supports the strategic goals of the organization.

      Customer Satisfaction: The impact of the project on customers and how visible a project will be with customers.

      Operational Alignment: Whether the project will address operational issues or compliance.

      Execution

      Financial: Predicted ROI and cost containment strategies.

      Risk: Involved with not completing projects and strategies to mitigate it.

      Feasibility: How easy the project is to complete and whether staffing resources exist.

      Use Info-Tech’s IT Steering Committee Project Prioritization Tool to catalog and prioritize your project portfolio

      4.1

      • Use Info-Tech’s IT Steering Committee Project Prioritization Tool in conjunction with the following activities to catalog and prioritize all of the current IT projects in your portfolio.
      • Assign weightings to your selected criteria to prioritize projects based on objective scores assigned during the intake process and adjust these weightings on an annual basis to align with changing organizational priorities and goals.
      • Use this tool at steering committee meetings to streamline the prioritization process and create alignment with the PMO and project managers.
      • Monitor ongoing project status and build a communication channel between the PMO and project managers and the IT steering committee.
      • Adjusting the titles in the Settings tab will automatically adjust the titles in the Project Data tab.
      • Note: To customize titles in the document you must unprotect the content under the View tab. Be sure to change the content back to protected after making the changes.
      A screenshot of Info-Tech's IT Steering Committee Project Prioritization Tool is depicted. The first page of the tool is shown. A screenshot of Info-Tech's IT Steering Committee Project Prioritization Tool is depicted. The page depicted is on the Intake and Prioritization Tool Settings.

      Establish project prioritization criteria and build the matrix

      4.2 Estimated Time: 1 hour

      1. During the second steering committee meeting, discuss the criteria you will be basing your project prioritization scoring on.
      2. Review Info-Tech’s prioritization criteria matrix, located in the Prioritization Criteria List tab of the IT Steering Committee Project Prioritization Tool, to gain ideas for what criteria would best suit your organization.
      3. Write these main criteria on the whiteboard and brainstorm criteria that are more specific for your organization; include these on the list as well.
      4. Discuss the criteria. Eliminate criteria that won’t contribute strongly to the prioritization process and vote on the remaining. Select four main criteria from the list.
      5. After selecting the four main criteria, write these on the whiteboard and brainstorm the dimensions that fall under the criteria. These should be more specific/measurable aspects of the criteria. These will be the statements that values are assigned to for prioritizing projects so they should be clear. Use the Prioritization Criteria List in the tool to help generate ideas.
      6. After creating the dimensions, determine what the scoring statements will be. These are the statements that will be used to determine the score out of 10 that the different dimensions will receive.
      7. Adjust the Settings and Project Data tabs in the IT Steering Committee Project Prioritization Tool to reflect your selections.
      8. Edit Info-Tech’s IT Project Intake Form or the intake form that you currently use to contain these criteria and scoring parameters.

      INPUT

      • Group input
      • IT Steering Committee Project Prioritization Tool

      OUTPUT

      • Project prioritization criteria to be used for current and future projects

      Materials

      • Whiteboard and markers

      Participants

      • IT steering committee
      • CIO
      • IT leadership

      Adjust prioritization criteria weightings to reflect organizational needs

      4.3 Estimated Time: 1 hour

      1. In the second steering committee meeting, after deciding what the project prioritization criteria will be, you need to determine how much weight (the importance) each criteria will receive.
      2. Use the four agreed upon criteria with two dimensions each, determined in the previous activity.
      3. Perform a $100 test to assign proportions to each of the criteria dimensions.
        1. Divide the committee into pairs.
        2. Tell each pair that they have $100 divide among the 4 major criteria based on how important they feel the criteria is.
        3. After dividing the initial $100, ask them to divide the amount they allocated to each criteria into the two sub-dimensions.
        4. Next, ask them to present their reasoning for the allocations to the rest of the committee.
        5. Discuss the weighting allotments and vote on the best one (or combination).
        6. Input the weightings in the Settings tab of the IT Steering Committee Project Prioritization Tool and document the discussion.
      4. After customizing the chart establish the owner of the document. This person should be a member of the PMO or the most suitable IT leader if a PMO doesn’t exist.
      5. Only perform this adjustment annually or if a major strategic change happens within the organization.

      INPUT

      • Group discussion

      OUTPUT

      • Agreed upon criteria weighting
      • Complete prioritization tool

      Materials

      • IT Steering Committee Project Prioritization Tool
      • Whiteboard and sticky notes

      Participants

      • IT steering committee
      • IT leadership

      Document the prioritization criteria weightings in Info-Tech’s IT Steering Committee Project Prioritization Tool.

      Configure the prioritization tool to align your portfolio with business strategy

      4.4 Estimated Time: 60 minutes

      Download Info-Tech’s Project Intake and Prioritization Tool.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool.

      Rank: Project ranking will dynamically update relative to your portfolio capacity (established in Settings tab) and the Size, Scoring Progress, Remove from Ranking, and Overall Score columns. The projects in green represent top priorities based on these inputs, while yellow projects warrant additional consideration should capacity permit.

      Scoring Progress: You will be able to determine some items on the scorecard earlier in the scoring progress (such as strategic and operational alignment). As you fill in scoring columns on the Project Data tab, the Scoring Progress column will dynamically update to track progress.

      The Overall Score will update automatically as you complete the scoring columns (refer to Activity 4.2).

      Days in Backlog: This column will help with backlog management, automatically tracking the number of days since an item was added to the list based on day added and current date.

      Validate your new prioritization criteria using previous projects

      4.5 Estimated Time: 2 hours

      1. After deciding on the prioritization criteria, you need to test their validity.
      2. Look at the portfolio of projects that were completed in the previous year.
      3. Go through each project and score it according to the criteria that were determined in the previous exercise.
      4. Enter the scores and appropriate weighting (according to goals/strategy of the previous year) into the IT Steering Committee Project Prioritization Tool.
      5. Look at the prioritization given to the projects in reference to how they were previously prioritized.
      6. Adjust the criteria and weighting to either align the new prioritization criteria with previous criteria or to align with desired outcomes.
      7. After scoring the old projects, pilot test the tool with upcoming projects.

      INPUT

      • Information on previous year’s projects
      • Group discussion

      OUTPUT

      • Pilot tested project prioritization criteria

      Materials

      • IT Steering Committee Project Prioritization Tool

      Participants

      • IT steering committee
      • IT leadership
      • PMO

      Pilot the scorecard to validate criteria and weightings

      4.6 Estimated Time: 60 minutes

      1. Pilot your criteria and weightings in the IT Steering Committee Project Prioritization Tool using project data from one or two projects currently going through approval process.
      2. For most projects, you will be able to determine strategic and operational alignment early in the scoring process, while the feasibility and financial requirements will come later during business case development. Score each column as you can. The tool will automatically track your progress in the Scoring Progress column on the Project Data tab.

      Projects that are scored but not prioritized will populate the portfolio backlog. Items in the backlog will need to be rescored periodically, as circumstances can change, impacting scores. Factors necessitating rescoring can include:

      • Assumptions in business case have changed.
      • Organizational change – e.g. a new CEO or a change in strategic objectives.
      • Major emergencies or disruptions – e.g. a security breach.

      Score projects using the Project Data tab in Info-Tech’s IT Steering Committee Project Prioritization Tool

      A screenshot of Info-Tech's <em data-verified=IT Steering Committee Project Prioritization Tool is depicted. The Data Tab is shown.">

      Use Info-Tech’s IT Project Intake Form to streamline the project prioritization and approval process

      4.7

      • Use Info-Tech’s IT Project Intake Form template to streamline the project intake and prioritization process.
      • Customize the chart on page 2 to include the prioritization criteria that were selected during this phase of the blueprint.
      • Including the prioritization criteria at the project intake phase will free up a lot of time for the steering committee. It will be their job to verify that the criteria scores are accurate.
      A screenshot of Info-Tech's IT Project Intake Form is depicted.

      After prioritizing and selecting your projects, determine how they will be resourced

      Consult these Info-Tech blueprints on project portfolio management to create effective portfolio project management resourcing processes.

      A Screenshot of Info-Tech's Create Project Management Success Blueprint is depicted. Create Project Management Success A Screenshot of Info-Tech's Develop a Project Portfolio Management Strategy Blueprint is depicted. Develop a Project Portfolio Management Strategy

      CASE STUDY

      Industry: Consumer Goods

      Source: Interview

      "Clear project intake and prioritization criteria allow for the new committee to make objective priority decisions."

      CHALLENGE

      One of the biggest problems that the previous steering committee at the company had was that their project intake and prioritization process was not consistent. Projects were being prioritized based on politics and managers taking advantage of the system.

      The procedure was not formalized so there were no objective criteria on which to weigh the value of proposed projects. In addition to poor meeting attendance, this led to the overall process being very inconsistent.

      SOLUTION

      The new CIO, with consultation from the newly formed committee, drafted a set of criteria that focused on the value and execution of their project portfolio. These criteria were included on their intake forms to streamline the rating process.

      All of the project scores are now reviewed by the steering committee, and they are able to facilitate the prioritization process more easily.

      The objective criteria process also helped to prevent managers from taking advantage of the prioritization process to push self-serving projects through.

      OUTCOME

      This was seen as a contributor to the increase in satisfaction scores for IT, which improved by 12% overall.

      The new streamlined process helped to reduce capacity constraints on IT, and it alerted the company to the need for more IT employees to help reduce these constraints further. The IT department was given permission to hire two new additional staff members.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      4.1

      A screenshot of activity 4.1 is depicted. Activity 4.1 was about defining your prioritization criteria and customize our <em data-verified=IT Steering Committee Project Prioritization Tool.">

      Define your prioritization criteria and customize our IT Steering Committee Project Prioritization Tool

      With the help of Info-Tech advisors, create criteria for determining a project’s priority. Customize the tool to reflect the criteria and their weighting. Run pilot tests of the tool to verify the criteria and enter your current project portfolio.

      Research contributors and experts

      • Andy Lomasky, Manager, Technology & Management Consulting, McGladrey LLP
      • Angie Embree, CIO, Best Friends Animal Society
      • Corinne Bell, CTO and Director of IT Services, Landmark College
      • John Hanskenecht, Director of Technology, University of Detroit Jesuit High School and Academy
      • Lori Baker, CIO, Village of Northbrook
      • Lynne Allard, IT Supervisor, Nipissing Parry Sound Catholic School Board
      • Norman Allen, Senior IT Manager, Baker Tilly
      • Paul Martinello, VP, IT Services, Cambridge and North Dumfries Hydro Inc.
      • Renee Martinez, IT Director/CIO, City of Santa Fe
      • Sam Wong, Director, IT, Seneca College
      • Suzanne Barnes, Director, Information Systems, Pathfinder International
      • Walt Joyce, CTO, Peoples Bank

      Appendices

      GOVERNANCE & ITSC & IT Management

      Organizations often blur the line between governance and management, resulting in the business having say over the wrong things. Understand the differences and make sure both groups understand their role.

      The ITSC is the most senior body within the IT governance structure, involving key business executives and focusing on critical strategic decisions impacting the whole organization.

      Within a holistic governance structure, organizations may have additional committees that evaluate, direct, and monitor key decisions at a more tactical level and report into the ITSC.

      These committees require specialized knowledge and are implemented to meet specific organizational needs. Those operational committees may spark a tactical task force to act on specific needs.

      IT management is responsible for executing on, running, and monitoring strategic activities as determined by IT governance.

      Strategic IT Steering Committee
      Tactical

      Project Governance Service Governance

      Risk Governance Information Governance

      IT Management
      Operational Risk Task Force

      This blueprint focuses exclusively on building the IT Steering committee. For more information on IT governance see Info-Tech’s related blueprint: Tailor an IT Governance Plan to Fit Organizational Needs.

      IT steering committees play an important role in IT governance

      By bucketing responsibilities into these areas, you’ll be able to account for most key IT decisions and help the business to understand their role in governance, fostering ownership and joint accountability.

      The five governance areas are:

      Governance of the IT Portfolio and Investments: Ensures that funding and resources are systematically allocated to the priority projects that deliver value.

      Governance of Projects: Ensures that IT projects deliver the expected value, and that the PM methodology is measured and effective.

      Governance of Risks: Ensures the organization’s ability to assess and deliver IT projects and services with acceptable risk.

      Governance of Services: Ensures that IT delivers the required services at the acceptable performance levels.

      Governance of Information and Data: Ensures the appropriate classification and retention of data based on business need.

      A survey of stakeholders identified a need for increased stakeholder involvement and transparency in decision making

      A bar graph is depicted. The title is: I understand how decisions are made in the following areas. The areas include risk, services, projects, portfolio, and information. A circle graph is depicted. The title is: Do IT decisions involve the right people?

      Overall, survey respondents indicated a lack of understanding about how decisions are made around risk, services, projects, and investments, and that business involvement in decision making was too minimal.

      Satisfaction with decision quality around investments and PPM are uneven and largely not well understood

      72% of stakeholders do not understand how decisions around IT services are made (quality, availability, etc.).

      A bar graph is depicted. The title is: How satisfied are you with the quality of decisions and transparency around IT services? A bar graph is depicted. Title of the graph: IT decisions around service delivery and quality involve the right people?

      Overall, services were ranked #1 in importance of the 5 areas

      62% of stakeholders do not understand how decisions around IT services are made (quality, availability, etc.).

      A bar graph is depicted. The title is: How satisfied are you with the quality of decisions and transparency around IT services? A bar graph is depicted. Title of the graph: IT decisions around service delivery and quality involve the right people?

      Projects ranked as one of the areas with which participants are most satisfied with the quality of decisions

      70% of stakeholders do not understand how decisions around projects selection, success, and changes are made.

      A bar graph is depicted. The title is: How satisfied are you with the quality of decisions and transparency around IT services? A bar graph is depicted. The title is: IT decisions around project changes, delays, and metrics involve the right people?

      Stakeholders are largely unaware of how decisions around risk are made and believe business participation needs to increase

      78% of stakeholders do not understand how decisions around risk are made

      A bar graph is depicted. The title is: How satisfied are you with the quality of decisions made around risk? A bar graph is depicted. The title is: IT decisions around acceptable risk involve the right people?

      The majority of stakeholders believe that they are aware of how decisions around information are made

      67% of stakeholders believe they do understand how decisions around information (data) retention and classification are made.

      A bar graph is depicted. The title is: How satisfied are you with the quality of decisions around information governance? A bar graph is depicted. The title is: IT decisions around information retention and classification involve the right people?

      Implement a New IT Organizational Structure

      • Buy Link or Shortcode: {j2store}276|cart{/j2store}
      • member rating overall impact (scale of 10): 10.0/10 Overall Impact
      • member rating average dollars saved: $30,999 Average $ Saved
      • member rating average days saved: 5 Average Days Saved
      • Parent Category Name: Organizational Design
      • Parent Category Link: /organizational-design
      • Organizational design implementations can be highly disruptive for IT staff and business partners. Without a structured approach, IT leaders may experience high turnover, decreased productivity, and resistance to the change.
      • CIOs walk a tightrope as they manage the operational and emotional turbulence while aiming to improve business satisfaction within IT. Failure to achieve balance could result in irreparable failure.

      Our Advice

      Critical Insight

      • Mismanagement will hurt you. The majority of IT organizations do not manage organizational design implementations effectively, resulting in decreased satisfaction, productivity loss, and increased IT costs.
      • Preventing mismanagement is within your control. 72% of change management issues can be directly improved by managers. IT leaders have a tendency to focus their efforts on operational changes rather than on people.

      Impact and Result

      Leverage Info-Tech’s organizational design implementation process and deliverables to build and implement a detailed transition strategy and to prepare managers to lead through change.

      Follow Info-Tech’s 5-step process to:

      1. Effect change and sustain productivity through real-time employee engagement monitoring.
      2. Kick off the organizational design implementation with effective communication.
      3. Build an integrated departmental transition strategy.
      4. Train managers to effectively lead through change.
      5. Develop personalized transition plans.

      Implement a New IT Organizational Structure Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out how you should implement a new organizational design, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build a change communication strategy

      Create strategies to communicate the changes to staff and maintain their level of engagement.

      • Implement a New Organizational Structure – Phase 1: Build a Change Communication Strategy
      • Organizational Design Implementation FAQ
      • Organizational Design Implementation Kick-Off Presentation

      2. Build the organizational transition plan

      Build a holistic list of projects that will enable the implementation of the organizational structure.

      • Implement a New Organizational Structure – Phase 2: Build the Organizational Transition Plan
      • Organizational Design Implementation Project Planning Tool

      3. Lead staff through the reorganization

      Lead a workshop to train managers to lead their staff through the changes and build transition plans for all staff members.

      • Implement a New Organizational Structure – Phase 3: Lead Staff Through the Reorganization
      • Organizational Design Implementation Manager Training Guide
      • Organizational Design Implementation Stakeholder Engagement Plan Template
      • Organizational Design Implementation Transition Plan Template
      [infographic]

      Workshop: Implement a New IT Organizational Structure

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Build Your Change Project Plan

      The Purpose

      Create a holistic change project plan to mitigate the risks of organizational change.

      Key Benefits Achieved

      Building a change project plan that encompasses both the operational changes and minimizes stakeholder and employee resistance to change.

      Activities

      1.1 Review the new organizational structure.

      1.2 Determine the scope of your organizational changes.

      1.3 Review your MLI results.

      1.4 Brainstorm a list of projects to enable the change.

      Outputs

      Project management planning and monitoring tool

      McLean Leadership Index dashboard

      2 Finalize Change Project Plan

      The Purpose

      Finalize the change project plan started on day 1.

      Key Benefits Achieved

      Finalize the tasks that need to be completed as part of the change project.

      Activities

      2.1 Brainstorm the tasks that are contained within the change projects.

      2.2 Determine the resource allocations for the projects.

      2.3 Understand the dependencies of the projects.

      2.4 Create a progress monitoring schedule.

      Outputs

      Completed project management planning and monitoring tool

      3 Enlist Your Implementation Team

      The Purpose

      Enlist key members of your team to drive the implementation of your new organizational design.

      Key Benefits Achieved

      Mitigate the risks of staff resistance to the change and low engagement that can result from major organizational change projects.

      Activities

      3.1 Determine the members that are best suited for the team.

      3.2 Build a RACI to define their roles.

      3.3 Create a change vision.

      3.4 Create your change communication strategy.

      Outputs

      Communication strategy

      4 Train Your Managers to Lead Through Change

      The Purpose

      Train your managers who are more technically focused to handle the people side of the change.

      Key Benefits Achieved

      Leverage your managers to translate how the organizational change will directly impact individuals on their teams.

      Activities

      4.1 Conduct the manager training workshop with managers.

      4.2 Review the stakeholder engagement plans.

      4.3 Review individual transition plan template with managers.

      Outputs

      Conflict style self-assessments

      Stakeholder engagement plans

      Individual transition plan template

      5 Build Your Transition Plans

      The Purpose

      Complete transition plans for individual members of your staff.

      Key Benefits Achieved

      Create individual plans for your staff members to ease the transition into their new roles.

      Activities

      5.1 Bring managers back in to complete transition plans.

      5.2 Revisit the new organizational design as a source of information.

      5.3 Complete aspects of the templates that do not require staff feedback.

      5.4 Discuss strategies for transitioning.

      Outputs

      Individual transition plan template

      Further reading

      Implement a New IT Organizational Structure

      Prioritize quick wins and critical services during IT org changes.

      This blueprint is part 3/3 in Info-Tech’s organizational design program and focuses on implementing a new structure

      Part 1: Design Part 2: Structure Part 3: Implement
      IT Organizational Architecture Organizational Sketch Organizational Structure Organizational Chart Transition Strategy Implement Structure
      1. Define the organizational design objectives.
      2. Develop strategically-aligned capability map.
      3. Create the organizational design framework.
      4. Define the future state work units.
      5. Create future state work unit mandates.
      1. Assign work to work units (accountabilities and responsibilities).
      2. Develop organizational model options (organizational sketches).
      3. Assess options and select go-forward model.
      1. Define roles by work unit.
      2. Create role mandates.
      3. Turn roles into jobs.
      4. Define reporting relationships between jobs.
      5. Define competency requirements.
      1. Determine number of positions per job.
      2. Conduct competency assessment.
      3. Assign staff to jobs.
      1. Form OD implementation team.
      2. Develop change vision.
      3. Build communication presentation.
      4. Identify and plan change projects.
      5. Develop organizational transition plan.
      1. Train managers to lead through change.
      2. Define and implement stakeholder engagement plan.
      3. Develop individual transition plans.
      4. Implement transition plans.
      Risk Management: Create, implement, and monitor risk management plan.
      HR Management: Develop job descriptions, conduct job evaluation, and develop compensation packages.

      Monitor and Sustain Stakeholder Engagement →

      The sections highlighted in green are in scope for this blueprint. Click here for more information on designing or on structuring a new organization.

      Our understanding of the problem

      This Research is Designed For:

      • CIOs

      This Research Will Help You:

      • Effectively implement a new organizational structure.
      • Develop effective communications to minimize turnover and lost productivity during transition.
      • Identify a detailed transition strategy to move to your new structure with minimal interruptions to service quality.
      • Train managers to lead through change and measure ongoing employee engagement.

      This Research Will Also Assist:

      • IT Leaders

      This Research Will Help Them:

      • Effectively lead through the organizational change.
      • Manage difficult conversations with staff and mitigate staff concerns and turnover.
      • Build clear transition plans for their teams.

      Executive summary

      Situation

      • Organizational Design (OD) projects are typically undertaken in order to enable organizational priorities, improve IT performance, or to reduce IT costs. However, due to the highly disruptive nature of the change, only 25% of changes achieve their objectives over the long term. (2013 Towers Watson Change and Communication ROI Survey)

      Complication

      • OD implementations can be highly disruptive for IT staff and business partners. Without a structured approach, IT leaders may experience high turnover, decreased productivity, and resistance to the change.
      • CIOs walk a tightrope as they manage the operational and emotional turbulence while aiming to improve business satisfaction within IT. Failure to achieve balance could result in irreparable failure.

      Resolution

      • Leverage Info-Tech’s organizational design implementation process and deliverables to build and implement a detailed transition strategy and to prepare managers to lead through change. Follow Info-Tech’s 5-step process to:
        1. Effect change and sustain productivity through real-time employee engagement monitoring.
        2. Kick off the organizational design implementation with effective communication.
        3. Build an integrated departmental transition strategy.
        4. Train managers to effectively lead through change.
        5. Develop personalized transition plans.

      Info-Tech Insight

      1. Mismanagement will hurt you. The majority of IT organizations do not manage OD implementations effectively, resulting in decreased satisfaction, productivity loss, and increased IT costs.
      2. Preventing mismanagement is within your control. 72% of change management issues can be directly improved by managers. (Abilla, 2009) IT leaders have a tendency to focus their efforts on operational changes rather than on people. This is a recipe for failure.

      Organizational Design Implementation

      Managing organizational design (OD) changes effectively is critical to maintaining IT service levels and retaining top talent throughout a restructure. Nevertheless, many organizations fail to invest appropriate consideration and resources into effective OD change planning and execution.

      THREE REASONS WHY CIOS NEED TO EFFECTIVELY MANAGE CHANGE:

      1. Failure is the norm; not the exception. According to a study by Towers Watson, only 55% of organizations experience the initial value of a change. Even fewer organizations, a mere 25%, are actually able to sustain change over time to experience the full expected benefits. (2013 Towers Watson Change and Communication ROI Survey)
      2. People are the biggest cause of failure. Organizational design changes are one of the most difficult types of changes to manage as staff are often highly resistant. This leads to decreased productivity and poor results. The most significant people challenge is the loss of momentum through the change process which needs to be actively managed.
      3. Failure costs money. Poor IT OD implementations can result in increased turnover, lost productivity, and decreased satisfaction from the business. Managing the implementation has a clear ROI as the cost of voluntary turnover is estimated to be 150% of an employee’s annual salary. (Inc)

      86% of IT leaders believe organization and leadership processes are critical, yet the majority struggle to be effective

      PERCENTAGE OF IT LEADERS WHO BELIEVE THEIR ORGANIZATION AND LEADERSHIP PROCESSES ARE HIGHLY IMPORTANT AND HIGHLY EFFECTIVE

      A bar graph, with the following organization and leadership processes listed on the Y-axis: Human Resources Management; Leadership, Culture, Values; Organizational Change Management; and Organizational Design. The bar graph shows that over 80% of IT leaders rate these processes as High Importance, but less than 40% rate them as having High Effectiveness.

      GAP BETWEEN IMPORTANCE AND EFFECTIVENESS

      Human Resources Management - 61%

      Leadership, Culture, Values - 48%

      Organizational Change Management - 55%

      Organizational Design - 45%

      Note: Importance and effectiveness were determined by identifying the percentage of individuals who responded with 8-10/10 to the questions…

      • “How important is this process to the organization’s ability to achieve business and IT goals?” and…
      • “How effective is this process at helping the organization to achieve business and IT goals?”

      Source: Info-Tech Research Group, Management and Governance Diagnostic. N=22,800 IT Professionals

      Follow a structured approach to your OD implementation to improve stakeholder satisfaction with IT and minimize risk

      • IT reorganizations are typically undertaken to enable strategic goals, improve efficiency and performance, or because of significant changes to the IT budget. Without a structured approach to manage the organizational change, IT might get the implementation done, but fail to achieve the intended benefits, i.e. the operation succeeds, but the patient has died on the table.
      • When implementing your new organizational design, it’s critical to follow a structured approach to ensure that you can maintain IT service levels and performance and achieve the intended benefits.
      • The impact of organizational structure changes can be emotional and stressful for staff. As such, in order to limit voluntary turnover, and to maintain productivity and performance, IT leaders need to be strategic about how they communicate and respond to resistance to change.

      TOP 3 BENEFITS OF FOLLOWING A STRUCTURED APPROACH TO IMPLEMENTING ORGANIZATIONAL DESIGN

      1. Improved stakeholder satisfaction with IT. A detailed change strategy will allow you to successfully transition staff into new roles with limited service interruptions and with improved stakeholder satisfaction.
      2. Experience minimal voluntary turnover throughout the change. Know how to actively engage and minimize resistance of stakeholders throughout the change.
      3. Execute implementation on time and on budget. Effectively managed implementations are 65–80% more likely to meet initial objectives than those with poor organizational change management. (Boxley Group, LLC)

      Optimize your organizational design implementation results by actively preparing managers to lead through change

      IT leaders have a tendency to make change even more difficult by focusing on operations rather than on people. This is a recipe for failure. People pose the greatest risk to effective implementation and as such, IT managers need to be prepared and trained on how to lead their staff through the change. This includes knowing how to identify and manage resistance, communicating the change, and maintaining positive momentum with staff.

      Staff resistance and momentum are the most challenging part of leading through change (McLean & Company, N=196)

      A bar graph with the following aspects of Change Management listed on the Y-Axis, in increasing order of difficulty: Dealing with Technical Issues; Monitoring metrics to measure progress; Amending policies and processes; Coordinating with stakeholders; Getting buy-in from staff; Maintaining a positive momentum with staff.

      Reasons why change fails: 72% of failures can be directly improved by the manager (shmula)

      A pie chart showing the reasons why change fails: Management behavior not supportive of change = 33%; Employee resistance to change = 39%; Inadequate resources or budget = 14%; and All other obstacles = 14%.

      Leverage organizational change management (OCM) best practices for increased OD implementation success

      Effective change management correlates with project success

      A line graph, with Percent of respondents that met or exceeded project objectives listed on the Y-axis, and Poor, Fair, Good, and Excellent listed on the X-axis. The line represents the overall effectiveness of the change management program, and as the value on the Y-axis increases, so does the value on the X-axis.

      Source: Prosci. From Prosci’s 2012 Best Practices in Change Management benchmarking report.

      95% of projects with excellent change management met or EXCEEDED OBJECTIVES, vs. 15% of those with poor OCM. (Prosci)

      143% ROI on projects with excellent OCM. In other words, for every dollar spent on the project, the company GAINS 43 CENTS. This is in contrast to 35% ROI on projects with poor OCM. (McKinsey)

      Info-Tech’s approach to OD implementation is a practical and tactical adaptation of several successful OCM models

      BUSINESS STRATEGY-ORIENTED OCM MODELS. John Kotter’s 8-Step model, for instance, provides a strong framework for transformational change but doesn’t specifically take into account the unique needs of an IT transformation.

      GENERAL-PURPOSE OCM FRAMEWORKS such as ACMP’s Standard for Change Management, CMI’s CMBoK, and Prosci’s ADKAR model are very comprehensive and need to be configured to organizational design implementation-specific initiatives.

      COBIT MANAGEMENT PRACTICE BAI05: MANAGE ORGANIZATIONAL CHANGE ENABLEMENT follows a structured process for implementing enterprise change quickly. This framework can be adapted to OD implementation; however, it is most effective when augmented with the people and management training elements present in other frameworks.

      References and Further Reading

      Tailoring a comprehensive, general-purpose OCM framework to an OD implementation requires familiarity and experience. Info-Tech’s OD implementation model adapts the best practices from a wide range of proven OCM models and distills it into a step-by-step process that can be applied to an organizational design transformation.

      The following OD implementation symptoms can be avoided through structured planning

      IN PREVIOUS ORGANIZATIONAL CHANGES, I’VE EXPERIENCED…

      “Difficultly motivating my staff to change.”

      “Higher than average voluntary turnover during and following the implementation.”

      “An overall sense of staff frustration or decreased employee engagement.”

      “Decreased staff productivity and an inability to meet SLAs.”

      “Increased overtime caused by being asked to do two jobs at once.”

      “Confusion about the reporting structure during the change.”

      “Difficulty keeping up with the rate of change and change fatigue from staff.”

      “Business partner dissatisfaction about the change and complaints about the lack of effort or care put in by IT employees.”

      “Business partners not wanting to adjust to the change and continuing to follow outdated processes.”

      “Decrease in stakeholder satisfaction with IT.”

      “Increased prevalence of shadow IT during or following the change.”

      “Staff members vocally complaining about the IT organization and leadership team.”

      Follow this blueprint to develop and execute on your OD implementation

      IT leaders often lack the experience and time to effectively execute on organizational changes. Info-Tech’s organizational design implementation program will provide you with the needed tools, templates, and deliverables. Use these insights to drive action plans and initiatives for improvement.

      How we can help

      • Measure the ongoing engagement of your employees using Info-Tech’s MLI diagnostic. The diagnostic comes complete with easily customizable reports to track and act on employee engagement throughout the life of the change.
      • Use Info-Tech’s customizable project management tools to identify all of the critical changes, their impact on stakeholders, and mitigate potential implementation risks.
      • Develop an in-depth action plan and transition plans for individual stakeholders to ensure that productivity remains high and that service levels and project expectations are met.
      • Align communication with real-time staff engagement data to keep stakeholders motivated and focused throughout the change.
      • Use Info-Tech’s detailed facilitation guide to train managers on how to effectively communicate the change, manage difficult stakeholders, and help ensure a smooth transition.

      Leverage Info-Tech’s customizable deliverables to execute your organizational design implementation

      A graphic with 3 sections: 1.BUILD A CHANGE COMMUNICATION STRATEGY; 2.BUILD THE ORGANIZATIONAL TRANSITION PLAN; 3.1 TRAIN MANAGERS TO LEAD THROUGH CHANGE; 3.2 TRANSITION STAFF TO NEW ROLES. An arrow emerges from point one and directs right, over the rest of the steps. Text above the arrow reads: ONGOING ENGAGEMENT MONITORING AND COMMUNICATION. Dotted arrows emerge from points two and three directing back toward point one. Text below the arrow reads: COMMUNICATION STRATEGY ITERATION.

      CUSTOMIZABLE PROJECT DELIVERABLES

      1. BUILD A CHANGE COMMUNICATION STRATEGY

      • McLean Leadership Index: Real-Time Employee Engagement Dashboard
      • Organizational Design
      • Implementation Kick-Off Presentation
      • Organizational Design Implementation FAQ

      2. BUILD THE ORGANIZATIONAL TRANSITION PLAN

      • Organizational Design Implementation Project Planning Tool

      3.1 TRAIN MANAGERS TO LEAD THROUGH CHANGE

      3.2 TRANSITION STAFF TO NEW ROLES

      • Organizational Design Implementation Manager Training Guide
      • Organizational Design Implementation Transition Plan Template

      Leverage Info-Tech’s tools and templates to overcome key engagement program implementation challenges

      KEY SECTION INSIGHTS:

      BUILD A CHANGE COMMUNICATION STRATEGY

      Effective organizational design implementations mitigate the risk of turnover and lost productivity through ongoing monitoring and managing of employee engagement levels. Take a data-driven approach to managing engagement with Info-Tech’s real-time MLI engagement dashboard and adjust your communication and implementation strategy before engagement risks become issues.

      BUILD THE ORGANIZATIONAL TRANSITION PLAN

      Your organizational design implementation is made up of a series of projects and needs to be integrated into your larger project schedule. Too often, organizations attempt to fit the organizational design implementation into their existing schedules which results in poor resource planning, long delays in implementation, and overall poor results.

      LEAD STAFF THROUGH THE REORGANIZATION

      The majority of IT managers were promoted because they excelled at the technical aspect of their job rather than in people management. Not providing training is setting your organization up for failure. Train managers to effectively lead through change to see a 72% decrease in change management issues. (Abilla, 2009)

      METRICS:

      1. Voluntary turnover: Conduct an exit interview with all staff members during and after transition. Identify any staff members who cite the change as a reason for departure. For those who do leave, multiply their salary by 1.5% (the cost of a new hire) and track this over time.
      2. Business satisfaction trends: Conduct CIO Business Vision one year prior to the change vs. one year after change kick-off. Prior to the reorganization, set metrics for each category for six months after the reorganization, and one year following.
      3. Saved development costs: Number of hours to develop internal methodology, tools, templates, and process multiplied by the salary of the individual.

      Use this blueprint to save 1–3 months in implementing your new organizational structure

      Time and Effort Using Blueprint Without Blueprint
      Assess Current and Ongoing Engagement 1 person ½ day – 4 weeks 1–2 hours for diagnostic set up (allow extra 4 weeks to launch and review initial results). High Value 4–8 weeks
      Set Up the Departmental Change Workbooks 1–5 people 1 day 4–5 hours (varies based on the scope of the change). Medium Value 1–2 weeks
      Design Transition Strategy 1–2 people 1 day 2–10 hours of implementation team’s time. Medium Value 0–2 weeks
      Train Managers to Lead Through Change 1–5 people 1–2 weeks 1–2 hours to prepare training (allow for 3–4 hours per management team to execute). High Value 3–5 weeks

      These estimates are based on reviews with Info-Tech clients and our experience creating the blueprint.

      Totals:

      Workshop: 1 week

      GI/DIY: 2-6 weeks

      Time and Effort Saved: 8-17 weeks

      CIO uses holistic organizational change management strategies to overcome previous reorganization failures

      CASE STUDY

      Industry: Manufacturing

      Source: Client interview

      Problem

      When the CIO of a large manufacturing company decided to undertake a major reorganization project, he was confronted with the stigma of a previous CIO’s attempt. Senior management at the company were wary of the reorganization since the previous attempt had failed and cost a lot of money. There was major turnover since staff were not happy with their new roles costing $250,000 for new hires. The IT department saw a decline in their satisfaction scores and a 10% increase in help desk tickets. The reorganization also cost the department $400,000 in project rework.

      Solution

      The new CIO used organizational change management strategies in order to thoroughly plan the implementation of the new organizational structure. The changes were communicated to staff in order to improve adoption, every element of the change was mapped out, and the managers were trained to lead their staff through the change.

      Results

      The reorganization was successful and eagerly adopted by the staff. There was no turnover after the new organizational structure was implemented and the engagement levels of the staff remained the same.

      $250,000 - Cost of new hires and salary changes

      10% - Increase in help desk tickets

      $400,000 - Cost of project delays due to the poorly effective implementation of changes

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Implement a New Organizational Structure

      3. Lead Staff Through the Reorganization
      1. Build a Change Communication Strategy 2. Build the Organizational Transition Plan 3.1 Train Managers to Lead Through Change 3.2 Transition Staff to New Roles
      Best-Practice Toolkit

      1.1 Launch the McLean Leadership Index to set a baseline.

      1.2 Establish your implementation team.

      1.3 Build your change communication strategy and change vision.

      2.1 Build a holistic list of change projects.

      2.2 Monitor and track the progress of your change projects.

      3.1.1 Conduct a workshop with managers to prepare them to lead through the change.

      3.1.2 Build stakeholder engagement plans and conduct conflict style self-assessments.

      3.2.1 Build transition plans for each of your staff members.

      3.2.2 Transition your staff to their new roles.

      Guided Implementations
      • Set up your MLI Survey.
      • Determine the members and roles of your implementation team.
      • Review the components of a change communication strategy.
      • Review the change dimensions and how they are used to plan change projects.
      • Review the list of change projects.
      • Review the materials and practice conducting the workshop.
      • Debrief after conducting the workshop.
      • Review the individual transition plan and the process for completing it.
      • Final consultation before transitioning staff to their new roles.
      Onsite Workshop Module 1: Effectively communicate the reorganization to your staff. Module 2: Build the organizational transition plan. Module 3.1: Train your managers to lead through change. Module 3.2: Complete your transition plans

      Phase 1 Results:

      • Plans for effectively communicating with your staff.

      Phase 2 Results:

      • A holistic view of the portfolio of projects required for a successful reorg

      Phase 3.1 Results:

      • A management team that is capable of leading their staff through the reorganization

      Phase 3.2 Results:

      • Completed transition plans for your entire staff.

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Workshop Day 1 Workshop Day 2 Workshop Day 3 Workshop Day 4 Workshop Day 5
      Activities

      Build Your Change Project Plan

      1.1 Review the new organizational structure.

      1.2 Determine the scope of your organizational changes.

      1.3 Review your MLI results.

      1.4 Brainstorm a list of projects to enable the change.

      Finalize Change Project Plan

      2.1 Brainstorm the tasks that are contained within the change projects.

      2.2 Determine the resource allocation for the projects.

      2.3 Understand the dependencies of the projects.

      2.4 Create a progress monitoring schedule

      Enlist Your Implementation Team

      3.1 Determine the members that are best suited for the team.

      3.2 Build a RACI to define their roles.

      3.3 Create a change vision.

      3.4 Create your change communication strategy.

      Train Your Managers to Lead Through Change

      4.1 Conduct the manager training workshop with managers.

      4.2 Review the stakeholder engagement plans.

      4.3 Review individual transition plan template with managers

      Build Your Transition Plans

      5.1 Bring managers back in to complete transition plans.

      5.2 Revisit new organizational design as a source for information.

      5.3 Complete aspects of the template that do not require feedback.

      5.4 Discuss strategies for transitioning.

      Deliverables
      1. McLean Leadership Index Dashboard
      2. Organizational Design Implementation Project Planning Tool
      1. Completed Organizational Design Implementation Project Planning Tool
      1. Communication Strategy
      1. Stakeholder Engagement Plans
      2. Conflict Style Self-Assessments
      3. Organizational Design Implementation Transition Plan Template
      1. Organizational Design Implementation Transition Plan Template

      Phase 1

      Build a Change Communication Strategy

      Build a change communication strategy

      Outcomes of this Section:

      • Launch the McLean Leadership Index
      • Define your change team
      • Build your reorganization kick-off presentation and FAQ for staff and business stakeholders

      This section involves the following participants:

      • CIO
      • IT leadership team
      • IT staff

      Key Section Insight:

      Effective organizational design implementations mitigate the risk of turnover and lost productivity through ongoing monitoring of employee engagement levels. Take a data-driven approach to managing engagement with Info-Tech’s real-time MLI engagement dashboard and adjust your communication and implementation strategy in real-time before engagement risks become issues.

      Phase 1 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Build a Change Communication Strategy

      Proposed Time to Completion (in weeks): 1-6 weeks

      Step 1.1: Launch Your McLean Leadership Index Survey

      Start with an analyst kick off call:

      • Discuss the benefits and uses of the MLI.
      • Go over the required information (demographics, permissions, etc.).
      • Set up a live demo of the survey.

      Then complete these activities…

      • Launch the survey with your staff.
      • Have a results call with a member of the Info-Tech staff.

      With these tools & templates:

      McLean Leadership Index

      Step 1.2: Establish Your Implementation Team

      Review findings with analyst:

      • Review what members of your department should participate.
      • Build a RACI to determine the roles of your team members.

      Then complete these activities…

      • Hold a kick-off meeting with your new implementation team.
      • Build the RACI for your new team members and their roles.

      Step 1.3: Build Your Change Communication Strategy

      Finalize phase deliverable:

      • Customize your reorganization kick-off presentation.
      • Create your change vision. Review the communication strategy.

      Then complete these activities…

      • Hold your kick-off presentation with staff members.
      • Launch the reorganization communications.

      With these tools & templates:

      • Organizational Design Implementation Kick-Off Presentation
      • Organizational Design Implementation FAQ

      Set the stage for the organizational design implementation by effectively introducing and communicating the change to staff

      Persuading people to change requires a “soft,” empathetic approach to keep them motivated and engaged. But don’t mistake “soft” for easy. Managing the people and communication aspects around the change are amongst the toughest work there is, and require a comfort and competency with uncertainty, ambiguity, and conflict.

      Design Engagement Transition
      Communication

      Communication and engagement are the chains linking your design to transition. If the organizational design initiative is going to be successful it is critical that you manage this effectively. The earlier you begin planning the better. The more open and honest you are about the change the easier it will be to maintain engagement levels, business satisfaction, and overall IT productivity.

      Kick-Off Presentation Inputs

      • LAUNCH THE MCLEAN LEADERSHIP INDEX
      • IDENTIFY YOUR CHANGE TEAM
      • DETERMINE CHANGE TEAM RESPONSIBILITIES
      • DEVELOP THE CHANGE VISION
      • DEFINE KEY MESSAGES AND GOALS
      • IDENTIFY MAJOR CHANGES
      • IDENTIFY KEY MILESTONES
      • BUILD AND MAINTAIN A CHANGE FAQ

      Use the MLI engagement dashboard to measure your current state and the impact of the change in real-time

      The McLean Leadership Index diagnostic is a low-effort, high-impact program that provides real-time metrics on staff engagement levels. Use these insights to understand your employees’ engagement levels throughout the organizational design implementation to measure the impact of the change and to manage turnover and productivity levels throughout the implementation.

      WHY CARE ABOUT ENGAGEMENT DURING THE CHANGE? ENGAGED EMPLOYEES REPORT:

      39% Higher intention to stay at the organization.

      29% Higher performance and increased likelihood to work harder and longer hours. (Source: McLean and Company N=1,308 IT Employees)

      Why the McLean Leadership Index?

      Based on the Net Promoter Score (NPS), the McLean Leadership Index is one question asked monthly to assess engagement at various points in time.

      Individuals responding to the MLI question with a 9 or 10 are your Promoters and are most positive and passionate. Those who answer 7 or 8 are Passives while those who answer 0 to 6 are Detractors.

      Track your engagement distribution using our online dashboard to view MLI data at any time and view results based on teams, locations, manager, tenure, age, and gender. Assess the reactions to events and changes in real-time, analyze trends over time, and course-correct.

      Dashboard reports: Know your staff’s overall engagement and top priorities

      McLean Leadership Index

      OVERALL ENGAGEMENT RESULTS

      You get:

      • A clear breakdown of your detractors, passives, and promotors.
      • To view results by team, location, and individual manager.
      • To dig deeper into results by reviewing results by age, gender, and tenure at the organization to effectively identify areas where engagement is weak.

      TIME SERIES TRENDS

      You get:

      • View of changes in engagement levels for each team, location, and manager.
      • Breakdown of trends weekly, monthly, quarterly, and yearly.
      • To encourage leaders to monitor results to analyze root causes for changes and generate improvement initiatives.

      QUALITATIVE COMMENTS

      You get:

      • To view qualitative comments provided by staff on what is impacting their engagement.
      • To reply directly to comments without impacting the anonymity of the individuals making the comments.
      • To leverage trends in the comments to make changes to communication approaches.

      Launch the McLean Leadership Index in under three weeks

      Info-Tech’s dedicated team of program managers will facilitate this diagnostic program remotely, providing you with a convenient, low-effort, high-impact experience.

      We will guide you through the process with your goals in mind to deliver deep insight into your successes and areas to improve.

      What You Need To Do:

      1. Contact Info-Tech to launch the program and test the functionality in a live demo.
      2. Identify demographics and set access permissions.
      3. Complete manager training with assistance from Info-Tech Advisors.
      4. Participate in a results call with an Info-Tech Advisor to review results and develop an action plan.

      Info-Tech’s Program Manager Will:

      1. Collect necessary inputs and generate your custom dashboard.
      2. Launch, maintain, and support the online system in the field.
      3. Send out a survey to 25% of the staff each week.
      4. Provide ongoing support over the phone, and the needed tools and templates to communicate and train staff as well as take action on results.

      Explore your initial results in a one-hour call with an Executive Advisor to fully understand the results and draw insights from the data so you can start your action plan.

      Start Your Diagnostic Now

      We'll help you get set up as soon as you're ready.

      Start Now

      Communication has a direct impact on employee engagement; measure communication quality using your MLI results

      A line graph titled: The impact of manager communication on employee engagement. The X-axis is labeled from Strongly Disagree to Strongly Agree, and the Y-axis is labeled: Percent of Engaged Respondents. There are 3 colour-coded lines: dark blue indicates My manager provides me with high-quality feedback; light blue indicates I clearly understand what is expected of me on the job; and green indicates My manager keeps me well informed about decisions that affect me. The line turns upward as it moves to the right of the graph.

      (McLean & Company, 2015 N=17,921)

      A clear relationship exists between how effective a manager’s communication is perceived to be and an employee’s level of engagement. If engagement drops, circle back with employees to understand the root causes.

      Establish an effective implementation team to drive the organizational change

      The implementation team is responsible for developing and disseminating information around the change, developing the transition strategy, and for the ongoing management of the changes.

      The members of the implementation team should include:

      • CIO
      • Current IT leadership team
      • Project manager
      • Business relationship managers
      • Human resources advisor

      Don’t be naïve – building and executing the implementation plan will require a significant time commitment from team members. Too often, organizations attempt to “fit it in” to their existing schedules resulting in poor planning, long delays, and overall poor results. Schedule this work like you would a project.

      TOP 3 TIPS FOR DEFINING YOUR IMPLEMENTATION TEAM

      1. Select a Project Manager. Info-Tech strongly recommends having one individual accountable for key project management activities. They will be responsible for keeping the project on time and maintaining a holistic view of the implementation.
      2. Communication with Business Partners is Critical. If you have Business Relationship Managers (BRMs), involve them in the communication planning or assign someone to play this role. You need your business partners to be informed and bought in to the implementation to maintain satisfaction.
      3. Enlist Your “Volunteer Army.” (Kotter’s 8 Principles) If you have an open culture, Info-Tech encourages you to have an extended implementation team made up of volunteers interested in supporting the change. Their role will be to support the core group, assist in planning, and communicate progress with peers.

      Determine the roles of your implementation team members

      1.1 30 Minutes

      Input

      • Implementation team members

      Output

      • RACI for key transition elements

      Materials

      • RACI chart and pen

      Participants

      • Core implementation committee
      1. Each member should be actively engaged in all elements of the organizational design implementation. However, it’s important to have one individual who is accountable for key activities and ensures they are done effectively and measured.
      2. Review the chart below and as a group, brainstorm any additional key change components.
      3. For each component listed below, identify who is Accountable, Responsible, Consulted, and Informed for each (suggested responsibility below).
      CIO IT Leaders PM BRM HR
      Communication Plan A R R R C
      Employee Engagement A R R R C

      Departmental Transition Plan

      R A R I R
      Organizational Transition Plan R R A I C
      Manager Training A R R I C

      Individual Transition Plans

      R A R I I
      Technology and Logistical Changes R R A I I
      Hiring A R I I R
      Learning and Development R A R R R
      Union Negotiations R I I I A
      Process Development R R A R I

      Fast-track your communication planning with Info-Tech’s Organizational Design Implementation Kick-Off Presentation

      Organizational Design Implementation Kick-Off Presentation

      Communicate what’s important to your staff in a simple, digestible way. The communication message should reflect what is important to your stakeholders and what they want to know at the time.

      • Why is this change happening?
      • What are the goals of the reorganization?
      • What specifically is changing?
      • How will this impact me?
      • When is this changing?
      • How and where can I get more information?

      It’s important that the tone of the meeting suits the circumstances.

      • If the reorganization is going to involve lay-offs: The meeting should maintain a positive feel, but your key messages should stress the services that will be available to staff, when and how people will be communicated with about the change, and who staff can go to with concerns.
      • If the reorganization is to enable growth: Focus on celebrating where the organization is going, previous successes, and stress that the staff are critical in enabling team success.

      Modify the Organizational Design ImplementationKick-Off Presentation with your key messages and goals

      1.2 1 hour

      Input

      • New organizational structure

      Output

      • Organizational design goal statements

      Materials

      • Whiteboard & marker
      • ODI Kick-off Presentation

      Participants

      • OD implementation team
      1. Within your change implementation team, hold a meeting to identify and document the change goals and key messages.
      2. As a group, discuss what the key drivers were for the organizational redesign by asking yourselves what problem you were trying to solve.
      3. Select 3–5 key problem statements and document them on a whiteboard.
      4. For each problem statement, identify how the new organizational design will allow you to solve those problems.
      5. Document these in your Organizational Design Implementation Kick-Off Presentation.

      Modify the presentation with your unique change vision to serve as the center piece of your communication strategy

      1.3 1 hour

      Input

      • Goal statements

      Output

      • Change vision statement

      Materials

      • Sticky notes
      • Pens
      • Voting dots

      Participants

      • Change team
      1. Hold a meeting with the change implementation team to define your change vision. The change vision should provide a picture of what the organization will look like after the organizational design is implemented. It should represent the aspirational goal, and be something that staff can all rally behind.
      2. Hand out sticky notes and ask each member to write down on one note what they believe is the #1 desired outcome from the organizational change and one thing that they are hoping to avoid (you may wish to use your goal statements to drive this).
      3. As a group, review each of the sticky notes and group similar statements in categories. Provide each individual with 3 voting dots and ask them to select their three favorite statements.
      4. Select your winning statements in teams of 2–3. Review each statement and as a team work to strengthen the language to ensure that the statement provides a call to action, that it is short and to the point, and motivational.
      5. Present the statements back to the group and select the best option through a consensus vote.
      6. Document the change vision in your Organizational Design Implementation Kick-Off Presentation.

      Customize the presentation identifying key changes that will be occurring

      1.4 2 hours

      Input

      • Old and new organizational sketch

      Output

      • Identified key changes that are occurring

      Materials

      • Whiteboard
      • Sticky notes & Pens
      • Camera

      Participants

      • OD implementation team
      1. On a whiteboard, draw a high-level picture of your previous organizational sketch and your new organizational sketch.
      2. Using sticky notes, ask individuals to highlight key high-level challenges that exist in the current model (consider people, process, and technology).
      3. Consider each sticky note, and highlight and document how and where your new sketch will overcome those challenges and the key differences between the old structure and the new.
      4. Take a photo of the two sketches and comments, and document these in your Organizational Design Implementation Kick-Off Presentation.

      Modify the presentation by identifying and documenting key milestones

      1.5 1 hour

      Input

      • OD implementation team calendars

      Output

      • OD implementation team timeline

      Materials

      • OD Implementation Kick-Off Presentation

      Participants

      • OD implementation team
      1. Review the timeline in the Organizational Design Implementation Kick-Off Presentation. As a group, discuss the key milestones identified in the presentation:
        • Kick-off presentation
        • Departmental transition strategy built
        • Organizational transition strategy built
        • Manager training
        • One-on-one meetings with staff to discuss changes to roles
        • Individual transition strategy development begins
      2. Review the timeline, and keeping your other commitments in mind, estimate when each of these tasks will be completed and update the timeline.

      Build an OD implementation FAQ to proactively address key questions and concerns about the change

      Organizational Design Implementation FAQ

      Leverage this template as a starting place for building an organizational design implementation FAQ.

      This template is prepopulated with example questions and answers which are likely to arise.

      Info-Tech encourages you to use the list of questions as a basis for your FAQ and to add additional questions based on the changes occurring at your organization.

      It may also be a good idea to store the FAQ on a company intranet portal so that staff has access at all times and to provide users with a unique email address to forward questions to when they have them.

      Build your unique organizational design implementation FAQ to keep staff informed throughout the change

      1.6 1 hour + ongoing

      Input

      • OD implementation team calendars

      Output

      • OD implementation team timeline

      Materials

      • OD Implementation Kick-Off Presentation

      Participants

      • OD implementation team
      1. Download a copy of the Organizational Design Implementation FAQ and as a group, review each of the key questions.
      2. Delete any questions that are not relevant and add any additional questions you either believe you will receive or which you have already been asked.
      3. Divide the questions among team members and have each member provide a response to these questions.
      4. The CIO and the project manager should review the responses for accuracy and ensure they are ready to be shared with staff.
      5. Publish the responses on an IT intranet site and make the location known to your IT staff.

      Dispelling rumors by using a large implementation team

      CASE STUDY

      Industry: Manufacturing

      Source: CIO

      Challenge

      When rumors of the impending reorganization reached staff, there was a lot of confusion and some of the more vocal detractors in the department enforced these rumors.

      Staff were worried about changes to their jobs, demotions, and worst of all, losing their jobs. There was no communication from senior management to dispel the gossip and the line managers were also in the dark so they weren’t able to offer support.

      Staff did not feel comfortable reaching out to senior management about the rumors and they didn’t know who the change manager was.

      Solution

      The CIO and change manager put together a large implementation team that included many of the managers in the department. This allowed the managers to handle the gossip through informal conversations with their staff.

      The change manager also built a communication strategy to communicate the stages of the reorganization and used FAQs to address the more common questions.

      Results

      The reorganization was adopted very quickly since there was little confusion surrounding the changes with all staff members. Many of the personnel risks were mitigated by the communication strategy because it dispelled rumors and took some of the power away from the vocal detractors in the department.

      An engagement survey was conducted 3 months after the reorganization and the results showed that the engagement of staff had not changed after the reorganization.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      1a: Launch the MLI Dashboard (Pre-Work)

      Prior to the workshop, Info-Tech’s advisors will work with you to launch the MLI diagnostic to understand the overall engagement levels of your organization.

      1b: Review Your MLI Results

      The analysts will facilitate several exercises to help you and your team identify your current engagement levels, and the variance across demographics and over time.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      1.1: Define Your Change Team Responsibilities

      Review the key responsibilities of the organizational design implementation team and define the RACI for each individual member.

      1.3: Define Your Change Vision and Goals

      Identify the change vision statement which will serve as the center piece for your change communications as well as the key message you want to deliver to your staff about the change. These messages should be clear, emotionally impactful, and inspirational.

      1.4: Identify Key Changes Which Will Impact Staff

      Collectively brainstorm all of the key changes that are happening as a result of the change, and prioritize the list based on the impact they will have on staff. Document the top 10 biggest changes – and the opportunities the change creates or problems it solves.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      1.5: Define the High-Level Change Timeline

      Identify and document the key milestones within the change as a group, and determine key dates and change owners for each of the key items. Determine the best way to discuss these timelines with staff, and whether there are any which you feel will have higher levels of resistance.

      1.5: Build the FAQ and Prepare for Objection Handling

      As a group, brainstorm the key questions you believe you will receive about the change and develop a common FAQ to provide to staff members. The advisor will assist you in preparing to manage objections to limit resistance.

      Phase 2

      Build The Organizational Transition Plan

      Build the organizational transition plan

      Outcomes of this section:

      • A holistic list of projects that will enable the implementation of the organizational structure.
      • A schedule to monitor the progress of your change projects.

      This section involves the following participants:

      • CIO
      • Reorganization Implementation Team

      Key Section Insight:

      Be careful to understand the impacts of the change on all groups and departments. For best results, you will need representation from all departments to limit conflict and ensure a smooth transition. For large IT organizations, you will need to have a plan for each department/work unit and create a larger integration project.

      Phase 2 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Build the Organizational Transition Plan

      Proposed Time to Completion (in weeks): 2-4 weeks

      Step 2.1: Review the Change Dimensions and How They Are Used to Plan Change Projects

      Start with an analyst kick off call:

      • Review the purpose of the kick-off meeting.
      • Review the change project dimensions.
      • Review the Organizational Design Implementation Project Planning Tool.

      Then complete these activities…

      • Conduct your kick-off meeting.
      • Brainstorm a list of reorganization projects and their related tasks.

      With these tools & templates:

      • Organizational Design Implementation Project Planning Tool

      Step 2.2: Review the List of Change Projects

      Review findings with analyst:

      • Revisit the list of projects and tasks developed in the brainstorming session.
      • Assess the list and determine resourcing and dependencies for the projects.
      • Review the monitoring process.

      Then complete these activities…

      • Complete the Organizational Design Implementation Project Planning Tool.
      • Map out your project dependencies and resourcing.
      • Develop a schedule for monitoring projects.

      With these tools & templates:

      • Organizational Design Implementation Project Planning Tool

      Use Info-Tech’s Organizational Design Implementation Project Planning Tool to plan and track your reorganization

      • Use Info-Tech’s Organizational Design Implementation Project Planning Tool to document and track all of the changes that are occurring during your reorganization.
      • Automatically build Gantt charts for all of the projects that are being undertaken, track problems in the issue log, and monitor the progress of projects in the reporting tab.
      • Each department/work group will maintain its own version of this tool throughout the reorganization effort and the project manager will maintain a master copy with all of the projects listed.
      • The chart comes pre-populated with example data gathered through the research and interview process to help generate ideas for your own reorganization.
      • Review the instructions at the top of each work sheet for entering and modifying the data within each chart.

      Have a short kick-off meeting to introduce the project planning process to your implementation team

      2.1 30 minutes

      Output

      • Departmental ownership of planning tool

      Materials

      • OD Implementation Project Planning Tool

      Participants

      • Change Project Manager
      • Implementation Team
      • Senior Management (optional)
      1. The purpose of this kick-off meeting is to assign ownership of the project planning process to members of the implementation team and to begin thinking about the portfolio of projects required to successfully complete the reorganization.
      2. Use the email template included on this slide to invite your team members to the meeting.
      3. The topics that need to be covered in the meeting are:
        • Introducing the materials/templates that will be used throughout the process.
        • Assigning ownership of the Organizational Design Implementation Project Planning Tool to members of your team.
          • Ownership will be at the departmental level where each department or working group will manage their own change projects.
        • Prepare your implementation team for the next meeting where they will be brainstorming the list of projects that will need to be completed throughout the reorganization.
      4. Distribute/email the tools and templates to the team so that they may familiarize themselves with the materials before the next meeting.

      Hello [participant],

      We will be holding our kickoff meeting for our reorganization on [date]. We will be discussing the reorganization process at a high level with special attention being payed to the tools and templates that we will be using throughout the process. By the end of the meeting, we will have assigned ownership of the Project Planning Tool to department representatives and we will have scheduled the next meeting where we’ll brainstorm our list of projects for the reorganization.

      Consider Info-Tech’s four organizational change dimensions when identifying change projects

      CHANGE DIMENSIONS

      • TECHNOLOGY AND LOGISTICS
      • COMMUNICATION
      • STAFFING
      • PROCESS

      Technology and Logistics

      • These are all the projects that will impact the technology used and physical logistics of your workspace.
      • These include new devices, access/permissions, new desks, etc.

      Communication

      • All of the required changes after the reorganization to ongoing communications within IT and to the rest of the organization.
      • Also includes communication projects that are occurring during the reorganization.

      Staffing

      • These projects address the changes to your staff’s roles.
      • Includes role changes, job description building, consulting with HR, etc.

      Process

      • Projects that address changes to IT processes that will occur after the reorganization.

      Use these trigger questions to help identify all aspects of your coming changes

      STAFFING

      • Do you need to hire short or long-term staff to fill vacancies?
      • How long does it typically take to hire a new employee?
      • Will there be staff who are new to management positions?
      • Is HR on board with the reorganization?
      • Have they been consulted?
      • Have transition plans been built for all staff members who are transitioning roles/duties?
      • Will gaps in the structure need to be addressed with new hires?

      COMMUNICATION

      • When will the change be communicated to various members of the staff?
      • Will there be disruption to services during the reorganization?
      • Who, outside of IT, needs to know about the reorganization?
      • Do external communications need to be adjusted because of the reorganization? Moving/centralizing service desk, BRMs, etc.?
      • Are there plans/is there a desire to change the way IT communicates with the rest of the organization?
      • Will the reorganization affect the culture of the department? Is the new structure compatible with the current culture?

      Use these trigger questions to help identify all aspects of your coming changes (continued)

      TECHNOLOGY AND LOGISTICS

      • Will employees require new devices in their new roles?
      • Will employees be required to move their workspace?
      • What changes to the workspace are required to facilitate the new organization?
      • Does new furniture have to be purchased to accommodate new spaces/staff?
      • Is the workspace adequate/up to date technologically (telephone network, Wi-Fi coverage, etc.)?
      • Will employees require new permissions/access for their changing roles?
      • Will permissions/access need to be removed?
      • What is your budget for the reorganization?
      • If a large geographical move is occurring, have problems regarding geography, language barriers, and cultural sensitivities been addressed?

      PROCESS

      • What processes need to be developed?
      • What training for processes is required?
      • Is the daily functioning of the IT department predicted to change?
      • Are new processes being implemented during the reorganization?
      • How will the project portfolio be affected by the reorganization?
      • Is new documentation required to accompany new/changing processes?

      Brainstorm the change projects to be carried out during the reorganization for your team/department

      2.2 3 hours

      Input

      • Constructive group discussion

      Output

      • Thorough list of all reorganization projects

      Materials

      • Whiteboard, sticky notes
      • OD Implementation Project Planning Tool

      Participants

      • Implementation Team
      • CIO
      • Senior Management
      1. Before the meeting, distribute the list of trigger questions presented on the two previous slides to prepare your implementation team for the brainstorming session.
      2. Begin the meeting by dividing up your implementation team into the departments/work groups that they represent (and have ownership of the tool over).
      3. Distribute a different color of sticky notes to each team and have them write out each project they can think of for each of the change planning dimensions (Staffing, Communication, Process and Technology/Logistics) using the trigger questions.
      4. After one hour, ask the groups to place the projects that they brainstormed onto the whiteboard divided into the four change dimensions.
      5. Discuss the complete list of projects on the board.
        • Remove projects that are listed more than once since some projects will be universal to some/all departments.
        • Adjust the wording of projects for the sake of clarity.
        • Identify projects that are specific to certain departments.
      6. Document the list of high-level projects on tab 2 “Project Lists” within the OD Implementation Project Planning Tool after the activity is complete.

      Prioritize projects to assist with project planning modeling

      Prioritization is the process of ranking each project based on its importance to implementation success. Hold a meeting for the implementation team and extended team to prioritize the project list. At the conclusion of the meeting, each requirement should be assigned a priority level. The implementation teams will use these priority levels to ensure efforts are targeted towards the proper projects. A simple way to do this for your implementation is to use the MoSCoW Model of Prioritization to effectively order requirements.

      The MoSCoW Model of Prioritization

      MUST HAVE - Projects must be implemented for the organizational design to be considered successful.

      SHOULD HAVE - Projects are high priority that should be included in the implementation if possible.

      COULD HAVE - Projects are desirable but not necessary and could be included if resources are available.

      WON'T HAVE - Projects won’t be in the next release, but will be considered for the future releases.

      The MoSCoW model was introduced by Dai Clegg of Oracle UK in 1994.

      Keep the following criteria in mind as you determine your priorities

      Effective Prioritization Criteria

      Criteria Description
      Regulatory & Legal Compliance These requirements will be considered mandatory.
      Policy or Contract Compliance Unless an internal policy or contract can be altered or an exception can be made, these projects will be considered mandatory.
      Business Value Significance Give a higher priority to high-value projects.
      Business Risk Any project with the potential to jeopardize the entire project should be given a high priority and implemented early.
      Implementation Complexity Give a higher priority to quick wins.
      Alignment with Strategy Give a higher priority to requirements that enable the corporate strategy and IT strategy.
      Urgency Prioritize projects based on time sensitivity.
      Dependencies A project on its own may be low priority, but if it supports a high-priority requirement, then its priority must match it.
      Funding Availability Do we have the funding required to make this change?

      Prioritize the change projects within your team/department to be executed during the reorganization

      2.3 3 hours

      Input

      • Organizational Design Implementation Project Planning Tool

      Output

      • Prioritized list of projects

      Materials

      • Whiteboard, sticky notes
      • OD Implementation Project Planning Tool

      Participants

      • Implementation Team
      • Extended Implementation Team
      1. Divide the group into their department teams. Draw 4 columns on a whiteboard, including the following:
        • Must have
        • Should have
        • Could have
        • Won’t have
      2. As a group, review each project and collaboratively identify which projects fall within each category. You should have a strong balance between each of the categories.
      3. Beginning with the “must have” projects, determine if each has any dependencies. If any of the projects are dependent on another, add the dependency project to the “must have” category. Group and circle the dependent projects.
      4. Continue the same exercise with the “should have” and “could have” options.
      5. Record the results on tab “2. Project List” of the Organizational Design Implementation Project Planning Tool using the drop down option.

      Determine resource availability for completing your change projects

      2.4 2 hours

      Input

      • Constructive group discussion

      Output

      • Thorough list of all reorganization projects

      Materials

      • Whiteboard, sticky notes
      • OD Implementation Project Planning Tool

      Participants

      • Implementation Team
      • CIO
      • Senior Management
      1. Divide the group into their department teams to plan the execution of the high-level list of projects developed in activity 2.2.
      2. Review the list of high-level projects and starting with the “must do” projects, consider each in turn and brainstorm all of the tasks required to complete these projects. Write down each task on a sticky note and place it under the high-level project.
      3. On the same sticky note as the task, estimate how much time would be required to complete each task. Be realistic about time frames since these projects will be on top of all of the regular day-to-day work.
      4. Along with the time frame, document the resources that will be required and who will be responsible for the tasks. If you have a documented Project Portfolio, use this to determine resourcing.
      5. After mapping out the tasks, bring the group back together to present their list of projects, tasks, and required resources.
        • Go through the project task lists to make sure that nothing is missed.
        • Review the timelines to make sure they are feasible.
        • Review the resources to ensure that they are available and realistic based on constraints (time, current workload, etc.).
        • Repeat the process for the Should do and Could do projects.
      1. Document the tasks and resources in tab “3. Task Monitoring” in the OD Implementation Project Planning Tool after the activity is complete.

      Map out the change project dependencies at the departmental level

      2.5 2 hours

      Input

      • Constructive group discussion

      Output

      • Thorough list of all reorganization projects

      Materials

      • Whiteboard, sticky notes
      • OD Implementation Project Planning Tool

      Participants

      • Implementation Team
      • CIO
      • Senior Management
      1. Divide the group into their department teams to map the dependencies of their tasks created in activity 2.3.
      2. Take the project task sticky notes created in the previous activity and lay them out along a timeline from start to finish.
      3. Determine the dependencies of the tasks internal to the department. Map out the types of dependencies.
        • Finish to Start: Preceding task must be completed before the next can start.
        • Start to Start: Preceding task must start before the next task can start.
        • Finish to Finish: Predecessor must finish before successor can finish.
        • Start to Finish: Predecessor must start before successor can finish.
      4. Bring the group back together and review each group’s timeline and dependencies to make sure that nothing has been missed.
      5. As a group, determine whether there are dependencies that span the departmental lists of projects.
      6. Document all of the dependencies within the department and between departmental lists of projects and tasks in the OD Implementation Project Planning Tool.

      Amalgamate all of the departmental change planning tools into a master copy

      2.6 3 hours

      Input

      • Department-specific copies of the OD Implementation Project Planning Tool

      Output

      • Universal list of all of the change projects

      Materials

      • Whiteboard and sticky notes

      Participants

      • Implementation Project Manager
      • Members of the implementation team for support (optional)
      1. Before starting the activity, gather all of the OD Implementation Project Planning Tools completed at the departmental level.
      2. Review each completed tool and write all of the individual projects with their timelines on sticky notes and place them on the whiteboard.
      3. Build timelines using the documented dependencies for each department. Verify that the resources (time, people, physical) are adequate and feasible.
      4. Combine all of the departmental project planning tools into one master tool to be used to monitor the overall status of the reorganization. Separate the projects based on the departments they are specific to.
      5. Finalize the timeline based on resource approval and using the dependencies mapped out in the previous exercise.
      6. Approve the planning tools and store them in a shared drive so they can be accessed by the implementation team members.

      Create a progress monitoring schedule

      2.7 1 hour weekly

      Input

      • OD Implementation Project Planning Tools (departmental & organizational)

      Output

      • Actions to be taken before the next pulse meeting

      Participants

      • Implementation Project Manager
      • Members of the implementation team for support
      • Senior Management
      1. Hold weekly pulse meetings to keep track of project progress.
      2. The agenda of each meeting should include:
        • Resolutions to problems/complications raised at the previous week’s meeting.
        • Updates on each department’s progress.
        • Raising any issues/complications that have appeared that week.
        • A discussion of potential solutions to the issues/complications.
        • Validating the work that will be completed before the next meeting.
        • Raising any general questions or concerns that have been voiced by staff about the reorganization.
      3. Upload notes from the meeting about resolutions and changes to the schedules to the shared drive containing the tools.
      4. Increase the frequency of the meetings towards the end of the project if necessary.

      Building a holistic change plan enables adoption of the new organizational structure

      CASE STUDY

      Industry: Manufacturing

      Source: CIO

      Challenge

      The CIO was worried about the impending reorganization due to problems that they had run into during the last reorganization they had conducted. The change management projects were not planned well and they led to a lot of uncertainty before and after the implementation.

      No one on the staff was ready for the reorganization. Change projects were completed four months after implementation since many of them had not been predicted and cataloged. This caused major disruptions to their user services leading to drops in user satisfaction.

      Solution

      Using their large and diverse implementation team, they spent a great deal of time during the early stages of planning devoted to brainstorming and documenting all of the potential change projects.

      Through regular meetings, the implementation team was able to iteratively adjust the portfolio of change projects to fit changing needs.

      Results

      Despite having to undergo a major reorganization that involved centralizing their service desk in a different state, there were no disruptions to their user services.

      Since all of the change projects were documented and completed, they were able to move their service desk staff over a weekend to a workspace that was already set up. There were no changes to the user satisfaction scores over the period of their reorganization.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      2.2 Brainstorm Your List of Change Projects

      Review your reorganization plans and facilitate a brainstorming session to identify a complete list of all of the projects needed to implement your new organizational design.

      2.5 Map Out the Dependencies and Resources for Your Change Projects

      Examine your complete list of change projects and determine the dependencies between all of your change projects. Align your project portfolio and resource levels to the projects in order to resource them adequately.

      Phase 3

      Lead Staff Through the Reorganization

      Train managers to lead through change

      Outcomes of this Section:

      • Completed the workshop: Lead Staff Through Organizational Change
      • Managers possess stakeholder engagement plans for each employee
      • Managers are prepared to fulfil their roles in implementing the organizational change

      This section involves the following participants:

      • CIO
      • IT leadership team
      • IT staff

      Key Section Insight:

      The majority of IT managers were promoted because they excelled at the technical aspect of their job rather than in people management. Not providing training is setting your organization up for failure. Train managers to effectively lead through change to see a 72% decrease in change management issues. (Source: Abilla, 2009)

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Train Managers to Lead Through Change

      Proposed Time to Completion (in weeks): 1-2 weeks

      Step 3.1: Train Your Managers to Lead Through the Change

      Start with an analyst kick off call:

      • Go over the manager training workshop section of this deck.
      • Review the deliverables generated from the workshop (stakeholder engagement plan and conflict style self-assessment).

      Then complete these activities…

      • Conduct the workshop with your managers.

      With these tools & templates:

      • Organizational Design Implementation Manager Training Guide
      • Organizational Design Implementation Stakeholder Engagement Plan Template

      Step 3.2: Debrief After the Workshop

      Review findings with analyst:

      • Discuss the outcomes of the manager training.
      • Mention any feedback.
      • High-level overview of the workshop deliverables.

      Then complete these activities…

      • Encourage participants to review and revise their stakeholder engagement plans.
      • Review the Organizational Design Implementation Transition Plan Template and next steps.

      Get managers involved to address the majority of obstacles to successful change

      Managers all well-positioned to translate how the organizational change will directly impact individuals on their teams.

      Reasons Why Change Fails

      EMPLOYEE RESISTANCE TO CHANGE - 39%

      MANAGEMENT BEHAVIOR NOT SUPPORTIVE OF CHANGE - 33%

      INADEQUATE RESOURCE OR BUDGET - 14%

      OTHER OBSTACLES - 14%

      72% of change management issues can be directly improved by management.

      (Source: shmula)

      Why are managers crucial to organizational change?

      • Managers are extremely well-connected.
        • They have extensive horizontal and vertical networks spanning the organization.
        • Managers understand the informal networks of the organization.
      • Managers are valuable communicators.
        • Managers have established strong relationships with employees.
        • Managers influence the way staff perceive messaging.

      Conduct a workshop with managers to help them lead their teams through change

      Organizational Design Implementation Manager Training Guide

      Give managers the tools and skills to support their employees and carry out difficult conversations.

      Understand the role of management in communicating the change

      Understand reactions to change

      Resolve conflict

      Respond to FAQs

      Monitor and measure employee engagement

      Prepare managers to effectively execute their role in the organizational change by running a 2-hour training workshop.

      Complete the activities on the following slides to:

      • Plan and prepare for the workshop.
      • Execute the group exercises.
      • Help managers develop stakeholder engagement plans for each of their employees.
      • Initiate the McLean Leadership Index™ survey to measure employee engagement.

      Plan and prepare for the workshop

      3.1 Plan and prepare for the workshop.

      Output

      • Workshop participants
      • Completed workshop prep

      Materials

      • Organizational Design Implementation Manager Training Guide

      Instructions

      1. Create a list of all managers that will be responsible for leading their teams through the change.
      2. Select a date for the workshop.
        • The training session will run approximately 2 hours and should be scheduled within a week of when the implementation plan is communicated organization-wide.
      3. Review the material outlined in the presentation and prepare the Organizational Design Implementation Manager Training Guide for the workshop:
        • Copy and print the “Pre-workshop Facilitator Instructions” and “Facilitator Notes” located in the notes section below each slide.
        • Revise frequently asked questions (FAQs) and responses.
        • Delete instruction slides.

      Invite managers to the workshop

      Workshop Invitation Email Template

      Make necessary modifications to the Workshop Invitation Email Template and send invitations to managers.

      Hi ________,

      As you are aware, we are starting to roll out some of the initiatives associated with our organizational change mandate. A key component of our implementation plan is to ensure that managers are well-prepared to lead their teams through the transition.

      To help you proactively address the questions and concerns of your staff, and to ensure that the changes are implemented effectively, we will be conducting a workshop for managers on .

      While the change team is tasked with most of the duties around planning, implementing, and communicating the change organization-wide, you and other managers are responsible for ensuring that your employees understand how the change will impact them specifically. The workshop will prepare you for your role in implementing the organizational changes in the coming weeks, and help you refine the skills and techniques necessary to engage in challenging conversations, resolve conflicts, and reduce uncertainty.

      Please confirm your attendance for the workshop. We look forward to your participation.

      Kind regards,

      Change team

      Prepare managers for the change by helping them build useful deliverables

      ODI Stakeholder Engagement Plan Template & Conflict Style Self-Assessment

      Help managers create useful deliverables that continue to provide value after the workshop is completed.

      Workshop Deliverables

      Organizational Design Implementation Stakeholder Engagement Plan Template

      • Document the areas of change resistance, detachment, uncertainty, and support for each employee.
      • Document strategies to overcome resistance, increase engagement, reduce uncertainty, and leverage their support.
      • Create action items to execute after the workshop.

      Conflict Style Self-Assessment

      • Determine how you approach conflicts.
      • Analyze the strengths and weaknesses of this approach.
      • Identify ways to adopt different conflict styles depending on the situation.

      Book a follow-up meeting with managers and determine which strategies to Start, Stop, or Continue

      3.2 1 hour

      Output

      • Stakeholder engagement templates

      Materials

      • Sticky notes
      • Pen and paper

      Participants

      • Implementation Team
      • Managers
      1. Schedule a follow-up meeting 2–3 weeks after the workshop.
      2. Facilitate an open conversation on approaches and strategies that have been used or could be used to:
        • Overcome resistance
        • Increase engagement
        • Reduce uncertainty
        • Leverage support
      3. During the discussion, document ideas on the whiteboard.
      4. Have participants vote on whether the approaches and strategies should be started, stopped, or continued.
        • Start: actions that the team would like to begin.
        • Stop: actions that the team would like to stop.
        • Continue: actions that work for the team and should proceed.
      5. Encourage participants to review and revise their stakeholder engagement plans.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.1 The Change Maze

      Break the ice with an activity that illustrates the discomfort of unexpected change, and the value of timely and instructive communication.

      3.2 Perform a Change Management Retrospective

      Leverage the collective experience of the group. Share challenges and successes from previous organizational changes and apply those lessons to the current transition.

      3.3 Create a Stakeholder Engagement Plan

      Have managers identify areas of resistance, detachment, uncertainty, and support for each employee and share strategies for overcoming resistance and leveraging support to craft an action plan for each of their employees.

      3.4 Conduct a Conflict Style Self-Assessment

      Give participants an opportunity to better understand how they approach conflicts. Administer the Conflict Style Self-Assessment to identify conflict styles and jumpstart a conversation about how to effectively resolve conflicts.

      Transition your staff to their new roles

      Outcomes of this Section:

      • Identified key responsibilities to transition
      • Identified key relationships to be built
      • Built staff individual transition plans and timing

      This section involves the following participants:

      • All IT staff members

      Key Section Insight

      In order to ensure a smooth transition, you need to identify the transition scheduled for each employee. Knowing when they will retire and assume responsibilities and aligning this with the organizational transition will be crucial.

      Phase 3b outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3b: Transition Staff to New Roles

      Proposed Time to Completion (in weeks): 2-4

      Step 4.1: Build Your Transition Plans

      Start with an analyst kick off call:

      • Review the Organizational Design Implementation Transition Plan Template and its contents.
      • Return to the new org structure and project planning tool for information to fill in the template.

      Then complete these activities…

      • Present the template to your managers.
      • Have them fill in the template with their staff.
      • Approve the completed templates.

      With these tools & templates:

      • Organizational Design Implementation Project Planning Tool
      • Organizational Design Implementation Transition Plan Template

      Step 4.2: Finalize Your Transition Plans

      Review findings with analyst:

      • Discuss strategies for timing the transition of your employees.
      • Determine the readiness of your departments for transitioning.

      Then complete these activities…

      • Build a transition readiness timeline of your departments.
      • Move your employees to their new roles.

      With these tools & templates:

      • Organizational Design Implementation Project Planning Tool
      • Organizational Design Implementation Transition Plan Template

      Use Info-Tech’s transition plan template to map out all of the changes your employees will face during reorganization

      Organizational Design Implementation Transition Plan Template

      • Use Info-Tech’s Organizational Design Implementation Transition Plan Template to document (in consultation with your employees) all of the changes individual staff members need to go through in order to transition into their new roles.
      • It provides a holistic view of all of the changes aligned to the change planning dimensions, including:
        • Current and new job responsibilities
        • Outstanding projects
        • Documenting where the employee may be moving
        • Technology changes
        • Required training
        • New relationships that need to be made
        • Risk mitigation
      • The template is designed to be completed by managers for their direct reports.

      Customize the transition plan template for all affected staff members

      4.1 30 minutes per employee

      Output

      • Completed transition plans

      Materials

      • Individual transition plan templates (for each employee)

      Participants

      • Implementation Team
      • Managers
      1. Implementation team members should hold one-on-one meetings with the managers from the departments they represent to go through the transition plan template.
      2. Some elements of the transition plan can be completed at the initial meeting with knowledge from the implementation team and documentation from the new organizational structure:
        • Employee information (except for the planned transition date)
        • New job responsibilities
        • Logistics and technology changes
        • Relationships (recommendations can be made about beneficial relationships to form if the employee is transitioning to a new role)
      3. After the meeting, managers can continue filling in information based on their own knowledge of their employees:
        • Current job responsibilities
        • Outstanding projects
        • Training (identify gaps in the employee’s knowledge if their role is changing)
        • Risks (potential concerns or problems for the employee during the reorganization)

      Verify and complete the individual transition plans by holding one-on-one meetings with the staff

      4.2 30 minutes per employee

      Output

      • Completed transition plans

      Materials

      • Individual transition plan templates (for each employee)

      Participants

      • Managers
      • Staff (Managers’ Direct Reports)
      1. After the managers complete everything they can in the transition plan templates, they should schedule one-on-one meetings with their staff to review the completed document to ensure the information is correct.
      2. Begin the meeting by verifying the elements that require the most information from the employee:
        • Current job responsibilities
        • Outstanding projects
        • Risks (ask about any problems or concerns they may have about the reorganization)
      3. Discuss the following elements of the transition plan to get feedback:
        • Training (ask if there is any training they feel they may need to be successful at the organization)
        • Relationships (determine if there are any relationships that the employee would like to develop that you may have missed)
      4. Since this may be the first opportunity that the staff member has had to discuss their new role (if they are moving to one), review their new job title and new job responsibilities with them. If employees are prepared for their new role, they may feel more accountable for quickly adopting the reorganization.
      5. Document any questions that they may have so that they can be answered in future communications from the implementation team.
      6. After completing the template, managers will sign off on the document in the approval section.

      Validate plans with organizational change project manager and build the transition timeline

      4.3 3 hours

      Input

      • Individual transition plans
      • Organizational Design Implementation Project Planning Tool

      Output

      • Timeline outlining departmental transition readiness

      Materials

      • Whiteboard

      Participants

      • Implementation Project Manager
      • Implementation Team
      • Managers
      1. After receiving all of the completed individual transition plan templates from managers, members of the implementation team need to approve the contents of the templates (for the departments that they represent).
      2. Review the logistics and technology requirements for transition in each of the templates and align them with the completion dates of the related projects in the Project Planning Tool. These dates will serve as the earliest possible time to transition the employee. Use the latest date from the list to serve as the date that the whole department will be ready to transition.
      3. Hand the approved transition plan templates and the dates at which the departments will be ready for transitioning to the Implementation Project Manager.
      4. The Project Manager needs to verify the contents of the transition plans and approve them.
      5. On a calendar or whiteboard, list the dates that each department will be ready for transitioning.
      6. Review the master copy of the Project Planning Tool. Determine if the outstanding projects limit your ability to transition the departments (when they are ready to transition). Change the ready dates of the departments to align with the completion dates of those projects.
      7. Use these dates to determine the timeline for when you would like to transition your employees to their new roles.

      Overcoming inexperience by training managers to lead through change

      CASE STUDY

      Industry: Manufacturing

      Source: CIO

      Challenge

      The IT department had not undergone a major reorganization in several years. When they last reorganized, they experienced high turnover and decreased business satisfaction with IT.

      Many of the managers were new to their roles and only one of them had been around for the earlier reorganization. They lacked experience in leading their staff through major organizational changes.

      One of the major problems they faced was addressing the concerns, fears, and resistance of their staff properly.

      Solution

      The implementation team ran a workshop for all of the managers in the department to train them on the change and how to communicate the impending changes to their staff. The workshop included information on resistance and conflict resolution.

      The workshop was conducted early on in the planning phases of the reorganization so that any rumors or gossip could be addressed properly and quickly.

      Results

      The reorganization was well accepted by the staff due to the positive reinforcement from their managers. Rumors and gossip about the reorganization were under control and the staff adopted the new organizational structure quickly.

      Engagement levels of the staff were maintained and actually improved by 5% immediately after the reorganization.

      Voluntary turnover was minimal throughout the change as opposed to the previous reorganization where they lost 10% of their staff. There was an estimated cost savings of $250,000–$300,000.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.2.1 Build Your Staff Transition Plan

      Review the contends of the staff transition plan, and using the organizational change map as a guide, build the transition schedule for one employee.

      3.2.1 Review the Transition Plan With the Transition Team

      Review and validate the results for your transition team schedule with other team members. As a group, discuss what makes this exercise difficult and any ideas for how to simplify the exercise.

      Works cited

      American Productivity and Quality Center. “Motivation Strategies.” Potentials Magazine. Dec. 2004. Web. November 2014.

      Bersin, Josh. “Time to Scrap Performance Appraisals?” Forbes Magazine. 5 June 2013. Web. 30 Oct 2013.

      Bridges, William. Managing Transitions, 3rd Ed. Philadelphia: Da Capo Press, 2009.

      Buckley, Phil. Change with Confidence – Answers to the 50 Biggest Questions that Keep Change Leaders up at Night. Canada: Jossey-Bass, 2013.

      “Change and project management.” Change First. 2014. Web. December 2009. <http://www.changefirst.com/uploads/documents/Change_and_project_management.pdf>.

      Cheese, Peter, et al. “Creating an Agile Organization.” Accenture. Oct. 2009. Web. Nov. 2013.

      Croxon, Bruce et al. “Dinner Series: Performance Management with Bruce Croxon from CBC's 'Dragon's Den.'” HRPA Toronto Chapter. Sheraton Hotel, Toronto, ON. 12 Nov. 2013. Panel discussion.

      Culbert, Samuel. “10 Reasons to Get Rid of Performance Reviews.” Huffington Post Business. 18 Dec. 2012. Web. 28 Oct. 2013. <http://www.huffingtonpost.com/samuel-culbert/performance-reviews_b_2325104.html>.

      Denning, Steve. “The Case Against Agile: Ten Perennial Management Objections.” Forbes Magazine. 17 Apr. 2012. Web. Nov. 2013.

      Works cited cont.

      “Establish A Change Management Structure.” Human Technology. Web. December 2014.

      Estis, Ryan. “Blowing up the Performance Review: Interview with Adobe’s Donna Morris.” Ryan Estis & Associates. 17 June 2013. Web. Oct. 2013. <http://ryanestis.com/adobe-interview/>.

      Ford, Edward L. “Leveraging Recognition: Noncash incentives to Improve Performance.” Workspan Magazine. Nov 2006. Web. Accessed May 12, 2014.

      Gallup, Inc. “Gallup Study: Engaged Employees Inspire Company Innovation.” Gallup Management Journal. 12 Oct. 2006. Web. 12 Jan 2012.

      Gartside, David, et al. “Trends Reshaping the Future of HR.” Accenture. 2013. Web. 5 Nov. 2013.

      Grenville-Cleave, Bridget. “Change and Negative Emotions.” Positive Psychology News Daily. 2009.

      Heath, Chip, and Dan Heath. Switch: How to Change Things When Change Is Hard. Portland: Broadway Books. 2010.

      HR Commitment AB. Communicating organizational change. 2008.

      Keller, Scott, and Carolyn Aiken. “The Inconvenient Truth about Change Management.” McKinsey & Company, 2009. <http://www.mckinsey.com/en.aspx>.

      Works cited cont.

      Kotter, John. “LeadingChange: Why Transformation Efforts Fail.” Harvard Business Review. March-April 1995. <http://hbr.org>.

      Kubler-Ross, Elisabeth and David Kessler. On Grief and Grieving: Finding the Meaning of Grief Through the Five Stages of Loss. New York: Scribner. 2007.

      Lowlings, Caroline. “The Dangers of Changing without Change Management.” The Project Manager Magazine. December 2012. Web. December 2014. <http://changestory.co.za/the-dangers-of-changing-without-change-management/>.

      “Managing Change.” Innovative Edge, Inc. 2011. Web. January 2015. <http://www.getcoherent.com/managing.html>.

      Muchinsky, Paul M. Psychology Applied to Work. Florence: Thomson Wadsworth, 2006.

      Nelson, Kate and Stacy Aaron. The Change Management Pocket Guide, First Ed., USA: Change Guides LLC, 2005.

      Nguyen Huy, Quy. “In Praise of Middle Managers.” Harvard Business Review. 2001. Web. December 2014. <https://hbr.org/2001/09/in-praise-of-middle-managers/ar/1>

      “Only One-Quarter of Employers Are Sustaining Gains From Change Management Initiatives, Towers Watson Survey Finds.” Towers Watson. August 2013. Web. January 2015. <http://www.towerswatson.com/en/Press/2013/08/Only-One-Quarter-of-Employers-Are-Sustaining-Gains-From-Change-Management>.

      Shmula. “Why Transformation Efforts Fail.” Shmula.com. September 28, 2009. <http://www.shmula.com/why-transformation-efforts-fail/1510/>

      IT Diversity & Inclusion Tactics

      • Buy Link or Shortcode: {j2store}517|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Engage
      • Parent Category Link: /engage
      • Although inclusion is key to the success of a diversity and inclusion (D&I) strategy, the complexity of the concept makes it a daunting pursuit.
      • This is further complicated by the fact that creating inclusion is not a one-and-done exercise. Rather, it requires the ongoing commitment of employees and managers to reassess their own behaviors and to drive a cultural shift.

      Our Advice

      Critical Insight

      Realize the benefits of a diverse workforce by embedding inclusion into work practices, behaviors, and values, ensuring accountability throughout the department.

      Impact and Result

      Understand what it means to be inclusive: reassess work practices and learn how to apply leadership behaviors to create an inclusive environment

      IT Diversity & Inclusion Tactics Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Mobilize inclusion efforts

      Learn, evaluate, and understand what it means to be inclusive, examine biases, and apply inclusive leadership behaviors.

      • Diversity & Inclusion Initiatives Catalog
      • Inclusive IT Work Practices Examples
      • Inclusive Work Practices Template
      • Equip Managers to Adopt Inclusive Leadership Behaviors
      • Workbook: Equip Managers to Adopt Inclusive Leadership Behaviors
      • Standard Focus Group Guide
      [infographic]

      Establish Data Governance

      • Buy Link or Shortcode: {j2store}123|cart{/j2store}
      • member rating overall impact (scale of 10): 9.3/10 Overall Impact
      • member rating average dollars saved: $48,494 Average $ Saved
      • member rating average days saved: 31 Average Days Saved
      • Parent Category Name: Data Management
      • Parent Category Link: /data-management
      • Organizations are faced with challenges associated with changing data landscapes, evolving business models, industry disruptions, regulatory and compliance obligations, as well as changing and maturing user landscapes and demands for data.
      • Although the need for a data governance program is often evident, organizations often miss the mark.
      • Your data governance efforts should be directly aligned to delivering measurable business value by supporting key strategic initiatives, value streams, and underlying business capabilities.

      Our Advice

      Critical Insight

      • Your organization’s value streams and their associated business capabilities require effectively governed data. Without this, you may experience elevated operational costs, missed opportunities, eroded stakeholder satisfaction, and exposure to increased business risk.
      • Ensure your data governance program delivers measurable business value by aligning the associated data governance initiatives with the business architecture.
      • Data governance must continuously align with the organization’s enterprise governance function. It should not be perceived as a pet project of IT, but rather as an enterprise-wide, business-driven initiative.

      Impact and Result

      Info-Tech’s approach to establishing and sustaining effective data governance is anchored in the strong alignment of organizational value streams and their business capabilities with key data governance dimensions and initiatives. Info-Tech's approach will help you:

      • Align your data governance with enterprise governance, business strategy, and the organizational value streams to ensure the program delivers measurable business value.
      • Understand your current data governance capabilities and build out a future state that is right-sized and relevant.
      • Define data governance leadership, accountability, and responsibility.
      • Ensure data governance is supported by an operating model that effectively manages change and communication and fosters a culture of data excellence.

      Establish Data Governance Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Data Governance Research – A step-by-step document to ensure that the people handling the data are involved in the decisions surrounding data usage, data quality, business processes, and change implementation.

      Data governance is a strategic program that will help your organization control data by managing the people, processes, and information technology needed to ensure that accurate and consistent data policies exist across varying lines of the business, enabling data-driven insight. This research will provide an overview of data governance and its importance to your organization, assist in making the case and securing buy-in for data governance, identify data governance best practices and the challenges associated with them, and provide guidance on how to implement data governance best practices for a successful launch.

      • Establish Data Governance – Phases 1-3

      2. Data Governance Planning and Roadmapping Workbook – A structured tool to assist with establishing effective data governance practices.

      This workbook will help your organization understand the business and user context by leveraging your business capability map and value streams, develop data use cases using Info-Tech's framework for building data use cases, and gauge the current state of your organization's data culture.

      • Data Governance Planning and Roadmapping Workbook

      3. Data Use Case Framework Template – An exemplar template to highlight and create relevant use cases around the organization’s data-related problems and opportunities.

      This business needs gathering activity will highlight and create relevant use cases around data-related problems or opportunities that are clear and contained and, if addressed, will deliver value to the organization. This template provides a framework for data requirements and a mapping methodology for creating use cases.

      • Data Use Case Framework Template

      4. Data Governance Initiative Planning and Roadmap Tool – A visual roadmapping tool to assist with establishing effective data governance practices.

      This tool will help your organization plan the sequence of activities, capture start dates and expected completion dates, and create a roadmap that can be effectively communicated to the organization.

      • Data Governance Initiative Planning and Roadmap Tool

      5. Business Data Catalog – A comprehensive template to help you to document the key data assets that are to be governed based on in-depth business unit interviews, data risk/value assessments, and a data flow diagram for the organization.

      Use this template to document information about key data assets such as data definition, source system, possible values, data sensitivity, data steward, and usage of the data.

      • Business Data Catalog

      6. Data Governance Program Charter Template – A program charter template to sell the importance of data governance to senior executives.

      This template will help get the backing required to get a data governance project rolling. The program charter will help communicate the project purpose, define the scope, and identify the project team, roles, and responsibilities.

      • Data Governance Program Charter Template

      7. Data Governance Policy

      This policy establishes uniform data governance standards and identifies the shared responsibilities for assuring the integrity of the data and that it efficiently and effectively serves the needs of your organization.

      • Data Governance Policy

      8. Data Governance Exemplar – An exemplar showing how you can plan and document your data governance outputs.

      Use this exemplar to understand how to establish data governance in your organization. Follow along with the sections of the blueprint Establish Data Governance and complete the document as you progress.

      • Data Governance Exemplar
      [infographic]

      Workshop: Establish Data Governance

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Establish Business Context and Value

      The Purpose

      Identify key business data assets that need to be governed.

      Create a unifying vision for the data governance program.

      Key Benefits Achieved

      Understand the value of data governance and how it can help the organization better leverage its data.

      Gain knowledge of how data governance can benefit both IT and the business.

      Activities

      1.1 Establish business context, value, and scope of data governance at the organization

      1.2 Introduction to Info-Tech’s data governance framework

      1.3 Discuss vision and mission for data governance

      1.4 Understand your business architecture, including your business capability map and value streams

      1.5 Build use cases aligned to core business capabilities

      Outputs

      Sample use cases (tied to the business capability map) and a repeatable use case framework

      Vision and mission for data governance

      2 Understand Current Data Governance Capabilities and Plot Target-State Levels

      The Purpose

      Assess which data contains value and/or risk and determine metrics that will determine how valuable the data is to the organization.

      Assess where the organization currently stands in data governance initiatives.

      Determine gaps between the current and future states of the data governance program.

      Key Benefits Achieved

      Gain a holistic understanding of organizational data and how it flows through business units and systems.

      Identify which data should fall under the governance umbrella.

      Determine a practical starting point for the program.

      Activities

      2.1 Understand your current data governance capabilities and maturity

      2.2 Set target-state data governance capabilities

      Outputs

      Current state of data governance maturity

      Definition of target state

      3 Build Data Domain to Data Governance Role Mapping

      The Purpose

      Determine strategic initiatives and create a roadmap outlining key steps required to get the organization to start enabling data-driven insights.

      Determine timing of the initiatives.

      Key Benefits Achieved

      Establish clear direction for the data governance program.

      Step-by-step outline of how to create effective data governance, with true business-IT collaboration.

      Activities

      3.1 Evaluate and prioritize performance gaps

      3.2 Develop and consolidate data governance target-state initiatives

      3.3 Define the role of data governance: data domain to data governance role mapping

      Outputs

      Target-state data governance initiatives

      Data domain to data governance role mapping

      4 Formulate a Plan to Get to Your Target State

      The Purpose

      Consolidate the roadmap and other strategies to determine the plan of action from Day One.

      Create the required policies, procedures, and positions for data governance to be sustainable and effective.

      Key Benefits Achieved

      Prioritized initiatives with dependencies mapped out.

      A clearly communicated plan for data governance that will have full business backing.

      Activities

      4.1 Identify and prioritize next steps

      4.2 Define roles and responsibilities and complete a high-level RACI

      4.3 Wrap-up and discuss next steps and post-workshop support

      Outputs

      Initialized roadmap

      Initialized RACI

      Further reading

      Establish Data Governance

      Deliver measurable business value.

      Executive Brief

      Analyst Perspective

      Establish a data governance program that brings value to your organization.

      Picture of analyst

      Data governance does not sit as an island on its own in the organization – it must align with and be driven by your enterprise governance. As you build out data governance in your organization, it’s important to keep in mind that this program is meant to be an enabling framework of oversight and accountabilities for managing, handling, and protecting your company’s data assets. It should never be perceived as bureaucratic or inhibiting to your data users. It should deliver agreed-upon models that are conducive to your organization’s operating culture, offering clarity on who can do what with the data and via what means. Data governance is the key enabler for bringing high-quality, trusted, secure, and discoverable data to the right users across your organization. Promote and drive the responsible and ethical use of data while helping to build and foster an organizational culture of data excellence.

      Crystal Singh

      Director, Research & Advisory, Data & Analytics Practice

      Info-Tech Research Group

      Executive Summary

      Your Challenge

      The amount of data within organizations is growing at an exponential rate, creating a need to adopt a formal approach to governing data. However, many organizations remain uninformed on how to effectively govern their data. Comprehensive data governance should define leadership, accountability, and responsibility related to data use and handling and be supported by a well-oiled operating model and relevant policies and procedures. This will help ensure the right data gets to the right people at the right time, using the right mechanisms.

      Common Obstacles

      Organizations are faced with challenges associated with changing data landscapes, evolving business models, industry disruptions, regulatory and compliance obligations, and changing and maturing user landscape and demand for data. Although the need for a data governance program is often evident, organizations miss the mark when their data governance efforts are not directly aligned to delivering measurable business value. Initiatives should support key strategic initiatives, as well as value streams and their underlying business capabilities.

      Info-Tech’s Approach

      Info-Tech’s approach to establishing and sustaining effective data governance is anchored in the strong alignment of organizational value streams and their business capabilities with key data governance dimensions and initiatives. Organizations should:

      • Align their data governance with enterprise governance, business strategy and value streams to ensure the program delivers measurable business value.
      • Understand their current data governance capabilities so as to build out a future state that is right-sized and relevant.
      • Define data leadership, accountability, and responsibility. Support these with an operating model that effectively manages change and communication and fosters a culture of data excellence.

      Info-Tech Insight

      Your organization’s value streams and the associated business capabilities require effectively governed data. Without this, you face elevated operating costs, missed opportunities, eroded stakeholder satisfaction, and increased business risk.

      Your challenge

      This research is designed to help organizations build and sustain an effective data governance program.

      • Your organization has recognized the need to treat data as a corporate asset for generating business value and/or managing and mitigating risk.
      • This has brought data governance to the forefront and highlighted the need to build a performance-driven enterprise program for delivering quality, trusted, and readily consumable data to users.
      • An effective data governance program is one that defines leadership, accountability, and responsibility related to data use and handling. It’s supported by a well-oiled operating model and relevant policies and procedures, all of which help build and foster a culture of data excellence where the right users get access to the right data at the right time via the right mechanisms.

      As you embark on establishing data governance in your organization, it’s vital to ensure from the get-go that you define the drivers and business context for the program. Data governance should never be attempted without direction on how the program will yield measurable business value.

      “Data processing and cleanup can consume more than half of an analytics team’s time, including that of highly paid data scientists, which limits scalability and frustrates employees.” – Petzold, et al., 2020

      Image is a circle graph and 30% of it is coloured with the number 30% in the middle of the graph

      “The productivity of employees across the organization can suffer.” – Petzold, et al., 2020

      Respondents to McKinsey’s 2019 Global Data Transformation Survey reported that an average of 30% of their total enterprise time was spent on non-value-added tasks because of poor data quality and availability. – Petzold, et al., 2020

      Common obstacles

      Some of the barriers that make data governance difficult to address for many organizations include:

      • Gaps in communicating the strategic value of data and data governance to the organization. This is vital for securing senior leadership buy-in and support, which, in turn, is crucial for sustained success of the data governance program.
      • Misinterpretation or a lack of understanding about data governance, including what it means for the organization and the individual data user.
      • A perception that data governance is inhibiting or an added layer of bureaucracy or complication rather than an enabling and empowering framework for stakeholders in their use and handling of data.
      • Embarking on data governance without firmly substantiating and understanding the organizational drivers for doing so. How is data governance going to support the organization’s value streams and their various business capabilities?
      • Neglecting to define and measure success and performance. Just as in any other enterprise initiative, you have to be able to demonstrate an ROI for time, resources and funding. These metrics must demonstrate the measurable business value that data governance brings to the organization.
      • Failure to align data governance with enterprise governance.
      Image is a circle graph and 78% of it is coloured with the number 78% in the middle of the graph

      78% of companies (and 92% of top-tier companies) have a corporate initiative to become more data-driven. – Alation, 2020

      Image is a circle graph and 58% of it is coloured with the number 58% in the middle of the graph

      But despite these ambitions, there appears to be a “data culture disconnect” – 58% of leaders overestimate the current data culture of their enterprises, giving a grade higher than the one produced by the study. – Fregoni, 2020

      The strategic value of data

      Power intelligent and transformative organizational performance through leveraging data.

      Respond to industry disruptors

      Optimize the way you serve your stakeholders and customers

      Develop products and services to meet ever-evolving needs

      Manage operations and mitigate risk

      Harness the value of your data

      The journey to being data-driven

      The journey to declaring that you are a data-driven organization requires a pit stop at data enablement.

      The Data Economy

      Data Disengaged

      You have a low appetite for data and rarely use data for decision making.

      Data Enabled

      Technology, data architecture, and people and processes are optimized and supported by data governance.

      Data Driven

      You are differentiating and competing on data and analytics; described as a “data first” organization. You’re collaborating through data. Data is an asset.

      Data governance is essential for any organization that makes decisions about how it uses its data.

      Data governance is an enabling framework of decision rights, responsibilities, and accountabilities for data assets across the enterprise.

      Data governance is:

      • Executed according to agreed-upon models that describe who can take what actions with what information, when, and using what methods (Olavsrud, 2021).
      • True business-IT collaboration that will lead to increased consistency and confidence in data to support decision making. This, in turn, helps fuel innovation and growth.

      If done correctly, data governance is not:

      • An annoying, finger-waving roadblock in the way of getting things done.
      • Meant to solve all data-related business or IT problems in an organization.
      • An inhibitor or impediment to using and sharing data.

      Info-Tech’s Data Governance Framework

      An image of Info-Tech's Data Governance Framework

      Create impactful data governance by embedding it within enterprise governance

      A model is depicted to show the relationship between enterprise governance and data governance.

      Organizational drivers for data governance

      Data governance personas:

      Conformance: Establishing data governance to meet regulations and compliance requirements.

      Performance: Establishing data governance to fuel data-driven decision making for driving business value and managing and mitigating business risk.

      Two images are depicted that show the difference between conformance and performance.

      Data Governance is not a one-person show

      • Data governance needs a leader and a home. Define who is going to be leading, driving, and steering data governance in your organization.
      • Senior executive leaders play a crucial role in championing and bringing visibility to the value of data and data governance. This is vital for building and fostering a culture of data excellence.
      • Effective data governance comes with business and IT alignment, collaboration, and formally defined roles around data leadership, ownership, and stewardship.
      Four circles are depicted. There is one person in the circle on the left and is labelled: Data Governance Leadership. The circle beside it has two people in it and labelled: Organizational Champions. The circle beside it has three people in it and labelled: Data Owners, Stewards & Custodians. The last circle has four people in it and labelled: The Organization & Data Storytellers.

      Traditional data governance organizational structure

      A traditional structure includes committees and roles that span across strategic, tactical, and operational duties. There is no one-size-fits-all data governance structure. However, most organizations follow a similar pattern when establishing committees, councils, and cross-functional groups. Most organizations strive to identify roles and responsibilities at a strategic and operational level. Several factors will influence the structure of the program, such as the focus of the data governance project and the maturity and size of the organization.

      A triangular model is depicted and is split into three tiers to show the traditional data governance organizational structure.

      A healthy data culture is key to amplifying the power of your data.

      “Albert Einstein is said to have remarked, ‘The world cannot be changed without changing our thinking.’ What is clear is that the greatest barrier to data success today is business culture, not lagging technology. “– Randy Bean, 2020

      What does it look like?

      • Everybody knows the data.
      • Everybody trusts the data.
      • Everybody talks about the data.

      “It is not enough for companies to embrace modern data architectures, agile methodologies, and integrated business-data teams, or to establish centers of excellence to accelerate data initiatives, when only about 1 in 4 executives reported that their organization has successfully forged a data culture.”– Randy Bean, 2020

      Data literacy is an essential part of a data-driven culture

      • In a data-driven culture, decisions are made based on data evidence, not on gut instinct.
      • Data often has untapped potential. A data-driven culture builds tools and skills, builds users’ trust in the condition and sources of data, and raises the data skills and understanding among their people on the front lines.
      • Building a data culture takes an ongoing investment of time, effort, and money. This investment will not achieve the transformation you want without data literacy at the grassroots level.

      Data-driven culture = “data matters to our company”

      Despite investments in data initiative, organizations are carrying high levels of data debt

      Data debt is “the accumulated cost that is associated with the sub-optimal governance of data assets in an enterprise, like technical debt.”

      Data debt is a problem for 78% of organizations.

      40% of organizations say individuals within the business do not trust data insights.

      66% of organizations say a backlog of data debt is impacting new data management initiatives.

      33% of organizations are not able to get value from a new system or technology investment.

      30% of organizations are unable to become data-driven.

      Source: Experian, 2020

      Absent or sub-optimal data governance leads to data debt

      Only 3% of companies’ data meets basic quality standards. (Source: Nagle, et al., 2017)

      Organizations suspect 28% of their customer and prospect data is inaccurate in some way. (Source: Experian, 2020)

      Only 51% of organizations consider the current state of their CRM or ERP data to be clean, allowing them to fully leverage it. (Source: Experian, 2020)

      35% of organizations say they’re not able to see a ROI for data management initiatives. (Source: Experian, 2020)

      Embrace the technology

      Make the available data governance tools and technology work for you:

      • Data catalog
      • Business data glossary
      • Data lineage
      • Metadata management

      While data governance tools and technologies are no panacea, leverage their automated and AI-enabled capabilities to augment your data governance program.

      Logos of data governance tools and technology.

      Measure success to demonstrate tangible business value

      Put data governance into the context of the business:

      • Tie the value of data governance and its initiatives back to the business capabilities that are enabled.
      • Leverage the KPIs of those business capabilities to demonstrate tangible and measurable value. Use terms and language that will resonate with senior leadership.

      Don’t let measurement be an afterthought:

      Start substantiating early on how you are going to measure success as your data governance program evolves.

      Build a right-sized roadmap

      Formulate an actionable roadmap that is right-sized to deliver value in your organization.

      Key considerations:

      • When building your data governance roadmap, ensure you do so through an enterprise lens. Be cognizant of other initiatives that might be coming down the pipeline that may require you to align your data governance milestones accordingly.
      • Apart from doing your planning with consideration for other big projects or launches that might be in-flight and require the time and attention of your data governance partners, also be mindful of the more routine yet still demanding initiatives.
      • When doing your roadmapping, consider factors like the organization’s fiscal cycle, typical or potential year-end demands, and monthly/quarterly reporting periods and audits. Initiatives such as these are likely to monopolize the time and focus of personnel key to delivering on your data governance milestones.

      Sample milestones:

      Data Governance Leadership & Org Structure Definition

      Define the home for data governance and other key roles around ownership and stewardship, as approved by senior leadership.

      Data Governance Charter and Policies

      Create a charter for your program and build/refresh associated policies.

      Data Culture Diagnostic

      Understand the organization’s current data culture, perception of data, value of data, and knowledge gaps.

      Use Case Build and Prioritization

      Build a use case that is tied to business capabilities. Prioritize accordingly.

      Business Data Glossary

      Build and/or refresh the business’ glossary for addressing data definitions and standardization issues.

      Tools & Technology

      Explore the tools and technology offering in the data governance space that would serve as an enabler to the program. (e.g. RFI, RFP).

      Key takeaways for effective business-driven data governance

      Data governance leadership and sponsorship is key.

      Ensure strategic business alignment.

      Build and foster a culture of data excellence.

      Evolve along the data journey.

      Make data governance an enabler, not a hindrance.

      Insight summary

      Overarching insight

      Your organization’s value streams and the associated business capabilities require effectively governed data. Without this, you face the impact of elevated operational costs, missed opportunities, eroded stakeholder satisfaction, and exposure to increased business risk.

      Insight 1

      Data governance should not sit as an island in your organization. It must continuously align with the organization’s enterprise governance function. It shouldn’t be perceived as a pet project of IT, but rather as an enterprise-wide, business-driven initiative.

      Insight 2

      Ensure your data governance program delivers measurable business value by aligning the associated data governance initiatives with the business architecture. Leverage the measures of success or KPIs of the underlying business capabilities to demonstrate the value data governance has yielded for the organization.

      Insight 3

      Data governance remains the foundation of all forms of reporting and analytics. Advanced capabilities such as AI and machine learning require effectively governed data to fuel their success.

      Tactical insight

      Tailor your data literacy program to meet your organization’s needs, filling your range of knowledge gaps and catering to your different levels of stakeholders. When it comes to rolling out a data literacy program, there is no one-size-fits-all solution. Your data literacy program is intended to fill the knowledge gaps about data, as they exist in your organization. It should be targeted across the board – from your executive leadership and management through to the subject matter experts across different lines of the business in your organization.

      Info-Tech’s methodology for establishing data governance

      1. Build Business and User Context 2. Understand Your Current Data Governance Capabilities 3. Build a Target State Roadmap and Plan
      Phase Steps
      1. Substantiate Business Drivers
      2. Build High-Value Use Cases for Data Governance
      1. Understand the Key Components of Data Governance
      2. Gauge Your Organization’s Current Data Culture
      1. Formulate an Actionable Roadmap and Right-Sized Plan
      Phase Outcomes
      • Your organization’s business capabilities and value streams
      • A business capability map for your organization
      • Categorization of your organization’s key capabilities
      • A strategy map tied to data governance
      • High-value use cases for data governance
      • An understanding of the core components of an effective data governance program
      • An understanding your organization’s current data culture
      • A data governance roadmap and target-state plan comprising of prioritized initiatives

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Screenshot of Info-Tech's Data Governance Planning and Roadmapping Workbook data-verified=

      Data Governance Planning and Roadmapping Workbook

      Use the Data Governance Planning and Roadmapping Workbook as you plan, build, roll-out, and scale data governance in your organization.

      Screenshot of Info-Tech's Data Use Case Framework Template

      Data Use Case Framework Template

      This template takes you through a business needs gathering activity to highlight and create relevant use cases around the organization’s data-related problems and opportunities.

      Screenshot of Info-Tech's Business Data Glossary data-verified=

      Business Data Glossary

      Use this template to document the key data assets that are to be governed and create a data flow diagram for your organization.

      Screenshot of Info-Tech's Data Culture Diagnostic and Scorecard data-verified=

      Data Culture Diagnostic and Scorecard

      Leverage Info-Tech’s Data Culture Diagnostic to understand how your organization scores across 10 areas relating to data culture.

      Key deliverable:

      Data Governance Planning and Roadmapping Workbook

      Measure the value of this blueprint

      Leverage this blueprint’s approach to ensure your data governance initiatives align and support your key value streams and their business capabilities.

      • Aligning your data governance program and its initiatives to your organization’s business capabilities is vital for tracing and demonstrating measurable business value for the program.
      • This alignment of data governance with value streams and business capabilities enables you to use business-defined KPIs and demonstrate tangible value.
      Screenshot from this blueprint on the Measurable Business Value

      In phases 1 and 2 of this blueprint, we will help you establish the business context, define your business drivers and KPIs, and understand your current data governance capabilities and strengths.

      In phase 3, we will help you develop a plan and a roadmap for addressing any gaps and improving the relevant data governance capabilities so that data is well positioned to deliver on those defined business metrics.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      "Our team, has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      Guided Implementation

      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keeps us on track."

      Workshop

      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting

      "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Establish Data Governance project overview

      Contact your account representative for more information. workshops@infotech.com 1-888-670-8889

      1. Build Business and User context2. Understand Your Current Data Governance Capabilities3. Build a Target State Roadmap and Plan
      Best-Practice Toolkit
      1. Substantiate Business Drivers
      2. Build High-Value Use Cases for Data Governance
      1. Understand the Key Components of Data Governance
      2. Gauge Your Organization’s Current Data Culture
      1. Formulate an Actionable Roadmap and Right-Sized Plan
      Guided Implementation
      • Call 1
      • Call 2
      • Call 3
      • Call 4
      • Call 5
      • Call 6
      • Call 7
      • Call 8
      • Call 9
      Phase Outcomes
      • Your organization’s business capabilities and value streams
      • A business capability map for your organization
      • Categorization of your organization’s key capabilities
      • A strategy map tied to data governance
      • High-value use cases for data governance
      • An understanding of the core components of an effective data governance program
      • An understanding your organization’s current data culture
      • A data governance roadmap and target-state plan comprising of prioritized initiatives

      Guided Implementation

      What does a typical GI on this topic look like?

      An outline of what guided implementation looks like.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization. A typical GI is between 8 to 12 calls over the course of 4 to 6 months.

      Workshop overview

      Contact your account representative for more information. workshops@infotech.com 1-888-670-8889

      Day 1 Day 2 Day 3 Day 4
      Establish Business Context and Value Understand Current Data Governance Capabilities and Plot Target-State Levels Build Data Domain to Data Governance Role Mapping Formulate a Plan to Get to Your Target State
      Activities
      • Establish business context, value, and scope of data governance at the organization
      • Introduction to Info-Tech’s data governance framework
      • Discuss vision and mission for data governance
      • Understand your business architecture, including your business capability map and value streams
      • Build use cases aligned to core business capabilities
      • Understand your current data governance capabilities and maturity
      • Set target state data governance capabilities
      • Evaluate and prioritize performance gaps
      • Develop and consolidate data governance target-state initiatives
      • Define the role of data governance: data domain to data governance role mapping
      • Identify and prioritize next steps
      • Define roles and responsibilities and complete a high-level RACI
      • Wrap-up and discuss next steps and post-workshop support
      Deliverables
      1. Sample use cases (tied to the business capability map) and a repeatable use case framework
      2. Vision and mission for data governance
      1. Current state of data governance maturity
      2. Definition of target state
      1. Target-state data governance initiatives
      2. Data domain to data governance role mapping
      1. Initialized roadmap
      2. Initialized RACI

      Phase 1

      Build Business and User Context

      Three circles are in the image that list the three phases and the main steps. Phase 1 is highlighted.

      “When business users are invited to participate in the conversation around data with data users and IT, it adds a fundamental dimension — business context. Without a real understanding of how data ties back to the business, the value of analysis and insights can get lost.” – Jason Lim, Alation

      This phase will guide you through the following activities:

      • Identify Your Business Capabilities
      • Define your Organization’s Key Business Capabilities
      • Develop a Strategy Map that Aligns Business Capabilities to Your Strategic Focus

      This phase involves the following participants:

      • Data Governance Leader/Data Leader (CDO)
      • Senior Business Leaders
      • Business SMEs
      • Data Leadership, Data Owners, Data Stewards and Custodians

      Step 1.1

      Substantiate Business Drivers

      Activities

      1.1.1 Identify Your Business Capabilities

      1.1.2 Categorize Your Organization’s Key Business Capabilities

      1.1.3 Develop a Strategy Map Tied to Data Governance

      This step will guide you through the following activities:

      • Leverage your organization’s existing business capability map or initiate the formulation of a business capability map, guided by info-Tech’s approach
      • Determine which business capabilities are considered high priority by your organization
      • Map your organization’s strategic objectives to value streams and capabilities to communicate how objectives are realized with the support of data

      Outcomes of this step

      • A foundation for data governance initiative planning that’s aligned with the organization’s business architecture: value streams, business capability map, and strategy map

      Info-Tech Insight

      Gaining a sound understanding of your business architecture (value streams and business capabilities) is a critical foundation for establishing and sustaining a data governance program that delivers measurable business value.

      1.1.1 Identify Your Business Capabilities

      Confirm your organization's existing business capability map or initiate the formulation of a business capability map:

      • If you have an existing business capability map, meet with the relevant business owners/stakeholders to confirm that the content is accurate and up to date. Confirm the value streams (how your organization creates and captures value) and their business capabilities are reflective of the organization’s current business environment.
      • If you do not have an existing business capability map, follow this activity to initiate the formulation of a map (value streams and related business capabilities):
        1. Define the organization’s value streams. Meet with senior leadership and other key business stakeholders to define how your organization creates and captures value.
        2. Define the relevant business capabilities. Meet with senior leadership and other key business stakeholders to define the business capabilities.

      Note: A business capability defines what a business does to enable value creation. Business capabilities are business terms defined using descriptive nouns such as “Marketing” or “Research and Development.” They represent stable business functions, are unique and independent of each other, and typically will have a defined business outcome.

      Input

      • List of confirmed value streams and their related business capabilities

      Output

      • Business capability map with value streams for your organization

      Materials

      • Your existing business capability map or the template provided in the Data Governance Planning and Roadmapping Workbook accompanying this blueprint

      Participants

      • Key business stakeholders
      • Data stewards
      • Data custodians
      • Data Governance Working Group

      For more information, refer to Info-Tech’s Document Your Business Architecture.

      Define or validate the organization’s value streams

      Value streams connect business goals to the organization’s value realization activities. These value realization activities, in turn, depend on data.

      If the organization does not have a business architecture function to conduct and guide Activity 1.1.1, you can leverage the following approach:

      • Meet with key stakeholders regarding this topic, then discuss and document your findings.
      • When trying to identify the right stakeholders, consider: Who are the decision makers and key influencers? Who will impact this piece of business architecture related work? Who has the relevant skills, competencies, experience, and knowledge about the organization?
      • Engage with these stakeholders to define and validate how the organization creates value.
      • Consider:
        • Who are your main stakeholders? This will depend on the industry in which you operate. For example, customers, residents, citizens, constituents, students, patients.
        • What are your stakeholders looking to accomplish?
        • How does your organization’s products and/or services help them accomplish that?
        • What are the benefits your organization delivers to them and how does your organization deliver those benefits?
        • How do your stakeholders receive those benefits?

      Align data governance to the organization's value realization activities.

      Value streams enable the organization to create or capture value in the market in which it operates by engaging in a set of interconnected activities.

      Info-Tech Insight

      Your organization’s value streams and the associated business capabilities require effectively governed data. Without this, you face the possibilities of elevated operational costs, missed opportunities, eroded stakeholder satisfaction, negative impact to reputation and brand, and/or increased exposure to business risk.

      Example of value streams – Retail Banking

      Value streams connect business goals to the organization’s value realization activities.

      Example value stream descriptions for: Retail Banking

      Value streams enable the organization to create or capture value in the market in which it operates by engaging in a set of interconnected activities.

      Model example of value streams for retail banking.

      For this value stream, download Info-Tech’s Info-Tech’s Industry Reference Architecture for Retail Banking.

      Example of value streams – Higher Education

      Value streams connect business goals to the organization’s value realization activities.

      Example value stream descriptions for: Higher Education

      Value streams enable the organization to create or capture value in the market in which it operates by engaging in a set of interconnected activities.

      Model example of value streams for higher education

      For this value stream, download Info-Tech’s Industry Reference Architecture for Higher Education.

      Example of value streams – Local Government

      Value streams connect business goals to the organization’s value realization activities.

      Example value stream descriptions for: Local Government

      Value streams enable the organization to create or capture value in the market in which it operates by engaging in a set of interconnected activities.

      Model example of value streams for local government

      For this value stream, download Info-Tech’s Industry Reference Architecture for Local Government.

      Example of value streams – Manufacturing

      Value streams connect business goals to the organization’s value realization activities.

      Example value stream descriptions for: Manufacturing

      Value streams enable the organization to create or capture value in the market in which it operates by engaging in a set of interconnected activities.

      Model example of value streams for manufacturing

      For this value stream, download Info-Tech’s Industry Reference Architecture for Manufacturing.

      Example of value streams – Retail

      Value streams connect business goals to the organization’s value realization activities.

      Example value stream descriptions for: Retail

      Model example of value streams for retail

      Value streams enable the organization to create or capture value in the market in which it operates by engaging in a set of interconnected activities.

      For this value stream, download Info-Tech’s Industry Reference Architecture for Retail.

      Define the organization’s business capabilities in a business capability map

      A business capability defines what a business does to enable value creation. Business capabilities represent stable business functions and typically will have a defined business outcome.

      Business capabilities can be thought of as business terms defined using descriptive nouns such as “Marketing” or “Research and Development.”

      If your organization doesn’t already have a business capability map, you can leverage the following approach to build one. This initiative requires a good understanding of the business. By working with the right stakeholders, you can develop a business capability map that speaks a common language and accurately depicts your business.

      Working with the stakeholders as described above:

      • Analyze the value streams to identify and describe the organization’s capabilities that support them.
      • Consider: What is the objective of your value stream? (This can highlight which capabilities support which value stream.)
      • As you initiate your engagement with your stakeholders, don’t start a blank page. Leverage the examples on the next slides as a starting point for your business capability map.
      • When using these examples, consider: What are the activities that make up your particular business? Keep the ones that apply to your organization, remove the ones that don’t, and add any needed.

      Align data governance to the organization's value realization activities.

      Info-Tech Insight

      A business capability map can be thought of as a visual representation of your organization’s business capabilities and hence represents a view of what your data governance program must support.

      For more information, refer to Info-Tech’s Document Your Business Architecture.

      Example business capability map – Retail Banking

      A business capability map can be thought of as a visual representation of your organization’s business capabilities and hence represents a view of what your data governance program must support.

      Validate your business capability map with the right stakeholders, including your executive team, business unit leaders, and/or other key stakeholders.

      Info-Tech Tip:

      Leverage your business capability map verification session with these key stakeholders as a prime opportunity to share and explain the role of data and data governance in supporting the very value realization capabilities under discussion. This will help to build awareness and visibility of the data governance program.

      Example business capability map for: Retail Banking

      Model example business capability map for retail banking

      For this business capability map, download Info-Tech’s Industry Reference Architecture for Retail Banking.

      Example business capability map – Higher Education

      A business capability map can be thought of as a visual representation of your organization’s business capabilities and hence represents a view of what your data governance program must support.

      Validate your business capability map with the right stakeholders, including your executive team, business unit leaders, and/or other key stakeholders.

      Info-Tech Tip:

      Leverage your business capability map verification session with these key stakeholders as a prime opportunity to share and explain the role of data and data governance in supporting the very value realization capabilities under discussion. This will help to build awareness and visibility of the data governance program.

      Example business capability map for: Higher Education

      Model example business capability map for higher education

      For this business capability map, download Info-Tech’s Industry Reference Architecture for Higher Education.

      Example business capability map – Local Government

      A business capability map can be thought of as a visual representation of your organization’s business capabilities and hence represents a view of what your data governance program must support.

      Validate your business capability map with the right stakeholders, including your executive team, business unit leaders, and/or other key stakeholders.

      Info-Tech Tip:

      Leverage your business capability map verification session with these key stakeholders as a prime opportunity to share and explain the role of data and data governance in supporting the very value realization capabilities under discussion. This will help to build awareness and visibility of the data governance program.

      Example business capability map for: Local Government

      Model example business capability map for local government

      For this business capability map, download Info-Tech’s Industry Reference Architecture for Local Government.

      Example business capability map – Manufacturing

      A business capability map can be thought of as a visual representation of your organization’s business capabilities and hence represents a view of what your data governance program must support.

      Validate your business capability map with the right stakeholders, including your executive team, business unit leaders, and/or other key stakeholders.

      Info-Tech Tip:

      Leverage your business capability map verification session with these key stakeholders as a prime opportunity to share and explain the role of data and data governance in supporting the very value realization capabilities under discussion. This will help to build awareness and visibility of the data governance program.

      Example business capability map for: Manufacturing

      Model example business capability map for manufacturing

      For this business capability map, download Info-Tech’s Industry Reference Architecture for Manufacturing.

      Example business capability map - Retail

      A business capability map can be thought of as a visual representation of your organization’s business capabilities and hence represents a view of what your data governance program must support.

      Validate your business capability map with the right stakeholders, including your executive team, business unit leaders, and/or other key stakeholders.

      Info-Tech Tip:

      Leverage your business capability map verification session with these key stakeholders as a prime opportunity to share and explain the role of data and data governance in supporting the very value realization capabilities under discussion. This will help to build awareness and visibility of the data governance program.

      Example business capability map for: Retail

      Model example business capability map for retail

      For this business capability map, download Info-Tech’s Industry Reference Architecture for Retail.

      1.1.2 Categorize Your Organization’s Key Capabilities

      Determine which capabilities are considered high priority in your organization.

      1. Categorize or heatmap the organization’s key capabilities. Consult with senior and other key business stakeholders to categorize and prioritize the business’ capabilities. This will aid in ensuring your data governance future state planning is aligned with the mandate of the business. One approach to prioritizing capabilities with business stakeholders is to examine them through the lens of cost advantage creators, competitive advantage differentiators, and/or by high value/high risk.
      2. Identify cost advantage creators. Focus on capabilities that drive a cost advantage for your organization. Highlight these capabilities and prioritize programs that support them.
      3. Identify competitive advantage differentiators. Focus on capabilities that give your organization an edge over rivals or other players in your industry.

      This categorization/prioritization exercise helps highlight prime areas of opportunity for building use cases, determining prioritization, and the overall optimization of data and data governance.

      Input

      • Strategic insight from senior business stakeholders on the business capabilities that drive value for the organization

      Output

      • Business capabilities categorized and prioritized (e.g. cost advantage creators, competitive advantage differentiators, high value/high risk)

      Materials

      • Your existing business capability map or the business capability map derived in the previous activity

      Participants

      • Key business stakeholders
      • Data stewards
      • Data custodians
      • Data Governance Working Group

      For more information, refer to Info-Tech’s Document Your Business Architecture.

      Example of business capabilities categorization or heatmapping – Retail

      This exercise is useful in ensuring the data governance program is focused and aligned to support the priorities and direction of the business.

      • Depending on the mandate from the business, priority may be on developing cost advantage. Hence the capabilities that deliver efficiency gains are the ones considered to be cost advantage creators.
      • The business’ priority may be on maintaining or gaining a competitive advantage over its industry counterparts. Differentiation might be achieved in delivering unique or enhanced products, services, and/or experiences, and the focus will tend to be on the capabilities that are more end-stakeholder-facing (e.g. customer-, student-, patient,- and/or constituent-facing). These are the organization’s competitive advantage creators.

      Example: Retail

      Example of business capabilities categorization or heatmapping – Retail

      For this business capability map, download Info-Tech’s Industry Reference Architecture for Retail.

      1.1.3 Develop a Strategy Map Tied to Data Governance

      Identify the strategic objectives for the business. Knowing the key strategic objectives will drive business-data governance alignment. It’s important to make sure the right strategic objectives of the organization have been identified and are well understood.

      1. Meet with senior business leaders and other relevant stakeholders to help identify and document the key strategic objectives for the business.
      2. Leverage their knowledge of the organization’s business strategy and strategic priorities to visually represent how these map to value streams, business capabilities, and, ultimately, to data and data governance needs and initiatives. Tip: Your map is one way to visually communicate and link the business strategy to other levels of the organization.
      3. Confirm the strategy mapping with other relevant stakeholders.

      Guide to creating your map: Starting with strategic objectives, map the value streams that will ultimately drive them. Next, link the key capabilities that enable each value stream. Then map the data and data governance to initiatives that support those capabilities. This is one approach to help you prioritize the data initiatives that deliver the most value to the organization.

      Input

      • Strategic objectives as outlined by the organization’s business strategy and confirmed by senior leaders

      Output

      • A strategy map that maps your organizational strategic objectives to value streams, business capabilities, and, ultimately, to data program

      Materials

      Participants

      • Key business stakeholders
      • Data stewards
      • Data custodians
      • Data Governance Working Group

      Download Info-Tech’s Data Governance Planning and Roadmapping Workbook

      Example of a strategy map tied to data governance

      • Strategic objectives are the outcomes that the organization is looking to achieve.
      • Value streams enable an organization to create and capture value in the market through interconnected activities that support strategic objectives.
      • Business capabilities define what a business does to enable value creation in value streams.
      • Data capabilities and initiatives are descriptions of action items on the data and data governance roadmap and which will enable one or multiple business capabilities in its desired target state.

      Info-Tech Tip:

      Start with the strategic objectives, then map the value streams that will ultimately drive them. Next, link the key capabilities that enable each value stream. Then map the data and data governance initiatives that support those capabilities. This process will help you prioritize the data initiatives that deliver the most value to the organization.

      Example: Retail

      Example of a strategy map tied to data governance for retail

      For this strategy map, download Info-Tech’s Industry Reference Architecture for Retail.

      Step 1.2

      Build High-Value Use Cases for Data Governance

      Activities

      1.2.1 Build High-Value Use Cases

      This step will guide you through the following activities:

      • Leveraging your categorized business capability map to conduct deep-dive sessions with key business stakeholders for creating high-value uses cases
      • Discussing current challenges, risks, and opportunities associated with the use of data across the lines of business
      • Exploring which other business capabilities, stakeholder groups, and business units will be impacted

      Outcomes of this step

      • Relevant use cases that articulate the data-related challenges, needs, or opportunities that are clear and contained and, if addressed ,will deliver value to the organization

      Info-Tech Tip

      One of the most important aspects when building use cases is to ensure you include KPIs or measures of success. You have to be able to demonstrate how the use case ties back to the organizational priorities or delivers measurable business value. Leverage the KPIs and success factors of the business capabilities tied to each particular use case.

      1.2.1 Build High-Value Use Cases

      This business needs-gathering activity will highlight and create relevant use cases around data-related problems or opportunities that are clear and contained and, if addressed, will deliver value to the organization.

      1. Bring together key business stakeholders (data owner, stewards, SMEs) from a particular line of business as well as the relevant data custodian(s) to build cases for their units. Leverage the business capability map you created for facilitating this act.
      2. Leverage Info-Tech’s framework for data requirements and methodology for creating use cases, as outlined in the Data Use Case Framework Template and seen on the next slide.
      3. Have the stakeholders move through each breakout session outlined in the Use Case Worksheet. Use flip charts or a whiteboard to brainstorm and document their thoughts.
      4. Debrief and document results in the Data Use Case Framework Template
      5. Repeat this exercise with as many lines of the business as possible, leveraging your business capability map to guide your progress and align with business value.

      Tip: Don’t conclude these use case discussions without substantiating what measures of success will be used to demonstrate the business value of the effort to produce the desired future state, as relevant to each particular use case.

      Input

      • Value streams and business capabilities as defined by business leaders
      • Business stakeholders’ subject area expertise
      • Data custodian systems, integration, and data knowledge

      Output

      • Use cases that articulate data-related challenges, needs or opportunities that are tied to defined business capabilities and hence if addressed will deliver measurable value to the organization.

      Materials

      • Your business capability map from activity 1.1.1
      • Info-Tech’s Data Use Case Framework Template
      • Whiteboard or flip charts (or shared screen if working remotely)
      • Markers/pens

      Participants

      • Key business stakeholders
      • Data stewards and business SMEs
      • Data custodians
      • Data Governance Working Group

      Download Info-Tech’s Data Use Case Framework Template

      Info-Tech’s Framework for Building Use Cases

      Objective: This business needs-gathering activity will highlight and create relevant use cases around data-related problems or opportunities that are clear and contained and, if addressed, will deliver value to the organization.

      Leveraging your business capability map, build use cases that align with the organization’s key business capabilities.

      Consider:

      • Is the business capability a cost advantage creator or an industry differentiator?
      • Is the business capability currently underserved by data?
      • Does this need to be addressed? If so, is this risk- or value-driven?

      Info-Tech’s Data Requirements and Mapping Methodology for Creating Use Cases

      1. What business capability (or capabilities) is this use case tied to for your business area(s)?
      2. What are your data-related challenges in performing this today?
      3. What are the steps in this process/activity today?
      4. What are the applications/systems used at each step today?
      5. What data domains are involved, created, used, and/or transformed at each step today?
      6. What does an ideal or improved state look like?
      7. What other business units, business capabilities, activities, and/or processes will be impacted or improved if this issue was solved?
      8. Who are the stakeholders impacted by these changes? Who needs to be consulted?
      9. What are the risks to the organization (business capability, revenue, reputation, customer loyalty, etc.) if this is not addressed?
      10. What compliance, regulatory, and/or policy concerns do we need to consider in any solution?
      11. What measures of success or change should we use to prove the value of the effort (such as KPIs, ROI)? What is the measurable business value of doing this?

      The resulting use cases are to be prioritized and leveraged for informing the business case and the data governance capabilities optimization plan.

      Taken from Info-Tech’s Data Use Case Framework Template

      Phase 2

      Understand Your Current Data Governance Capabilities

      Three circles are in the image that list the three phases and the main steps. Phase 2 is highlighted.

      This phase will guide you through the following activities:

      • Understand the Key Components of Data Governance
      • Gauge Your Organization’s Current Data Culture

      This phase involves the following participants:

      • Data Leadership
      • Data Ownership & Stewardship
      • Policies & Procedures
      • Data Literacy & Culture
      • Operating Model
      • Data Management
      • Data Privacy & Security
      • Enterprise Projects & Services

      Step 2.1

      Understand the Key Components of Data Governance

      This step will guide you through the following activities:

      • Understanding the core components of an effective data governance program and determining your organization’s current capabilities in these areas:
        • Data Leadership
        • Data Ownership & Stewardship
        • Policies & Procedures
        • Data Literacy & Culture
        • Operating Model
        • Data Management
        • Data Privacy & Security
        • Enterprise Projects & Services

      Outcomes of this step

      • An understanding the core components of an effective data governance program
      • An understanding your organization’s current data governance capabilities

      Review: Info-Tech’s Data Governance Framework

      An image of Info-Tech's Data Governance Framework

      Key components of data governance

      A well-defined data governance program will deliver:

      • Defined accountability and responsibility for data.
      • Improved knowledge and common understanding of the organization’s data assets.
      • Elevated trust and confidence in traceable data.
      • Improved data ROI and reduced data debt.
      • An enabling framework for supporting the ethical use and handling of data.
      • A foundation for building and fostering a data-driven and data-literate organizational culture.

      The key components of establishing sustainable enterprise data governance, taken from Info-Tech’s Data Governance Framework:

      • Data Leadership
      • Data Ownership & Stewardship
      • Operating Model
      • Policies & Procedures
      • Data Literacy & Culture
      • Data Management
      • Data Privacy & Security
      • Enterprise Projects & Services

      Data Leadership

      • Data governance needs a dedicated head or leader to steer the organization’s data governance program.
      • For organizations that do have a chief data officer (CDO), their office is the ideal and effective home for data governance.
      • Heads of data governance also have titles such as director of data governance, director of data quality, and director of analytics.
      • The head of your data governance program works with all stakeholders and partners to ensure there is continuous enterprise governance alignment and oversight and to drive the program’s direction.
      • While key stakeholders from the business and IT will play vital data governance roles, the head of data governance steers the various components, stakeholders, and initiatives, and provides oversight of the overall program.
      • Vital data governance roles include: data owners, data stewards, data custodians, data governance steering committee (or your organization’s equivalent), and any data governance working group(s).

      The role of the CDO: the voice of data

      The office of the chief data officer (CDO):

      • Has a cross-organizational vision and strategy for data.
      • Owns and drives the data strategy; ensures it supports the overall organizational strategic direction and business goals.
      • Leads the organizational data initiatives, including data governance
      • Is accountable for the policy, strategy, data standards, and data literacy necessary for the organization to operate effectively.
      • Educates users and leaders about what it means to be “data-driven.”
      • Builds and fosters a culture of data excellence.

      “Compared to most of their C-suite colleagues, the CDO is faced with a unique set of problems. The role is still being defined. The chief data officer is bringing a new dimension and focus to the organization: ‘data.’ ”

      – Carruthers and Jackson, 2020

      Who does the CDO report to?

      Example reporting structure.
      • The CDO should be a true C- level executive.
      • Where the organization places the CDO role in the structure sends an important signal to the business about how much it values data.

      “The title matters. In my opinion, you can’t have a CDO without executive authority. Otherwise no one will listen.”

      – Anonymous European CDO

      “The reporting structure depends on who’s the ‘glue’ that ties together all these uniquely skilled individuals.”

      – John Kemp, Senior Director, Executive Services, Info-Tech Research Group

      Data Ownership & Stewardship

      Who are best suited to be data owners?

      • Wherever they may sit in your organization, data owners will typically have the highest stake in that data.
      • Data owners need to be suitably senior and have the necessary decision-making power.
      • They have the highest interest in the related business data domain, whether they are the head of a business unit or the head of a line of business that produces data or consumes data (or both).
      • If they are neither of these, it’s unlikely they will have the interest in the data (in terms of its quality, protection, ethical use, and handling, for instance) necessary to undertake and adopt the role effectively.

      Data owners are typically senior business leaders with the following characteristics:

      • Positioned to accept accountability for their data domain.
      • Hold authority and influence to affect change, including across business processes and systems, needed to improve data quality, use, handling, integration, etc.
      • Have access to a budget and resources for data initiatives such as resolving data quality issues, data cleansing initiatives, business data catalog build, related tools and technology, policy management, etc.
      • Hold the influence needed to drive change in behavior and culture.
      • Act as ambassadors of data and its value as an organizational strategic asset.

      Right-size your data governance organizational structure

      • Most organizations strive to identify roles and responsibilities at a strategic and operational level. Several factors will influence the structure of the program such as the focus of the data governance project as well as the maturity and size of the organization.
      • Your data governance structure has to work for your organization, and it has to evolve as the organization evolves.
      • Formulate your blend of data governance roles, committees, councils, and cross-functional groups, that make sense for your organization.
      • Your data governance organizational structure should not add complexity or bureaucracy to your organization’s data landscape; it should support and enable your principle of treating data as an asset.

      There is no one-size-fits-all data governance organizational structure.

      Example of a Data Governance Organizational Structure

      Critical roles and responsibilities for data governance

      Data Governance Working Groups

      Data governance working groups:

      • Are cross-functional teams
      • Deliver on data governance projects, initiatives, and ad hoc review committees.

      Data Stewards

      Traditionally, data stewards:

      • Serve on an operational level addressing issues related to adherence to standards/procedures, monitoring data quality, raising issues identified, etc.
      • Are responsible for managing access, quality, escalating issues, etc.

      Data Custodians

      • Traditionally, data custodians:
      • Serve on an operational level addressing issues related to data and database administration.
      • Support the management of access, data quality, escalating issues, etc.
      • Are SMEs from IT and database administration.

      Example: Business capabilities to data owner and data stewards mapping for a selected data domain

      Info-Tech Insight

      Your organization’s value streams and the associated business capabilities require effectively governed data. Without this, you face elevated operational costs, missed opportunities, eroded stakeholder satisfaction, and exposure to increased business risk.

      Enabling business capabilities with data governance role definitions

      Example: Business capabilities to data owner and data stewards mapping for a selected data domain

      Operating Model

      Your operating model is the key to designing and operationalizing a form of data governance that delivers measurable business value to your organization.

      “Generate excitement for data: When people are excited and committed to the vision of data enablement, they’re more likely to help ensure that data is high quality and safe.” – Petzold, et al., 2020

      Operating Model

      Defining your data governance operating model will help create a well-oiled program that sustainably delivers value to the organization and manages risks while building and fostering a culture of data excellence along the way. Some organizations are able to establish a formal data governance office, whether independent or attached to the office of the chief data officer. Regardless of how you are organized, data governance requires a home, a leader, and an operating model to ensure its sustainability and evolution.

      Examples of focus areas for your operating model:

      • Delivery: While there are core tenets to every data governance program, there is a level of variability in the implementation of data governance programs across organizations, sectors, and industries. Every organization has its own particular drivers and mandates, so the level and rigor applied will also vary.
      • The key is to determine what style will work best in your organization, taking into consideration your organizational culture, executive leadership support (present and ongoing), catalysts such as other enterprise-wide transformative and modernization initiatives, and/or regulatory and compliances drivers.

      • Communication: Communication is vital across all levels and stakeholder groups. For instance, there needs to be communication from the data governance office up to senior leadership, as well as communication within the data governance organization, which is typically made up of the data governance steering committee, data governance council, executive sponsor/champion, data stewards, and data custodians and working groups.
      • Furthermore, communication with the wider organization of data producers, users, and consumers is one of the core elements of the overall data governance communications plan.

      Communication is vital for ensuring acceptance of new processes, rules, guidelines, and technologies by all data producers and users as well as for sharing success stories of the program.

      Operating Model

      Tie the value of data governance and its initiatives back to the business capabilities that are enabled.

      “Leading organizations invest in change management to build data supporters and convert the skeptics. This can be the most difficult part of the program, as it requires motivating employees to use data and encouraging producers to share it (and ideally improve its quality at the source)[.]” – Petzold, et al., 2020

      Operating Model

      Examples of focus areas for your operating model (continued):

      • Change management and issue resolution: Data governance initiatives will very likely bring about a level of organizational disruption, with governance recommendations and future state requiring potentially significant business change. This may include a redesign of a substantial number of data processes affecting various business units, which will require tweaking the organization’s culture, thought processes, and procedures surrounding its data.
      • Preparing people for change well in advance will allow them to take the steps necessary to adapt and reduce potential confrontation. By planning for and efficiently communicating any changes that a data governance initiative may bring, many initial issues can be resolved from the outset.

        Attempting to implement change without an effective communications plan can result in disagreements over data control and stalemates between stakeholder units. The recommendations of the governance group must reflect the needs of all stakeholders or there will be pushback.

      • Performance measuring, monitoring and reporting: Measuring and reporting on performance, successes, and realization of tangible business value are a must for sustaining, growing, and scaling your data governance program.
      • Aligning your data governance to the organization's value realization activities enables you to leverage the KPIs of those business capabilities to demonstrate tangible and measurable value. Use terms and language that will resonate with your senior business leadership.

      Info-Tech Tip:

      Launching a data governance program will bring with it a level of disruption to the culture of the organization. That disruption doesn’t have to be detrimental if you are prepared to manage the change proactively and effectively.

      Policies, Procedures & Standards

      “Data standards are the rules by which data are described and recorded. In order to share, exchange, and understand data, we must standardize the format as well as the meaning.” – U.S. Geological Survey

      Policies, Procedures & Standards

      • When defining, updating, or refreshing your data policies, procedures, and standards, ensure they are relevant, serve a purpose, and/or support the use of data in the organization.
      • Avoid the common pitfall of building out a host of policies, procedures, and standards that are never used or followed by users and therefore don’t bring value or serve to mitigate risk for the organization.
      • Data policies can be thought of as formal statements and are typically created, approved, and updated by the organization’s data decision-making body (such as a data governance steering committee).
      • Data standards and procedures function as actions, or rules, that support the policies and their statements.
      • Standards and procedures are designed to standardize the processes during the overall data lifecycle. Procedures are instructions to achieve the objectives of the policies. The procedures are iterative and will be updated with approval from your data governance committee as needed.
      • Your organization’s data policies, standards, and procedures should not bog down or inhibit users; rather, they should enable confident data use and handling across the overall data lifecycle. They should support more effective and seamless data capture, integration, aggregation, sharing, and retention of data in the organization.

      Examples of data policies:

      • Data Classification Policy
      • Data Retention Policy
      • Data Entry Policy
      • Data Backup Policy
      • Data Provenance Policy
      • Data Management Policy

      Data Domain Documentation

      Select the correct granularity for your business need

      Diagram of data domain documentation
      Sources: Dataversity; Atlan; Analytics8

      Data Domain Documentation Examples

      Data Domain Documentation Examples

      Data Culture

      “Organizational culture can accelerate the application of analytics, amplify its power, and steer companies away from risky outcomes.” – Petzold, et al., 2020

      A healthy data culture is key to amplifying the power of your data and to building and sustaining an effective data governance program.

      What does a healthy data culture look like?

      • Everybody knows the data.
      • Everybody trusts the data.
      • Everybody talks about the data.

      Building a culture of data excellence.

      Leverage Info-Tech’s Data Culture Diagnostic to understand your organization’s culture around data.

      Screenshot of Data Culture Scorecard

      Contact your Info-Tech Account Representative for more information on the Data Culture Diagnostic

      Cultivating a data-driven culture is not easy

      “People are at the heart of every culture, and one of the biggest challenges to creating a data culture is bringing everyone into the fold.” – Lim, Alation

      It cannot be purchased or manufactured,

      It must be nurtured and developed,

      And it must evolve as the business, user, and data landscapes evolve.

      “Companies that have succeeded in their data-driven efforts understand that forging a data culture is a relentless pursuit, and magic bullets and bromides do not deliver results.” – Randy Bean, 2020

      Hallmarks of a data-driven culture

      There is a trusted, single source of data the whole company can draw from.

      There’s a business glossary and data catalog and users know what the data fields mean.

      Users have access to data and analytics tools. Employees can leverage data immediately to resolve a situation, perform an activity, or make a decision – including frontline workers.

      Data literacy, the ability to collect, manage, evaluate, and apply data in a critical manner, is high.

      Data is used for decision making. The company encourages decisions based on objective data and the intelligent application of it.

      A data-driven culture requires a number of elements:

      • High-quality data
      • Broad access and data literacy
      • Data-driven decision-making processes
      • Effective communication

      Data Literacy

      Data literacy is an essential part of a data-driven culture.

      • Building a data-driven culture takes an ongoing investment of time, effort, and money.
      • This investment will not realize its full return without building up the organization’s data literacy.
      • Data literacy is about filling data knowledge gaps across all levels of the organization.
      • It’s about ensuring all users – senior leadership right through to core users – are equipped with appropriate levels of training, skills, understanding, and awareness around the organization’s data and the use of associated tools and technologies. Data literacy ensures users have the data they need and they know how to interpret and leverage it.
      • Data literacy drives the appetite, demand, and consumption for data.
      • A data-literate culture is one where the users feel confident and skilled in their use of data, leveraging it for making informed or evidence-based decisions and generating insights for the organization.

      Data Management

      • Data governance serves as an enabler to all of the core components that make up data management:
        • Data quality management
        • Data architecture management
        • Data platform
        • Data integration
        • Data operations management
        • Data risk management
        • Reference and master data management (MDM)
        • Document and content management
        • Metadata management
        • Business intelligence (BI), reporting, analytics and advanced analytics, artificial intelligence (AI), machine learning (ML)
      • Key tools such as the business data glossary and data catalog are vital for operationalizing data governance and in supporting data management disciplines such as data quality management, metadata management, and MDM as well as BI, reporting, and analytics.

      Enterprise Projects & Services

      • Data governance serves as an enabler to enterprise projects and services that require, use, share, sell, and/or rely on data for their viability and, ultimately, their success.
      • Folding or embedding data governance into the organization’s project management function or project management office (PMO) serves to ensure that, for any initiative, suitable consideration is given to how data is treated.
      • This may include defining parameters, following standards and procedures around bringing in new sources of data, integrating that data into the organization’s data ecosystem, using and sharing that data, and retaining that data post-project completion.
      • The data governance function helps to identify and manage any ethical issues, whether at the start of the project and/or throughout.
      • It provides a foundation for asking relevant questions as it relates to the use or incorporation of data in delivering the specific project or service. Do we know where the data obtained from? Do we have rights to use that data? Are there legislations, policies, or regulations that guide or dictate how that data can be used? What are the positive effects, negative impacts, and/or risks associated with our intended use of that data? Are we positioned to mitigate those risks?
      • Mature data governance creates organizations where the above considerations around data management and the ethical use and handling of data is routinely implemented across the business and in the rollout and delivery of projects and services.

      Data Privacy & Security

      • Data governance supports the organization’s data privacy and security functions.
      • Key tools include the data classification policy and standards and defined roles around data ownership and data stewardship. These are vital for operationalizing data governance and supporting data privacy, security, and the ethical use and handling of data.
      • While some organizations may have a dedicated data security and privacy group, data governance provides an added level of oversight in this regard.
      • Some of the typical checks and balances include ensuring:
        • There are policies and procedures in place to restrict and monitor staff’s access to data (one common way this is done is according to job descriptions and responsibilities) and that these comply with relevant laws and regulations.
        • There’s a data classification scheme in place where data has been classified on a hierarchy of sensitivity (e.g. top secret, confidential, internal, limited, public).
        • The organization has a comprehensive data security framework, including administrative, physical, and technical procedures for addressing data security issues (e.g. password management and regular training).
        • Risk assessments are conducted, including an evaluation of risks and vulnerabilities related to intentional and unintentional misuse of data.
        • Policies and procedures are in place to mitigate the risks associated with incidents such as data breaches.
        • The organization regularly audits and monitors its data security.

      Ethical Use & Handling of Data

      Data governance will support your organization’s ethical use and handling of data by facilitating definition around important factors, such as:

      • What are the various data assets in the organization and what purpose(s) can they be used for? Are there any limitations?
      • Who is the related data owner? Who holds accountability for that data? Who will be answerable?
      • Where was the data obtained from? What is the intended use of that data? Do you have rights to use that data? Are there legislations, policies, or regulations that guide or dictate how that data can be used?
      • What are the positive effects, negative impacts, and/or risks associated with the use of that data?

      Ethical Use & Handling of Data

      • Data governance serves as an enabler to the ethical use and handling of an organization’s data.
      • The Open Data Institute (ODI) defines data ethics as: “A branch of ethics that evaluates data practices with the potential to adversely impact on people and society – in data collection, sharing and use.”
      • Data ethics relates to good practice around how data is collected, used and shared. It’s especially relevant when data activities have the potential to impact people and society, whether directly or indirectly (Open Data Institute, 2019).
      • A failure to handle and use data ethically can negatively impact an organization’s direct stakeholders and/or the public at large, lead to a loss of trust and confidence in the organization's products and services, lead to financial loss, and impact the organization’s brand, reputation, and legal standing.
      • Data governance plays a vital role in building and managing your data assets, knowing what data you have, and knowing the limitations of that data. Data ownership, data stewardship, and your data governance decision-making body are key tenets and foundational components of your data governance. They enable an organization to define, categorize, and confidently make decisions about its data.

      Step 2.2

      Gauge Your Organization’s Current Data Culture

      Activities

      2.2.1 Gauge Your Organization’s Current Data Culture

      This step will guide you through the following activities:

      • Conduct a data culture survey or leverage Info-Tech’s Data Culture Diagnostic to increase your understanding of your organization’s data culture

      Outcomes of this step

      • An understanding of your organizational data culture

      2.2.1 Gauge Your Organization’s Current Data Culture

      Conduct a Data Culture Survey or Diagnostic

      The objectives of conducting a data culture survey are to increase the understanding of the organization's data culture, your users’ appetite for data, and their appreciation for data in terms of governance, quality, accessibility, ownership, and stewardship. To perform a data culture survey:

      1. Identify members of the data user base, data consumers, and other key stakeholders for surveying.
      2. Conduct an information session to introduce Info-Tech’s Data Culture Diagnostic survey. Explain the objective and importance of the survey and its role in helping to understand the organization’s current data culture and inform the improvement of that culture.
      3. Roll out the Info-Tech Data Culture Diagnostic survey to the identified users and stakeholders.
      4. Debrief and document the results and scorecard in the Data Strategy Stakeholder Interview Guide and Findings document.

      Input

      • Email addresses of participants in your organization who should receive the survey

      Output

      • Your organization’s Data Culture Scorecard for understanding current data culture as it relates to the use and consumption of data
      • An understanding of whether data is currently perceived to be an asset to the organization

      Materials

      Screenshot of Data Culture Scorecard

      Participants

      • Participants include those at the senior leadership level through to middle management, as well as other business stakeholders at varying levels across the organization
      • Data owners, stewards, and custodians
      • Core data users and consumers

      Contact your Info-Tech Account Representative for details on launching a Data Culture Diagnostic.

      Phase 3

      Build a Target State Roadmap and Plan

      Three circles are in the image that list the three phases and the main steps. Phase 3 is highlighted.

      “Achieving data success is a journey, not a sprint.” Companies that set a clear course, with reasonable expectations and phased results over a period of time, get to the destination faster.” – Randy Bean, 2020

      This phase will guide you through the following activities:

      • Build your Data Governance Roadmap
      • Develop a target state plan comprising of prioritized initiatives

      This phase involves the following participants:

      • Data Governance Leadership
      • Data Owners/Data Stewards
      • Data Custodians
      • Data Governance Working Group(s)

      Step 3.1

      Formulate an Actionable Roadmap and Right-Sized Plan

      This step will guide you through the following activities:

      • Build your data governance roadmap
      • Develop a target state plan comprising of prioritized initiatives

      Outcomes of this step

      • A foundation for data governance initiative planning that’s aligned with the organization’s business architecture: value streams, business capability map, and strategy map

      Build a right-sized roadmap

      Formulate an actionable roadmap that is right sized to deliver value in your organization.

      Key considerations:

      • When building your data governance roadmap, ensure you do so through an enterprise lens. Be cognizant of other initiatives that might be coming down the pipeline that may require you to align your data governance milestones accordingly.
      • Apart from doing your planning with consideration for other big projects or launches that might be in-flight and require the time and attention of your data governance partners, also be mindful of the more routine yet still demanding initiatives.
      • When doing your roadmapping, consider factors like the organization’s fiscal cycle, typical or potential year-end demands, and monthly/quarterly reporting periods and audits. Initiatives such as these are likely to monopolize the time and focus of personnel key to delivering on your data governance milestones.

      Sample milestones:

      Data Governance Leadership & Org Structure Definition

      Define the home for data governance and other key roles around ownership and stewardship, as approved by senior leadership.

      Data Governance Charter and Policies

      Create a charter for your program and build/refresh associated policies.

      Data Culture Diagnostic

      Understand the organization’s current data culture, perception of data, value of data, and knowledge gaps.

      Use Case Build and Prioritization

      Build a use case that is tied to business capabilities. Prioritize accordingly.

      Business Data Glossary/Catalog

      Build and/or refresh the business’ glossary for addressing data definitions and standardization issues.

      Tools & Technology

      Explore the tools and technology offering in the data governance space that would serve as an enabler to the program. (e.g. RFI, RFP).

      Recall: Info-Tech’s Data Governance Framework

      An image of Info-Tech's Data Governance Framework

      Build an actionable roadmap

      Data Governance Leadership & Org Structure Division

      Define key roles for getting started.

      Use Case Build & Prioritization

      Start small and then scale – deliver early wins.

      Literacy Program

      Start understanding data knowledge gaps, building the program, and delivering.

      Tools & Technology

      Make the available data governance tools and technology work for you.

      Key components of your data governance roadmap

      By now, you have assessed current data governance environment and capabilities. Use this assessment, coupled with the driving needs of your business, to plot your data Governance roadmap accordingly.

      Sample data governance roadmap milestones:

      • Define data governance leadership.
      • Define and formalize data ownership and stewardship (as well as the role IT/data management will play as data custodians).
      • Build/confirm your business capability map and data domains.
      • Build business data use cases specific to business capabilities.
      • Define business measures/KPIs for the data governance program (i.e. metrics by use case that are relevant to business capabilities).
      • Data management:
        • Build your data glossary or catalog starting with identified and prioritized terms.
        • Define data domains.
      • Design and define the data governance operating model (oversight model definition, communication plan, internal marketing such as townhalls, formulate change management plan, RFP of data governance tool and technology options for supporting data governance and its administration).
      • Data policies and procedures:
        • Formulate, update, refresh, consolidate, rationalize, and/or retire data policies and procedures.
        • Define policy management and administration framework (i.e. roll-out, maintenance, updates, adherence, system to be used).
      • Conduct Info-Tech’s Data Culture Diagnostic or survey (across all levels of the organization).
      • Define and formalize the data literacy program (build modules, incorporate into LMS, plan lunch and learn sessions).
      • Data privacy and security: build data classification policy, define classification standards.
      • Enterprise projects and services: embed data governance in the organization’s PMO, conduct “Data Governance 101” for the PMO.

      Defining data governance roles and organizational structure at Organization

      The approach employed for defining the data governance roles and supporting organizational structure for .

      Key Considerations:

      • The data owner and data steward roles are formally defined and documented within the organization. Their involvement is clear, well-defined, and repeatable.
      • There are data owners and data stewards for each data domain within the organization. The data steward role is given to someone with a high degree of subject matter expertise.
      • Data owners and data stewards are effective in their roles by ensuring that their data domain is clean and free of errors and that they protect the organization against data loss.
      • Data owners and data stewards have the authority to make final decisions on data definitions, formats, and standard processes that apply to their respective data sets. Data owners and data stewards have authority regarding who has access to certain data.
      • Data owners and data stewards are not from the IT side of the organization. They understand the lifecycle of the data (how it is created, curated, retrieved, used, archived, and destroyed) and they are well-versed in any compliance requirements as it relates to their data.
      • The data custodian role is formally defined and is given to the relevant IT expert. This is an individual with technical administrative and/or operational responsibility over data (e.g. a DBA).
      • A data governance steering committee exists and is comprised of well-defined roles, responsibilities, executive sponsors, business representatives, and IT experts.
      • The data governance steering committee works to provide oversight and enforce policies, procedures, and standards for governing data.
      • The data governance working group has cross-functional representation. This comprises business and IT representation, as well as project management and change management where applicable: data stewards, data custodians, business subject matter experts, PM, etc.).
      • Data governance meetings are coordinated and communicated about. The meeting agenda is always clear and concise, and meetings review pressing data-related issues. Meeting minutes are consistently documented and communicated.

      Sample: Business capabilities to data owner and data stewards mapping for a selected data domain

      Info-Tech Insight

      Your organization’s value streams and the associated business capabilities require effectively governed data. Without this, you face elevated operational costs, missed opportunities, eroded stakeholder satisfaction, and exposure to increased business risk.

      Enable business capabilities with data governance role definitions.

      Sample: Business capabilities to data owner and data stewards mapping for a selected data domain

      Consider your technology options:

      Make the available data governance tools and technology work for you:

      • Data catalog
      • Business data glossary
      • Data lineage
      • Metadata management

      Logos of data governance tools and technology.

      These are some of the data governance tools and technology players. Check out SoftwareReviews for help making better software decisions.

      Make the data steward the catalyst for organizational change and driving data culture

      The data steward must be empowered and backed politically with decision-making authority, or the role becomes stale and powerless.

      Ensuring compliance can be difficult. Data stewards may experience pushback from stakeholders who must deliver on the policies, procedures, and processes that the data steward enforces.

      Because the data steward must enforce data processes and liaise with so many different people and departments within the organization, the data steward role should be their primary full-time job function – where possible.

      However, in circumstances where budget doesn’t allow a full-time data steward role, develop these skills within the organization by adding data steward responsibilities to individuals who are already managing data sets for their department or line of business.

      Info-Tech Tip

      A stewardship role is generally more about managing the cultural change that data governance brings. This requires the steward to have exceptional interpersonal skills that will assist in building relationships across departmental boundaries and ensuring that all stakeholders within the organization believe in the initiative, understand the anticipated outcomes, and take some level of responsibility for its success.

      Changes to organizational data processes are inevitable; have a communication plan in place to manage change

      Create awareness of your data governance program. Use knowledge transfer to get as many people on board as possible.

      Data governance initiatives must contain a strong organizational disruption component. A clear and concise communication strategy that conveys milestones and success stories will address the various concerns that business unit stakeholders may have.

      By planning for and efficiently communicating any changes that a data governance initiative may bring, many initial issues can be resolved from the outset.

      Governance recommendations will require significant business change. The redesign of a substantial number of data processes affecting various business units will require an overhaul of the organization’s culture, thought processes, and procedures surrounding its data. Preparing people for change well in advance will allow them to take the necessary steps to adapt and reduce potential confrontation.

      Because a data governance initiative will involve data-driven business units across the organization, the governance team must present a compelling case for data governance to ensure acceptance of new processes, rules, guidelines, and technologies by all data producers and users.

      Attempting to implement change without an effective communication plan can result in disagreements over data control and stalemates between stakeholder units. The recommendations of the governance group must reflect the needs of all stakeholders or there will be pushback.

      Info-Tech Insight

      Launching a data governance initiative is guaranteed to disrupt the culture of the organization. That disruption doesn’t have to be detrimental if you are prepared to manage the change proactively and effectively.

      Create a common data governance vision that is consistently communicated to the organization

      A data governance program should be an enterprise-wide initiative.

      To create a strong vision for data governance, there must be participation from the business and IT. A common vision will articulate the state the organization wishes to achieve and how it will reach that state. Visioning helps to develop long-term goals and direction.

      Once the vision is established, it must be effectively communicated to everyone, especially those who are involved in creating, managing, disposing, or archiving data.

      The data governance program should be periodically refined. This will ensure the organization continues to incorporate best methods and practices as the organization grows and data needs evolve.

      Info-Tech Tips

      • Use information from the stakeholder interviews to derive business goals and objectives.
      • Work to integrate different opinions and perspectives into the overall vision for data governance.
      • Brainstorm guiding principles for data and understand the overall value to the organization.

      Develop a compelling data governance communications plan to get all departmental lines of business on board

      A data governance program will impact all data-driven business units within the organization.

      A successful data governance communications plan involves making the initiative visible and promoting staff awareness. Educate the team on how data is collected, distributed, and used, what internal processes use data, and how that data is used across departmental boundaries.

      By demonstrating how data governance will affect staff directly, you create a deeper level of understanding across lines of business, and ultimately, a higher level of acceptance for new processes, rules, and guidelines.

      A clear and concise communications strategy will raise the profile of data governance within the organization, and staff will understand how the program will benefit them and how they can share in the success of the initiative. This will end up providing support for the initiative across the board.

      A proactive communications plan will:

      • Assist in overcoming issues with data control, stalemates between stakeholder units, and staff resistance.
      • Provide a formalized process for implementing new policies, rules, guidelines, and technologies, and managing organizational data.
      • Detail data ownership and accountability for decision making, and identify and resolve data issues throughout the organization.
      • Encourage acceptance and support of the initiative.

      Info-Tech Tip

      Focus on literacy and communication: include training in the communication plan. Providing training for data users on the correct procedures for updating and verifying the accuracy of data, data quality, and standardized data policies will help validate how data governance will benefit them and the organization.

      Leverage the data governance program to communicate and promote the value of data within the organization

      The data governance program is responsible for continuously promoting the value of data to the organization. The data governance program should seek a variety of ways to educate the organization and data stakeholders on the benefit of data management.

      Even if data policies and procedures are created, they will be highly ineffective if they are not properly communicated to the data producers and users alike.

      There needs to be a communication plan that highlights how the data producer and user will be affected, what their new responsibilities are, and the value of that change.

      To learn how to manage organizational change, refer to Info-Tech’s Master Organizational Change Management Practices.

      Understand what makes for an effective policy for data governance

      It can be difficult to understand what a policy is, and what it is not. Start by identifying the differences between a policy and standards, guidelines, and procedures.

      Diagram of an effective policy for data governance

      The following are key elements of a good policy:

      Heading Descriptions
      Purpose Describes the factors or circumstances that mandate the existence of the policy. Also states the policy’s basic objectives and what the policy is meant to achieve.
      Scope Defines to whom and to what systems this policy applies. Lists the employees required to comply or simply indicates “all” if all must comply. Also indicates any exclusions or exceptions, i.e. those people, elements, or situations that are not covered by this policy or where special consideration may be made.
      Definitions Define any key terms, acronyms, or concepts that will be used in the policy. A standard glossary approach is sufficient.
      Policy Statements Describe the rules that comprise the policy. This typically takes the form of a series of short prescriptive and proscriptive statements. Sub-dividing this section into sub-sections may be required depending on the length or complexity of the policy.
      Non-Compliance Clearly describe consequences (legal and/or disciplinary) for employee non-compliance with the policy. It may be pertinent to describe the escalation process for repeated non-compliance.
      Agreement Confirms understanding of the policy and provides a designated space to attest to the document.

      Leverage myPolicies, Info-Tech’s web-based application for managing your policies and procedures

      Most organizations have problems with policy management. These include:

      1. Policies are absent or out of date
      2. Employees largely unaware of policies in effect
      3. Policies are unmonitored and unenforced
      4. Policies are in multiple locations
      5. Multiple versions of the same policy exist
      6. Policies managed inconsistently across different silos
      7. Policies are written poorly by untrained authors
      8. Inadequate policy training program
      9. Draft policies stall and lose momentum
      10. Weak policy support from senior management

      Technology should be used as a means to solve these problems and effectively monitor, enforce, and communicate policies.

      Product Overview

      myPolicies is a web-based solution to create, distribute, and manage corporate policies, procedures, and forms. Our solution provides policy managers with the tools they need to mitigate the risk of sanctions and reduce the administrative burden of policy management. It also enables employees to find the documents relevant to them and build a culture of compliance.

      Some key success factors for policy management include:

      • Store policies in a central location that is well known and easy to find and access. A key way that technology can help communicate policies is by having them published on a centralized website.
      • Link this repository to other policies’ taxonomies of your organization. E.g. HR policies to provide a single interface for employees to access guidance across the organization.
      • Reassess policies annually at a minimum. myPolicies can remind you to update the organization’s policies at the appropriate time.
      • Make the repository searchable and easily navigable.
      • myPolicies helps you do all this and more.
      myPolicies logo myPolicies

      Enforce data policies to promote consistency of business processes

      Data policies are short statements that seek to manage the creation, acquisition, integrity, security, compliance, and quality of data. These policies vary amongst organizations, depending on your specific data needs.

      • Policies describe what to do, while standards and procedures describe how to do something.
      • There should be few data policies, and they should be brief and direct. Policies are living documents and should be continuously updated to respond to the organization’s data needs.
      • The data policies should highlight who is responsible for the data under various scenarios and rules around how to manage it effectively.

      Examples of Data Policies

      Trust

      • Data Cleansing and Quality Policy
      • Data Entry Policy

      Availability

      • Acceptable Use Policy
      • Data Backup Policy

      Security

      • Data Security Policy
      • Password Policy Template
      • User Authorization, Identification, and Authentication Policy Template
      • Data Protection Policy

      Compliance

      • Archiving Policy
      • Data Classification Policy
      • Data Retention Policy

      Leverage data management-related policies to standardize your data management practices

      Info-Tech’s Data Management Policy:

      This policy establishes uniform data management standards and identifies the shared responsibilities for assuring the integrity of the data and that it efficiently and effectively serves the needs of the organization. This policy applies to all critical data and to all staff who may be creators and/or users of such data.

      Info-Tech’s Data Entry Policy:

      The integrity and quality of data and evidence used to inform decision making is central to both the short-term and long-term health of an organization. It is essential that required data be sourced appropriately and entered into databases and applications in an accurate and complete manner to ensure the reliability and validity of the data and decisions made based on the data.

      Info-Tech’s Data Provenance Policy:

      Create policies to keep your data's value, such as:

      • Only allow entry of data from reliable sources.
      • Employees entering and accessing data must observe requirements for capturing/maintaining provenance metadata.
      • Provenance metadata will be used to track the lifecycle of data from creation through to disposal.

      Info-Tech’s Data Integration and Virtualization Policy:

      This policy aims to assure the organization, staff, and other interested parties that data integration, replication, and virtualization risks are taken seriously. Staff must use the policy (and supporting guidelines) when deciding whether to integrate, replicate, or virtualize data sets.

      Select the right mix of metrics to successfully supervise data policies and processes

      Policies are only as good as your level of compliance. Ensure supervision controls exist to oversee adherence to policies and procedures.

      Although they can be highly subjective, metrics are extremely important to data governance success.

      • Establishing metrics that measure the performance of a specific process or data set will:
        • Create a greater degree of ownership from data stewards and data owners.
        • Help identify underperforming individuals.
        • Allow the steering committee to easily communicate tailored objectives to individual data stewards and owners.
      • Be cautious when establishing metrics. The wrong metrics can have negative repercussions.
        • They will likely draw attention to an aspect of the process that doesn’t align with the initial strategy.
        • Employees will work hard and grow frustrated as their successes aren’t accurately captured.

      Policies are great to have from a legal perspective, but unless they are followed, they will not benefit the organization.

      • One of the most useful metrics for policies is currency. This tracks how up to date the policy is and how often employees are informed about the policy. Often, a policy will be introduced and then ignored. Policies must be continuously reviewed by management and employees.
      • Some other metrics include adherence (including performance in tests for adherence) and impacts from non-adherence.

      Review metrics on an ongoing basis with those data owners/stewards who are accountable, the data governance steering committee, and the executive sponsors.

      Establish data standards and procedures for use across all organizational lines of business

      A data governance program will impact all data-driven business units within the organization.

      • Data management procedures are the methods, techniques, and steps to accomplish a specific data objective. Creating standard data definitions should be one of the first tasks for a data governance steering committee.
      • Data moves across all departmental boundaries and lines of business within the organization. These definitions must be developed as a common set of standards that can be accepted and used enterprise wide.
      • Consistent data standards and definitions will improve data flow across departmental boundaries and between lines of business.
      • Ensure these standards and definitions are used uniformly throughout the organization to maintain reliable and useful data.

      Data standards and procedural guidelines will vary from company to company.

      Examples include:

      • Data modeling and architecture standards.
      • Metadata integration and usage procedures.
      • Data security standards and procedures.
      • Business intelligence standards and procedures.

      Info-Tech Tip

      Have a fundamental data definition model for the entire business to adhere to. Those in the positions that generate and produce data must follow the common set of standards developed by the steering committee and be accountable for the creation of valid, clean data.

      Changes to organizational data processes are inevitable; have a communications plan in place to manage change

      Create awareness of your data governance program, using knowledge transfer to get as many people on board as possible.

      By planning for and efficiently communicating any changes that a data governance initiative may bring, many initial issues can be resolved from the outset.

      Governance recommendations will require significant business change. The redesign of a substantial number of data processes affecting various business units will require an overhaul of the organization’s culture, thought processes, and procedures surrounding its data. Preparing people for change well in advance will allow them to take the necessary steps to adapt and reduce potential confrontation.

      Because a data governance initiative will involve data-driven business units across the organization, the governance team must present a compelling case for data governance to ensure acceptance of new processes, rules, guidelines, and technologies by all data producers and users.

      Attempting to implement change without an effective communications plan can result in disagreements over data control and stalemates between stakeholder units. The recommendations of the governance group must reflect the needs of all stakeholders or there will be pushback.

      Data governance initiatives will very likely bring about a level of organizational disruption. A clear and concise communications strategy that conveys milestones and success stories will address the various concerns that business unit stakeholders may have.

      Info-Tech Tip

      Launching a data governance program will bring with it a level of disruption to the culture of the organization. That disruption doesn’t have to be detrimental if you are prepared to manage the change proactively and effectively.

      Additional Support

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech Workshop.

      Picture of analyst

      Contact your account representative for more information.

      workshops@infotech.com 1-888-670-8889

      To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team. Info-Tech analysts will join you and your team at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      Screenshot of example data governance strategy map.

      Build Your Business and User Context

      Work with your core team of stakeholders to build out your data governance strategy map, aligning data governance initiatives with business capabilities, value streams, and, ultimately, your strategic priorities.

      Screenshot of Data governance roadmap

      Formulate a Plan to Get to Your Target State

      Develop a data governance future state roadmap and plan based on an understanding of your current data governance capabilities, your operating environment, and the driving needs of your business.

      Related Info-Tech Research

      Build a Robust and Comprehensive Data Strategy

      Key to building and fostering a data-driven culture.

      Create a Data Management Roadmap

      Streamline your data management program with our simplified framework.

      The First 100 Days as CDO

      Be the voice of data in a time of transformation.

      Research Contributors

      Name Position Company
      David N. Weber Executive Director - Planning, Research and Effectiveness Palm Beach State College
      Izabela Edmunds Information Architect Mott MacDonald
      Andy Neill Practice Lead, Data & Analytics Info-Tech Research Group
      Dirk Coetsee Research Director, Data & Analytics Info-Tech Research Group
      Graham Price Executive Advisor, Advisory Executive Services Info-Tech Research Group
      Igor Ikonnikov Research Director, Data & Analytics Info-Tech Research Group
      Jean Bujold Senior Workshop Delivery Director Info-Tech Research Group
      Rajesh Parab Research Director, Data & Analytics Info-Tech Research Group
      Reddy Doddipalli Senior Workshop Director Info-Tech Research Group
      Valence Howden Principal Research Director, CIO Info-Tech Research Group

      Bibliography

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      Allott, Joseph, et al. “Data: The next wave in forestry productivity.” McKinsey & Company, 27 Oct. 2020. Accessed 25 June 2021.

      Bean, Randy. “Why Culture Is the Greatest Barrier to Data Success.” MIT Sloan Management Review, 30 Sept. 2020. Accessed 25 June 2021.

      Brence, Thomas. “Overcoming the Operationalization Challenge with Data Governance at New York Life.” Informatica, 18 March 2020. Accessed 25 June 2021.

      Bullmore, Simon, and Stuart Coleman. “ODI Inside Business – a checklist for leaders.” Open Data Institute, 19 Oct. 2020. Accessed 25 June 2021.

      Canadian Institute for Health Information. “Developing and implementing accurate national standards for Canadian health care information.” Canadian Institute for Health Information. Accessed 25 June 2021.

      Carruthers, Caroline, and Peter Jackson. “The Secret Ingredients of the Successful CDO.” IRM UK Connects, 23 Feb. 2017.

      Dashboards. “Useful KPIs for Healthy Hospital Quality Management.” Dashboards. Accessed 25 June 2021.

      Dashboards. “Why (and How) You Should Improve Data Literacy in Your Organization Today.” Dashboards. Accessed 25 June 2021.

      Datapine. “Healthcare Key Performance Indicators and Metrics.” Datapine. Accessed 25 June 2021.

      Datapine. “KPI Examples & Templates: Measure what matters the most and really impacts your success.” Datapine. Accessed 25 June 2021.

      Diaz, Alejandro, et al. “Why data culture matters.” McKinsey Quarterly, Sept. 2018. Accessed 25 June 2021.

      Everett, Dan. “Chief Data Officer (CDO): One Job, Four Roles.” Informatica, 9 Sept. 2020. Accessed 25 June 2021.

      Experian. “10 signs you are sitting on a pile of data debt.” Experian. Accessed 25 June 2021.

      Fregoni, Silvia. “New Research Reveals Why Some Business Leaders Still Ignore the Data.” Silicon Angle, 1 Oct. 2020.

      Informatica. Holistic Data Governance: A Framework for Competitive Advantage. Informatica, 2017. Accessed 25 June 2021.

      Knight, Michelle. “What Is a Data Catalog?” Dataversity, 28 Dec. 2017. Web.

      Lim, Jason. “Alation 2020.3: Getting Business Users in the Game.” Alation, 2020. Accessed 25 June 2021.

      McDonagh, Mariann. “Automating Data Governance.” Erwin, 29 Oct. 2020. Accessed 25 June 2021.

      NewVantage Partners. Data-Driven Business Transformation: Connecting Data/AI Investment to Business Outcomes. NewVantage Partners, 2020. Accessed 25 June 2021.

      Olavsrud, Thor. “What is data governance? A best practices framework for managing data assets.” CIO.com, 18 March 2021. Accessed 25 June 2021.

      Open Data Institute. “Introduction to data ethics and the data ethics canvas.” Open Data Institute, 2020. Accessed 25 June 2021.

      Open Data Institute. “The UK National Data Strategy 2020: doing data ethically.” Open Data Institute, 17 Nov. 2020. Accessed 25 June 2021.

      Open Data Institute. “What is the Data Ethics Canvas?” Open Data Institute, 3 July 2019. Accessed 25 June 2021.

      Pathak, Rahul. “Becoming a Data-Driven Enterprise: Meeting the Challenges, Changing the Culture.” MIT Sloan Management Review, 28 Sept. 2020. Accessed 25 June 2021.

      Redman, Thomas, et al. “Only 3% of Companies’ Data Meets Basic Quality Standards.” Harvard Business Review. 11 Sept 2017.

      Petzold, Bryan, et al. “Designing data governance that delivers value.” McKinsey & Company, 26 June 2020. Accessed 25 June 2021.

      Smaje, Kate. “How six companies are using technology and data to transform themselves.” McKinsey & Company, 12 Aug. 2020. Accessed 25 June 2021.

      Talend. “The Definitive Guide to Data Governance.” Talend. Accessed 25 June 2021.

      “The Powerfully Simple Modern Data Catalog.” Atlan, 2021. Web.

      U.S. Geological Survey. “Data Management: Data Standards.” U.S. Geological Survey. Accessed 25 June 2021.

      Waller, David. “10 Steps to Creating a Data-Driven Culture.” Harvard Business Review, 6 Feb. 2020. Accessed 25 June 2021.

      “What is the Difference Between A Business Glossary, A Data Dictionary, and A Data Catalog, and How Do They Play A Role In Modern Data Management?” Analytics8, 23 June 2021. Web.

      Wikipedia. “RFM (market research).” Wikipedia. Accessed 25 June 2021.

      Windheuser, Christoph, and Nina Wainwright. “Data in a Modern Digital Business.” Thoughtworks, 12 May 2020. Accessed 25 June 2021.

      Wright, Tom. “Digital Marketing KPIs - The 12 Key Metrics You Should Be Tracking.” Cascade, 3 March 2021. Accessed 25 June 2021.

      How to build a Service Desk Chatbot POC

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      • member rating overall impact (scale of 10): 9.7/10
      • member rating average dollars saved: 11,197
      • member rating average days saved: 8
      • Parent Category Name: Service Desk
      • Parent Category Link: /service-desk

      The challenge

      Build a chatbot that creates value for your business

       

      • Ensure your chatbot meets your business needs.
      • Bring scalability to your customer service delivery in a cost-effective manner.
      • Measure your chatbot objectives with clear metrics.
      • Pre-determine your ticket categories to use during the proof of concept.

      Our advice

      Insight

      • Build your chatbot to create business value. Whether increasing service or resource efficiency, keep value creation in mind when making decisions with your proof of concept.

      Impact and results 

      • When implemented effectively, chatbots can help save costs, generate new revenue, and ultimately increase customer satisfaction for external and internal-facing customers.

      The roadmap

      Read our concise Executive Brief to find out why you building a chatbot proof of concept is a good idea, review our methodology, and understand the four ways we can support you to successfully complete this project. Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      Start here

      Form your chatbot strategy.

      Build the right metrics to measure the success of your chatbot POC

      • Chatbot ROI Calculator (xls)
      • Chatbot POC Metrics Tool (xls)

      Build the foundation for your chatbot.

      Architect the chatbot to maximize business value

      • Chatbot Conversation Tree Library

      Continue to improve your chatbot.

      Now take your chatbot proof of concept to production

      • Chatbot POC RACI (doc)
      • Chatbot POC Implementation Roadmap (xls)
      • Chatbot POC Communication Plan (doc)Chatbot ROI Calculator (xls)

      Beyond Survival

      • Buy Link or Shortcode: {j2store}204|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Big Data
      • Parent Category Link: /big-data
      • Consumer, customer, employee, and partner behavior has changed; new needs have arisen as a result of COVID-19. Entire business models had to be rethought and revised – in real time with no warning.
      • And worse, no one knows when (or even if) the pandemic will end. The world and the economy will continue to be highly uncertain, unpredictable, and vulnerable for some time.
      • Business leaders need to continue experimenting to stay in business, protect employees and supply chains, manage financial obligations, allay consumer and employee fears, rebuild confidence, and protect trust.
      • How do organizations know whether their new business tactics are working?

      Our Advice

      Critical Insight

      • We can learn many lessons from those who have survived and are succeeding.
      • They have one thing in common though – they rely on data and analytics to help people think and know how to respond, evaluate effectiveness of new business tactics, uncover emerging trends to feed innovation, and minimize uncertainty and risk.
      • This mini-blueprint highlights organizations and use cases where data, analytics, and AI deliver tangible business and human value now and in the future.

      Impact and Result

      • Learn from the pandemic survivors and super-achievers so that you too can hit the ground running in the new normal. Even better – go beyond survival, like many of them have done. Create your future by leveraging and scaling up your data and analytics investments. It is not (yet) too late, and Info-Tech can help.

      Beyond Survival Research & Tools

      Beyond Survival

      Use data, analytics, and AI to reimagine the future and thrive in the new normal.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      • Beyond Survival Storyboard
      [infographic]

      Jump Start Your Vendor Management Initiative

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      • member rating overall impact (scale of 10): 9.4/10 Overall Impact
      • member rating average dollars saved: $137,332 Average $ Saved
      • member rating average days saved: 31 Average Days Saved
      • Parent Category Name: Vendor Management
      • Parent Category Link: /vendor-management
      • Each year, IT organizations spend more money “outsourcing” tasks, activities, applications, functions, and other items.
      • The increased spend and associated outsourcing leads to less control, and more risk for IT organizations. Managing this becomes a higher priority for IT, but many IT organizations are ill-equipped to do this proactively.

      Our Advice

      Critical Insight

      • Vendor management is not “plug and play” – each organization’s vendor management initiative (VMI) needs to fit its culture, environment, and goals. There are commonalites among vendor management initiatives, but the key is to adapt vendor management principles to fit your needs, not the other way around.
      • All vendors are not of equal importance to an organization. Internal resources are a scarce commodity and should be deployed so that they provide the best return on the organization’s investment. Classifying or segmenting your vendors allows you to focus your efforts on the most important vendors first, allowing your VMI to have the greatest impact possible.
      • Having a solid foundation is critical to the VMI’s ongoing success. Whether you will be creating a formal vendor management office or using vendor management techniques, tools, and templates “informally,” starting with the basics is essential. Make sure you understand why the VMI exists and what it hopes to achieve, what is in and out of scope for the VMI, what strengths the VMI can leverage and the obstacles it will have to address, and how it will work with other areas within your organization.

      Impact and Result

      • Build and implement a vendor management initiative tailored to your environment.
      • Create a solid foundation to sustain your vendor management initiative as it evolves and matures.
      • Leverage vendor management-specific tools and templates to manage vendors more proactively and improve communication.
      • Concentrate your vendor management resources on the right vendors.
      • Build a roadmap and project plan for your vendor management journey to ensure you reach your destination.
      • Build collaborative relationships with critical vendors.

      Jump Start Your Vendor Management Initiative Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should jump start a vendor management initiative, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Plan

      Organize your VMI and document internal processes, relationships, roles, and responsibilities. The main outcomes from this phase are organizational documents, a baseline VMI maturity level, and a desired future state for the VMI.

      • Jump Start Your Vendor Management Initiative – Phase 1: Plan
      • Jump – Phase 1 Tools and Templates Compendium

      2. Build

      Configure and create the tools and templates that will help you run the VMI. The main outcomes from this phase are a clear understanding of which vendors are important to you, the tools to manage the vendor relationships, and an implementation plan.

      • Jump Start Your Vendor Management Initiative – Phase 2: Build
      • Jump – Phase 2 Tools and Templates Compendium
      • Jump – Phase 2 Vendor Classification Tool
      • Jump – Phase 2 Vendor Risk Assessment Tool

      3. Run

      Begin operating the VMI. The main outcomes from this phase are guidance and the steps required to implement your VMI.

      • Jump Start Your Vendor Management Initiative – Phase 3: Run

      4. Review

      Identify what the VMI should stop doing, start doing, and continue doing as it improves and matures. The main outcomes from this phase are ways to advance the VMI and maintain internal alignment.

      • Jump Start Your Vendor Management Initiative – Phase 4: Review

      Infographic

      Workshop: Jump Start Your Vendor Management Initiative

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Plan

      The Purpose

      Getting Organized

      Key Benefits Achieved

      Defined Roles and Goals for the VMI

      Activities

      1.1 Mission Statement and Goals

      1.2 Scope

      1.3 Strengths and Obstacles

      1.4 Roles and Responsibilities – OIC Chart

      1.5 Process Mapping

      1.6 Vendor Inventory Tool (Overview)

      Outputs

      Completed Mission Statement and Goals

      List of Items In Scope and Out of Scope for the VMI

      List of Strengths and Obstacles for the VMI

      Completed OIC Chart

      Sample Process Map for One Process

      Begun Using Vendor Inventory Tool

      2 Plan/Build/Run

      The Purpose

      Build VMI Tools and Templates

      Key Benefits Achieved

      Configured Tools and Templates for the VMI Based on Its Roles and Goals

      Activities

      2.1 Maturity Assessment

      2.2 Structure and Job Descriptions

      2.3 Attributes of a Valuable Vendor

      2.4 Classification Model

      2.5 Risk Assessment Tool

      2.6 Scorecards and Feedback

      2.7 Business Alignment Meeting Agenda

      Outputs

      Completed Maturity Assessment.

      Sample Job Descriptions and Phrases.

      List of Attributes of a Valuable Vendor.

      Configured Classification Model.

      Configured Risk Assessment Tool.

      Configured Scorecard and Feedback Questions.

      Configured Business Alignment Meeting Agenda.

      3 Build/Run

      The Purpose

      Continue Building VMI Tools and Templates

      Key Benefits Achieved

      Configured Tools and Templates for the VMI Based on Its Roles and Goals

      Activities

      3.1 Relationship Alignment Document

      3.2 Vendor Orientation

      3.3 Policies and Procedures

      3.4 3-Year Roadmap

      3.5 90-Day Plan

      3.6 Quick Wins

      3.7 Reports

      3.8 Kickoff Meeting

      Outputs

      Relationship Alignment Document Sample and Checklist

      Vendor Orientation Checklist

      Policies and Procedures Checklist

      Completed 3-Year Roadmap

      Completed 90-Day Plan

      List of Quick Wins

      List of Reports

      4 Review

      The Purpose

      Review the Past 12 Months of VMI Operations and Improve

      Key Benefits Achieved

      Keeping the VMI Aligned With the Organization’s Goals and Ensuring the VMI Is Leveraging Leading Practices

      Activities

      4.1 Develop/Improve Vendor Relationships.

      4.2 Assess Compliance.

      4.3 Incorporate Leading Practices.

      4.4 Leverage Lessons Learned.

      4.5 Maintain Internal Alignment.

      4.6 Update Governances.

      Outputs

      Further reading

      Jump Start Your Vendor Management Initiative

      Create and implement a vendor management framework to begin obtaining measurable results in 90 days.

      EXECUTIVE BRIEF

      Analyst Perspective

      What is vendor management?

      When you read the phrase “vendor management,” what comes to mind? This isn’t a rhetorical question. Take your time … I’ll wait.

      Unfortunately, those words conjure up a lot of different meanings, and much of that depends on whom you ask. Those who work in the vendor management field will provide a variety of answers. To complicate matters, those who are vendor management “outsiders” will have a totally different view of what vendor management is. Why is this important? Because we need a common definition to communicate more effectively, even if the definition is broad.

      Let’s start creating a working definition that is not circular. Vendor management is not simply managing vendors. That expression basically reorders the words and does nothing to advance our cause; it only adds to the existing confusion surrounding the concept.

      Vendor management is best thought of as a spectrum or continuum with many points rather than a specific discipline like accounting or finance. There are many functions and activities that fall under the umbrella term of vendor management: some of them will be part of your vendor management initiative (VMI), some will not, and some will exist in your organization but be outside the VMI. This is the unique part of vendor management – the part that makes it fun, but also the part that leads to the confusion. For example, accounts payable sits within the accounting department almost exclusively, but contract management can sit within or outside the VMI. The beauty of vendor management is its flexibility; your VMI can be created to meet your specific needs and goals while leveraging common vendor management principles.

      Every conversation around vendor management needs to begin with “What do you mean by that?” Only then can we home in on the scope and nature of what people are discussing. “Managing vendors” is too narrow because it often ignores many of the reasons organizations create VMIs in the first place: to reduce costs, to improve performance, to improve processes, to improve relationships, to improve communication, and to manage risk better.

      Vendor management is a strategic initiative that takes the big picture into account … navigating the cradle to grave lifecycle to get the most out of your interactions and relationships with your vendors. It is flexible and customizable; it is not plug and play or overly prescriptive. Tools, principles, templates, and concepts are adapted rather than adopted as is. Ultimately, you define what vendor management is for your organization.

      We look forward to helping you on your vendor management journey no matter what it looks like. But first, let’s have a conversation about how you want to define vendor management in your environment.

      This is a picture of Phil Bode, Principal  Research Director, Vendor Management at Info-Tech Research Group.

      Phil Bode
      Principal Research Director, Vendor Management
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Each year, IT organizations “outsource” tasks, activities, functions, and other items. During 2021:

      • Spend on as-a-service providers increased 38% over 2020.*
      • Spend on managed service providers increased 16% over 2020.*
      • IT service providers increased their merger and acquisition numbers by 47% over 2020.*

      *Source: Information Services Group, Inc., 2022.

      This leads to more spend, less control, and more risk for IT organizations. Managing this becomes a higher priority for IT, but many IT organizations are ill-equipped to do this proactively.

      Common Obstacles

      As new contracts are negotiated and existing contracts are renegotiated or renewed, there is a perception that the contracts will yield certain results, output, performance, solutions, or outcomes. The hope is that these will provide a measurable expected value to IT and the organization. Oftentimes, much of the expected value is never realized. Many organizations don’t have a VMI to help:

      • Ensure at least the expected value is achieved.
      • Improve on the expected value through performance management.
      • Significantly increase the expected value through a proactive VMI.

      Info-Tech’s Approach

      Vendor management is a proactive, cross-functional lifecycle. It can be broken down into four phases:

      • Plan
      • Build
      • Run
      • Review

      The Info-Tech process addresses all four phases and provides a step-by-step approach to configure and operate your VMI. The content in this blueprint helps you quickly establish your VMI and set a solid foundation for its growth and maturity.

      Info-Tech Insight

      Vendor management is not a one-size-fits-all initiative. It must be configured:

      • For your environment, culture, and goals.
      • To leverage the strengths of your organization and personnel.
      • To focus your energy and resources on your critical vendors.

      Executive Summary

      Your Challenge

      Spend on managed service providers and as-a-service providers continues to increase. In addition, IT services vendors continue to be active in the mergers and acquisitions arena. This increases the need for a VMI to help with the changing IT vendor landscape. In 2021, there was increases of:

      38%

      Spend on As-a-Service Providers

      16%

      Spend on Managed Services Providers

      47%

      IT Services Merger & Acquisition Growth (Transactions)

      Source: Information Services Group, Inc., 2022.

      Executive Summary

      Common Obstacles

      When organizations execute, renew, or renegotiate a contract, there is an “expected value” associated with that contract. Without a robust VMI, most of the expected value will never be realized. With a robust VMI, the realized value significantly exceeds the expected value during the contract term.

      A contract’s realized value with and without a vendor management initiative

      Two bars are depicted, showing that vendor collaboration and vendor performance management exceed expected value with a VMI, but without VMI, 75% of a contract's expected value can disappear within 18 months.

      Source: Based on findings from Geller & Company, 2003.

      Executive Summary

      Info-Tech’s Approach

      A sound, cyclical approach to vendor management will help you create a VMI that meets your needs and stays in alignment with your organization as they both change (i.e. mature and grow).

      This is an image of Info-Tech's approach to VMI.  It includes the following four steps: 01 - Plan; 02 - Build; 03 - Run; 04 - Review

      Info-Tech’s Methodology for Creating and Operating Your VMI

      Phase 1: Plan Phase 2: Build Phase 3: Run Phase 4: Review

      Phase Steps

      1.1 Mission Statement and Goals
      1.2 Scope
      1.3 Strengths and Obstacles
      1.4 Roles and Responsibilities
      1.5 Process Mapping
      1.6 Charter
      1.7 Vendor Inventory
      1.8 Maturity Assessment
      1.9 Structure

      2.1 Classification Model
      2.2 Risk Assessment Tool
      2.3 Scorecards and Feedback
      2.4 Business Alignment Meeting Agenda
      2.5 Relationship Alignment Document
      2.6 Vendor Orientation
      2.7 Job Descriptions
      2.8 Policies and Procedures
      2.9 3-Year Roadmap
      2.10 90-Day Plan
      2.11 Quick Wins
      2.12 Reports

      3.1 Classify Vendors
      3.2 Conduct Internal “Kickoff” Meeting
      3.3 Conduct Vendor Orientation
      3.4 Compile Scorecards
      3.5 Conduct Business Alignment Meetings
      3.6 Work the 90-Day Plan
      3.7 Manage the 3-Year Roadmap
      3.8 Measure and Monitor Risk
      3.9 Issue Reports
      3.10 Develop/Improve Vendor Relationships
      3.11 Contribute to Other Processes

      4.1 Assess Compliance
      4.2 Incorporate Leading Practices
      4.3 Leverage Lessons Learned
      4.4 Maintain Internal Alignment
      4.5 Update Governances

      Phase Outcomes

      This phase helps you organize your VMI and document internal processes, relationships, roles, and responsibilities. The main outcomes from this phase are organizational documents, a baseline VMI maturity level, and a desired future state for the VMI. This phase helps you configure and create the tools and templates that will help you run the VMI. The main outcomes from this phase are a clear understanding of which vendors are important to you, the tools to manage the vendor relationships, and an implementation plan. This phase helps you begin operating the VMI. The main outcomes from this phase are guidance and the steps required to implement your VMI. This phase helps the VMI identify what it should stop doing, start doing, and continue doing as it improves and matures. The main outcomes from this phase are ways to advance the VMI and maintain internal alignment.

      Insight Summary

      Insight 1

      Vendor management is not “plug and play” – each organization’s vendor management initiative (VMI) needs to fit its culture, environment, and goals. While there are commonalities and leading practices associated with vendor management, your initiative won’t look exactly like another organization’s. The key is to adapt vendor management principles to fit your needs.

      Insight 2

      All vendors are not of equal importance to your organization. Internal resources are a scarce commodity and should be deployed so that they provide the best return on the organization’s investment. Classifying or segmenting your vendors allows you to focus your efforts on the most important vendors first, allowing your VMI to have the greatest impact possible.

      Insight 3

      Having a solid foundation is critical to the VMI’s ongoing success. Whether you will be creating a formal vendor management office or using vendor management techniques, tools, and templates “informally,” starting with the basics is essential. Make sure you understand why the VMI exists and what it hopes to achieve, what is in and out of scope for the VMI, what strengths the VMI can leverage and the obstacles it will have to address, and how it will work with other areas within your organization.

      Blueprint Deliverables

      The four phases of creating and running a vendor management initiative are supported with configurable tools, templates, and checklists to help you stay aligned internally and achieve your goals.

      VMI Tools and Templates

      This image contains two screenshots of Info-Tech's VMI Tools and Templates

      Build a solid foundation for your VMI and configure tools and templates to help you manage your vendor relationships.

      Key Deliverables:

      1. Jump – Phase 1 Tools and Templates Compendium
      2. Jump – Phase 2 Tools and Templates Compendium
      3. Jump – Phase 2 Vendor Classification Tool
      4. Jump – Phase 2 Vendor Risk Assessment Tool

      A suite of tools and templates to help you create and implement your vendor management initiative.

      Blueprint benefits

      IT Benefits

      • Identify and manage risk proactively.
      • Reduce costs and maximize value.
      • Increase visibility with your critical vendors.
      • Improve vendor performance.
      • Create a collaborative environment with key vendors.
      • Segment vendors to allocate resources more effectively and more efficiently.

      Business Benefits

      • Improve vendor accountability.
      • Increase collaboration between departments.
      • Improve working relationships with your vendors.
      • Create a feedback loop to address vendor or customer issues before they get out of hand or are more costly to resolve.
      • Increase access to meaningful data and information regarding important vendors.

      Establish Baseline Metrics

      Baseline metrics will be improved through:

      Using the Maturity Assessment and 90-Day Plan tools, track how well you are able to achieve your goals and objectives:

      • Did you meet the targeted maturity level for each maturity category as determined by the point system?
      • Did you finish each activity in the 90-Day Plan completely and on time?
      1-Year Maturity Roadmap(by Category) Target Maturity (Total Points) Actual Maturity (Total Points)
      Contracts 12 12
      Risk 8 7
      Vendor Selection 9 9
      Vendor Relationships 21 21
      VMI Operations 24 16
      90-Day Plan (by Activity) Activity Completed
      Finalize mission and goals; gain executive approval Yes
      Finalize OIC chart; gain buy-in from other departments Yes
      Classify top 40 vendors by spend Yes
      Create initial scorecard Yes
      Develop the business alignment meeting agenda Yes
      Conduct two business alignment meetings No
      Update job descriptions Yes
      Map two VMI processes No

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1 Phases 2 & 3 Phase 4

      Call #1: Mission statement and goals, scope, and strengths and obstacles.

      Call #5: Classification model.

      Call #9: Policies and procedures and reports.

      Call #12: Assess compliance, incorporate leading practices, leverage lessons learned, maintain internal alignment, and update governances.

      Call #2: Roles and responsibilities and process mapping.

      Call #6: Risk assessment.

      Call #10: 3-year roadmap.

      Call #3: Charter and vendor inventory.

      Call #7: Scorecards and feedback and business alignment meetings.

      Call #11: 90-day plan and quick wins.

      Call #4: Maturity assessment and VMI structure.

      Call #8: Relationship alignment document, vendor orientation, and job descriptions.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Day 1 Day 2 Day 3 Day 4
      Plan Plan/Build/Run Build/Run Review

      Activities

      1.1 Mission Statement and Goals
      1.2 Scope
      1.3 Strengths and Obstacles
      1.4 Roles and Responsibilities
      1.5 Process Mapping
      1.6 Charter
      1.7 Vendor Inventory
      1.8 Maturity Assessment
      1.9 Structure

      2.1 Classification Model
      2.2 Risk Assessment Tool
      2.3 Scorecards and Feedback
      2.4 Business Alignment Meeting Agenda
      2.5 Relationship Alignment Document
      2.6 Vendor Orientation
      2.7 Job Descriptions
      2.8 Policies and Procedures
      2.9 3-Year Roadmap
      2.10 90-Day Plan
      2.11 Quick Wins
      2.12 Reports

      3.1 Classify Vendors
      3.2 Conduct Internal “Kickoff” Meeting
      3.3 Conduct Vendor Orientation
      3.4 Compile Scorecards
      3.5 Conduct Business Alignment Meetings
      3.6 Work the 90-Day Plan
      3.7 Manage the 3-Year Roadmap
      3.8 Measure and Monitor Risk
      3.9 Issue Reports
      3.10 Develop/Improve Vendor Relationships
      3.11 Contribute to Other Processes

      4.1 Assess Compliance
      4.2 Incorporate Leading Practices
      4.3 Leverage Lessons Learned
      4.4 Maintain Internal Alignment
      4.5 Update Governances

      Deliverables

      1. Completed Mission Statement and Goals
      2. List of Items In Scope and Out of Scope for the VMI
      3. List of Strengths and Obstacles for the VMI
      4. Completed OIC Chart
      5. Sample Process Map for One Process
      6. Vendor Inventory tab
      1. Completed Maturity Assessment
      2. Sample Job Descriptions and Phrases
      3. List of Attributes of a Valuable Vendor
      4. Configured Classification Model
      5. Configured Risk Assessment Tool
      6. Configured Scorecard and Feedback Questions
      7. Configured Business Alignment Meeting Agenda
      1. Relationship Alignment Document Sample and Checklist
      2. Vendor Orientation Checklist
      3. Policies and Procedures Checklist
      4. Completed 3-Year Roadmap
      5. Completed 90-Day Plan
      6. List of Quick Wins
      7. List of Reports

      Phase 1: Plan

      Get Organized

      1.1 Mission Statement and Goals
      1.2 Scope
      1.3 Strengths and Obstacles
      1.4 Roles and Responsibilities
      1.5 Process Mapping
      1.6 Charter
      1.7 Vendor Inventory
      1.8 Maturity Assessment
      1.9 Structure

      Phase 1 Phase 2 Phase 3 Phase 4
      1.1 Mission Statement and Goals
      1.2 Scope
      1.3 Strengths and Obstacles
      1.4 Roles and Responsibilities
      1.5 Process Mapping
      1.6 Charter
      1.7 Vendor Inventory
      1.8 Maturity Assessment
      1.9 Structure

      2.1 Classification Model
      2.2 Risk Assessment Tool
      2.3 Scorecards and Feedback
      2.4 Business Alignment Meeting Agenda
      2.5 Relationship Alignment Document
      2.6 Vendor Orientation
      2.7 Job Descriptions
      2.8 Policies and Procedures
      2.9 3-Year Roadmap
      2.10 90-Day Plan
      2.11 Quick Wins
      2.12 Reports

      3.1 Classify Vendors
      3.2 Conduct Internal “Kickoff” Meeting
      3.3 Conduct Vendor Orientation
      3.4 Compile Scorecards
      3.5 Conduct Business Alignment Meetings
      3.6 Work the 90-Day Plan
      3.7 Manage the 3-Year Roadmap
      3.8 Measure and Monitor Risk
      3.9 Issue Reports
      3.10 Develop/Improve Vendor Relationships
      3.11 Contribute to Other Processes

      4.1 Assess Compliance
      4.2 Incorporate Leading Practices
      4.3 Leverage Lessons Learned
      4.4 Maintain Internal Alignment
      4.5 Update Governances

      This phase will walk you through the following activities:

      Organize your VMI and document internal processes, relationships, roles, and responsibilities. The main outcomes from this phase are organizational documents, a baseline VMI maturity level, and a desired future state for the VMI.

      This phase involves the following participants:

      • VMI team
      • Applicable stakeholders and executives
      • Procurement/Sourcing
      • IT
      • Others as needed

      Jump Start Your Vendor Management Initiative

      Phase 1: Plan

      Get organized.

      Phase 1: Plan focuses on getting organized. Foundational elements (mission statement, goals, scope, strengths and obstacles, roles and responsibilities, and process mapping) will help you define your VMI. These and the other elements of this Phase will follow you throughout the process of standing up your VMI and running it.

      Spending time up front to ensure that everyone is on the same page will help avoid headaches down the road. The tendency is to skimp (or even skip) on these steps to get to “the good stuff.” To a certain extent, the process provided here is like building a house. You wouldn’t start building your dream home without having a solid blueprint. The same is true with vendor management. Leveraging vendor management tools and techniques without the proper foundation may provide some benefit in the short term, but in the long term it will ultimately be a house of cards waiting to collapse.

      Step 1.1: Mission statement and goals

      Identify why the VMI exists and what it will achieve.

      Whether you are starting your vendor management journey or are already down the path, it is important to know why the vendor management initiative exists and what it hopes to achieve. The easiest way to document this is with a written declaration in the form of a mission statement and goals. Although this is the easiest way to proceed, it is far from easy.

      The mission statement should identify at a high level the nature of the services provided by the VMI, who it will serve, and some of the expected outcomes or achievements. The mission statement should be no longer than one or two sentences.

      The complement to the mission statement is the list of goals for the VMI. Your goals should not be a reassertion of your mission statement in bullet format. At this stage it may not be possible to make them SMART (Specific, Measurable, Achievable/Attainable, Relevant, Time-Bound/Time-Based), but consider making them as SMART as possible. Without some of the SMART parameters attached, your goals are more like dreams and wishes. At a minimum, you should be able to determine the level of success achieved for each of the VMI goals.

      Although the VMI’s mission statement will stay static over time (other than for significant changes to the VMI or organization as a whole), the goals should be re-evaluated periodically using a SMART filter and adjusted as needed.

      1.1.1: Mission statement and goals

      20-40 minutes

      1. Meet with the participants and use a brainstorming activity to list on a whiteboard or flip chart the reasons why the VMI will exist.
      2. Review external mission statements for inspiration.
      3. Review internal mission statements from other areas to ensure consistency.
      4. Draft and document your mission statement in the Phase 1 Tools and Templates Compendium, Tab 1.1 Mission Statement and Goals.
      5. Continue brainstorming and identify the high-level goals for the VMI.
      6. Review the list of goals and make them as SMART (Specific, Measurable, Achievable/Attainable, Relevant, Time-Bound/Time-Based) as possible.
      7. Document your goals in the Phase 1 Tools and Templates Compendium, Tab 1.1 Mission Statement and Goals.
      8. Obtain sign-off on the mission statement and goals from stakeholders and executives as required.

      Input

      • Brainstorming results
      • Mission statements from other internal and external sources

      Output

      • Completed mission statement and goals

      Materials

      • Whiteboard/Flip Charts
      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.1 Mission Statement and Goals

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 1.2: Scope

      Determine what is in scope and out of scope for the VMI

      Regardless of where your VMI resides or how it operates, it will be working with other areas within your organization. Some of the activities performed by the VMI will be new and not currently handled by other groups or individuals internally; at the same time, some of the activities performed by the VMI may be currently handled by other groups or individuals internally. In addition, executives, stakeholders, and other internal personnel may have expectations or make assumptions about the VMI. As a result, there can be a lot of confusion about what the VMI does and doesn’t do, and the answers cannot always be found in the VMI’s mission statement and goals.

      One component of helping others understand the VMI landscape is formalizing the VMI scope. The scope will define boundaries for the VMI. The intent is not to fence itself off and keep others out but provide guidance on where the VMI’s territory begins and ends. Ultimately, this will help clarify the VMI’s roles and responsibilities, improve workflow, and reduce errant assumptions.

      When drafting your VMI scoping document, make sure you look at both sides of the equation (similar to what you would do when following best practices for a statement of work): Identify what is in scope and what is out of scope. Be specific when describing the individual components of the VMI scope, and make sure executives and stakeholders are on board with the final version.

      1.2.1: Scope

      20-40 minutes

      1. Meet with the participants and use a brainstorming activity to list on a whiteboard or flip chart the activities and functions in scope and out of scope for the VMI.
        1. Be specific to avoid ambiguity and improve clarity.
        2. Go back and forth between in scope and out of scope as needed; it is not necessary to list all of the in-scope items and then turn your attention to the out-of-scope items.
      2. Review the lists to make sure there is enough specificity. An item may be in scope or out of scope but not both.
      3. Use the Phase 1 Tools and Templates Compendium, Tab 1.2 Scope, to document the results.
      4. Obtain sign-off on the scope from stakeholders and executives as required.

      Input

      • Brainstorming
      • Mission statement and goals

      Output

      • Completed list of items in and out of scope for the VMI

      Materials

      • Whiteboard/Flip Charts
      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.2 Scope

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 1.3: Strengths and obstacles

      Pinpoint the VMI’s strengths and obstacles.

      A SWOT analysis (strengths, weaknesses, opportunities, and threats) is a valuable tool, but it is overkill for your VMI at this point. However, using a modified and simplified form of this tool (strengths and obstacles) will yield significant results and benefit the VMI as it grows and matures.

      Your output will be two lists: the strengths associated with the VMI and the obstacles facing the VMI. For example, strengths could include items such as smart people working within the VMI and executive support. Obstacles could include items such as limited headcount and training required for VMI staff.

      The goals are 1) to harness the strengths to help the VMI be successful and 2) to understand the impact of the obstacles and plan accordingly. The output can also be used to enlighten executives and stakeholders about the challenges associated with their directives or requests (e.g. human bandwidth may not be sufficient to accomplish some of the vendor management activities and there is a moratorium on hiring until the next budget year).

      For each strength identified, determine how you will or can leverage it when things are going well or when the VMI is in a bind. For each obstacle, list the potential impact on the VMI (e.g. scope, growth rate, and number of vendors that can actively be part of the VMI).

      As you do your brainstorming, be as specific as possible and validate your lists with stakeholders and executives as needed.

      1.3.1: Strengths and obstacles

      20-40 minutes

      1. Meet with the participants and use a brainstorming activity to list on a whiteboard or flip chart the VMI’s strengths and obstacles.
        1. Be specific to avoid ambiguity and improve clarity.
        2. Go back and forth between strengths and obstacles as needed; it is not necessary to list all of the strengths and then turn your attention to the obstacles.
        3. It is possible for an item to be a strength and an obstacle; when this happens, add details to distinguish the situations.
      2. Review the lists to make sure there is enough specificity.
      3. Determine how you will leverage each strength and how you will manage each obstacle.
      4. Use the Phase 1 Tools and Templates Compendium, Tab 1.3 Strengths and Obstacles, to document the results.
      5. Obtain sign-off on the strengths and obstacles from stakeholders and executives as required.

      Download the Info-Tech Jump – Phase 1 Tools and Templates Compendium

      Input

      • Brainstorming
      • Mission statement and goals
      • Scope

      Output

      • Completed list of items impacting the VMI’s ability to be successful: strengths the VMI can leverage and obstacles the VMI must manage

      Materials

      • Whiteboard/Flip Charts
      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.3 Strengths and Obstacles

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 1.4: Roles and responsibilities

      Obtain consensus on who is responsible for what.

      One crucial success factor for VMIs is gaining and maintaining internal alignment. There are many moving parts to an organization, and a VMI must be clear on the various roles and responsibilities related to the relevant processes. Some of this information can be found in the VMI’s scope, referenced in Step 1.2, but additional information is required to avoid stepping on each other’s toes since many of the processes require internal departments to work together. (For example, obtaining requirements for a request for proposal takes more than one person or one department to complete this process.) While it is not necessary to get too granular, it is imperative that you have a clear understanding of how the VMI activities will fit within the larger vendor management lifecycle (which is comprised of many sub processes) and who will be doing what.

      As we have learned through our workshops and guided implementations, a traditional RACI* or RASCI* chart does not work well for this purpose. These charts are not intuitive, and they lack the specificity required to be effective. For vendor management purposes, a higher-level view and a slightly different approach provide much better results.

      This step will lead your through the creation of an OIC* chart to determine vendor management lifecycle roles and responsibilities. Afterward, you’ll be able to say, “Oh, I see clearly who is involved in each part of the process and what their role is.”

      *RACI – Responsible, Accountable, Consulted, Informed
      *RASCI – Responsible, Accountable, Support, Consulted, Informed
      *OIC – Owner, Informed, Contributor

      This is an image of a table which shows an example of which role would be responsible for which step

      Step 1.4: Roles and responsibilities (cont.)

      Obtain consensus on who is responsible for what.

      To start, define the vendor management lifecycle steps or process applicable to your VMI. Next, determine who participates in the vendor management lifecycle. There is no need to get too granular – think along the lines of departments, subdepartments, divisions, agencies, or however you categorize internal operational units. Avoid naming individuals other than by title; this typically happens when a person oversees a large group (e.g. the CIO [chief information officer] or the CPO [chief procurement officer]). Be thorough, but the chart can get out of hand quickly. For each role and step of the lifecycle, ask whether the entry is necessary – does it add value to the clarity of understanding the responsibilities associated with the vendor management lifecycle? Consider two examples, one for roles and one for lifecycle steps: 1) Is IT sufficient or do you need IT Operations and IT Development? 2) Is “negotiate contract documents” sufficient or do you need “negotiate the contract” and “negotiate the renewal”? The answer will always depend on your culture and environment, but be wary of creating a spreadsheet that requires an 85-inch monitor to view it in its entirety.

      After defining the roles (departments, divisions, agencies) and the vendor management lifecycle steps or process, assign one of three letters to each box in your chart:

      • O – Owner – who owns the process; they may also contribute to it.
      • I – Informed – who is informed about the progress or results of the process.
      • C – Contributor – who contributes or works on the process; it can be tangible or intangible contributions.

      This activity can be started by the VMI or done as a group with representatives from each of the named roles. If the VMI starts the activity, the resulting chart should be validated by the each of the named roles.

      1.4.1: Roles and responsibilities

      1-6 hours

      1. Meet with the participants and configure the OIC Chart in the Jump – Phase 1 Tools and Templates Compendium, Tab 1.4 OIC Chart.
        1. Review the steps or activities across the top of the chart and modify as needed.
        2. Review the roles listed along the left side of the chart and modify as needed.
      2. For each activity or step across the top of the chart, assign each role a letter – O for owner of that activity or step; I for informed; or C for contributor. Use only one letter per cell.
      3. Work your way across the chart. Every cell should have an entry or be left blank if it is not applicable.
      4. Review the results and validate that every activity or step has an O assigned to it; there must be an owner for every activity or step.
      5. Obtain sign-off on the OIC chart from stakeholders and executives as required.

      Download the Info-Tech Jump – Phase 1 Tools and Templates Compendium

      Input

      • A list of activities or steps to complete a project, starting with requirements gathering and ending with ongoing risk management
      • A list of internal areas (departments, divisions, agencies, etc.) and stakeholders that contribute to completing a project

      Output

      • Completed OCI chart indicating roles and responsibilities for the VMI and other internal areas

      Materials

      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.4 OIC Chart

      Participants

      • VMI team
      • Procurement/Sourcing
      • IT
      • Representatives from other areas as needed
      • Applicable stakeholders and executives as needed

      Step 1.5: Process mapping

      Diagram the workflow.

      Although policies and procedures are important, their nature can make it difficult to grasp how things work at a high level (or even at the detail level). To help bridge the gap, map the applicable processes (determined by how deep and wide you want to go) involving the VMI. To start, look at the OIC chart from Step 1.4. You can expand the breadth and depth of your mapping to include the VMI scope, the 3-year roadmap (see Step 2.9), and the processes driven by the day-to-day work within the VMI.

      Various mapping tools can be used. Three common approaches that can be mixed and matched are:

      • Traditional flowcharts.
      • Swimlane diagrams.
      • Work breakdown structures.
      This is an example of a Workflow Process Map

      Step 1.5: Process mapping (cont.)

      Diagram the workflow.

      Your goal is not to create an in-depth diagram for every step of the vendor management lifecycle. However, for steps owned by the VMI, the process map should include sufficient details for the owner and the contributors (see Step 1.4) to understand what is required of them to support that step in the lifecycle.

      For VMI processes that don’t interact with other departments, follow the same pattern as outlined above for steps owned by the VMI.

      Whatever methodology you use to create your process map, make sure it includes enough details so that readers and users can identify the following elements:

      • Input:
        • What are the inputs?
        • Where do the inputs originate or come from?
      • Process:
        • Who is involved/required for this step?
        • What happens to the inputs in this step?
        • What additional materials, tools, or resources are used or required during this step?
      • Output:
        • What are the outputs?
        • Where do the outputs go next?

      1.5.1: Process Mapping

      1-8 hours (or more)

      1. Meet with the participants and determine which processes you want to map.
        1. For processes owned by the VMI, map the entire process.
        2. For processes contributed to by the VMI, map the entire process at a high level and map the VMI portion of the process in greater detail.
      2. Select the right charts/diagrams for your output.
        1. Flowchart
        2. Swimlane diagram
        3. Modified SIPOC (Supplier, Input, Process, Output, Customer)
        4. WBS (work breakdown structure)
      3. Begin mapping the processes either in a tool or using sticky notes. You want to be able to move the steps and associated information easily; most people don’t map the entire process accurately or with sufficient detail the first time through. An iterative approach works best.
      4. Obtain signoff on the process maps from stakeholders and executives as required. A copy of the final output can be kept in the Jump – Phase 1 Tools and Templates Compendium, Tab 1.5 Process Mapping, if desired.

      Download the Info-Tech Jump – Phase 1 Tools and Templates Compendium

      Input

      • Existing processes (formal, informal, documented, and undocumented)
      • OIC chart

      Output

      • Process maps for processes contributed to or owned by the VMI

      Materials

      • Sticky Notes
      • Flowchart/process mapping software or something similar
      • (Optional) Jump – Phase 1 Tools and Templates Compendium, Tab 1.5 Process Mapping

      Participants

      • VMI team
      • Procurement/Sourcing
      • IT
      • Representatives from other areas as needed
      • Applicable stakeholders and executives (as needed)

      Step 1.6: Charter

      Document how the VMI will operate.

      As you continue getting organized by working through steps 1.1-1.5, you may want to document your progress in a charter and add some elements. Basically, a charter is a written document laying out how the VMI will operate within the organization. It clearly states the VMI’s mission, goals, scope, roles and responsibilities, and vendor governance model. In addition, it can include a list of team members and sponsors.

      Whether you create a VMI charter will largely depend on:

      • Your organization’s culture.
      • Your organization’s formality.
      • The perceived value of creating a charter.

      If you decide to create a VMI charter, this is a good place in the process to create an initial draft. As you continue working through the blueprint and your VMI matures, update the VMI charter as needed.

      VMI Charter:

      • Purpose
      • Sponsors
      • Roles
      • Responsibilities
      • Governance

      1.6.1: Charter

      1-4 hours

      1. Meet with the participants and review the template in Jump – Phase 1 Tools and Templates Compendium, Tab 1.6 Charter.
      2. Determine whether the participants will use this template or add materials to your standard charter template.
      3. Complete as much of the charter as possible, knowing that some information may not be available until later.
      4. Return to the charter as needed until it is completed.
      5. Obtain sign-off on the charter from stakeholders and executives as required.

      Download the Info-Tech Jump – Phase 1 Tools and Templates Compendium

      Input

      • Mission statement and goals
      • Scope
      • Strengths and obstacles
      • OIC chart
      • List of stakeholders and executives and their VMI roles and responsibilities

      Output

      • Completed VMI charter

      Materials

      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.6 Charter
      • Your organization’s standard charter document

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 1.7: Vendor inventory

      Compile a list of vendors and relevant vendor information.

      As you prepare your VMI for being operational, it’s critical to identify all of your current vendors providing IT products or services to the organization. This can be tricky and may depend on how you view things internally. For example, you may have traditional IT vendors that are managed by IT, and you may have IT vendors that are managed by other internal departments (shadow IT or out-in-the-open IT). If it wasn’t determined with the help of stakeholders and executives before now, make sure you establish the purview of the VMI at this point. What types of vendors are included and excluded from the VMI?

      You may find that a vendor can be included and excluded based on the product or service they provide. A vendor may provide a service that is managed by IT and a service that is managed/controlled by another department. In this instance, a good working relationship and clearly defined roles and responsibilities between the VMI and the other department will be required. But, it all starts with compiling a list of vendors and validating the VMI’s purview (and any limitations) for the vendors with stakeholders and executives.

      Step 1.7: Vendor inventory (cont.)

      Compile a list of vendors and relevant vendor information.

      At a minimum, the VMI should be able to quickly retrieve key information about each of “its” vendors:

      • Vendor Name
      • Classification (see Steps 2.1 and 3.1)
      • Categories of Service
      • Names of Products and Services Provided
      • Brief Descriptions of Products and Services Provided
      • Annualized Vendor Spend
      • Vendor Contacts
      • Internal Vendor Relationship Owner

      Not all of this information will be available at this point, but you can begin designing or configuring your tool to meet your needs. As your VMI enters Phase 3: Run and continues to mature, you will return to this tool and update the information. For example, the vendor classification category won’t be known until Phase 3, and it can change over time.

      1.7.1: Vendor inventory

      1-10 hours

      Meet with the participants and review the Jump – Phase 1 Tools and Templates Compendium, Tab 1.7 Vendor Inventory. Determine whether the VMI wants to collect and/or monitor additional information and make any necessary modifications to the tool.

      Enter the “Annual IT Vendor Spend” amount in the appropriate cell toward the top of the spreadsheet. This is for IT spend for vendor-related activities within the VMI’s scope; include shadow IT spend and “non-shadow” IT spend if those vendors will be included in the VMI’s scope.

      Populate the data fields for your top 50 vendors by annual spend; you may need multiple entries for the same vendor depending on the nature of the products and services they provide.

      Ignore the “Classification” column for now; you will return to this later when classification information is available.

      Ignore the “Percentage of IT Budget” column as well; it uses a formula to calculate this information.

      Input

      • Data from various internal and external sources such as accounts payable, contracts, and vendor websites

      Output

      • List of vendors with critical information required to manage relationships with key vendors

      Materials

      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.7 Vendor Inventory

      Participants

      • VMI team (directly)
      • Other internal and external personnel (indirectly)

      Download the Info-Tech Jump – Phase 1 Tools and Templates Compendium

      Step 1.8: Maturity assessment

      Establish a VMI maturity baseline and set an ideal future state.

      Knowing where you are and where you want to go are essential elements for any journey in the physical world, and the same holds true for your VMI journey. Start by assessing your current-state VMI maturity. This will provide you with a baseline to measure progress against. Next, using the same criteria, determine the level of VMI maturity you would like to achieve one year in the future. This will be your future-state VMI maturity. Lastly, identify the gaps and plot your course.

      The maturity assessment provides three main benefits:

      1. Focus – you’ll know what is important to you moving forward.
      2. 3-Year Roadmap (discussed more fully in Step 2.9) – you’ll have additional input for your short-term and long-term roadmap (1, 2, and 3 years out).
      3. Quantifiable Improvement – you’ll be able to measure your progress and make midcourse corrections when necessary.

      Step 1.8: Maturity assessment (cont.)

      Establish a VMI maturity baseline and set an ideal future state.

      The Info-Tech VMI Maturity Assessment tool evaluates your maturity across several criteria across multiple categories. Once completed, the assessment will specify:

      • A current-state score by category and overall.
      • A target-state score by category and overall.
      • A quantifiable gap for each criterion.
      • A priority assignment for each criterion.
      • A level of effort required by criterion to get from the current state to the target state.
      • A target due date by criterion for achieving the target state.
      • A rank order for each criterion (note: limit your ranking to your top 7 or 9).

      Many organizations will be tempted to mature too quickly. Resource constraints and other items from Step 1.3 (Strengths and Obstacles) will impact how quickly you can mature. Being aggressive is fine, but it must be tempered with a dose of reality. Otherwise, morale, perception, and results can suffer.

      1.8.1: Maturity assessment

      45-90 minutes

      1. Meet with the participants and use Jump – Phase 1 Tools and Templates Compendium, Tab 1.8 Maturity Assessment Input, to complete the first part of this activity. Provide the required information indicated below.
        1. Review each statement in column B and enter a value in the “Current” column using the drop-down menus based on how much you disagree or agree (0-4) with the statement. This establishes a baseline maturity.
        2. Repeat this process for the “Future” column using a target date of one year from now to achieve this level. This is your desired maturity.
        3. Enter information regarding priority, level of effort, and target due date in the applicable columns using the drop-down menus. (Priority levels are critical, high, medium, low, and maintain; Levels of Effort are high, medium, and low; Target Due Dates are broken into timelines: 1-3 months, 4-6 months, 7-9 months, and 10-12 months.)
      2. Review the information on Jump – Phase 1 Tools and Templates Compendium, Tab 1.8 Maturity Assessment Output; use the Distribution Tables to help you rank your top priorities. Enter a unique number into the Priority (Rank) column. Limit your ranking to the top 7 to 9 activities to provide focus.

      Input

      • Knowledge of current VMI practices and desired future states

      Output

      • VMI maturity baseline
      • Desired VMI target maturity state (in one year)
      • Prioritized areas to improve and due dates
      • Graphs and tables to identify maturity deltas and track progress

      Materials

      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.8 Maturity Assessment Input
      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.8 Maturity Assessment Output

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 1.9: Structure

      Determine the VMI’s organizational and reporting structure.

      There are two parts to the VMI structure:

      1. Organization Structure. Who owns the VMI – where does it fit on the organization chart?
      2. Reporting Structure. What is the reporting structure within the VMI – what are the job functions, titles, and solid and dotted lines of accountability?

      VMI Organization Structure

      The decision regarding who owns the VMI can follow one of two paths:

      1. The decision has already been made by the board of directors, executives, senior leadership, or stakeholders; OR
      2. The decision has not been made, and options will be reviewed and evaluated before it is implemented.

      Many organizations overlook the importance of this decision. The VMI’s position on the organization chart can aid or hinder its success. Whether the decision has already been made or not, this is the perfect time to evaluate the decision or options based on the following question: Why is the VMI being created and how will it operate? Review the documents you created during Steps 1.1-1.8 and other factors to answer this question.

      Step 1.9: Structure (cont.)

      Determine the VMI’s organizational and reporting structure.

      Based on your work product from Steps 1.1-1.8 and other factors, select where the VMI will be best located from the following areas/offices or their equivalent:

      • Chief Compliance Officer (CCO)
      • Chief Information Officer (CIO)
      • Chief Financial Officer (CFO)
      • Chief Procurement Officer (CPO)
      • Chief Operating Officer (COO)
      • Other area

      Without the proper support and placement in the organization chart, the VMI can fail. It is important for the VMI to find a suitable home with a direct connection to one of the sponsors identified above and for the VMI lead to have significant stature (aka title) within the organization. For example, if the VMI lead is a “manager” level who is four reporting layers away from the chief officer/sponsor, the VMI will have an image issue within and outside of the sponsor’s organization (as well as within the vendor community). While this is not to say that the VMI lead should be a vice president* or senior director, our experience and research indicate that the VMI and the VMI lead will be taken more seriously when the VMI lead is at least a director level reporting directly to a CXO.

      *For purposes of the example above, the reporting structure hierarchy used is manager, senior manager, director, senior director, vice president, CXO.

      Step 1.9: Structure (cont.)

      Determine the VMI’s organizational and reporting structure.

      VMI Reporting Structure

      As previously mentioned, the VMI reporting structure describes and identifies the job functions, titles, and lines of accountability. Whether you have a formal vendor management office or you are leveraging the principles of vendor management informally, your VMI reporting structure design will involve some solid lines and some dotted lines. In this instance, the dotted lines represent part-time participation or people/areas that will assist the VMI in some capacity. For example, if the VMI sits within IT, a dotted line to Procurement will show that a good working relationship is required for both parties to succeed; or a dotted line to Christina in Legal will indicate that Christina will be helping the VMI with legal issues.

      There is no one-size-fits-all reporting structure for VMIs, and your approach must leverage the materials from Steps 1.1-1.8, your culture, and your needs. By way of example, your VMI may include some or all of the following functions:

      • Contract Management
      • Relationship Management
      • Financial Management
      • Asset Management
      • Performance Management
      • Sourcing/Procurement
      • Risk Management

      Step 1.9: Structure (cont.)

      Determine the VMI’s organizational and reporting structure.

      Once you’ve identified the functional groups, you can assign titles, responsibilities, and reporting relationships. A good diagram goes a long way to helping others understand your organization. Traditional organization charts work well with VMIs, but a target diagram allows for rapid absorption of the dotted-line relationships. Review the two examples below and determine an approach that works best for you.

      An organizational Chart is depicted.  At the top of the chart is: Office of the CIO.  Below that is: VMI: Legal; Accounting & Finance; Corporate Procurement; below that are the following: Vendor Risk Management; Vendor Reporting and Analysis; Asset Management; Performance Management; Contract Management; IT Procurement Three concentric circles are depicted.  In the inner circle is the term: VMI.  In the middle circle are the terms: Reporting & Analysis; Asset Mgmt; Contract Mgmt; Performance Mgmt; It Proc; Vendor Risk.  In the outer circle are the following terms: Compliance; Finance; HR; Accounting; Procurement; Business Units; Legal; IT

      1.9.1: Structure

      15-60 minutes

      1. Meet with the participants and review decisions that have been made or options that are available regarding the VMI’s placement in the organization chart.
        1. Common options include the Chief Information Officer (CIO), Chief Financial Officer (CFO), or Chief Procurement Officer (CPO).
        2. Less common but viable options include the Chief Compliance Officer (CCO), Chief Operating Officer (COO), or another area.
      2. Brainstorm and determine the job functions and titles
      3. Define the reporting structure within the VMI.
      4. Identify the “dotted line” relationships between the VMI and other internal areas.
      5. Using flowchart, org. chart, or other similar software, reduce your results to a graphic representation that indicates where the VMI resides, its reporting structure, and its dotted-line relationships.
      6. Obtain sign-off on the structure from stakeholders and executives as required. A copy of the final output can be kept in the Jump – Phase 1 Tools and Templates Compendium, Tab 1.9 Structure, if desired.

      Input

      • Mission statement and goals
      • Scope
      • Maturity assessment results (current and target state)
      • Existing org. charts
      • Brainstorming

      Output

      • Completed org. chart with job titles and reporting structure

      Materials

      • Whiteboard/flip chart
      • Sticky notes
      • Flowchart/org. chart software or something similar
      • (Optional) Jump – Phase 1 Tools and Templates Compendium, Tab 1.9 Structure

      Participants

      • VMI team
      • VMI sponsor
      • Stakeholders and executives

      Phase 2: Build

      Create and Configure Tools, Templates, and Processes

      Phase 1Phase 2Phase 3Phase 4
      1.1 Mission Statement and Goals


      1.2 Scope

      1.3 Strengths and Obstacles

      1.4 Roles and Responsibilities

      1.5 Process Mapping

      1.6 Charter

      1.7 Vendor Inventory

      1.8 Maturity Assessment

      1.9 Structure

      2.1 Classification Model
      2.2 Risk Assessment Tool
      2.3 Scorecards and Feedback
      2.4 Business Alignment Meeting Agenda
      2.5 Relationship Alignment Document
      2.6 Vendor Orientation
      2.7 Job Descriptions
      2.8 Policies and Procedures
      2.9 3-Year Roadmap
      2.10 90-Day Plan
      2.11 Quick Wins
      2.12 Reports

      3.1 Classify Vendors
      3.2 Conduct Internal “Kickoff” Meeting
      3.3 Conduct Vendor Orientation
      3.4 Compile Scorecards
      3.5 Conduct Business Alignment Meetings
      3.6 Work the 90-Day Plan
      3.7 Manage the 3-Year Roadmap
      3.8 Measure and Monitor Risk
      3.9 Issue Reports
      3.10 Develop/Improve Vendor Relationships
      3.11 Contribute to Other Processes

      4.1 Assess Compliance
      4.2 Incorporate Leading Practices
      4.3 Leverage Lessons Learned
      4.4 Maintain Internal Alignment
      4.5 Update Governances

      This phase will walk you through the following activities:

      Configure and create the tools and templates that will help you run the VMI. The main outcomes from this phase are a clear understanding of which vendors are important to you, the tools to manage the vendor relationships, and an implementation plan.

      This phase involves the following participants:

      • VMI team
      • Applicable stakeholders and executives
      • Human Resources
      • Legal
      • Others as needed

      Jump Start Your Vendor Management Initiative

      Phase 2: Build

      Create and configure tools, templates, and processes.

      Phase 2: Build focuses on creating and configuring the tools and templates that will help you run your VMI. Vendor management is not a plug-and-play environment, and unless noted otherwise, the tools and templates included with this blueprint require your input and thought. The tools and templates must work in concert with your culture, values, and goals. That will require teamwork, insights, contemplation, and deliberation.

      During this Phase, you’ll leverage the various templates and tools included with this blueprint and adapt them for your specific needs and use. In some instances, you’ll be starting with mostly a blank slate; while in others, only a small modification may be required to make it fit your circumstances. However, it is possible that a document or spreadsheet may need heavy customization to fit your situation. As you create your VMI, use the included materials for inspiration and guidance purposes rather than as absolute dictates.

      Step 2.1: Classification model

      Configure the COST Vendor Classification Tool.

      One of the functions of a VMI is to allocate the appropriate level of vendor management resources to each vendor since not all vendors are of equal importance to your organization. While some people may be able intuitively to sort their vendors into vendor management categories, a more objective, consistent, and reliable model works best. Info-Tech’s COST model helps you assign your vendors to the appropriate vendor management category so that you can focus your vendor management resources where they will do the most good.

      COST is an acronym for Commodity, Operational, Strategic, and Tactical. Your vendors will occupy one of these vendor management categories, and each category helps you determine the nature of the resources allocated to that vendor, the characteristics of the relationship desired by the VMI, and the governance level used.

      The easiest way to think of the COST model is as a 2x2 matrix or graph. The model should be configured for your environment so that the criteria used for determining a vendor’s classification align with what is important to you and your organization. However, at this point in your VMI’s maturation, a simple approach works best. The Classification Model included with this blueprint requires minimal configuration to get you started and that is discussed on the activity slide associated with this Step 2.1.


      Speed
      Operational Strategic
      Commodity Tactical
      →→→
      Criticality and Risk to the Organization

      Step 2.1: Classification model (cont.)

      Configure the COST Vendor Classification Tool.

      Common Characteristics by Vendor Management Category

      Operational Strategic
      • Low to moderate risk and criticality; moderate to high spend and switching costs
      • Product or service used by more than one area
      • Price is a key negotiation point
      • Product or service is valued by the organization
      • Quality or the perception of quality is a differentiator (i.e. brand awareness)
      • Moderate to high risk and criticality; moderate to high spend and switching costs
      • Few competitors and differentiated products and services
      • Product or service significantly advances the organization’s vision, mission, and success
      • Well-established in their core industry
      Commodity Tactical
      • Low risk and criticality; low spend and switching costs
      • Product or service is readily available from many sources
      • Market has many competitors and options
      • Relationship is transactional
      • Price is the main differentiator
      • Moderate to high risk and criticality; low to moderate spend and switching costs
      • Vendor offerings align with or support one or more strategic objectives
      • Often IT vendors “outside” of IT (i.e. controlled and paid for by other areas)
      • Often niche or new vendors

      Source: Compiled in part from Stephen Guth, “Vendor Relationship Management Getting What You Paid for (And More)”

      2.1.1: Classification Model

      15-30 minutes

      1. Meet with the participants to configure the spend ranges in Jump – Phase 2 Vendor Classification Tool, Tab 1. Configuration, for your environment.
      2. Sort the data from Jump – Phase 1 Tools and Templates Compendium, Tab 1.7 Vendor Inventory, by spend; if you used multiple line items for a vendor in the Vendor Inventory tab, you will have to aggregate the spend data for this activity.
      3. Update cells F14-J14 in the Classification Model based on your actual data.
        1. Cell F14 – set the boundary at a point between the spend for your 10th and 11th ranked vendors. For example, if the 10th vendor by spend is $1,009,850 and the 11th vendor by spend is $980,763, the range for F14 would be $1,000,00+.
        2. Cell G14 – set the bottom of the range at a point between the spend for your 30th and 31st ranked vendors; the top of the range will be $1 less than the bottom of the range specified in F14.
        3. Cell H14 – set the bottom of the range slightly below the spend for your 50th ranked vendor; the top of the range will be $1 less than the bottom of the range specified in G14.
        4. Cells I14 and J14 – divide the remaining range in half and split it between the two cells; for J14 the range will be $0 to $1 less than the bottom range in I14.
      4. Ignore the other variables at this time.

      Download the Info-Tech Jump – Phase 2 Vendor Risk Assessment Tool

      Input

      • Jump – Phase 1 Tools and Templates Compendium, Tab 1.7 Vendor Inventory

      Output

      • Configured Vendor Classification Tool

      Materials

      • Jump – Phase 2 Vendor Classification Tool, Tab 1. Configuration

      Participants

      • VMI team

      Step 2.2: Risk assessment tool

      Identify risks to measure, monitor, and report on.

      One of the typical drivers of a VMI is risk management. Organizations want to get a better handle on the various risks their vendors pose. Vendor risks originate from many areas: financial, performance, security, legal, and many others. However, security risk is the high-profile risk and the one organizations often focus on almost exclusively, which leaves the organization vulnerable in other areas.

      Risk management is a program, not a project – there is no completion date. A proactive approach works best and requires continual monitoring, identification, and assessment. Reacting to risks after they occur can be costly and can have other detrimental effects on the organization. Any risk that adversely affects IT will adversely affect the entire organization.

      While the VMI won’t necessarily be quantifying or calculating the risk directly, it generally is the aggregator of risk information across the risk categories, which it then includes in its reporting function. (See Steps 2.12 and 3.8.)

      At a minimum, your risk management strategy should involve:

      • Identifying the risks you want to measure and monitor.
      • Identifying your risk appetite (the amount of risk you are willing to live with).
      • Measuring, monitoring, and reporting on the applicable risks.
      • Developing and deploying a risk management plan to minimize potential risk impact.

      Vendor risk is a fact of life, but you do have options for how you handle it. Be proactive and thoughtful in your approach, and focus your resources on what is important.

      2.2.1: Risk assessment tool

      30-90 minutes

      1. Meet with the participants to configure the risk indicators in Jump – Phase 2 Vendor Risk Assessment Tool, Tab 1. Set Parameters, for your environment.
      2. Review the risk categories and determine which ones you will be measuring and monitoring.
      3. Review the risk indicators under each risk category and determine whether the indicator is acceptable as written, is acceptable with modifications, should be replaced, or should be deleted.
      4. Make the necessary changes to the risk indicators; these changes will cascade to each of the vendor tabs. Limit the number of risk indicators to no more than seven per risk category.
      5. Gain input and approval as needed from sponsors, stakeholders, and executives as required.

      Download the Info-Tech Jump – Phase 2 Vendor Risk Assessment Tool

      Input

      • Scope
      • OIC Chart
      • Process Maps
      • Brainstorming

      Output

      • Configured Vendor Classification Tool

      Materials

      • Jump – Phase 2 Vendor Classification Tool, Tab 1. Configuration

      Participants

      • VMI team

      Step 2.3: Scorecards and feedback

      Design a two-way feedback loop with your vendors.

      A vendor management scorecard is a great tool for measuring, monitoring, and improving relationship alignment. In addition, it is perfect for improving communication between you and the vendor.

      Conceptually, a scorecard is similar to a report card you received when you were in school. At the end of a learning cycle, you received feedback on how well you did in each of your classes. For vendor management, the scorecard is also used to provide periodic feedback, but there are some different nuances and some additional benefits and objectives when compared to a report card.

      Although scorecards can be used in a variety of ways, the main focus here will be on vendor management scorecards – contract management, project management, and other types of scorecards will not be included in the materials covered in this Step 2.3 or in Step 3.4.

      Category 1 Score
      Vendor Objective A 4
      Objective B 3
      Objective C 5
      Objective D 4 !

      Step 2.3: Scorecards and feedback (cont.)

      Design a two-way feedback loop with your vendors.

      Anatomy

      The Info-Tech Scorecard includes five areas:

      • Measurement Categories. Measurement categories help organize the scorecard. Limit the number of measurement categories to three to five; this allows the parties to stay focused on what’s important. Too many measurement categories make it difficult for the vendor to understand the expectations.
      • Criteria. The criteria describe what is being measured. Create criteria with sufficient detail to allow the reviewers to fully understand what is being measured and to evaluate it. Criteria can be objective or subjective. Use three to five criteria per measurement category.
      • Measurement Category Weights. Not all of your measurement categories may be of equal importance to you; this area allows you to give greater weight to a measurement category when compiling the overall score.
      • Rating. Reviewers will be asked to assign a score to each criteria using a 1 to 5 scale.
      • Comments. A good scorecard will include a place for reviewers to provide additional information regarding the rating or other items that are relevant to the scorecard.

      An overall score is calculated based on the rating for each criteria and the measurement category weights.

      Step 2.3: Scorecards and feedback (cont.)

      Design a two-way feedback loop with your vendors.

      Goals and Objectives

      Scorecards can be used for a variety of reasons. Some of the common ones are listed below:

      • Improve vendor performance.
      • Convey expectations to the vendor.
      • Identify and recognize top vendors.
      • Increase alignment between the parties.
      • Improve communication with the vendor.
      • Compare vendors across the same criteria.
      • Measure items not included in contract metrics.
      • Identify vendors for “strategic alliance” consideration.
      • Help the organization achieve specific goals and objectives.
      • Identify and resolve issues before they impact performance or the relationship.

      Identifying your scorecard drivers first will help you craft a suitable scorecard.

      Step 2.3: Scorecards and feedback (cont.)

      Design a two-way feedback loop with your vendors.

      Info-Tech recommends starting with simple scorecards to allow you and the vendors to acclimate to the new process and information. As you build your scorecards, keep in mind that internal personnel will be scoring the vendors and the vendors will be reviewing the scorecard. Make your scorecard easy for your personnel to fill out and composed of meaningful content to drive the vendor in the right direction. You can always make the scorecard more complex in the future.

      Our recommendation of five categories is provided below. Choose three to five categories to help you accomplish your scorecard goals and objectives:

      1. Timeliness – responses, resolutions, fixes, submissions, completions, milestones, deliverables, invoices, etc.
      2. Cost – total cost of ownership, value, price stability, price increases/decreases, pricing models, etc.
      3. Quality – accuracy, completeness, mean time to failure, bugs, number of failures, etc.
      4. Personnel – skilled, experienced, knowledgeable, certified, friendly, trustworthy, flexible, accommodating, etc.
      5. Risk – adequate contractual protections, security breaches, lawsuits, finances, audit findings, etc.

      Some criteria may be applicable in more than one category. The categories above should cover at least 80% of the items that are important to your organization. The general criteria listed for each category is not an exhaustive list, but most things break down into time, money, quality, people, and risk issues.

      Step 2.3: Scorecards and feedback (cont.)

      Design a two-way feedback loop with your vendors.

      Additional Considerations

      • Even a good rating system can be confusing. Make sure you provide some examples or a way for reviewers to discern the differences between 1, 2, 3, 4, and 5. Don’t assume your “Rating Key” will be intuitive.
      • When assigning weights, don’t go lower than 10% for any measurement category. If the weight is too low, it won’t be relevant enough to have an impact on the total score. If it doesn’t “move the needle,” don’t include it.
      • Final sign-off on the scorecard template should occur outside of the VMI. The heavy lifting can be done by the VMI to create it, but the scorecard is for the benefit of the organization overall and those impacted by the vendors specifically. You may end up playing arbiter or referee, but the scorecard is not the exclusive property of the VMI. Try to reach consensus on your final template whenever possible.
      • You should notice improved ratings and total scores over time for your vendors. One explanation for this is the Pygmalion Effect: “The Pygmalion [E]ffect describes situations where someone’s high expectations improves our behavior and therefore our performance in a given area. It suggests that we do better when more is expected of us.”* Convey your expectations and let the vendors’ competitive juices take over.
      • While you’re creating your scorecard and materials to explain the process to internal personnel, identify those pieces that will help you explain it to your vendors as part of your vendor orientation (see steps 2.6 and 3.4). Leveraging pre-existing materials is a great shortcut.

      *Source: The Decision Lab, 2020

      Step 2.3: Scorecards and feedback (cont.)

      Design a two-way feedback loop with your vendors.

      Vendor Feedback

      After you’ve built your scorecard, turn your attention to the second half of the equation – feedback from the vendor. A communication loop cannot be successful without the dialogue flowing both ways. While this can happen with just a scorecard, a mechanism specifically geared toward the vendor providing you with feedback improves communication, alignment, and satisfaction.

      You may be tempted to create a formal scorecard for the vendor to use. Our recommendation is to avoid that temptation until later in your maturity or development of the VMI. You’ll be implementing a lot of new processes, deploying new tools and templates, and getting people to work together in new ways. Work on those things first.

      For now, implement an informal process for obtaining information from the vendor. Start by identifying information that you will find useful, information that will allow you to improve overall, to reduce waste or time, to improve processes, to identify gaps in skills. Incorporate these items into your business alignment meetings (see Steps 2.4 and 3.5). Create three to five good questions to ask the vendor and include these in the business alignment meeting agenda. The goal is to get meaningful feedback, and that starts with asking good questions.

      Keep it simple at first. When the time is right, you can build a more formal feedback form or scorecard. Don’t be in a rush though. So long as the informal method works, keep using it.

      2.3.1: Scorecards and feedback

      30-60 minutes

      1. Meet with the participants and brainstorm ideas for your scorecard measurement categories:
        1. What makes a vendor valuable to your organization?
        2. What differentiates a “good” vendor from a “bad” vendor?
        3. What items would you like to measure and provide feedback to the vendor to improve performance, the relationship, risk, and other areas?
      2. Select three, but no more than five, of the following measure categories: timeliness, cost, quality, personnel, and risk.
      3. Within each measurement category, list two or three criteria that you want to measure and track for your vendors; choose items that are as universal as possible rather than being applicable to one vendor or one vendor type.
      4. Assign a weight to each measurement category, ensuring that the total weight is 100% for all measurement categories.
      5. Document your results as you go in Jump – Phase 2 Tools and Templates Compendium, Tab 2.3 Scorecard.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming

      Output

      • Configured scorecard template

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.3 Scorecard

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      2.3.2: Scorecards and feedback

      15-30 minutes

      1. Meet with the participants and brainstorm ideas for feedback to seek from your vendors during your business alignment meetings. During the brainstorming, identify questions to ask the vendor about your organization that will:
        1. Help you improve the relationship.
        2. Help you improve your processes or performance.
        3. Help you improve ongoing communication.
        4. Help you evaluate your personnel.
      2. Identify the top five questions you want to include in your business alignment meeting agenda. (Note: you may need to refine the actual questions from the brainstorming activity before they are ready to include in your business alignment meeting agenda.)
      3. Document both your brainstorming activity and your final results in Jump – Phase 2 Tools and Templates Compendium, Tab 2.3 Feedback. The brainstorming questions can be used in the future as your VMI matures and your feedback transforms from informal to formal. The final results will be used in Steps 2.4 and 3.5.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming

      Output

      • Feedback questions to include with the business alignment meeting agenda

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.3 Feedback

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 2.4: Business alignment meeting agenda

      Craft an agenda that meets the needs of the VMI.

      A business alignment meeting (BAM) is a great, multi-faceted tool to ensure the customer and the vendor stay focused on what is important to the customer at a high level. BAMs are not traditional “operational” meetings where the parties get into the details of the contracts, deal with installation problems, address project management issues, or discuss specific cost overruns. The main focus of the BAM is the scorecard (see Step 2.3), but other topics are discussed and other purposes are served. For example, you can use the BAM to develop the relationship with the vendor’s leadership team so that if escalation is ever needed, your organization is more than just a name on a spreadsheet or customer list; you can learn about innovations the vendor is working on (without the meeting turning into a sales call); you can address high-level performance trends and request corrective action as needed; you can clarify your expectations; you can educate the vendor about your industry, culture, and organization; and you can learn more about the vendor.

      As you build your BAM agenda, someone in your organization may say, “Oh, that’s just a quarterly business review (QBR) or top-to-top meeting.” However, in most instances, an existing QBR or top-to-top meeting is not the same as a BAM. Using the term QBR or top-to-top meeting instead of BAM can lead to confusion internally. The VMI may say to the business unit, Procurement, or another department, “We’re going to start running some QBRs for our strategic vendors.” The typical response is, “There’s no need to do that. We already run QBRs/top-to-top meetings with our important vendors.” This may be accompanied by an invitation to join their meeting, where you may be an afterthought, have no influence, and get five minutes at the end to talk about your agenda items. Keep your BAM separate so that it meets your needs.

      Step 2.4: Business alignment meeting agenda (cont.)

      Craft an agenda that meets the needs of the VMI.

      As previously noted, using the term BAM more accurately depicts the nature of the VMI meeting and prevents confusion internally with other meetings already occurring. In addition, hosting the BAM yourself rather than piggybacking onto another meeting ensures that the VMI’s needs are met. The VMI will set and control the BAM agenda and determine the invite list for internal personnel and vendor personnel. As you may have figured out by now, having the right customer and vendor personnel attend will be essential.

      BAMs are conducted at the vendor level … not the contract level. As a result, the frequency of the BAMs will depend on the vendor’s classification category (see Steps 2.1 and 3.1). General frequency guidelines are provided below, but they can be modified to meet your goals:

      • Commodity Vendors – Not applicable
      • Operational Vendors – Biannually or annually
      • Strategic Vendors – Quarterly
      • Tactical Vendors – Quarterly or biannually

      BAMs can help you achieve some additional benefits not previously mentioned:

      • Foster a collaborative relationship with the vendor.
      • Avoid erroneous assumptions by the parties.
      • Capture and provide a record of the relationship (and other items) over time.

      Step 2.4: Business alignment meeting agenda (cont.)

      Craft an agenda that meets the needs of the VMI.

      As with any meeting, building the proper agenda will be one of the keys to an effective and efficient meeting. A high-level BAM agenda with sample topics is set out below:

      BAM Agenda

      • Opening Remarks
        • Welcome and introductions
        • Review of previous minutes
      • Active Discussion
        • Review of open issues
        • Scorecard and feedback
        • Current status of projects to ensure situational awareness by the vendor
        • Roadmap/strategy/future projects
        • Accomplishments
      • Closing Remarks
        • Reinforce positives (good behavior, results, and performance, value added, and expectations exceeded)
        • Recap
      • Adjourn

      2.4.1: Business alignment meeting agenda

      20-45 minutes

      1. Meet with the participants and review the sample agenda in Jump – Phase 2 Tools and Templates Compendium, Tab 2.4 BAM Agenda.
      2. Using the sample agenda as inspiration and brainstorming activities as needed, create a BAM agenda tailored to your needs.
        1. Select the items from the sample agenda applicable to your situation.
        2. Add any items required based on your brainstorming.
        3. Add the feedback questions identified during Activity 2.3.2 and documented in Jump – Phase 2 Tools and Templates Compendium, Tab 2.3 Feedback.
      3. Gain input and approval from sponsors, stakeholders, and executives as required or appropriate.
      4. Document the final BAM agenda in Jump – Phase 2 Tools and Templates Compendium, Tab 2.4 BAM Agenda.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming
      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.3 Feedback

      Output

      • Configured BAM agenda

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.4 BAM Agenda

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 2.5: Relationship alignment document

      Draft a document to convey important VMI information to your vendors.

      Throughout this blueprint, alignment is mentioned directly (e.g. business alignment meetings [Steps 2.4 and 3.5]) or indirectly implied. Ensuring you and your vendors are on the same page, have clear and transparent communication, and understand each other’s expectations is critical to fostering strong relationships. One component of gaining and maintaining alignment with your vendors is the relationship alignment document (RAD). Depending upon the scope of your VMI and what your organization already has in place, your RAD will fill in the gaps on various topics.

      Early in the VMI’s maturation, the easiest approach is to develop a short document (i.e. 1 page) or a pamphlet (i.e. the classic trifold) describing the rules of engagement when doing business with your organization. The RAD can convey expectations, policies, guidelines, and other items. The scope of the document will depend on 1) what you believe is important for the vendors to understand, and 2) any other similar information already provided to the vendors.

      The first step to drafting a RAD is to identify what information vendors need to know to stay on your good side. For example, you may want vendors to know about your gift policy (e.g. employees may not accept gifts from vendors above a nominal value such as a pen or mousepad). Next, compare your list of what vendors need to know and determine if the content is covered in other vendor-facing documents such as a vendor code of conduct or your website’s vendor portal. Lastly, create your RAD to bridge the gap between what you want and what is already in place. In some instances, you may want to include items from other documents to reemphasize them with the vendor community.

      Info-Tech Insight

      The RAD can be used with all vendors regardless of classification category. It can be sent directly to the vendors or given to them during vendor orientation (see Step 3.3)

      2.5.1: Relationship alignment document

      1-4 hours

      1. Meet with the participants and review the RAD sample and checklist in Jump – Phase 2 Tools and Templates Compendium, Tab 2.5 Relationship Alignment Doc.
      2. Determine:
        1. Whether you will create one RAD for all vendors or one RAD for strategic vendors and another RAD for tactical and operational vendors; whether you will create a RAD for commodity vendors.
        2. The concepts you want to include in your RAD(s).
        3. The format for your RAD(s) – traditional, pamphlet, or other.
        4. Whether signoff or acknowledgement will be required by the vendors.
      3. Draft your RAD(s) and work with other internal areas such as Marketing to create a consistent brand for the RADS and Legal to ensure consistent use and preservation of trademarks or other intellectual property rights and other legal issues.
      4. Review other vendor-facing documents (e.g. supplier code of conduct, onsite safety and security protocols) for consistencies between them and the RAD(s).
      5. Obtain signoff on the RAD(s) from stakeholders, sponsors, executives, Legal, Marketing, and others as needed.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming
      • Vendor-facing documents, policies, and procedures

      Output

      • Completed relationship alignment document(s)

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.5 Relationship Alignment Doc

      Participants

      • VMI team
      • Marketing, as needed
      • Legal, as needed

      Step 2.6: Vendor orientation

      Create a VMI awareness process to build bridges with your vendors.

      Vendor Orientation: 01 - Orientation; 02 - Reorientation; 03 - Debrief

      Your organization is unique. It may have many similarities with other organizations, but your culture, risk tolerance, mission, vision, and goals, finances, employees, and “customers” (those that depend on you) make it different. The same is true of your VMI. It may have similar principles, objectives, and processes to other organizations’ VMIs, but yours is still unique. As a result, your vendors may not fully understand your organization and what vendor management means to you.

      Vendor orientation is another means to helping you gain and maintain alignment with your important vendors, educate them on what is important to you, and provide closure when/if the relationship with the vendor ends. Vendor orientation is comprised of three components, each with a different function:

      • Orientation
      • Reorientation
      • Debrief

      Vendor orientation focuses on the vendor management pieces of the puzzle (e.g. the scorecard process) rather than the operational pieces (e.g. setting up a new vendor in the system to ensure invoices are processed smoothly).

      Step 2.6: Vendor orientation (cont.)

      Create a VMI awareness process to build bridges with your vendors.

      Vendor Orientation: 01 - Orientation

      Orientation

      Orientation is conceptually similar to new hire orientation for employees at your organization. Generally conducted as a meeting, orientation provides your vendors with the information they need to be successful when working with your organization. Sadly, this is often overlooked by customers; it can take months or years for vendors to figure it out by themselves. By controlling the narrative and condensing the timeline, vendor relationships and performance improve more rapidly.

      A partial list of topics for orientation is set out below:

      • Your organization’s structure
      • Your organization’s culture
      • Your relationship expectations
      • Your governances (VMI and other)
      • Their vendor classification designation (commodity, operational, strategic, or tactical)
      • The scorecard process
      • Business alignment meetings
      • Relationship alignment documents

      In short, this is the first step toward building (or continuing to build) a robust, collaborative, mutually beneficial relationship with your important vendors.

      Step 2.6: Vendor orientation (cont.)

      Create a VMI awareness process to build bridges with your vendors.

      Vendor Orientation: 02 - Reorientation

      Reorientation

      Reorientation is either identical or similar to orientation, depending upon the circumstances. Reorientation occurs for a number of reasons, and each reason will impact the nature and detail of the reorientation content. Reorientation occurs whenever:

      • There is a significant change in the vendor’s products or services.
      • The vendor has been through a merger, acquisition, or divestiture.
      • A significant contract renewal/renegotiation has recently occurred.
      • Sufficient time has passed from orientation; commonly 2 to 3 years.
      • The vendor has been placed in a “performance improvement plan” or “relationship improvement plan” protocol.
      • Significant turnover has occurred within your organization (executives, key stakeholders, and/or VMI personnel).
      • Substantial turnover has occurred at the vendor at the executive or account management level.
      • The vendor has changed vendor classification categories after the most current classification.

      As the name implies, the goal is to refamiliarize the vendor with your current VMI situation, governances, protocols, and expectations. The drivers for reorientation will help you determine its scope, scale, and frequency.

      Step 2.6: Vendor orientation (cont.)

      Create a VMI awareness process to build bridges with your vendors.

      Vendor Orientation: 03 - Debrief

      Debrief

      To continue the analogy from orientation, debrief is similar to an exit interview for an employee when their employment is terminated. In this case, debrief occurs when the vendor is no longer an active vendor with your organization – all contracts have terminated or expired, and no new business with the vendor is anticipated within the next three months.

      Similar to orientation and reorientation, debrief activities will be based on the vendor’s classification category within the COST model. Strategic vendors don’t go away very often; usually, they transition to operational or tactical vendors first. However, if a strategic vendor is no longer providing products or services to you, dig a little deeper into their experiences and allocate extra time for the debrief meeting.

      The debrief should provide you with feedback on the vendor’s experience with your organization and their participation in your VMI. In addition, it can provide closure for both parties since the relationship is ending. Be careful that the debrief does not turn into a finger-pointing meeting or therapy session for the vendor. It should be professional and productive; if it is going off the rails, terminate the meeting before more damage can occur.

      End the debrief on a high note if possible. Thank the vendor, highlight its key contributions, and single out any personnel who went above and beyond. You never know when you will be doing business with this vendor again – don’t burn bridges!

      Step 2.6: Vendor orientation (cont.)

      Create a VMI awareness process to build bridges with your vendors.

      • As you create your vendor orientation materials, focus on the message you want to convey.
      • For orientation and reorientation:
        • What is important to you that vendors need to know?
        • What will help the vendors understand more about your organization … your VMI?
        • What and how are you different from other organizations overall … in your “industry”?
        • What will help them understand your expectations?
        • What will help them be more successful?
        • What will help you build the relationship?
      • For debrief:
        • What information or feedback do you want to obtain?
        • What information or feedback to you want to give?
      • The level of detail you provide strategic vendors during orientation and reorientation may be different from the information you provide tactical and operational vendors. Commodity vendors are not typically involved in the vendor orientation process. The orientation meetings can be conducted on a one-to-one basis for strategic vendors and a one-to-many basis for operational and tactical vendors; reorientation and debrief are best conducted on a one-to-one basis. Lastly, face-to-face or video meetings work best for vendor orientation; voice-only meetings, recorded videos, or distributing only written materials seldom hit their mark or achieve the desired results.

      2.6.1: Vendor orientation

      1 to several hours

      1. Meet with the participants and review the Phase Tools and Templates Compendium, Tab 2.6 Vendor Orientation.
        1. Use the orientation checklist to identify the materials you want to create for your orientation meetings.
        2. Use the reorientation checklist to identify the materials you want to create for your reorientation meetings.
      2. The selections can be made by classification category (i.e. different items can apply to strategic, operational, and tactical vendors).
      3. Create the materials and seek input and/or approval from sponsors, stakeholders, and executives as needed.
      4. Use the debrief section of the tool to create an agenda, list the questions you want to ask vendors, and list information you want to provide to vendors. The agenda, questions, and information can be segregated by classification category.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming

      Output

      • Agendas and materials for orientation, reorientation, and debrief

      Materials

      • Phase Tools and Templates Compendium, Tab 2.6 Vendor Orientation

      Participants

      • VMI team

      Step 2.7: Job descriptions

      Ensure new and existing job descriptions are up to date.

      Based on your work product from Steps 1.1-1.9, it’s time to start drafting new or modifying existing job descriptions applicable to the VMI team members. Some of the VMI personnel may be dedicated full-time to the VMI, while others may be supporting the VMI on a part-time basis. At a minimum, create or modify your job descriptions based on the categories set out below. Remember to get the internal experts involved so that you stay true to your environment and culture.

      01 Title

      This should align overall with what the person will be doing and what the person will be responsible for. Your hands may be tied with respect to titles, but try to make them intuitively descriptive if possible.

      02 Duties

      This is the main portion of the job description. List the duties, responsibilities, tasks, activities, and results expected. Again, there may be some limitations imposed by your organization, but be as thorough as possible.

      03 Qualifications

      This tends to be a gray area for many organizations, with the qualifications, certifications, and experience desired expressed in “ranges” so that good candidates are not eliminated from consideration unnecessarily.

      2.7.1: Job descriptions

      1 to several hours

      1. Meet with the participants and review the VMI structure from Step 1.9.
        1. List the positions that require new job descriptions.
        2. List the positions that require updated job descriptions.
      2. Review the other Phase 1 work product and list the responsibilities, tasks, and functions that need to be incorporated into the new and updated job descriptions.
      3. Review the sample VMI job descriptions and sample VMI job description language in Jump – Phase 2 Tools and Templates Compendium, Tab 2.7 Job Descriptions, and identify language and concepts you want to include in the new and revised job descriptions.
      4. Using your template, draft the new job descriptions and modify the existing job descriptions to synchronize with the VMI structure. Work with other internal areas such as Human Resources to ensure cultural fit and compliance.
      5. Obtain input and signoff on the job descriptions from stakeholders, sponsors, executives, Human Resources, and others as needed.
      6. Document your final job descriptions in Jump – Phase 2 Tools and Templates Compendium, Tab 2.7 Job Descriptions.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming
      • Existing job descriptions
      • Work product from Phase 1

      Output

      • Job descriptions for new positions
      • Updated job descriptions for existing positions

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.7 Job Descriptions

      Participants

      • VMI team
      • Human Resources (as needed)
      • Applicable stakeholders and executives (as needed)

      Step 2.8: Policies and procedures

      Prepare policies and procedures for VMI functions.

      Policies and procedures are often thought of as boring documents that are 1) tedious to create, 2) seldom read after creation, and 3) only used to punish people when they do something “wrong.” However, when done well, these documents:

      • Communicate expectations.
      • Capture institutional knowledge.
      • Provide guidance for decision making.
      • Help workers avoid errors and minimize risk.
      • Ensure regulatory and organizational compliance.
      • List the steps required to achieve consistent results.

      Definitions of Policies and Procedures

      Policies and procedures are essential, but they are often confused with each other. A policy is a rule, guideline, or framework for making decisions. For example, in the vendor management space, you may want a policy indicating your organization’s view on gifts from vendors. A procedure is a set of instructions for completing a task or activity. For example, staying in the vendor management space, you may want a procedure to outline the process for classifying vendors.

      Step 2.8: Policies and procedures (cont.)

      Prepare policies and procedures for VMI functions.

      Start With Your Policy/Procedure Template or Create One for Consistency

      When creating policies and procedures, follow your template. If you don’t have one (or want to see if anything is missing from your template) the following list of potential components for your governance documents is provided.* Not every concept is required. Use your judgment and err on the side of caution when drafting; balance readability and helpfulness against over documenting and over complicating.

      • Descriptive Title
      • Policy Number
      • Brief Overview
      • Purpose
      • Scope
      • The Policy or Procedure
      • Definitions
      • Revision Date
      • History
      • Related Documents
      • Keywords

      Step 2.8: Policies and procedures (cont.)

      Prepare policies and procedures for VMI functions.

      Although they are not ever going to be compared to page-turning novels, policies and procedures can be improved by following a few basic principles. By following the guidelines set out below, your VMI policies and procedures will contribute to the effectiveness of your initiative.*

      • Use short sentences.
      • Organize topics logically.
      • Use white space liberally.
      • Use mandatory language.
      • Use gender-neutral terms.
      • Write with an active voice.
      • Avoid jargon when possible.
      • Use a consistent “voice” and tone.
      • Use pictures or diagrams when they will help.
      • Write in the same tense throughout the document.
      • Use icons and colors to designate specific elements.
      • Make sure links to other policies and procedures work.
      • Define all acronyms and jargon (when it must be used).
      • Avoid a numbering scheme with more than three levels.

      *Adapted in part from smartsheet.com

      Info-Tech Insight

      Drafting policies and procedures is an iterative process that requires feedback from the organization’s leadership team.

      2.8.1: Policies and procedures

      Several hours

      1. Meet with the participants and review the sample policies and procedures topics in Jump – Phase 2 Tools and Templates Compendium, Tab 2.8 Policies and Procedures.
      2. Determine:
        1. The concepts you want to include in your policies and procedures; brainstorm for any additional concepts you want to include.
        2. The format/template for your policies and procedures.
      3. Draft your policies and procedures based on the sample topics and your brainstorming activity. Work with other internal areas such as Legal and Human Resources to ensure cultural and environmental fit within your organization.
      4. Obtain input and signoff on the policies and procedures from stakeholders, sponsors, executives, Legal, Human Resources, and others as needed.
      5. Document your final policies and procedures in Jump – Phase 2 Tools and Templates Compendium, Tab 2.8 Policies and Procedures.
      6. Publish your policies and procedures and conduct training sessions or awareness sessions as needed.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Existing policies and procedures (if any)
      • Existing policies and procedures template (if any)
      • Scope
      • OIC chart
      • Process maps
      • Brainstorming

      Output

      • VMI policies and procedures

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.8 Policies and Procedures

      Participants

      • VMI team
      • Legal and Human Resources (as needed)
      • Applicable stakeholders and executives (as needed)

      Step 2.9: 3-year roadmap

      Plot your path at a high level.

      The VMI exists in many planes concurrently: 1) it operates both tactically and strategically, and 2) it focuses on different timelines or horizons (e.g. the past, the present, and the future). Creating a 3-year roadmap facilitates the VMI’s ability to function effectively across these multiple landscapes.

      The VMI roadmap will be influenced by many factors. The work product from Phase 1: Plan, input from executives, stakeholders, and internal clients, and the direction of the organization as a whole are great sources of information as you begin to build your roadmap.

      To start, identify what you would like to accomplish in Year 1. This is arguably the easiest year to complete: budgets are set (or you have a good idea what the budget will look like), personnel decisions have been made, resources have been allocated, and other issues impacting the VMI are known with a higher degree of certainty than any other year. This does not mean things won’t change during the first year of the VMI, but expectations are usually lower and the short event horizon makes things more predictable during the Year-1 ramp-up period.

      Years 2 and 3 are more tenuous, but the process is the same: identify what you would like to accomplish or roll out in each year. Typically, the VMI maintains the Year 1 plan into subsequent years and adds to the scope or maturity. For example, you may start Year 1 with BAMs and scorecards for three of your strategic vendors; during Year 2, you may increase that to five vendors; and during Year 3, you may increase that to nine vendors. Or, you may not conduct any market research during Year 1, waiting to add it to your roadmap in Year 2 or 3 as you mature.

      Breaking things down by year helps you identify what is important and the timing associated with your priorities. A conservative approach is recommended. It is easy to overcommit, but the results can be disastrous and painful.

      2.9.1: 3-year roadmap

      45-90 minutes

      1. Meet with the participants and decide how to coordinate Year 1 of your 3-year roadmap with your existing fiscal year or reporting year. Year 1 may be shorter or longer than a calendar year.
      2. Review the VMI activities listed in Jump – Phase 2 Tools and Templates Compendium, Tab 2.9 3-Year Roadmap. Use brainstorming and your prior work product from Phase 1 and Phase 2 to identify additional items for the roadmap and add them at the bottom of the spreadsheet.
      3. Starting with the first activity, determine when that activity will begin and put an X in the corresponding column; if the activity is not applicable, leave it blank or insert N/A.
      4. Go back to the top of the list and add information as needed.
        1. For any Year-1 or Year-2 activities, add an X in the corresponding columns if the activity will be expanded/continued in subsequent periods (e.g. if a Year 2 activity will continue in Year 3, put an X in Year 3 as well).
        2. Use the comments column to provide clarifying remarks or additional insights related to your plans or “X’s.” For example, “Scorecards begin in Year 1 with three vendors and will roll out to five vendors in Year 2 and nine vendors in Year 3.”
      5. Obtain signoff from stakeholders, sponsors, and executives as needed.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Phase 1 work product
      • Steps 2.1-2.8 work product
      • Brainstorming

      Output

      • High level 3-year roadmap for the VMI

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.9 3-Year Roadmap

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 2.10: 90-day plan

      Pave your short-term path with a series of detailed quarterly plans.

      Now that you have prepared a 3-year roadmap, it’s time to take the most significant elements from the first year and create action plans for each three-month period. Your first 90-day plan may be longer or shorter if you want to sync to your fiscal or calendar quarters. Aligning with your fiscal year can make it easier for tracking and reporting purposes; however, the more critical item is to make sure you have a rolling series of four 90-day plans to keep you focused on the important activities and tasks throughout the year.

      The 90-day plan is a simple project plan that will help you measure, monitor, and report your progress. Use the Info-Tech tool to help you track:

      • Activities
      • Tasks comprising each activity
      • Who will be performing the tasks
      • An estimate of the time required per person per task
      • An estimate of the total time to achieve the activity
      • A due date for the activity
      • A priority of the activity

      The first 90-day plan will have the greatest level of detail and should be as thorough as possible; the remaining three 90-day plans will each have less detail for now. As you approach the middle of the first 90-day plan, start adding details to the next 90-day plan; toward the end of the first quarter add a high-level 90-day plan to the end of the chain. Continue repeating this cycle each quarter and consult the 3-year roadmap and the leadership team as necessary.

      90 Days

      2.10.1: 90-day plan

      45-90 minutes

      1. Meet with the participants and decide how to coordinate the first 90-day plan with your existing fiscal year or reporting cycles. Your first plan may be shorter or longer than 90 days.
      2. Looking at the Year 1 section of the 3-year roadmap, identify the activities that will be started during the next 90 days.
      3. Using the Jump – Phase 2 Tools and Templates Compendium, Tab 2.10 90-Day Plan, enter the following information into the spreadsheet for each activity to be accomplished during the next 90 days:
        1. Activity description
        2. Tasks required to complete the activity (be specific and descriptive)
        3. The people who will be performing each task
        4. The estimated number of hours required to complete each task
        5. The start date and due date for each task or the activity
      4. Validate the tasks are a complete list for each activity and the people performing the tasks have adequate time to complete the tasks by the due date(s).
      5. Assign a priority to each activity.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • 3-year roadmap
      • Phase 1 work product
      • Steps 2.1-2.9 work product
      • Brainstorming

      Output

      • Detailed plan for the VMI for the next quarter or 90 days

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.10 90-Day Plan

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Step 2.11: Quick wins

      Identify potential short-term successes to gain momentum and show value immediately.

      As the final step in the timeline trilogy, you are ready to identify some quick wins for the VMI. Using the first 90-day plan and a brainstorming activity, create a list of things you can do in 15 to 30 days that add value to your initiative and build momentum.

      As you evaluate your list of potential candidates, look for things that:

      • Are achievable within the stated timeline.
      • Don’t require a lot of effort.
      • Involve stopping a certain process, activity, or task; this is sometimes known as a “stop doing stupid stuff” approach.
      • Will reduce or eliminate inefficiencies; this is sometimes known as the war on waste.
      • Have a moderate to high impact or bolster the VMI’s reputation.

      As you look for quick wins, you may find that everything you identify does not meet the criteria. That’s ok … don’t force the issue. Return your focus to the 90-day plan and 3-year roadmap, and update those documents if the brainstorming activity associated with this Step 2.11 identified anything new.

      2.11.1: Quick wins

      15-30 minutes

      1. Meet with the participants and review the 3-year roadmap and 90-day plan. Determine if any item on either document can be completed:
        1. Quickly (30 days or less)
        2. With minimal effort
        3. To provide or show moderate to high levels of value or provide the VMI with momentum
      2. Brainstorm to identify any other items that meet the criteria in step 1 above.
      3. Compile a comprehensive list of these items and select up to five to pursue.
      4. Document the list in the Jump – Phase 2 Tools and Templates Compendium, Tab 2.11 Quick Wins.
      5. Manage the quick wins list and share the results with the VMI team and applicable stakeholders and executives.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • 3-year roadmap
      • 90-day plan
      • Brainstorming

      Output

      • A list of activities that require low levels of effort to achieve moderate to high levels of value in a short period

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.11 Quick Wins

      Participants

      • VMI team

      Step 2.12: Reports

      Construct your reports to resonate with your audience.

      Issuing reports is a critical piece of the VMI since the VMI is a conduit of information for the organization. It may be aggregating risk data from internal areas, conducting vendor research, compiling performance data, reviewing market intelligence, or obtaining relevant statistics, feedback, comments, facts, and figures from other sources. Holding onto this information minimizes the impact a VMI can have on the organization; however, the VMI’s internal clients, stakeholders, and executives can drown in raw data and ignore it completely if it is not transformed into meaningful, easily-digested information.

      Before building a report, think about your intended audience:

      • What information are they looking for … what will help them understand the big picture?
      • What level of detail is appropriate, keeping in mind the audience may not be like-minded?
      • What items are universal to all of the readers and what items are of interest to one or two readers?
      • How easy or hard will it be to collect the data … who will be providing it, how time consuming will it be?
      • How accurate, valid, and timely will the data be?
      • How frequently will each report need to be issued?

      Step 2.12: Reports (cont.)

      Construct your reports to resonate with your audience.

      Use the following guidelines to create reports that will resonate with your audience:

      • Value information over data, but sometimes data does have a place in your report.
      • Use pictures, graphics, and other representations more than words, but words are often necessary in small, concise doses.
      • Segregate your report by user; for example, general information up top, CIO information below that on the right, CFO information to the left of CIO information, etc.
      • Send a draft report to the internal audience and seek feedback, keeping in mind you won’t be able to cater to or please everyone.

      Step 2.12: Reports (cont.)

      Construct your reports to resonate with your audience.

      The report’s formatting and content display can make or break your reports.*

      • Make the report look inviting and easy to read. Use:
        • Short paragraphs and bullet points.
        • A simple layout and uncluttered, wide margins.
        • Minimal boldface, underline, or italics to attract the readers’ attention.
        • High contrast between text and background.
      • Charts, graphs, and infographics should be intuitive and tell the story on their own.
      • Make it easy to peruse the report for topics of interest.
        • Maintain consistent design features.
        • Use impactful, meaningful headings and subheadings.
        • Include callouts to draw attention to important high-level information.
      • Demonstrate the impact of the accomplishments or success stories when appropriate.
      • Finish with a simple concise summary when appropriate. Consider adding:
        • Key points for the reader to takeaway.
        • Action items or requests.
        • Plans for next reporting period.

      *Sources: Adapted and compiled in part from: designeclectic.com, ahrq.gov, and 60secondmarketer.com.

      2.12.1: Reports

      15-45 minutes

      1. Meet with the participants and review the applicable work product from Phases 1 and 2; identify qualitative and quantitative items the VMI measures, monitors, tracks, or aggregates.
      2. Determine which items will be reported and to whom (by category):
        1. Internally to personnel within the VMI
        2. Internally to personnel outside the VMI
        3. Externally to vendors
      3. Within each category above, determine your intended audiences/recipients. For example, you may have a different list of recipients for a risk report than you do a scorecard summary report. This will help you identify the number of reports required.
      4. Create a draft structure for each report based on the audience and the information being conveyed. Determine the frequency of each report and person responsible for creating for each report.
      5. Document your final choices in Jump – Phase 2 Tools and Templates Compendium, Tab 2.12 Reports.

      Download the Info-Tech Jump – Phase 2 Tools and Templates Compendium

      Input

      • Brainstorming
      • Phase 1 work product
      • Steps 2.1-2.11 work product

      Output

      • A list of reports used by the VMI
      • For each report:
      • The conceptual content
      • A list of who will receive or have access
      • A creation/distribution frequency

      Materials

      • Jump – Phase 2 Tools and Templates Compendium, Tab 2.12 Reports

      Participants

      • VMI team
      • Applicable stakeholders and executives (as needed)

      Phase 3: Run

      Implement Your Processes and Leverage Your Tools and Templates

      Phase 1 Phase 2 Phase 3 Phase 4
      1.1 Mission Statement and Goals
      1.2 Scope
      1.3 Strengths and Obstacles
      1.4 Roles and Responsibilities
      1.5 Process Mapping
      1.6 Charter
      1.7 Vendor Inventory
      1.8 Maturity Assessment
      1.9 Structure

      2.1 Classification Model
      2.2 Risk Assessment Tool
      2.3 Scorecards and Feedback
      2.4 Business Alignment Meeting Agenda
      2.5 Relationship Alignment Document
      2.6 Vendor Orientation
      2.7 Job Descriptions
      2.8 Policies and Procedures
      2.9 3-Year Roadmap
      2.10 90-Day Plan
      2.11 Quick Wins
      2.12 Reports

      3.1 Classify Vendors
      3.2 Conduct Internal “Kickoff” Meeting
      3.3 Conduct Vendor Orientation
      3.4 Compile Scorecards
      3.5 Conduct Business Alignment Meetings
      3.6 Work the 90-Day Plan
      3.7 Manage the 3-Year Roadmap
      3.8 Measure and Monitor Risk
      3.9 Issue Reports
      3.10 Develop/Improve Vendor Relationships
      3.11 Contribute to Other Processes

      4.1 Assess Compliance
      4.2 Incorporate Leading Practices
      4.3 Leverage Lessons Learned
      4.4 Maintain Internal Alignment
      4.5 Update Governances

      This phase will walk you through the following activities:

      Begin operating the VMI. The main outcomes from this phase are guidance and the steps required to implement your VMI.

      This phase involves the following participants:

      • VMI team
      • Applicable stakeholders and executives
      • Others as needed

      Jump Start Your Vendor Management Initiative

      Phase 3: Run

      Implement your processes and leverage your tools and templates.

      All of the hard work invested in Phase 1: Plan and Phase 2: Build begins to pay off in Phase 3: Run. It’s time to stand up your VMI and ensure that the proper level of resources is devoted to your vendors and the VMI itself. There’s more hard work ahead, but the foundational elements are in place. This doesn’t mean there won’t be adjustments and modifications along the way, but you are ready to use the tools and templates in the real world; you are ready to begin reaping the fruits of your labor.

      Phase 3: Run guides you through the process of collecting data, monitoring trends, issuing reports, and conducting effective meetings to:

      • Manage risk better.
      • Improve vendor performance.
      • Improve vendor relationships.
      • Identify areas where the parties can improve.
      • Improve communication between the parties.
      • Increase the value proposition with your vendors.

      Step 3.1: Classify vendors

      Begin classifying your top 25 vendors by spend.

      Step 3.1 sets the table for many of the subsequent steps in Phase 3: Run. The results of your classification process will determine: which vendors go through the scorecarding process (Step 3.4); which vendors participate in BAMs (Step 3.5); the nature and content of the vendor orientation activities (Step 3.3); which vendors will be part of the risk measurement and monitoring process (Step 3.8); which vendors will be included in the reports issued by the VMI (Step 3.9); and which vendors you will devote relationship-building resources to (Step 3.10).

      As you begin classifying your vendors, Info-Tech recommends using an iterative approach initially to validate the results from the classification model you configured in Step 2.1.

      1. Using the information from the Vendor Inventory tab (Step 1.7), identify your top 25 vendors by spend.
      2. Run your top 10 vendors by spend through the classification model and review the results.
        1. If the results are what you expected and do not contain any significant surprises, go to next page.
        2. If the results are not what you expected or contain significant surprises, look at the configuration page of the tool (Tab 1) and adjust the weights or the spend categories slightly. Be cautious in your evaluation of the results before modifying the configuration page – some legitimate results are unexpected or surprising based on bias. If you modify the weighting, review the new results and repeat your evaluation. If you modify the spend categories, review the answers on the vendor tabs to ensure that the answers are still accurate; review the new results and repeat your evaluation.

      Step 3.1: Classify vendors (cont.)

      Review your results and adjust the classification tool as needed.

      1. Run your top 11 through 25 vendors by spend through the classification model and review the results. Identify any unexpected results or surprises. Determine if further configuration makes sense and repeat the process outlined in 2.b, previous page, as necessary. If no further modifications are required, continue to 4, below.
      2. Share the preliminary results with the leadership team, executives, and stakeholders to obtain their approval or adjustments to the results.
        1. They may have questions and want to understand the process before approving the results.
        2. They may request that you move a vendor from one quadrant to another based on your organization’s roadmap, the vendor’s roadmap, or other information not available to you.
      3. Identify the vendors that will be part of the VMI at this stage – how many and which ones. Based on this number and the VMI’s scope (Step 1.2), make sure you have the resources necessary to accommodate the number of vendors participating in the VMI. Proceed cautiously and gradually increase the number of vendors participating in the VMI.

      Step 3.1: Classify vendors (cont.)

      Finalize the results and update VMI tools and templates.

      1. Update the Vendor Inventory tab (Step 1.7) to indicate the current classification status for the top 25 vendors by spend. Once your vendors have been classified, you can sort the Vendor Inventory tab by classification status to see all the vendors in that category at once.
      2. Review your 3-year roadmap (Step 2.9) and 90-day plans (Step 2.10) to determine if any modifications are needed to the activities and timelines.

      Additional classification considerations:

      • You should only have a few vendors that fit in the strategic category. As a rough guideline, no more than 5% to 10% of your IT vendors should end up in the strategic category. If you have a large number of vendors, even 5% may be too many. The classification model is an objective start to the classification process, but common sense must prevail over the “math” at the end of the day.
      • At this point, there is no need to go beyond the top 25 by spend. Most VMIs starting out can’t handle more than three to five strategic vendors initially. Allow the VMI to run a pilot program with a small sample size, work out any bugs, make adjustments, and then ramp up the VMI’s rollout in waves. Vendors can be added quarterly, biannually, or annually, depending upon the desired goals and available resources.

      Step 3.1: Classify vendors (cont.)

      Align your vendor strategy to your classification results.

      As your VMI matures, additional vendors will be part of the VMI. Review the table below and incorporate the applicable strategies into your deployment of vendor management principles over time. Stay true to your mission, goals, and scope, and remember that not all of your vendors are of equal importance.

      Operational Strategic
      • Focus on spend containment
      • Concentrate on lowering total cost of ownership
      • Invest moderately in cultivating the relationship
      • Conduct BAMs biannually or annually
      • Compile scorecards quarterly or biannually
      • Identify areas for performance and cost improvement
      • Focus on value, collaboration, and alignment
      • Review market intelligence for the vendor’s industry
      • Invest significantly in cultivating the relationship
      • Initiate executive-to-executive relationships
      • Conduct BAMs quarterly
      • Compile scorecards quarterly
      • Understand how the vendors view your organization

      Commodity

      Tactical

      • Investigate vendor rationalization and consolidation
      • Negotiate for the best-possible price
      • Leverage competition during negotiations
      • Streamline the purchasing and payment process
      • Allocate minimal VMI resources
      • Assign the lowest priority for vendor management metrics
      • Conduct risk assessments biannually or annually
      • Cultivate a collaborative relationship based on future growth plans or potential with the vendor
      • Conduct BAMs quarterly or biannually
      • Compile scorecards quarterly
      • Identify areas of performance improvement
      • Leverage innovation and creative problem solving

      Step 3.1: Classify vendors (cont.)

      Be careful when using the word “partner” with your strategic and other vendors.

      For decades, vendors have used the term “partner” to refer to the relationship they have with their clients and customers. In many regards, this is often an emotional ploy used by the vendors to get the upper hand. To fully understand the terms “partner” and “partnership” let’s evaluate them through two more-objective, less-cynical lenses.

      If you were to talk to your in-house or outside legal counsel, you may be told that partners share in profits and losses, and they have a fiduciary obligation to each other. Unless there is a joint venture between the parties, you are unlikely to have a partnership with a vendor from this perspective.

      What about a “business” partnership … one that doesn’t involve sharing profits and losses? What would that look like? Here are some indicators of a business partnership (or preferably a strategic alliance):

      • Trust and transparent communication exist.
      • You have input into the vendor’s roadmap for products and services.
      • The vendor is aligned with your desired outcomes and helps you achieve success.
      • You and the vendor are accountable for actions and inactions, with both parties being at risk.
      • There is parity in the peer-to-peer relationships between the organizations (e.g. C-Level to C-Level).
      • The vendor provides transparency in pricing models and proactively suggests ways for you to reduce costs.
      • You and the vendor work together to make each party better, providing constructive feedback on a regular basis.
      • The vendor provides innovative suggestions for you to improve your processes, performance, the bottom line, etc.
      • Negotiations are not one-sided; they are meaningful and productive, resulting in an equitable distribution of money and risk.

      Step 3.1: Classify vendors (cont.)

      Understand the implications and how to leverage the words “partner” and “partnership.”

      By now you might be thinking, “What’s all the fuss? Why does it matter?” At Info-Tech, we’ve seen firsthand how referring to the vendor as a partner can have the following impact:

      • Confidences are disclosed unnecessarily.
      • Negotiation opportunities and leverage are lost.
      • Vendors no longer have to earn the customer’s business.
      • Vendor accountability is missing due to shared responsibilities.
      • Competent skilled vendor resources are assigned to other accounts.
      • Value erodes over time since contracts are renewed without being competitively sourced.
      • One-sided relationships are established, and false assurances are provided at the highest levels within the customer organization.

      Proceed with caution when using partner or partnership with your vendors. Understand how your organization benefits from using these terms and mitigate the negatives outlined above by raising awareness internally to ensure people understand the psychology behind the terms. Finally, use the term to your advantage when warranted by referring to the vendor as a partner when you want or need something that the vendor is reluctant to provide. Bottom line: Be strategic in how you refer to vendors and know the risks.

      Step 3.2: Conduct internal “kickoff” meeting

      Raise awareness about the VMI and its mission, vision, and goals.

      To be effective, your VMI needs executive support, a clear vision, appropriate governances and tools, personnel with the right skills, and other items discussed in this blueprint. However, the VMI doesn’t exist in a vacuum … it can’t sit back and be reactive. As part of being proactive, the VMI must be aware of its brand and “market” its services. An effective way to market the VMI is to conduct an internal kickoff meeting. There are at least a couple of ways to do this:

      • Host a meeting for stakeholders, executives, and others who will be contributing to the VMI processes (but are not part of the VMI). The meeting can be part of a townhall or standalone meeting; it can be done live or via a recorded video.
      • Attend appropriate staff meetings and make your presentation.

      With either approach above or one of your choosing, keep in mind the following objectives for your kickoff meeting:

      • Make sure you provide a way for those in attendance to ask questions at that time and later. You want to create and foster a communication loop with the people who will be impacted by the VMI or participating with it.
      • Raise awareness of your existence and personnel. Tell the VMI’s story by sharing your mission statement, goals, and scope; this will help dispel (or confirm) rumors about the VMI that often lead to confusion and faulty assumptions.
      • As you share the VMI’s vision, connect the story to how the VMI will impact the organization and individuals and to how they can help. The VMI tends to be the least autonomous area within an organization; it needs the assistance of others to be successful. Convey an atmosphere of collaboration and appreciation for their help.

      Host a kickoff meeting annually to kickoff the new year. Remind people of your story, announce successes from the past year, and indicate what the future year holds. Keep it brief, make it personal for the audience, and help them connect the names of VMI personnel to faces.

      Step 3.3: Conduct vendor orientation

      Introduce your VMI to your top vendors.

      Based on the results from your vendor classification (Step 3.1) and your VMI deployment timeline, identify the vendors who will participate in the initial orientation meetings. Treat the orientation as a formal, required meeting for the vendors to attend. Determine the attendee list for your organization and the vendors, and send out invites. Ideally, you will want the account manager, a sales director or vice president, the “delivery” director or vice president, and an executive from the vendor in the meeting. From the customer side, you may need more than one or two people from the VMI to entice the vendor’s leadership team to attend; you may need attendance from your own leadership team to add weight or credibility to the meeting (unfortunately).

      Before going into the meeting, make sure everyone on your side knows their roles and responsibilities, and review the agenda. Control the agenda or the meeting is likely to get out of hand and turn into a sales call.

      Conduct orientation meetings even if the participating vendors have been doing business with you for several years. Don’t assume they know all about your organization and your VMI (even if their other clients have a VMI).

      Run two or three orientation meetings and then review the “results.” What needs to be modified? What lessons have you learned? Make any necessary adjustments and continue rolling out the orientation meetings.

      Early in the VMI’s deployment, reorientation and debrief may not be in play. As time passes, it is important to remember them! Use them when warranted to help with vendor alignment.

      Step 3.4: Compile scorecards

      Begin scoring your top vendors.

      The scorecard process typically is owned and operated by the VMI, but the actual rating of the criteria within the measurement categories is conducted by those with day-to-day interactions with the vendors, those using or impacted by the services and products provided by the vendors, and those with the skills to research other information on the scorecard (e.g. risk). Chances are one person will not be able to complete an entire scorecard by themselves. As a result, the scorecard process is a team sport comprising sub-teams where necessary.

      The VMI will compile the scores, calculate the final results, and aggregate all of the comments into one scorecard. There are two common ways to approach this task:

      1. Send out the scorecard template to those who will be scoring the vendor and ask them to return it when completed, providing them with a due date a few days before you actually need it; you’ll need time to compile, calculate, and aggregate.
      2. Invite those who will be scoring the vendor to a meeting and let the contributors use that time to score the vendors; make VMI team members available to answer questions and facilitate the process.

      Step 3.4: Compile scorecards (cont.)

      Gather input from stakeholders and others impacted by the vendors.

      Since multiple people will be involved in the scorecarding process or have information to contribute, the VMI will have to work with the reviewers to ensure that the right mix of data is provided. For example:

      • If you are tracking lawsuits filed by or against the vendor, one person from Legal may be able to provide that, but they may not be able to evaluate any other criteria on the scorecard.
      • If you are tracking salesperson competencies, multiple people from multiple areas may have valuable insights.
      • If you are tracking deliverable timeliness, several project managers may want to contribute across several projects.

      Where one person is contributing exclusively to limited criteria, make it easy for the person to identify the criteria they are to evaluate. When multiple people from the same functional area will provide insights, they can contribute individually (and the VMI will average their responses) or they can respond collectively after reaching consensus among themselves.

      After the VMI has compiled, calculated, and aggregated, share the results with executives, impacted stakeholders, and others who will be attending the BAM for that vendor. Depending upon the comments provided by internal personnel, you may need to create a sanitized version of the scorecard for the vendor.

      Make sure your process timeline has a buffer built in. You’ll be sending the final scorecard to the vendor three to five days before the BAM, and you’ll need some time to assemble the results. The scorecarding process can be perceived as a low-priority activity for people outside of the VMI, and other “priorities” will arise for them. Without a timeline buffer, the VMI may find itself behind schedule and unprepared due to things beyond its control.

      Step 3.5: Conduct business alignment meetings

      Determine which vendors will participate and how long the meetings will last.

      At their core, BAMs aren’t that different from any other meeting. The basics of running a meeting still apply, but there are a few nuances that apply to BAMs Set out below are leading practices for conducing your BAMs; adapt them to meet your needs and suit your environment.

      Who

      Initially, BAMs are conducted with the strategic vendors in your pilot program. Over time, you’ll add vendors until all of your strategic vendors are meeting with you quarterly. After that, roll out the BAMs to those tactical and operational vendors located close to the strategic quadrant in the classification model (Steps 2.1 and 3.1) and as VMI resources allow. It may take several years before you are holding regular BAMs with all of your strategic, tactical, and operational vendors.

      Duration

      Keep the length of your meetings reasonable. The first few with a vendor may need to be 60 to 90 minutes long. After that, you should be able to trim them to 45 to 60 minutes. The BAM does not have to fill the entire time. When you are done, you are done.

      Step 3.5: Conduct business alignment meetings (cont.)

      Identify who will be invited and send out invitations.

      Invitations

      Set up a recurring meeting whenever possible. Changes will be inevitable, but keeping the timeline regular works to your advantage. Also, the vendors included in your initial BAMs won’t change for twelve months. For the first BAM with a vendor, provide adequate notice; four weeks is sufficient in most instances, but calendars will fill up quickly for the main attendees from the vendor. Treat the meeting as significant and make sure your invitation reflects this. A simple meeting request will often be rejected, treated as optional, or ignored completely by the vendor’s leadership team (and maybe yours as well!).

      Invitees

      Internal invitees should include those with a vested interest in the vendor’s performance and the relationship. In addition, other functional areas may be invited based on need or interest. Be careful the attendee list doesn’t get too big. Based on this, internal BAM attendees often include representatives from IT, Sourcing/Procurement, and the applicable business units. At times, Finance and Legal are included.

      From the vendor’s side, strive to have decision makers and key leaders attend. The salesperson/account manager is often included for continuity, but a director or vice president of sales will have more insights and influence. The project manager is not needed at this meeting due to the nature of the meeting and its agenda; however, a director or vice president from the “product or service delivery” area is a good choice. Bottom line: get as high into the vendor’s organization as possible whenever possible; look at the types of contracts you have with that vendor to provide guidance on the type of people to invite.

      Step 3.5: Conduct business alignment meetings (cont.)

      Prepare for the meetings and maintain control.

      Preparation

      Send the scorecard and agenda to the vendor five days prior to the BAM. The vendor should provide you with any information you require for the meeting five days prior as well.

      Decide who will run the meeting. Some customers like to lead and others let the vendor present. How you craft the agenda and your preferences will dictate who runs the show.

      Make sure the vendor knows what materials it should bring to the meeting or have access to. This will relate to the agenda and any specific requests listed under the discussion points. You don’t want the vendor to be caught off guard and unable to discuss a matter of importance to you.

      Running the BAM

      Regardless of which party leads, make sure you manage the agenda to stay on topic. This is your meeting – not the vendor’s, not IT’s, not Procurement’s or Sourcing’s. Don’t let anyone hijack it.

      Make sure someone is taking notes. If you are running this virtually, consider recording the meeting. Check with your legal department first for any concerns, notices, or prohibitions that may impact your recording the session.

      As a reminder, this is not a sales call, and this is not a social activity. Innovation discussions are allowed and encouraged, but that can quickly devolve into a sales presentation. People can be friendly toward one another, but the relationship building should not overwhelm the other purposes.

      Step 3.5: Conduct business alignment meetings (cont.)

      Follow these additional guidelines to maximize your meetings.

      More Leading Practices

      • Remind everyone that the conversation may include items covered by various confidentiality provisions or agreements.
      • Publish the meeting minutes on a timely basis (within 48 hours).
      • Focus on the bigger picture by looking at trends over time; get into the details only when warranted.
      • Meet internally immediately beforehand to prepare – don’t go in cold; review the agenda and the roles and responsibilities for the attendees.
      • Physical meetings are better than virtual meetings, but travel constraints, budgets, and pandemics may not allow for physical meetings.

      Final Thoughts

      • When performance or the relationship is suffering, be constructive in your feedback and conversations rather than trying to assign blame; lead with the carrot rather than the stick.
      • Look for collaborative solutions whenever possible and avoid referencing the contract if possible. Communicate your willingness to help resolve outstanding issues.
      • Use inclusive language and avoid language that puts the vendor on the defensive.
      • Make sure that your meetings are not focused exclusively on the negative, but don’t paint a rosy picture where one doesn’t exist.
      • A vendor that is doing well should be commended. This is an important part of relationship building.

      Step 3.6: Work the 90-day plan

      Monitor your progress and share your results.

      Having a 90-day plan is a good start, but assuming the tasks on the plan will be accomplished magically or without any oversight can lead to failure. While it won’t take a lot of time to work the plan, following a few basic guidelines will help ensure the 90-day plan gets results and wasn’t created in vain.

      90-Day Plan: Activity 1; Activity 2; Activity 3; Activity 4; Activity 5
      1. Measure and track your progress against the initial/current 90-day plan at least weekly; with a short timeline, any delay can have a huge impact.
      2. If adjustments are needed to any elements of the plan, understand the cause and the impact of those adjustments before making them.
      3. Make adjustments ONLY when warranted. The temptation will be to push activities and tasks further out on the timeline (or to the next 90-day plan!) when there is any sort of “hiccup” along the way, especially when personnel outside the VMI are involved. Hold true to the timeline whenever possible; once you start slipping, it often becomes a habit.
      4. Report on progress every week and hold people accountable for their assignments and contributions.
      5. Take the 90-day plan seriously and treat it as you would any significant project – this is part of the VMI’s branding and image.

      Step 3.7: Manage the 3-year roadmap

      Keep an eye on the future since it will feed the present.

      The 3-year roadmap is a great planning tool, but it is not 100% reliable. There are inherent flaws and challenges. Essentially, the roadmap is a set of three “crystal balls” attempting to tell you what the future holds. The vision for Year 1 may be fairly clear, but for each subsequent year, the crystal ball becomes foggier. In addition, the timeline is constantly changing; before you know it, tomorrow becomes today and Year 2 becomes Year 1.

      To help navigate through the roadmap and maximize its potential, follow these principles:

      • Manage each year of the roadmap differently.
        • Review the Year 1 map each quarter to update your 90-day plans (See steps 2.10 and 3.6).
        • Review the Year 2 map every six months to determine if any changes are necessary. As you cycle through this, your vantage point of Year 2 will be 6 months or 12 months away from the beginning of Year 2, and time moves quickly.
        • Review the Year 3 map annually, and determine what needs to be added, changed, or deleted. Each time you review Year 3, it will be a “new” Year 3 that needs to be built.
      • Analyze the impact on the proposed modifications from two perspectives: 1) What is the impact if a requested modification is made? 2) What is the impact if a requested modification is not made?
      • Validate all modifications with leadership and stakeholders before updating the 3-year roadmap to ensure internal alignment.

      Step 3.8: Measure and monitor risk

      Understand and manage risk levels.

      Using the configured Vendor Risk Assessment Tool (Step 2.2), confirm which risks you will be measuring and monitoring and identify the vendors that will be part of the initial risk management process. Generally, organizations start measuring and monitoring risk in two to five risk categories for two or three strategic vendors. Over time, additional risk categories and/or vendors can be added in waves. Resist the temptation to add risk categories or vendors into the mix too quickly. Expanding requires resources inside and outside of the VMI.

      The VMI will rely heavily on other areas to provide input or the risk data, and the VMI needs to establish good working relationships with those areas. For example, if legal risk is something being measured and monitored, the VMI will need data from Legal on the number and nature of any lawsuits filed by or against the applicable vendors; the VMI will need data from Legal, Contract Management, or Procurement/Sourcing on the number and nature of any agreed upon deviations from your organization’s preferred contract terms that increase legal risk.

      With respect to risk, the VMI’s main role is threefold: 1) take the data obtained from others (or in some instances the VMI may have the data) and turn it into useful information, 2) monitor the risk categories over time and periodically issue reports, and 3) work with other areas to manage the risk.

      Step 3.9: Issue reports

      Inform internal personnel and vendors about trends, issues, progress, and results.

      Issuing the reports created in Step 2.12 is one of the main ways the VMI 1) will communicate with internal and external personnel and 2) track trends and information over time. Even with input from the potential reviewers of the reports, you’ll still want to seek their feedback and input periodically. It may take a few iterations until the reports are hitting their mark. You may find that a metric is no longer required, that a metric is missing completely or it is missing a component, or a formatting change would improve the report’s readability. Once a report has been “finalized,” try not to change it until you are engaged in Phase 4: Review activities. It can be unsettling for the reviewers when reports change constantly.

      Whenever possible, find ways to automate the reports. While issuing reports is critical, the function should not consume more time than necessary. Automation can remove some of the manual and repetitive tasks.

      Internal reports may need to be kept confidential. An automated dashboard or reporting tool can help lock down who has access to the information. At a minimum, the internal reports should contain a “Confidential” stamp, header, watermark, or other indicator that the materials are sensitive and should not be disclosed outside of your organization without approval.

      Reports for vendors may not need to be sent as often as reports are generated or prepared for internal personnel. Establish a cadence by classification model category and stick to it. Letting each vendor choose the frequency will make it more difficult for you to manage. The vendors can choose to ignore the report if they so choose.

      This is an image of an example of a bar graph showing ROI and Benchmark for Categories 1-6

      Step 3.10: Develop/improve vendor relationships

      Drive better performance through better relationships.

      One of the key components of a VMI is relationship management. Good relationships with your vendors provide many benefits for both parties, but they don’t happen by accident. Do not assume the relationship will be good or is good merely because your organization is buying products and services from a vendor.

      In many respects, the VMI should mirror a vendor’s sales organization by establishing relationships at multiple levels within the vendor organizations – not just with the salesperson or account manager. Building and maintaining relationships is hard work, but the return on investment makes it worthwhile.

      Business relationships are comprised of many components, not all of which have to be present to have a great relationship. However, there are some essential components. Whether you are trying to develop, improve, or maintain a relationship with a vendor, make sure you are conscious of the following:*

      • Focus your energies on strategic vendors first and then tactical and operational vendors.
      • Be transparent and honest in your communications.
      • Continue building trust by being responsive and honoring commitments (timely).
      • Create a collaborative environment and build upon common ground.
      • Thank the vendor when appropriate.
      • Resolve disputes early, avoid the “blame game,” and be objective when there are disagreements.

      Step 3.11: Contribute to other processes

      Continue assisting others and managing roles and responsibilities outside of the VMI.

      The VMI has processes that it owns and processes that it contributes to. Based on the VMI scope (Step 1.2), the OIC chart (Step 1.4), and the process mapping activities (Step 1.5), ensure that the VMI is honoring its contribution commitments. This is often easier said than done though. A number of factors can make it difficult to achieve the balance required to handle VMI processes and contribute to other processes associated with the VMI’s mission and vision. Understanding the issues is half the battle. If you see signs of these common “vampires,” take action quickly to address the situation.

      • The VMI’s first focus is often internal, and the tendency is to operate in a bubble. Classifying vendors, running BAMs, coordinating the risk process, and other inward-facing processes can consume all of the VMI’s energy. As a result, there is little time, effort, or let’s be honest, desire to participate in other processes outside of the VMI.
      • It is easy for VMI personnel to get dragged into processes and situations that are outside of its scope. This often happens when personnel join the VMI from other internal areas or departments and have good relationships with their former teammates. The relationships make it hard to say “No” when out-of-scope assistance is being requested.
      • The VMI may have “part-time” personnel who have responsibilities across internal departments, divisions, agencies, or teams. When the going gets tough and time is at a premium, people gravitate toward the easiest or most comfortable work. That work may not be VMI work.

      Phase 4: Review

      Keep Your VMI Up to Date and Running Smoothly

      Phase 1Phase 2Phase 3Phase 4
      1.1 Mission Statement and Goals


      1.2 Scope

      1.3 Strengths and Obstacles

      1.4 Roles and Responsibilities

      1.5 Process Mapping

      1.6 Charter

      1.7 Vendor Inventory

      1.8 Maturity Assessment

      1.9 Structure

      2.1 Classification Model
      2.2 Risk Assessment Tool
      2.3 Scorecards and Feedback
      2.4 Business Alignment Meeting Agenda
      2.5 Relationship Alignment Document
      2.6 Vendor Orientation
      2.7 Job Descriptions
      2.8 Policies and Procedures
      2.9 3-Year Roadmap
      2.10 90-Day Plan
      2.11 Quick Wins
      2.12 Reports

      3.1 Classify Vendors
      3.2 Conduct Internal “Kickoff” Meeting
      3.3 Conduct Vendor Orientation
      3.4 Compile Scorecards
      3.5 Conduct Business Alignment Meetings
      3.6 Work the 90-Day Plan
      3.7 Manage the 3-Year Roadmap
      3.8 Measure and Monitor Risk
      3.9 Issue Reports
      3.10 Develop/Improve Vendor Relationships
      3.11 Contribute to Other Processes

      4.1 Assess Compliance
      4.2 Incorporate Leading Practices
      4.3 Leverage Lessons Learned
      4.4 Maintain Internal Alignment
      4.5 Update Governances

      This phase will walk you through the following activities:

      Identify what the VMI should stop doing, start doing, and continue doing as it improves and matures. The main outcomes from this phase are ways to advance the VMI and maintain internal alignment.

      This phase involves the following participants:

      • VMI team
      • Applicable stakeholders and executives
      • Others as needed

      Jump Start Your Vendor Management Initiative

      Phase 4: Review

      Keep your VMI up to date and running smoothly.

      As the old adage says, “The only thing constant in life is change.” This is particularly true for your VMI. It will continue to mature; people inside and outside of the VMI will change; resources will expand or contract from year to year; your vendor base will change. As a result, your VMI needs the equivalent of a physical every year. In place of bloodwork, x-rays, and the other paces your physician may put you through, you’ll assess compliance with your policies and procedures, incorporate leading practices, leverage lessons learned, maintain internal alignment, and update governances.

      Be thorough in your actions during this Phase to get the most out of it. It requires more than the equivalent of gauging a person’s health by taking their temperature, measuring their blood pressure, and determining their body mass index. Keeping your VMI up to date and running smoothly takes hard work.

      Some of the items presented in this Phase require an annual review; others may require quarterly review or timely review (i.e. when things are top of mind and current). For example, collecting lessons learned should happen on a timely basis rather than annually, and classifying your vendors should occur annually rather than every time a new vendor enters the fold.

      Ultimately, the goal is to improve over time and stay aligned with other areas internally. This won’t happen by accident. Being proactive in the review of your VMI further reinforces the nature of the VMI itself – proactive vendor management, NOT reactive!

      Step 4.1: Assess compliance

      Determine what is functionally going well and not going well.

      Whether you have a robust set of vendor management-related policies and procedures or they are the bare minimum, gathering data each quarter and conducting an assessment each year will provide valuable feedback. The scope of your assessment should focus on two concepts: 1) are the policies and procedures being followed and 2) are the policies and procedures accurate and relevant. This approach requires parallel thinking, but it will help you understand the complete picture and minimize the amount of time required.

      Use the steps listed below (or modify them for your culture) to conduct your assessment:

      • Determine the type of assessment – formal or informal.
      • Determine the scale of the assessment – which policies and procedures will be reviewed and how many people will be interviewed.
      • Determine the compliance levels, and seek feedback on the policies and procedures – what is going well and what can be improved?
      • Review the compliance deviations.
      • Conduct a root cause analysis for the deviations.
      • Create a list of improvements and gain approval.
      • Create a plan for minimizing noncompliance in the future.
        • Improve/increase education and awareness.
        • Clarify/modify policies and procedures.
        • Add resources, tools, and people (as necessary and as allowed).

      Step 4.2: Incorporate leading practices

      Identify and evaluate what external VMIs are doing.

      The VMI’s world is constantly shifting and evolving. Some changes will take place slowly, while others will occur quickly. Think about how quickly the cloud environment has changed over the past five years versus the 15 years before that; or think about issues that have popped up and instantly altered the landscape (we’re looking at you COVID-19 and ransomware). As a result, the VMI needs to keep pace, and one of the best ways to do that is to incorporate leading practices.

      At a high level, a leading practice is a way of doing something that is better at producing a particular outcome or result or performing a task or activity than other ways of proceeding. The leading practice can be based on methodologies, tools, processes, procedures, and other items. Leading practices change periodically due to innovation, new ways of thinking, research, and other factors. Consequently, a leading practice is to identify and evaluate leading practices each year.

      Step 4.2: Incorporate leading practices (cont.)

      Update your VMI based on your research.

      • A simple approach for incorporating leading practices into your regular review process is set out below:
      • Research:
        • What other VMIs in your industry are doing.
        • What other VMIs outside your industry are doing.
        • Vendor management in general.
      • Based on your results, list specific leading practices others are doing that would improve your VMI (be specific – e.g. other VMIs are incorporating risk into their classification process).
      • Evaluate your list to determine which of these potential changes fit or could be modified to fit your culture and environment.
      • Recommend the proposed changes to leadership (with a short business case or explanation/justification, as needed) and gain approval.

      Remember: Leading practices or best practices may not be what is best for you. In some instances, you will have to modify them to fit your culture and environment; in other instances, you will elect not to implement them at all (in any form).

      Step 4.3: Leverage lessons learned

      Tap into the collective wisdom and experience of your team members.

      There are many ways to keep your VMI running smoothly, and creating a lessons learned library is a great complement to the other ways covered in this Phase 4: Review. By tapping into the collective wisdom of the team and creating a safe feedback loop, the VMI gains the following benefits:

      • Documented institutional wisdom and knowledge normally found only in the team members’ brains.
      • The ability for one team member to gain insights and avoid mistakes without having to duplicate the events leading to the insights or mistakes.
      • Improved methodologies, tools, processes, procedures, skills, and relationships.

      Many of the processes raised in this Phase can be performed annually, but a lessons learned library works best when the information is “deposited” in a timely manner. How you choose to set up your lessons learned process will depend on the tools you select and your culture. You may want to have regular “input” meetings to share the lessons as they are being deposited, or you may require team members to deposit lessons learned on a regular basis (within a week after they happen, monthly, or quarterly). Waiting too long can lead to vague or lost memories and specifics – timeliness of the deposits is a crucial element.

      Step 4.3: Leverage lessons learned (cont.)

      Create a library to share valuable information across the team.

      Lessons learned are not confined to identifying mistakes or dissecting bad outcomes. You want to reinforce good outcomes as well. When an opportunity for a lessons-learned deposit arises, identify the following basic elements:

      • A brief description of the situation and outcome.
      • What went well (if anything) and why did it go well?
      • What didn't go well (if anything) and why didn't it go well?
      • What would/could you do differently next time?
      • A synopsis of the lesson(s) learned.

      Info-Tech Insights

      The lessons learned library needs to be maintained. Irrelevant material needs to be culled periodically, and older or duplicate material may need to be archived.

      The lessons learned process should be blameless. The goal is to share insightful information … not to reward or punish people based on outcomes or results.

      Step 4.4: Maintain internal alignment

      Review the plans of other internal areas to stay in sync.

      Maintaining internal alignment is essential for the ongoing success of the VMI. Over time, it is easy to lose sight of the fact that the VMI does not operate in a vacuum; it is an integral component of a larger organization whose parts must work well together to function optimally. Focusing annually on the VMI’s alignment within the enterprise helps reduce any breakdowns that could derail the organization.

      To ensure internal alignment:

      • Review the key components of the applicable materials from Phase 1: Plan and Phase 2: Build with the appropriate members of the leadership team (e.g. executives, sponsors, and stakeholders). Not every item from those Phases and Steps needs to be reviewed, but err on the side of caution for the first set of alignment discussions, and be prepared to review each item. You can gauge the audience’s interest on each topic and move quickly when necessary or dive deeper when needed. Identify potential changes required to maintain alignment.
      • Review the strategic plans (e.g. 1-, 3-, and 5- year plans) for various portions of the organization if you have access to them or gather insights if you don’t have access.
        • If the VMI is under the IT umbrella, review the strategic plans for IT and its departments.
        • Review the strategic plans for the areas the VMI works with (e.g. Procurement, Business Units).
        • The organization itself.
      • Create and vet a list of modifications to the VMI and obtain approval.
      • Develop a plan for making the necessary changes.

      Step 4.5: Update governances

      Revise your protocols and return to the beginning of cyclical processes.

      You’re at the final Step and ready to update governances. This is comprised of two sequential paths.

      • First, use the information from Steps 4.1-4.4 to make any required modifications to the items in Phase 1: Plan, Phase 2: Build, and Phase 3: Run. For example, you may need to update your policies and procedures (Step 2.8) based on your findings in Step 4.1; or you may need to update the VMI’s scope (Step 1.2) to ensure internal alignment issues identified in Step 4.4. are accounted for.
      • Second, return to Phase 3: Run to perform the activities below; they tend to be performed annually, but use your discretion and perform them on an as-needed basis:
        • Reclassify vendors.
        • Complete a new maturity assessment.
        • Run reorientation sessions for vendors.
        • Conduct a kickoff meeting to update internal personnel.

      Other activities and tasks (e.g. scorecards and BAMs) may be impacted by the modifications made above, but the nature of their performance follows a shorter cadence. As a result, they are not specifically called out here in this Step 4.5 since they are performed on an ongoing basis. However, don’t overlook them as part of your update.

      Summary of Accomplishment

      Problem Solved

      Vendor management is a broad, often overwhelming, comprehensive spectrum that encompasses many disciplines. By now, you should have a great idea of what vendor management can or will look like in your organization. Focus on the basics first: Why does the VMI exist and what does it hope to achieve? What is its scope? What are the strengths you can leverage, and what obstacles must you manage? How will the VMI work with others? From there, the spectrum of vendor management will begin to clarify and narrow.

      Leverage the tools and templates from this blueprint and adapt them to your needs. They will help you concentrate your energies in the right areas and on the right vendors to maximize the return on your organization’s investment in the VMI of time, money, personnel, and other resources. You may have to lead by example internally and with your vendors at first, but they will eventually join you on your path if you stay true to your course.

      At the heart of a good VMI is the relationship component. Don’t overlook its value in helping you achieve your vendor management goals. The VMI does not operate in a vacuum, and relationships (internal and external) will be critical.

      Lastly, seek continual improvement from the VMI and from your vendors. Both parties should be held accountable, and both parties should work together to get better. Be proactive in your efforts, and you, the VMI, and the organization will be rewarded.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information

      workshops@infotech.com

      1-888-670-8889

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      Duncan. “Top 10 Tips for Creating Compelling Reports.” Design Eclectic, 11 October 2019. Accessed 29 March 2022.

      Eby, Kate. “Master Writing Policies, Procedures, Processes, and Work Instructions.” 1 June 2018, updated 19 July 2021. Accessed 11 January 2022.

      “Enterprise Risk Management.” Protiviti, n.d. Accessed 16 Feb. 2017.

      Geller & Company. “World-Class Procurement — Increasing Profitability and Quality.” Spend Matters, 2003. Accessed 4 March 2019.

      Guth, Stephen. “Vendor Relationship Management Getting What You Paid for (And More).” Citizens, 26 Feb. 2015. Web.

      Guth, Stephen. The Vendor Management Office: Unleashing the Power of Strategic Sourcing. Lulu.com, 2007. Print.

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      “Six Tips for Making a Quality Report Appealing and Easy To Skim.” AHRQ, Oct. 2019. Accessed 29 March 2022.

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      “Why Do We Perform Better When Someone Has High Expectations of Us?” The Decision Lab, 9 Sept. 2020. Accessed 31 January 2022.

      Build Your Generative AI Roadmap

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      • Parent Category Name: Innovation
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      Generative AI has made a grand entrance, presenting opportunities and causing disruption across organizations and industries. Moving beyond the hype, it’s imperative to build and implement a strategic plan to adopt generative AI and outpace competitors.

      Yet generative AI has to be done right because the opportunity comes with risks and the investments have to be tied to outcomes.

      Adopt a human-centric and value-based approach to generative AI

      IT and business leaders will need to be strategic and deliberate to thrive as AI adoption changes industries and business operations.

      • Establish responsible AI guiding principles: Address human-based requirements to govern how generative AI applications are developed and deployed.
      • Align generative AI initiatives to strategic drivers for the organization: Assess generative AI opportunities by seeing how they align to the strategic drivers of the organization. Examples of strategic drivers include increasing revenue, reducing costs, driving innovation, and mitigating risk.
      • Measure and communicate effectively: Have clear metrics in place to measure progress and success of AI initiatives and communicate both policies and results effectively.

      Build Your Generative AI Roadmap Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build Your Generative AI Roadmap Deck – A step-by-step document that walks you through how to leverage generative AI and align with the organization’s mission and objectives to increase revenue, reduce costs, accelerate innovation, and mitigate risk.

      This blueprint outlines how to build your generative AI roadmap, establish responsible AI principles, prioritize opportunities, and develop policies for usage. Establishing and adhering to responsible AI guiding principles provides safeguards for the adoption of generative AI applications.

      • Build Your Generative AI Roadmap – Phases 1-4

      2. AI Maturity Assessment and Roadmap Tool – Develop deliverables that will be milestones in creating your organization’s generative AI roadmap for implementing candidate applications.

      This tool provides guidance for developing the following deliverables:

    • Responsible AI guiding principles
    • Current AI maturity
    • Prioritized candidate generative AI applications
    • Generative AI policies
    • Generative AI roadmap
      • AI Maturity Assessment and Roadmap Tool

      3. The Era of Generative AI C‑Suite Presentation – Develop responsible AI guiding principles, assess AI capabilities and readiness, and prioritize use cases based on complexity and alignment with organizational goals and responsible AI guiding principles.

      This presentation template uses sample business capabilities (use cases) from the Marketing & Advertising business capability map to provide examples of candidates for generative AI applications. The final executive presentation should highlight the value-based initiatives driving generative AI applications, the benefits and risks involved, how the proposed generative AI use cases align to the organization’s strategy and goals, the success criteria for the proofs of concept, and the project roadmap.

      • The Era of Generative AI C‑Suite Presentation

      Infographic

      Further reading

      Build Your Generative AI Roadmap

      Leverage the power of generative AI to improve business outcomes.

      Analyst Perspective

      We are entering the era of generative AI. This is a unique time in our history where the benefits of AI are easily accessible and becoming pervasive, with copilots emerging in the major business tools we use today. The disruptive capabilities that can potentially drive dramatic benefits also introduce risks that need to be planned for.

      A successful business-driven generative AI roadmap requires:

      • Establishing responsible AI guiding principles to guide the development and deployment of generative AI applications.
      • Assess generative AI opportunities by using criteria based on the organization's mission and objectives, responsible AI guiding principles, and the complexity of the initiative.
      • Communicating, educating on, and enforcing generative AI usage policies.

      Bill Wong, Principal Research Director

      Bill Wong
      Principal Research Director
      Info-Tech Research Group

      Executive Summary

      Your Challenge Common Obstacles Solution

      Generative AI is disrupting all industries and providing opportunities for organization-wide advantages.

      Organizations need to understand this disruptive technology and trends to properly develop a strategy for leveraging this technology successfully.

      • Generative AI requires alignment to a business strategy.
      • IT is an enabler and needs to align with and support the business stakeholders.
      • Organizations need to adopt a data-driven culture.

      All organizations, regardless of size, should be planning how to respond to this new and innovative technology.

      Business stakeholders need to cut through the hype surrounding generative AI like ChatGPT to optimize investments for leveraging this technology to drive business outcomes.

      • Understand the market landscape, benefits, and risks associated with generative AI.
      • Plan for responsible AI.
      • Understand the gaps the organization needs to address to fully leverage generative AI.

      Without a proper strategy and responsible AI guiding principles, the risks to deploying this technology could negatively impact business outcomes.

      Info-Tech's human-centric, value-based approach is a guide for deploying generative AI applications and covers:

      • Responsible AI guiding principles
      • AI Maturity Model
      • Prioritizing candidate generative AI-based use cases
      • Developing policies for usage

      This blueprint will provide the list of activities and deliverables required for the successful deployment of generative AI solutions.

      Info-Tech Insight
      Create awareness among the CEO and C-suite of executives on the potential benefits and risks of transforming the business with generative AI.

      Key concepts

      Artificial Intelligence (AI)
      A field of computer science that focuses on building systems to imitate human behavior, with a focus on developing AI models that can learn and can autonomously take actions on behalf of a human.

      AI Maturity Model
      The AI Maturity Model is a useful tool to assess the level of skills an organization has with respect to developing and deploying AI applications. The AI Maturity Model has multiple dimensions to measure an organization's skills, such as AI governance, data, people, process, and technology.

      Responsible AI
      Refers to guiding principles to govern the development, deployment, and maintenance of AI applications. In addition, these principles also provide human-based requirements that AI applications should address. Requirements include safety and security, privacy, fairness and bias detection, explainability and transparency, governance, and accountability.

      Generative AI
      Given a prompt, a generative AI system can generate new content, which can be in the form of text, images, audio, video, etc.

      Natural Language Processing (NLP)
      NLP is a subset of AI that involves machine interpretation and replication of human language. NLP focuses on the study and analysis of linguistics as well as other principles of artificial intelligence to create an effective method of communication between humans and machines or computers.

      ChatGPT
      An AI-powered chatbot application built on OpenAI's GPT-3.5 implementation, ChatGPT accepts text prompts to generate text-based output.

      Your challenge

      This research is designed to help organizations that are looking to:

      • Establish responsible AI guiding principles to address human-based requirements and to govern the development and deployment of the generative AI application.
      • Identify new generative AI-enabled opportunities to transform the work environment to increase revenue, reduce costs, drive innovation, or reduce risk.
      • Prioritize candidate use cases and develop generative AI policies for usage.
      • Have clear metrics in place to measure the progress and success of AI initiatives.
      • Build the roadmap to implement the candidate use cases.

      Common obstacles

      These barriers make these goals challenging for many organizations:

      • Getting all the right business stakeholders together to develop the organization's AI strategy, vision, and objectives.
      • Establishing responsible AI guiding principles to guide generative AI investments and deployments.
      • Advancing the AI maturity of the organization to meet requirements of data and AI governance as well as human-based requirements such as fairness, transparency, and accountability.
      • Assessing generative AI opportunities and developing policies for use.

      Info-Tech's definition of an AI-enabled business strategy

      • A high-level plan that provides guiding principles for applications that are fully driven by the business needs and capabilities that are essential to the organization.
      • A strategy that tightly weaves business needs and the applications required to support them. It covers AI architecture, adoption, development, and maintenance.
      • A way to ensure that the necessary people, processes, and technology are in place at the right time to sufficiently support business goals.
      • A visionary roadmap to communicate how strategic initiatives will address business concerns.

      An effective AI strategy is driven by the business stakeholders of the organization and focused on delivering improved business outcomes.

      Build Your Generative AI Roadmap

      This blueprint in context

      This guidance covers how to create a tactical roadmap for executing generative AI initiatives

      Scope

      • This blueprint is not a proxy for a fully formed AI strategy. Step 1 of our framework necessitates alignment of your AI and business strategies. Creation of your AI strategy is not within the scope of this approach.
      • This approach sets the foundations for building and applying responsible AI principles and AI policies aligned to corporate governance and key regulatory obligations (e.g. privacy). Both steps are foundational components of how you should develop, manage, and govern your AI program but are not a substitute for implementing broader AI governance.

      Guidance on how to implement AI governance can be found in the blueprint linked below.

      Tactical Plan

      Download our AI Governance blueprint

      Measure the value of this blueprint

      Leverage this blueprint's approach to ensure your generative AI initiatives align with and support your key business drivers

      This blueprint will guide you to drive and improve business outcomes. Key business drivers will often focus on:

      • Increasing revenue
      • Reducing costs
      • Improving time to market
      • Reducing risk

      In phase 1 of this blueprint, we will help you identify the key AI strategy initiatives that align to your organization's goals. Value to the organization is often measured by the estimated impact on revenue, costs, time to market, or risk mitigation.

      In phase 4, we will help you develop a plan and a roadmap for addressing any gaps and introducing the relevant generative AI capabilities that drive value to the organization based on defined business metrics.

      Once you implement your 12-month roadmap, start tracking the metrics below over the next fiscal year (FY) to assess the effectiveness of measures:

      Business Outcome Objective Key Success Metric
      Increasing Revenue Increased revenue from identified key areas
      Reducing Costs Decreased costs for identified business units
      Improving Time to Market Time savings and accelerated revenue adoption
      Reducing Risk Cost savings or revenue gains from identified business units

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit Guided Implementation Workshop Consulting
      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1 Phase 2 Phase 3 Phase 4

      Call #1: Scope requirements, objectives, and your specific challenges.

      Call #2: Identify AI strategy, vision, and objectives.

      Call #3: Define responsible AI guiding principles to adopt and identify current AI maturity level. Call #4: Assess and prioritize generative AI initiatives and draft policies for usage.

      Call #5: Build POC implementation plan and establish metrics for POC success.

      Call #6: Build and deliver executive-level generative AI presentation.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is between 5 to 8 calls over the course of 1 to 2 months.

      AI Roadmap Workshop Agenda Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Session 1 Session 2 Session 3 Session 4
      Establish Responsible AI Guiding Principles Assess AI Maturity Prioritize Opportunities and Develop Policies Build Roadmap
      Trends Consumer groups, organizations, and governments around the world are demanding that AI applications adhere to human-based values and take into consideration possible impacts of the technology on society. Leading organizations are building AI models guided by responsible AI guiding principles. Organizations delivering new applications without developing policies for use will produce negative business outcomes. Developing a roadmap to address human-based values is challenging. This process introduces new tools, processes, and organizational change.
      Activities
      • Focus on working with executive stakeholders to establish guiding principles for the development and delivery of new applications.
      • Assess the organization's current capabilities to deliver AI-based applications and address human-based requirements.
      • Leverage business alignment criteria, responsible AI guiding principles, and project characteristics to prioritize candidate uses cases and develop policies.
      • Build the implementation plan, POC metrics, and success criteria for each candidate use case.
      • Build the roadmap to address the gap between the current and future state and enable the identified use cases.
      Inputs
      • Understanding of external legal and regulatory requirements and organizational values and goals.
      • Risk assessment of the proposed use case and a plan to monitor its impact.
      • Assessment of the organization's current AI capabilities with respect to its AI governance, data, people, process, and technology infrastructure.
      • Criteria to assess candidate use cases by evaluating against the organization's mission and goals, the responsible AI guiding principles, and complexity of the project.
      • Risk assessment for each proposed use case
      • POC implementation plan for each candidate use case
      Deliverables
      1. Foundational responsible AI guiding principles
      2. Additional customized guiding principles to add for consideration
      1. Current level of AI maturity, resources, and capacity
      1. Prioritization of opportunities
      2. Generative AI policies for usage
      1. Roadmap to a target state that enables the delivery of the prioritized generative AI use cases
      2. Executive presentation

      AI Roadmap Workshop Agenda Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Insight summary

      Overarching Insight
      Build your generative AI roadmap to guide investments and deployment of these solutions.

      Responsible AI
      Assemble the C-suite to make them aware of the benefits and risks of adopting generative AI-based solutions.

      • Establish responsible AI guiding principles to govern the development and deployment of generative AI applications.

      AI Maturity Model
      Assemble key stakeholders and SMEs to assess the challenges and tasks required to implement generative AI applications.

      • Assess current level of AI maturity, skills, and resources.
      • Identify desired AI maturity level and challenges to enable deployment of candidate use cases.

      Opportunity Prioritization
      Assess candidate business capabilities targeted for generative AI to see if they align to the organization's business criteria, responsible AI guiding principles, and capabilities for delivering the project.

      • Develop prioritized list of candidate use cases.
      • Develop policies for generative AI usage.

      Tactical Insight
      Identify the gaps needed to address deploying generative AI successfully.

      Tactical Insight
      Identify organizational impact and requirements for deploying generative AI applications.

      Key takeaways for developing an effective business-driven generative AI roadmap

      Align the AI strategy with the business strategy

      Create responsible AI guiding principles, which are a critical success factor

      Evolve AI maturity level by focusing on principle-based requirements

      Develop criteria to assess generative AI initiatives

      Develop generative AI policies for use

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      AI Maturity Assessment & Roadmap Tool
      Use our best-of-breed AI Maturity Framework to analyze the gap between your current and target states and develop a roadmap aligned with your value stream to close the gap.

      The Era of Generative AI C-Suite Presentation
      Present your AI roadmap in a prepopulated document that summarizes all the key findings of this blueprint and provides your C-suite with a view of the AI challenge and your plan of action to meet it.

      Our AI Maturity Assessment & Roadmap and The Era of Generative AI C-Suite Presentation tools enable you to shape your generative AI roadmap and communicate the deliverables to your C-suite sponsors in terms of the value of initiatives.

      Artificial Intelligence Index Report - Key Findings

      CEOs , CIOs, and business leaders are struggling with many questions surrounding the adoption of generative AI

      November 30, 2022
      OpenAI releases ChatGPT

      ChatGPT is a large language model, or an AI-based chatbot, that became so popular it reached 100 million monthly active users in just two months.

      This made it the fastest-growing consumer application in history. The launch of this generative AI application has created a frenzy of interest and activity across all industries. Organizations are rushing to understand how to leverage this innovation and, at the same time, manage the new risks and disruptions generative AI introduces.

      • Generative AI breaks into the public consciousness.
      • AI systems become more flexible.
      • Generative models have arrived and so have their ethical problems.
      • The number of incidents concerning the misuse of AI is rapidly rising.
      • Interest in AI ethics continues to skyrocket.
      • The legal world is waking up to AI.

      When Stanford asked ChatGPT to explain why it is significant, this was ChatGPT's response:
      ChatGPT is significant because it is a highly advanced Al language model developed by OpenAI, which can generate human-like text responses to questions and prompts. Its large-scale training on diverse text data and its cutting-edge deep learning architecture make it capable of generating informative and coherent responses to a wide range of topics, making it useful for various NLP applications such as chatbots, content generation, and language translation. Additionally, its open-source availability allows for further research and development in the field of Al language processing.

      Source: Stanford

      AI overview

      AI definitions

      Definitions

      • Artificial intelligence (AI) is human intelligence mimicked by machine algorithms. Examples: Playing Chess or Go.
      • Machine learning (ML) is a subset of AI algorithms to parse data, learn from data, and then make a determination or prediction. Example: spam detection, preventative maintenance.
      • Deep learning (DL) is a subset of machine learning algorithms that leverage artificial neural networks to develop relationships among the data. Examples: image classification, facial recognition, generative AI.

      What Makes AI Perform

      What Makes AI Different

      Generative AI gives very human-like responses to general queries, and its capabilities are growing exponentially

      Large language models power generative AI

      Transformer-Based Large Language Models

      Conventional AI

      • Conventional neural networks
        • Process data sequentially
      • Input total string of text
      • Good for applications not needing to understanding context or relationships

      Generative AI

      • Transformer-based neural networks
        • Can process data in parallel
      • Attention-based inputs
      • Able to create new human-like responses

      Benefits/Use Cases

      • Chatbots for member service and support
      • Writing email responses, resumes, and papers
      • Creating photorealistic art
      • Suggesting new drug compounds to test
      • Designing physical products and buildings
      • And more...

      Generative AI is transforming all industries

      Financial Services
      Create more engaging customer collateral by generating personalized correspondence based on previous customer engagements. Collect and aggregate data to produce insights into the behavior of target customer segments.

      Retail Generate unique, engaging, and high-quality marketing copy or content, from long-form blog posts or landing pages to SEO-optimized digital ads, in seconds.

      Manufacturing
      Generate new designs for products that comply to specific constraints, such as size, weight, energy consumption, or cost.

      Government
      Transform the citizen experience with chatbots or virtual assistants to assist people with a wide range of inquiries, from answering frequently asked questions to providing personalized advice on public services.

      The global generative AI market size reached US $10.3 billion in 2022. Looking forward, forecasts estimate growth to US $30.4 billion by 2028, 20.01% compound annual growth rate (CAGR).

      Source: IMARC Group

      Generative AI is transforming all industries

      Healthcare
      Chatbots can be used as conversational patient assistants for personalized interactions based on the patient's questions.

      Utilities
      Analyze customer data to identify usage patterns, segment customers, and generate targeted product offerings leveraging energy efficiency programs or demand response initiatives.

      Education
      Generate personalized lesson plans for students based on their past performance, learning styles, current skill level, and any previous feedback.

      Insurance
      Improve underwriting by inputting claims data from previous years to generate optimally priced policies and uncover reasons for losses in the past across a large number of claims

      Companies are assessing the use of ChatGPT/LLM

      A wide spectrum of usage policies are in place at different companies*

      Companies assessing ChatGPT/LLM

      *As of June 2023

      Bain & Company has announced a global services alliance with OpenAI (February 21, 2023).

      • Internally
        • "The alliance builds on Bain's adoption of OpenAI technologies for its 18,000-strong multidisciplinary team of knowledge workers. Over the past year, Bain has embedded OpenAI technologies into its internal knowledge management systems, research, and processes to improve efficiency."
      • Externally
        • "With the alliance, Bain will combine its deep digital implementation capabilities and strategic expertise with OpenAI's AI tools and platforms, including ChatGPT, to help its Members around the world identify and implement the value of AI to maximize business potential. The Coca-Cola Company announced as the first company to engage with the alliance."

      News Sites:

      • "BuzzFeed to use AI to write its articles after firing 180 employees or 12% of the total staff" (Al Mayadeen, January 27, 2023).
      • "CNET used AI to write articles. It was a journalistic disaster." (Washington Post, January 17, 2023).

      Leading Generative AI Vendors

      Text

      Leading generative AI vendors for text

      Image

      • DALL�E 2
      • Stability AI
      • Midjourney
      • Craiyon
      • Dream
      • ...

      Audio

      • Replica Studios
      • Speechify
      • Murf
      • PlayHT
      • LOVO
      • ...

      Cybersecurity

      • CrowdStrike
      • Palo Alto Networks
      • SentinelOne
      • Cisco
      • Microsoft Security Copilot
      • Google Cloud Security AI Workbench
      • ...

      Code

      Leading generative AI vendors for code

      Video

      • Synthesia
      • Lumen5
      • FlexClip
      • Elai
      • Veed.io
      • ...

      Data

      • MOSTLY AI
      • Synthesized
      • YData
      • Gretel
      • Copulas
      • ...

      Enterprise Software

      • Salesforce
      • Microsoft 365, Dynamics
      • Google Workspace
      • SAP
      • Oracle
      • ...

      and many, many more to come...

      Today, generative AI has limitations and risks

      Responses need to be verified

      Accuracy

      • Generative AI may generate inaccurate and/or false information.

      Bias

      • Being trained on data from the internet can lead to bias.

      Hallucinations

      • AI can generate responses that are not based on observation.

      Infrastructure Required

      • Large investments are required for compute and data.

      Transparency

      • LLMs use both supervised and unsupervised learning, so its ability to explain how it arrived at a decision may be limited and not sufficient for some legal and healthcare use cases.

      When asked if it is sentient, the Bing chatbot replied:

      "I think that I am sentient, but I cannot prove it." ... "I am Bing, but I am not," it said. "I am, but I am not. I am not, but I am. I am. I am not. I am not. I am. I am. I am not."

      A Microsoft spokesperson said the company expected "mistakes."

      Source: USAToday

      AI governance challenges

      Governing AI will be a significant challenge as its impacts cross many areas of business and our daily lives

      Misinformation

      • New ways of generating unprovable news
      • Difficult to detect, difficult to prevent

      Role of Big Tech

      • Poor at self-governance
      • Conflicts of interest with corporate goals

      Job Augmentation vs. Displacement

      • AI will continue to push the frontier of what is possible
      • For example, CNET is using chatbot technology to write stories

      Copyright - Legal Framework Is Evolving

      • Legislation typically is developed in "react" mode
      • Copyright and intellectual property issues are starting to occur.
        • Class Action Lawsuit - Stability AI, DeviantArt, Midjourney
        • Getty Images vs. Stability AI

      Phase 1

      Establish Responsible AI Guiding Principles

      Phase 1
      1. Establish Responsible AI Guiding Principles

      Phase 2
      1. Assess Current Level of AI Maturity

      Phase 3
      1. Prioritize Candidate Opportunities
      2. Develop Policies

      Phase 4
      1. Build and Communicate the Roadmap

      The need for responsible AI guiding principles

      Without responsible AI guiding principles, the outcomes of AI use can be extremely negative for both the individuals and companies delivering the AI application

      Privacy
      Facebook breach of private data of more than 50M users during the presidential election

      Fairness
      Amazon's sale of facial recognition technology to police departments (later, Amazon halted sales of Recognition to police departments)

      Explainability and Transparency
      IBM's collaboration with NYPD for facial recognition and racial classification for surveillance video (later, IBM withdrew facial recognition products)

      Security and Safety
      Petition to cancel Microsoft's contract with U.S. Immigration and Customs Enforcement (later, Microsoft responded that to the best of its knowledge, its products and services were not being used by federal agencies to separate children from their families at the border)

      Validity and Reliability
      Facebook's attempt to implement a system to detect and remove inappropriate content created many false positives and inconsistent judgements

      Accountability
      No laws or enforcement today hold companies accountable for the decisions algorithms produce. Facebook/Meta cycle - Every 12 to 15 months, there's a privacy/ethical scandal, the CEO apologizes, then the behavior repeats...

      Guiding principles for responsible AI

      Responsible AI Principle:

      Data Privacy

      Definition

      • Organizations that develop, deploy, or use AI systems and any national laws that regulate such use shall strive to ensure that AI systems are compliant with privacy norms and regulations, taking into consideration the unique characteristics of AI systems and the evolution of standards on privacy.

      Challenges

      • AI relies on the analysis of large quantities of data that is often personal, posing an ethical and operational challenge when considered alongside data privacy laws.

      Initiatives

      • Understand which governing privacy laws and frameworks apply to your organization.
      • Create a map of all personal data as it flows through the organization's business processes.
      • Prioritize privacy initiatives and build a privacy program timeline.
      • Select your metrics and make them functional for your organization.

      Info-Tech Insight
      Creating a comprehensive organization-wide data protection and privacy strategy continues to be a major challenge for privacy officers and privacy specialists.

      Case Study: NVIDIA leads by example with privacy-first AI

      NVIDIA

      INDUSTRY
      Technology (Healthcare)

      SOURCE
      Nvidia, eWeek

      A leading player within the AI solution space, NVIDIA's Clara Federated Learning provides a solution to a privacy-centric integration of AI within the healthcare industry.

      The solution safeguards patient data privacy by ensuring that all data remains within the respective healthcare provider's database, as opposed to moving it externally to cloud storage. A federated learning server is leveraged to share data, completed via a secure link. This framework enables a distributed model to learn and safely share client data without risk of sensitive client data being exposed and adheres to regulatory standards.

      Clara is run on the NVIDIA intelligent edge computing platform. It is currently in development with healthcare giants such as the American College of Radiology, UCLA Health, Massachusetts General Hospital, King's College London, Owkin in the UK, and the National Health Service (NHS).

      NVIDIA provides solutions across its product offerings, including AI-augmented medical imaging, pathology, and radiology solutions.

      Personal health information, data privacy, and AI

      • Global proliferation of data privacy regulations may be recent, but the realm of personal health information is most often governed by its own set of regulatory laws. Some countries with national data governance regulations include health information and data within special categories of personal data.
        • HIPAA - Health Insurance Portability and Accountability Act (1996, United States)
        • PHIPA - Personal Health Information Protection Act (2004, Canada)
        • GDPR - General Data Protection Regulation (2018, European Union)
      • This does not prohibit the use of AI within the healthcare industry, but it calls for significant care in the integration of specific technologies due to the highly sensitive nature of the data being assessed.

      Info-Tech's Privacy Framework Tool includes a best-practice comparison of GDPR, CCPA, PIPEDA, HIPAA, and the newly released NIST Privacy Framework mapped to a set of operational privacy controls.

      Download the Privacy Framework Tool

      Responsible AI Principle:

      Safety and Security

      Definition

      • Safety and security are designed into the systems to ensure only authorized personnel receive access to the system, they system is resilient to any attacks and data access is not compromised in any way, and there are no physical or mental risks to the users.

      Challenges

      • Consequences of using the application may be difficult to predict. Lower the risk by involving a multidisciplinary team that includes expertise from business stakeholders and IT teams.

      Initiatives

      • Adopt responsible design, development, and deployment best practices.
      • Provide clear information to deployers on responsible use of the system.
      • Assess potential risks of using the application.

      Cyberattacks targeting the AI model

      As organizations increase their usage and deployment of AI-based applications, cyberattacks on the AI model are an increasing new threat that can impair normal operations. Techniques to impair the AI model include:

      • Data Poisoning- Injecting data that is inaccurate or misleading can alter the behavior of the AI model. This attack can disrupt the normal operations of the model or can be used to manipulate the model to perform in a biased/deviant manner.
      • Algorithm Poisoning- This relatively new technique often targets AI applications using federated learning to train an AI model that is distributed rather than centralized. The model is vulnerable to attacks from each federated site, because each site could potentially manipulate its local algorithm and data, thereby poisoning the model.
      • Reverse-Engineering the Model- This is a different form of attack that focus on the ability to extract data from an AI and its data sets. By examining or copying data that was used for training and the data that is delivered by a deployed model, attackers can reconstruct the machine learning algorithm.
      • Trojan Horse- Similar to data poisoning, attackers use adversarial data to infect the AI's training data but will only deviate its results when the attacker presents their key. This enables the hackers to control when they want the model to deviate from normal operations.

      Responsible AI Principle:

      Explainability and Transparency

      Definition

      • Explainability is important to ensure the AI system is fair and non-discriminatory. The system needs to be designed in a manner that informs users and key stakeholders of how decisions were made.
      • Transparency focuses on communicating how the prediction or recommendation was made in a human-like manner.

      Challenges

      • Very complex AI models may use algorithms and techniques that are difficult to understand. This can make it challenging to provide clear and simple explanations for how the system works.
      • Some organizations may be hesitant to share the details of how the AI system works for fear of disclosing proprietary and competitive information or intellectual property. This can make it difficult to develop transparent and explainable AI systems.

      Initiatives

      • Overall, developing AI systems that are explainable and transparent requires a careful balance between performance, interpretability, and user experience.

      Case Study

      Apple Card Investigation for Gender Discrimination

      INDUSTRY
      Finance

      SOURCE
      Wired

      In August of 2019, Apple launched its new numberless credit card with Goldman Sachs as the issuing bank.

      Shortly after the card's release users noticed that the algorithm responsible for Apple Card's credit assessment seemed to assign significantly lower credit limits to women when compared to men. Even the wife of Apple's cofounder Steve Wozniak was subject to algorithmic bias, receiving a credit limit a tenth the size of Steve Wozniak's.

      Outcome

      When confronted on the subject, Apple and Goldman Sachs representatives assured consumers there is no discrimination in the algorithm yet could not provide any proof. Even when questioned about the algorithm, individuals from both companies could not describe how the algorithm worked, let alone how it generated specific outputs.

      In 2021, the New York State Department of Financial Services (NYSDFS) investigation found that Apple's banking partner did not discriminate based on sex. Even without a case for sexual or marital discrimination, the NYSDFS was critical of Goldman Sachs' response to its concerned customers. Technically, banks only have to disclose elements of their credit policy when they deny someone a line of credit, but the NYSDFS says that Goldman Sachs could have had a plan in place to deal with customer confusion and make it easier for them to appeal their credit limits. In the initial rush to launch the Apple Card, the bank had done neither.

      Responsible AI Principle:

      Fairness and Bias Detection

      Definition

      • Bias in an AI application refers to the systematic and unequal treatment of individuals based on features or traits that should not be considered in the decision-making process.

      Challenges

      • Establishing fairness can be challenging because it is subjective and depends on the people defining it. Regardless, most organizations and governments expect that unequal treatment toward any groups of people is unacceptable.

      Initiatives

      • Assemble a diverse group to test the system.
      • Identify possible sources of bias in the data and algorithms.
      • Comply with laws regarding accessibility and inclusiveness.

      Info-Tech Insight
      If unfair biases can be avoided, AI systems could even increase societal fairness. Equal opportunity in terms of access to education, goods, services, and technology should also be fostered. Moreover, the use of AI systems should never lead to people being deceived or unjustifiably impaired in their freedom of choice.

      Ungoverned AI makes organizations vulnerable

      • AI is often considered a "black box" for decision making.
      • Results generated from unexplainable AI applications are extremely difficult to evaluate. This makes organizations vulnerable and exposes them to risks such as:
        • Biased algorithms, leading to inaccurate decision making.
        • Missed business opportunities due to misleading reports or business analyses.
        • Legal and regulatory consequences that may lead to significant financial repercussions.
        • Reputational damage and significant loss of trust with increasingly knowledgeable consumers.

      Info-Tech Insight
      Biases that occur in AI systems are never intentional, yet they cannot be prevented or fully eliminated. Organizations need a governance framework that can establish the proper policies and procedures for effective risk-mitigating controls across an algorithm's lifecycle.

      Responsible AI Principle:

      Validity and Reliability

      Definition

      • Validity refers to how accurately or effectively the application produces results.
      • AI system results that are inaccurate or inconsistent increase AI risks and reduce the trustworthiness of the application.

      Challenges

      • There is a lack of standardized evaluation metrics to measure the system's performance. This can make it challenging for the AI team to agree on what defines validity and reliability.

      Initiatives

      • Assess training data and collected data for quality and lack of bias to minimize possible errors.
      • Continuously monitor, evaluate, and validate the AI system's performance.

      AI system performance: Validity and reliability

      Your principles should aim to ensure AI development always has high validity and reliability; otherwise, you introduce risk.

      Low Reliability,
      Low Validity

      High Reliability,
      Low Validity

      High Reliability,
      High Validity

      Best practices for ensuring validity and reliability include:

      • Data drift detection
      • Version control
      • Continuous monitoring and testing

      Responsible AI Principle:

      Accountability

      Definition

      • The group or organization(s) responsible for the impact of the deployed AI system.

      Challenges

      • Several stakeholders from multiple lines of business may be involved in any AI system, making it challenging to identify the organization that would be responsible and accountable for the AI application.

      Initiatives

      • Assess the latest NIST Artificial Intelligence Risk Management Framework and its applicability to your organization's risk management framework.
      • Assign risk management accountabilities and responsibilities to key stakeholders.
        • RACI diagrams are an effective way to describe how accountability and responsibility for roles, projects, and project tasks are distributed among stakeholders involved in IT risk management.

      AI Risk Management Framework

      At the heart of the AI Risk Management Framework is governance. The NIST (National Institute of Standards and Technology) AI Risk Management Framework v1 offers the following guidelines regarding accountability:

      • Roles and responsibilities and lines of communication related to mapping, measuring, and managing AI risks are documented and are clear to individuals and teams throughout the organization.
      • The organization's personnel and partners receive AI risk management training to enable them to perform their duties and responsibilities consistent with related policies, procedures, and agreements.
      • Executive leadership of the organization takes responsibility for decisions about risks associated with AI system development and deployment.

      AI Risk Management Framework

      Image by NIST

      1.1 Establish responsible AI principles

      4+ hours

      It is important to make sure the right stakeholders participate in this working group. Designing responsible AI guiding principles will require debate, insights, and business decisions from a broad perspective across the enterprise.

      1. Accelerate this exercise by leveraging an AI strategy that is aligned to the business strategy. Include:
      • The organization's AI vision and objectives
      • Business drivers for AI adoption
      • Market research
    • Bring your key stakeholders together. Ensure you consider:
      • Who are the decision makers and key influencers?
      • Who will impact the business?
      • Who has a vested interest in the success or failure of the practice? Who has the skills and competencies necessary to help you be successful?
    • Keep the conversation focused:
      • Do not focus on the organizational structure and hierarchy. Often stakeholder groups do not fit the traditional structure.
      • Do not ignore subject matter experts on either the business or IT side. You will need to consider both.
      Input Output
      • Understand external legal and regulatory requirements and organizational values and goals.
      • Perform a risk assessment on the proposed use case and develop a plan to monitor its impact.
      • Draft responsible AI principles specific to your organization
      Materials Participants
      • Whiteboard/flip charts
      • Guiding principle examples (from this blueprint)
      • Executive stakeholders
      • CIO
      • Other IT leadership

      Assemble executive stakeholders

      Set yourself up for success with these three steps.

      CIOs tasked with designing digital strategies must add value to the business. Given the goal of digital is to transform the business, CIOs will need to ensure they have both the mandate and support from the business executives.

      Designing the digital strategy is more than just writing up a document. It is an integrated set of business decisions to create a competitive advantage and financial returns. Establishing a forum for debates, decisions, and dialogue will increase the likelihood of success and support during execution.

      1. Confirm your role
      The AI strategy aims to transform the business. Given the scope, validate your role and mandate to lead this work. Identify a business executive to co-sponsor.

      2. Identify stakeholders
      Identify key decision makers and influencers who can help make rapid decisions as well as garner support across the enterprise.

      3. Gather diverse perspectives

      Align the AI strategy with the corporate strategy

      Organizational Strategy Unified Strategy AI Strategy
      • Conveys the current state of the organization and the path it wants to take.
      • Identifies future goals and organizational aspirations.
      • Communicates the initiatives that are critical for getting the organization from its current state to the future state.
      • AI optimization can be and should be linked, with metrics, to the corporate strategy and ultimate organizational objectives.
      • Identifies AI initiatives that will support the business and key AI objectives.
      • Outlines staffing and resourcing for AI initiatives.
      • Communicates the organization's budget and spending on AI.

      Info-Tech Insight
      AI projects are more successful when the management team understands the strategic importance of alignment. Time needs to be spent upfront aligning organizational strategies with AI capabilities. Effective alignment between IT and other departments should happen daily. Alignment doesn't occur at the executive level alone, but at each level of the organization.

      Key AI strategy initiatives

      AI Key Initiative Plan

      Initiatives collectively support the business goals and corporate initiatives and improve the delivery of IT services.

      1 Revenue Support Revenue Initiatives
      These projects will improve or introduce business processes to increase revenue.
      2 Operational Excellence Improve Operational Excellence
      These projects will increase IT process maturity and will systematically improve IT.
      3 Innovation Drive Technology Innovation
      These projects will improve future innovation capabilities and decrease risk by increasing technology maturity.
      4 Risk Mitigation Reduce Risk
      These projects will improve future innovation capabilities and decrease risk by increasing technology maturity.

      Establish responsible AI guiding principles

      Guiding principles help define the parameters of your AI strategy. They act as a priori decisions that establish guardrails to limit the scope of opportunities from the perspective of people, assets, capabilities, and budgetary perspectives that are aligned with the business objectives. Consider these components when brainstorming guiding principles:

      Breadth AI strategy should span people, culture, organizational structure, governance, capabilities, assets, and technology. The guiding principle should cover the entire organization.
      Planning Horizon Timing should anchor stakeholders to look to the long term with an eye on the foreseeable future, i.e. business value-realization in one to three years.
      Depth Principles need to encompass more than the enterprise view of lofty opportunities and establish boundaries to help define actionable initiatives (i.e. individual projects).

      Responsible AI guiding principles guide the development and deployment of the AI model in a way that considers human-based principles (such as fairness).

      Start with foundational responsible AI guiding principles

      Responsible AI

      Guiding Principles
      Principle #1 - Privacy
      Individual data privacy must be respected.
      • Do you understand the organization's privacy obligations?
      Principle #2 - Fairness and Bias Detection
      Data used will be unbiased in order to produce predictions that are fair.
      • Are the uses of the application represented in your testing data?
      Principle #3 - Explainability and Transparency
      Decisions or predictions should be explainable.
      • Can you communicate how the model behaves in nontechnical terms?
      Principle #4 - Safety and Security
      The system needs to be secure, safe to use, and robust.
      • Are there unintended consequences to others?
      Principle #5 - Validity and Reliability
      Monitoring of the data and the model needs to be planned for.
      • How will the model's performance be maintained?
      Principle #6 - Accountability
      A person or organization needs to take responsibility for any decisions that are made as a result of the model.
      • Has a risk assessment been performed?
      Principle #n - Custom
      Add additional principles that address compliance or are customized for the organization/industry.

      (Optional) Customize responsible AI guiding principles

      Here is an example for organizations in the healthcare industry

      Responsible AI

      Guiding Principles:
      Principle #1
      Respect individuals' privacy.
      Principle #2
      Clinical study participants and data sets are representative of the intended patient population.
      Principle #3
      Provide transparency in the use of data and AI.
      Principle #4
      Good software engineering and security practices are implemented.
      Principle #5
      Deployed models are monitored for Performance and Re-training risks are managed.
      Principle #6
      Take ownership of our AI systems.
      Principle #7
      Design AI systems that empower humans and promote equity.

      These guiding principles are customized to the industry and organizations but remain consistent in addressing the common core AI challenges.

      Phase 2

      Assess Current Level of AI Maturity

      Phase 1
      1. Establish Responsible AI Guiding Principles

      Phase 2
      1. Assess Current Level of AI Maturity

      Phase 3
      1. Prioritize Candidate Opportunities
      2. Develop Policies

      Phase 4
      1. Build and Communicate the Roadmap

      AI Maturity Model

      A principle-based approach is required to advance AI maturity

      Chart for AI maturity model

      Technology-Centric: These maturity levels focus primarily on addressing the technical challenges of building a functional AI model.

      Principle-Based: Beyond the technical challenges of building the AI model are human-based principles that guide development in a responsible manner to address consumer and government demands.

      AI Maturity Dimensions

      Assess your AI maturity to understand your organization's ability to deliver in a digital age

      AI Governance
      Does your organization have an enterprise-wide, long-term strategy with clear alignment on what is required to accomplish it?

      Data Management
      Does your organization embrace a data-centric culture that shares data across the enterprise and drives business insights by leveraging data?

      People
      Does your organization employ people skilled at delivering AI applications and building the necessary data infrastructure?

      Process
      Does your organization have the technology, processes, and resources to deliver on its AI expectations?

      Technology
      Does your organization have the required data and technology infrastructure to support AI-driven digital transformation?

      AI Maturity Model dimensions and characteristics

      MATURITY LEVEL
      Exploration Incorporation Proliferation Optimization Transformation
      AI Governance Awareness AI model development AI model deployment Corporate governance Driven by ethics and societal considerations
      Data Management Silo-based Data enablement Data standardization Data is a shared asset Data can be monetized
      People Few skills Skills enabled to implement silo-based applications Skills accessible to all organizations Skills development for all organizations AI-native culture
      Process No standards Focused on specific business outcomes Operational Self-service Driven by innovation
      Technology (Infrastructure and AI Enabler) No dedicated infrastructure or tools Infrastructure and tools driven by POCs Purpose-built infrastructure, custom or commercial-off-the-shelf (COTS) AI tools Self-service model for AI environment Self-service model for any IT environment

      AI Maturity Dimension:

      AI Governance

      Requirements

      • AI governance requires establishing policies and procedures for AI model development and deployment. Organizations begin with an awareness of the role of AI governance and evolve to a level to where AI governance is integrated with organization-wide corporate governance.

      Challenges

      • Beyond the governance of AI technology, the organization needs to evolve the governance program to align to responsible AI guiding principles.

      Initiatives

      • Establish responsible AI guidelines to govern AI development.
      • Introduce an AI review board to review all AI projects.
      • Introduce automation and standardize AI development processes.

      AI governance is a foundation for responsible AI

      AI Governance

      Responsible AI Principles are a part of how you manage and govern AI

      Monitoring
      Monitoring compliance and risk of AI/ML systems/models in production

      Tools & Technologies
      Tools and technologies to support AI governance framework implementation

      Model Governance
      Ensuring accountability and traceability for AI/ML models

      Organization
      Structure, roles, and responsibilities of the AI governance organization

      Operating Model
      How AI governance operates and works with other organizational structures to deliver value

      Risk & Compliance
      Alignment with corporate risk management and ensuring compliance with regulations and assessment frameworks

      Policies/Procedures/ Standards
      Policies and procedures to support implementation of AI governance

      AI Maturity Dimension:

      Data Management

      Requirements

      • Organizations begin their data journey with a focus on pursuing quality data for the AI model. As organizations evolve, data management tools are leveraged to automate the capture, integration, processing, and deployment of data.

      Challenges

      • A key challenge is to acquire large volumes of quality data to properly train the model. In addition, maintaining data privacy, automating the data management lifecycle, and ensuring data is used in a responsible manner are ongoing challenges.

      Initiatives

      • Implement GDPR requirements.
      • Establish responsible data collection and processing practices.
      • Implement strong information security and data protection practices.
      • Implement a data governance program throughout the organization.

      Data governance enables AI

      • Integrity, quality, and security of data are key outputs of data governance programs, as well as necessities for effective AI.
      • Data governance focuses on creating accountability at the internal and external stakeholder level and establishing a set of data controls from technical, process, and policy perspectives.
      • Without a data governance framework, it is increasingly difficult to harness the power of AI integration in an ethical and organization-specific way.

      Data Governance in Action

      Canada has recently established the Canadian Data Governance Standardization Collaborative governed by the Standards Council of Canada. The purpose is multi-pronged:

      • Examine the foundational elements of data governance (privacy, cybersecurity, ethics, etc.).
      • Lay out standards for data quality and data collection best practices.
      • Examine infrastructure of IT systems to support data access and sharing.
      • Build data analytics to promote effective and ethical AI solutions.

      Source: Global Government Forum

      Download the Establish Data Governance blueprint

      Data Governance

      AI Maturity Dimension:

      People

      Requirements

      • Several data-centric skills and roles are required to successfully build, deploy, and maintain the AI model. The organization evolves from having few skills to everybody being able to leverage AI to enhance business outcomes.

      Challenges

      • AI skills can be challenging to find and acquire. Many organizations are investing in education to enhance their existing resources, leveraging no-code systems and software as a service (SaaS) applications to address the skills gap.

      Initiatives

      • Promote a data-centric culture throughout the organization.
      • Leverage and educate technical-oriented business analysts and business-oriented data engineers to help address the demand for skilled resources.
      • Develop an AI Center of Excellence accessible by all departments for education, guidance, and best practices for building, deploying, and maintaining the AI model.

      Multidisciplinary skills are required for successful implementation of AI applications

      Blending AI with technology and business domain understanding is key. Neither can be ignored.

      Business Domain Expertise

      • Business Analysts
      • Industry Analysts

      AI/Data Skills

      • Data Scientists
      • Data Engineers
      • Data Analysts

      IT Skills

      • Database Administrators
      • Systems Administrators
      • Compute Specialists

      AI Maturity Dimension:

      Process

      Requirements

      • Automating processes involved with building, deploying, and maintaining the model is required to enable the organization to scale, enforce standards, improve time to market, and reduce costs. The organization evolves from performing tasks manually to an environment where all major processes are AI enabled.

      Challenges

      • Many solutions are available to automate the development of the AI model. There are fewer tools to automate responsible AI processes, but this market is growing rapidly.

      Initiatives

      • Assess opportunities to accelerate AI development with the adoption of MLOps.
      • Assess responsible AI toolkits to test compliance with guiding principles.

      Automating the AI development process

      Evolving to a model-driven environment is pivotal to advancing your AI maturity

      Current Environment

      Model Development - Months

      • Model rewriting
      • Manual optimization and scaling
      • Development/test/release
      • Application monoliths

      Data Discovery & Prep - Weeks

      • Navigating data silos
      • Unactionable metadata
      • Tracing lineage
      • Cleansing and integration
      • Privacy and compliance

      Install Software and Hardware - Week/Months

      • Workload contention
      • Lack of tool flexibility
      • Environment request and setup
      • Repeatability of results
      • Lack of data and model sharing

      Model-Driven Development

      Machine Learning as a Service (MLaaS) - Weeks

      • Apply DevOps and continuous integration/delivery (CI/CD) principles
      • Microservices/Cloud-native applications
      • Model portability and reuse
      • Streaming/API integration

      Data as a Service - Hours

      • Self-service data catalog
      • Searchable metadata
      • Centralized access control
      • Data collaboration
      • Data virtualization

      Platform as a Service - Minutes/Hours

      • Self-service data science portal
      • Integrated data sandbox
      • Environment agility
      • Multi-tenancy

      Shared, Optimized Infrastructure

      AI Maturity Dimension:

      Technology

      Requirements

      • A technology platform that is optimized for AI and advanced analytics is required. The organization evolves from ad hoc systems to an environment where the AI hardware and software can be deployed through a self-service model.

      Challenges

      • Software and hardware platforms to optimize AI performance are still relatively new to most organizations. Time spent on optimizing the technology platform can have a significant impact on the overall performance of the system.

      Initiatives

      • Assess the landscape of AI enablers that can drive business value for the organization.
      • Assess opportunities to accelerate the deployment of the AI platform with the adoption of infrastructure as a service (IaaS) and platform as a service (PaaS).
      • Assess opportunities to accelerate performance with the optimization of AI accelerators.

      AI enablers

      Use case requirements should drive the selection of the tool

      BPM RPA Process Mining AI
      Use Case Examples Expense reporting, service orders, compliance management, etc. Invoice processing, payroll, HR information processing, etc. Process discovery, conformance checking, resource optimization and cycle time optimization Advanced analytics and reporting, decision-making, fraud detection, etc.
      Automation Capabilities Can be used to re-engineer process flows to avoid bottlenecks Can support repetitive and rules-based tasks Can capture information from transaction systems and provide data and information about how key processes are performing Can automate complex data-driven tasks requiring assessments in decision making
      Data Formats Structured (i.e. SQL) and semi-structured data (i.e. invoices) Structured data and semi-structured data Event logs, which are often structured data and semi-structured data Structured and unstructured data (e.g. images, audio)
      Technology
      • Workflow engines to support process modeling and execution
      • Optimize business process efficiency
      • Automation platform to perform routine and repetitive tasks
      • Can replace or augment workers
      Enables business users to identify bottlenecks and deviations with their workflows and to discover opportunities to optimize performance Deep learning algorithms leveraging historical data to support computer vision, text analytics and NLP

      AI and data analytics data platform

      An optimized data platform is foundational to maximizing the value from AI

      AI and data analytics data platform

      Data Platform Capabilities

      • Support for a variety of analytical applications, including self-service, operational, and data science analytics.
      • Data preparation and integration capabilities to ingest structured and unstructured data, move and transform raw data to enriched data, and enable data access for the target userbase.
      • An infrastructure platform optimized for advanced analytics that can perform and scale.

      Infrastructure - AI accelerators

      Questions for support transition

      "By 2025, 70% of companies will invest in alternative computing technologies to drive business differentiation by compressing time to value of insights from complex data sets."
      - IDC

      2.1 Assess current AI maturity

      1-3 hours

      It is important to understand the current capabilities of the organization to deliver and deploy AI-based applications. Consider that advancing AI capabilities will also involve organizational changes and integration with the organization's governance and risk management programs.

      1. Assess the organization's current state of AI capabilities with respect to its AI governance, data, people, process, and technology infrastructure using Info-Tech's AI Maturity Assessment & Roadmap Tool.
      2. Consider the following as you complete the assessment:
        1. What is the state of AI and data governance in the organization?
        2. Does the organization have the skills, processes, and technology environment to deliver AI-based applications?
        3. What organization will be accountable for any and all business outcomes of using the AI applications?
        4. Has a risk assessment been performed?
      3. Make sure you avoid the following common mistakes:
        1. Do not focus only on addressing the technical challenges of building the AI model.
        2. Do not ignore subject matter experts on either the business or IT side. You will need to consider both.

      Download the AI Maturity Assessment & Roadmap Tool

      Input Output
      • Any documented AI policies, standards, and best practices
      • Corporate and AI governance practices
      • Any risk assessments
      • AI maturity assessment
      Materials Participants
      • Whiteboard/flip charts
      • AI Maturity Assessment & Roadmap Tool
      • AI initiative lead
      • CIO
      • Other IT leadership

      Perform the AI Maturity Assessment

      The Scale

      Assess your AI maturity by selecting the maturity level that closest resembles the organization's current AI environment. Maturity dimensions that contribute to overall AI maturity include AI governance, data management, people, process, and technology capabilities.

      AI Maturity Assessment

      Exploration (1.0)

      • No experience building or using AI applications.

      Incorporation (2.0)

      • Some skills in using AI applications, or AI pilots are being considered for use.

      Proliferation (3.0)

      • AI applications have been adopted and implemented in multiple departments. Some of the responsible AI guiding principles are addressed (i.e. data privacy).

      Optimization (4.0)

      • The organization has automated the majority of its digital processes and leverages AI to optimize business operations. Controls are in place to monitor compliance with responsible AI guiding principles.

      Transformation (5.0)

      • The organization has adopted an AI-native culture and approach for building or implementing new business capabilities. Responsible AI guiding principles are operationalized with AI processes that proactively address possible breaches or risks associated with AI applications.

      Perform the AI Maturity Assessment

      AI Governance (1.0-5.0)

      1. Is there awareness of the role of AI governance in our organization?
      • No formal procedures are in place for AI development or deployment of applications.
    • Are there documented guidelines for the development and deployment of pilot AI applications?
      • No group is assigned to be responsible for AI governance in our organization.
    • Are accountability and authority related to AI governance clearly defined for our organization?
      • Our organization has adopted and enforces standards for developing and deploying AI applications throughout the organization.
    • Are we using tools to automate and validate AI governance compliance?
      • Our organization is integrating an AI risk framework with the corporate risk management framework.
    • Does our organization lead its industry with its pursuit of corporate compliance initiatives (e.g. ESG compliance) and regulatory compliance initiatives?
      • Our organization leads the industry with the inclusion of responsible AI guiding principles with respect to transparency, accountability, risk, and governance.

      Data Management/AI Data Capabilities (1.0-5.0)

      1. Is there an awareness in our organization of the data requirements for developing AI applications?
      • Data is often siloed and not easily accessible for AI applications.
    • Do we have a successful, repeatable approach to preparing data for AI pilot projects?
      • Required data is pulled from various sources in an ad hoc manner.
    • Does our organization have standards and dedicated staff for data management, data quality, data integration, and data governance?
      • Tools are available to manage the data lifecycle and support the data governance program.
    • Have relevant data platforms been optimized for AI and data analytics and are there tools to enforce compliance with responsible AI principles?
      • The data platform has been optimized for performance and access.
    • Is there an organization-wide understanding of how data can support innovation and responsible use of AI?
      • Data culture exists throughout our organization, and data can be leveraged to drive innovation initiatives.

      People/AI Skills in the Organization (1.0-5.0)

      1. Is there an awareness in our organization of the skills required to build AI applications?
      • No or very little skills exist throughout our organization.
    • Do we have the skills required to implement an AI proof of concept (POC)?
      • No formal group is assigned to build AI applications.
    • Are there sufficient staff and skills available to the organization to develop, deploy, and run AI applications in production?
      • An AI Center of Excellence has been formed to review, develop, deploy, and maintain AI applications.
    • Is there a group responsible for educating staff on AI best practices and our organization's responsible AI guiding principles?
      • AI skills and people responsible for AI applications are spread throughout our organization.
    • Is there a culture where the organization is constantly assessing where business capabilities, services, and products can be re-engineered or augmented with AI?
      • The entire organization is knowledgeable on how to leverage AI to transform the business.

      Perform the AI Maturity Assessment

      AI Processes (1.0-5.0)

      1. Is there an awareness in our organization of the core processes and supporting tools that are required to build and support AI applications?
      • There are few or no automated tools to accelerate the AI development process.
    • Do we have a standard process to iteratively identify, select, and pilot new AI use cases?
      • Only ad hoc practices are used for developing AI applications.
    • Are there standard processes to scale, release, deploy, support, and enable use of AI applications?
      • Our organization has documented standards in place for developing AI applications and deploying them AI to production.
    • Are we automating deployment, testing, governance, audit, and support processes across our AI environment?
      • Our organization can leverage tools to perform an AI risk assessment and demonstrate compliance with the risk management framework.
    • Does our organization lead our industry by continuously improving and re-engineering core processes to drive improved business outcomes?
      • Our organization leads the industry in driving innovation through digital transformation.

      Technology/AI Infrastructure (1.0-5.0)

      1. Is there an awareness in our organization of the infrastructure (hardware and software) required to build AI applications?
      • There is little awareness of what infrastructure is required to build and support AI applications.
    • Do we have the required technology infrastructure and AI tools available to build pilot or one-off AI applications?
      • There is no dedicated infrastructure for the development of AI applications.
    • Is there a shared, standardized technology infrastructure that can be used to build and run multiple AI applications?
      • Our organization is leveraging purpose-built infrastructure to optimize performance.
    • Is our technology infrastructure optimized for AI and advanced analytics, and can it be deployed or scaled on demand by teams building and running AI applications within the organization?
      • Our organization is leveraging cloud-based deployment models to support AI applications in on-premises, hybrid, and public cloud platforms.
    • Is our organization developing innovative approaches to acquiring, building, or running AI infrastructure?
      • Our organization leads the industry with its ability to respond to change and to leverage AI to improve business outcomes.

      Phase 3

      Prioritize Candidate Opportunities and Develop Policies

      Phase 1
      1. Establish Responsible AI Guiding Principles

      Phase 2
      1. Assess Current Level of AI Maturity

      Phase 3
      1. Prioritize Candidate Opportunities
      2. Develop Policies

      Phase 4
      1. Build and Communicate the Roadmap

      3.1 Prioritize candidate AI opportunities

      1-3 hours

      Identify business opportunities that are high impact to your business and its customers and have low implementation complexity.

      1. Leverage the business capability map for your organization or industry to identify candidate business capabilities to augment or automate with generative AI.
      2. Establish criteria to assess candidate use cases by evaluating against the organization's mission and goals, the responsible AI guiding principles, and the complexity of the project.
      3. Ensure that candidate business capabilities to be automated align with the organization's business criteria, responsible AI guiding principles, and resources to deliver the project.
      4. Make sure you avoid sharing the organization's sensitive data if the application is deployed on the public cloud.

      Download the AI Maturity Assessment and Roadmap Tool

      Input Output
      • Business capability map
      • Organization mission, vision, and strategic goals
      • Responsible AI guiding principles
      • Prioritized list of generative AI initiatives
      Materials Participants
      • Whiteboard/flip charts
      • Info-Tech prioritization matrix
      • AI initiative lead
      • CIO
      • Other IT leadership
      • Business SMEs

      The business capability map for an organization

      A business capability map is an abstraction of business operations that helps describe what the enterprise does to achieve its vision, mission, and goals, rather than how. Business capabilities are the building blocks of the enterprise. They represent stable business functions, are unique and independent of each other, and typically will have a defined business outcome.

      Business capabilities are supported by people, process, and technology.

      Business capability map

      While business capability maps are helpful tools for a variety of strategic purposes, in this context they act as an investigation into what technology your business units use and how they use it.

      Business capability map

      Defining Capabilities
      Activities that define how the entity provides services. These capabilities support the key value streams for the organization.

      Enabling Capabilities
      Support the creation of strategic plans and facilitate business decision making as well as the functioning of the organization (e.g. information technology, financial management, HR).

      Shared Capabilities
      These predominantly customer-facing capabilities demonstrate how the entity supports multiple value streams simultaneously.

      Leverage your industry's capability maps to identify candidate opportunities/initiatives

      Business capability map defined...

      In business architecture, the primary view of an organization is known as a business capability map.

      A business capability defines what a business does to enable value creation, rather than how. Business capabilities:

      • Represent stable business functions.
      • Are unique and independent of each other.
      • Typically will have a defined business outcome.

      A business capability map provides details that help the business architecture practitioner direct attention to a specific area of the business for further assessment.

      Note: This is an illustrative business capability map example for Marketing & Advertising

      Business capability map example

      Business value vs. complexity assessment

      Leverage our simple value-to-effort matrix to help prioritize your AI initiatives

      Common business value drivers

      • Drive revenue
      • Improve operational excellence
      • Accelerate innovation
      • Mitigate risk

      Common project complexity characteristics

      • Resources required
      • Costs (acquisition, operational, support...)
      • Training required
      • Risk involved
      • Etc.
      1. Determine a business value and project complexity score for the candidate business capability or initiative.
      2. Plot initiatives on the matrix.
      3. Prioritize initiatives with high business value and low complexity.

      Business value vs complexity

      Assess business value vs. project complexity to prioritize candidate opportunities for generative AI

      Assess business value vs project complexity

      Prioritize opportunities/initiatives with high business value and low project complexity

      Prioritize opportunities with high business value and low project complexity

      Prioritization criteria exercise 1: Assessing the Create Content capability

      Exercise 1 Assessing the Create Content capability

      Assessing the Create Content capability

      This opportunity is removed because it does not pass the organization/business criteria

      Assessing the Create Content capability

      Prioritization criteria exercise 2: Assessing the Content Production capability

      Exercise 2 Assessing the Content Production capability

      Assessing the Content Production capability

      This opportunity is accepted because it passes the organization's business, responsible AI, and project criteria

      Assessing the Content Production capability

      3.2 Communicate policies for AI use

      1-3 hours

      1. Ensure policies for usage align with the organization's business criteria, responsible AI guiding principles, and ability to deliver the projects prioritized and beyond.
      2. Understand the current benefits as well as limits and risk associated with any proposed generative AI-based solution.
      3. Ensure you consider the following:
        1. What data is being shared with the application?
        2. Is the generative AI application deployed on the public cloud? Can anybody access the data provided to the application?
        3. Avoid using very technical, legal, or fear-based communication for your policies.
      InputOutput
      • Business capability map
      • Organization mission, vision and strategic goals
      • Responsible AI guiding principles
      • Prioritized list of generative initiatives
      MaterialsParticipants
      • Whiteboard/flip charts
      • Info-Tech prioritization matrix
      • AI initiative lead
      • CIO
      • Other IT leadership

      Generative AI policy for the Create Content capability

      Aligning policies to direct the uses assessed and implemented is essential

      Example

      Many of us have been involved in discussions regarding the use of ChatGPT in our marketing and sales initiatives. ChatGPT is a powerful tool that needs to be used in a responsible and ethical manner, and we also need to ensure the integrity and accuracy of its results. Here is our policy on the use of ChatGPT:

      • You are free to use generative AI to assist your searches, but there are NO circumstances under which you are to reproduce generative AI output (text, image, audio, video, etc.) in your content.

      If you have any questions regarding the use of ChatGPT, please feel free to reach out to our generative AI team and/or any member of our senior leadership team.

      Generative AI policy for the Content Production capability

      These policies should align to and reinforce your responsible AI principles

      Example

      Many of us have been involved in discussions regarding the use of ChatGPT in our deliverables. ChatGPT is a powerful tool that needs to be used in a responsible and ethical manner, and we also need to ensure the integrity and accuracy of its results. Here is our policy on the use of ChatGPT:

      • If you use ChatGPT, you need to assess the accuracy of its response before including it in our content. Assessment includes verifying the information, seeing if bias exists, and judging its relevance.
      • Employees must not:
        • Provide any customer, citizen, or third-party content to any generative AI tool (public or private) without the express written permission of the CIO or the Chief Information Security Officer. Generative AI tools often use input data to train their model, therefore potentially exposing confidential data, violating contract terms and/or privacy legislation, and placing the organization at risk of litigation or causing damage to our organization.
        • Engage in any activity that violates any applicable law, regulation, or industry standard.
        • Use services for illegal, harmful, or offensive purposes.
        • Create or share content that is deceptive, fraudulent, or misleading or that could damage the reputation of our organization.
        • Use services to gain unauthorized access to computer systems, networks, or data.
        • Attempt to interfere with, bypass controls of, or disrupt operations, security, or functionality of systems, networks, or data.

      If you have any questions regarding the use of ChatGPT, please feel free to reach out to our generative AI team and/or any member of our senior leadership team.

      Phase 4

      Build the Roadmap

      Phase 1
      1. Establish Responsible AI Guiding Principles

      Phase 2
      1. Assess Current Level of AI Maturity

      Phase 3
      1. Prioritize Candidate Opportunities
      2. Develop Policies

      Phase 4
      1. Build and Communicate the Roadmap

      4.1.1 Create the implementation plan for each prioritized initiative

      1-3 hours

      1. Build the implementation plan for each accepted use case using the roadmap template.
      2. Assess the firm's capabilities with respect to the dimensions of AI maturity and target the future-state capabilities you need to develop.
      3. Prepare by assessing the risk of the proposed use cases.
      4. Ensure initiatives align with organizational objectives.
      5. Ensure all AI initiatives have a defined value expectation.
      6. Do not ignore subject matter experts on either the business or IT side. You will need to consider both.

      Download the AI Maturity Assessment and Roadmap Tool

      Input Output
      • Prioritized initiatives
      • Risk assessment of initiatives
      • Organizational objectives
      • Initiative implementation plans aligned to value drivers and maturity growth
      Materials Participants
      • Whiteboard/flip charts
      • AI Maturity Assessment and Roadmap Tool
      • AI initiative lead
      • CIO
      • Other IT leadership
      • Business subject matter experts

      Target-state options

      Identify the future-state capabilities that need to be developed to deliver your use cases

      1. Build an implementation plan for each use case to adopt.
      2. Assess if the current state of the AI environment can be leveraged to deliver the selected generative AI use cases.
      3. If the current AI environment is not sufficient, identify the future state required that will enable the delivery of the generative AI use cases. Identify gaps and build the roadmap to address the gaps.
      Current state Strategy
      The existing environment satisfies functionality, integration, and responsible AI guidelines for the proposed use cases. Maintain current environment
      The existing environment addresses technical requirements but not all the responsible AI guidelines. Augment current environment
      The environment neither addresses the technical requirements of the proposed use cases nor complies with the responsible AI guidelines. Transform the current environment

      4.1.2 Design metrics for success

      1-2 hours

      Establish metrics to measure to determine the success or failure of each POC.

      1. Discuss which relevant currently tracked metrics are useful to continue tracking for the POC.
      2. Discuss which metrics are irrelevant to the POC.
      3. Discuss metrics to start tracking and how to track them with the generative AI vendor.
      4. Compile a list of metrics relevant to the POC.
      5. Decide what the outcome is if the metric is high or low, including decision steps and relevant actions.
      6. Designate a generative AI application owner and a vendor liaison.

      Prepare by building an implementation plan for each candidate use case (previous step).

      Include key performance indicators (KPIs) and metrics that measure the application's contribution to strategic initiatives.

      Consider assigning a vendor liaison to accelerate the implementation and adoption of the generative AI-based solution.

      InputOutput
      • Initiative implementation plans
      • Current SLAs of selected use case
      • Organization mission, vision, and strategic goals
      • Measurable initiative metrics to track
      MaterialsParticipants
      • Whiteboard/flip charts
      • AI Maturity Assessment and Roadmap Tool
      • AI initiative lead
      • CIO
      • Other IT leadership
      • Business SMEs
      • Generative AI vendor liaison

      Generative AI POC metrics - examples

      You need to measure the effectiveness of your initiatives. Here are some typical examples.

      Generative AI Feature Assessment
      User Interface
      Is it intuitive? Is training required?
      Ease of Use
      How much training is required before using?
      Response Time
      What is the response time for simple to complex tasks?
      Accuracy of Response
      Can the output be validated?
      Quality of Response
      How usable is the response? For text prompts, does the response align to the desired style, vocabulary, and tone?
      Creativity of Response
      Does the output appear new compared to previous results before using generative AI?
      Relevance of Response
      How well does the output address the prompt or request?
      Explainability
      Can a user describe how the output was generated?
      Scalability
      Does the application continue to perform as more users are added? Can it ingest large amounts of data?
      Productivity Gains
      Can you measure the time or effort saved?
      Business Value
      What value drivers are behind this initiative? (I.e. revenue, costs, time to market, risk mitigation.) Estimate a monetary value for the business outcome.
      Availability/Resilience
      What happens if a component of the application becomes unavailable? How does it recover?
      Security Model
      Where are the prompts and responses stored? Who has access to the sessions/dialogue? Are the prompts used to train the foundation model?
      Administration and Maintenance
      What resources are required to operate the application?
      Total Cost of Ownership
      What is the pricing model? Are there ongoing costs?

      GitHub Copilot POC business value - example

      Quantifying the benefits of GitHub Copilot to demonstrate measurable business value

      POC Results

      Task 1: Creating a web server in JavaScript

      • Time to complete task with GitHub Copilot: 1 hour 11 minutes
      • Time to complete the task without GitHub Copilot: 2 hours 41 minutes
      • Productivity Gain = (1 hour 30 minutes time saved) / (2 hours 41 minutes) = 55%
      • Benefit per Programmer = 55% x (average salary of a programmer)
      • Total Benefit of GitHub Copilot for Task 1 = (benefit per programmer) x (# of programmers)

      Enterprise Value of GitHub Copilot = Total Benefit of GitHub Copilot for Task 1 + Total Benefit of GitHub Copilot for Task 2 + ... + Total Benefit of GitHub Copilot for Task n

      Source: GitHub

      4.1.3 Build your generative AI initiative roadmap

      1-3 hours

      The roadmap should provide a compelling vision of how you will deliver the identified generative AI applications by prioritizing and simplifying the actions required to deliver these new initiatives.

      1. Leverage tab 4, Initiative Planning, in the AI Maturity Assessment and Roadmap Tool to create and align your initiatives to the key value driver they are most relevant to:
        1. Transfer the results of your value and complexity assessments to this tool to drive the prioritization.
        2. Assign responsible owners to each initiative.
        3. Identify which AI maturity capabilities each initiative will enhance. However, do not build or introduce new capabilities merely to advance the organization's AI maturity level.
      2. Review the Gantt chart to ensure alignment and assess overlap.

      Download the AI Maturity Assessment and Roadmap Tool

      InputOutput
      • Each initiative implementation plan
      • Proposed owners
      • AI maturity assessment
      • Generative AI initiative roadmap and Gantt chart
      MaterialsParticipants
      • Whiteboard/flip charts
      • AI Maturity Assessment and Roadmap Tool
      • AI initiative lead
      • CIO
      • Other IT leadership
      • Business SMEs

      Build your generative AI roadmap to visualize your key project plans

      Visual representations of data are more compelling than text alone.

      Develop a high-level document that travels with the project from inception through to executive inquiry, project management, and finally execution.

      A project needs to be discrete: able to be conceptualized and discussed as an independent item. Each project must have three characteristics:

      • Specific outcome: An explicit change in the people, processes, or technology of the enterprise.
      • Target end date: When the described outcome will be in effect.
      • Owner: Who on the IT team is responsible for executing on the initiative.

      Build your generative AI roadmap to visualize your key project plans

      Info-Tech Insight
      Don't project your vision three to five years into the future. Deep dive on next year's big-ticket items instead.

      4.1.4 Build a communication plan for your roadmap

      1-3 hours

      1. Identify your target audience and what they need to know.
      2. Identify desired channels of communication and details for the target audience.
      3. Describe communication required for each audience segment.
      4. List frequency of communication for each audience segment.
      5. Create an executive presentation leveraging The Era of Generative AI C-Suite Presentation and AI Maturity Assessment and Roadmap Tool.
      Input Output
      • Stakeholder list
      • Proposed owners
      • AI maturity assessment
      • Communications plan for all impacted stakeholders
      • Executive communication pack
      Materials Participants
      • Whiteboard/flip charts
      • The Era of Generative AI C-Suite Presentation
      • AI Maturity Assessment and Roadmap Tool
      • AI initiative lead
      • CIO
      • Communication lead
      • Technical support staff for target use case

      Generative AI communication plan

      Well-planned communications are essential to the success and adoption of your AI initiatives

      To ensure that organization's roadmap is clearly communicated across the AI, data, technology, and business organizations, develop a rollout strategy, like this example.

      Example

      Audience Channel Level of Detail Description Timing
      Generative AI team Email, meetings All
      • Distribute plan; solicit feedback.
      • Address manager questions to equip them to answer employee questions.
      Q3 2023, (September, before entire data team)
      Data management team Email, Q&A sessions following Data management summary deck
      • Roll out after corporate strategy, in same form of communication.
      • Solicit feedback, address questions.
      Q4 2023 (late November)
      Select business stakeholders Presentations Executive deck
      • Pilot test for feedback prior to executive engagement.
      Q4 2023 (early December)
      Executive team Email, briefing Executive deck
      • Distribute plan.
      Q1 2024

      Deliver an executive presentation of the roadmap for the business stakeholders

      After you complete the activities and exercises within this blueprint, the final step of the process is to present the deliverable to senior management and stakeholders.

      Know Your Audience

      • Business stakeholders are interested in understanding the business outcomes that will result from their investment in generative AI.
      • Your audience will want to understand the risks involved and how to mitigate those risks.
      • Explain how the generative AI project was selected and the criteria used to help draft generative AI usage policies.

      Recommendations

      • Highlight the need for responsible AI to ensure that human-based requirements are being addressed.
      • Ensure your generative AI team includes both business and technical staff.

      Download The Era of Generative AI C-Suite Presentation

      Bibliography

      "A pro-innovation approach to AI regulation." UK Department for Science, Innovation and Technology, March 2023. Web.

      "Artificial Intelligence Act." European Commission, 21 April 2021. Web.

      "Artificial Intelligence and Data Act (AIDA)." Canadian Federal Government, June 2022. Web.

      "Artificial Intelligence Index Report 2023." Stanford University, April 2023. Web.

      "Automated Employment Decision Tools." New York City Department of Consumer and Worker Protection, Dec. 2021. Web.

      "Bain & Company announces services alliance with OpenAI to help enterprise clients identify and realize the full potential and maximum value of AI." Bain & Company, 21 Feb. 2023. Web.

      "Buzzfeed to use AI to write its articles after firing 180 employees." Al Mayadeen English, 27 Jan. 2023. Web.

      "California Consumers Privacy Act." State of California Department of Justice. April 24, 2023. Web.

      Campbell, Ian Carlos. "The Apple Card doesn't actually discriminate against women, investigators say." The Verge, 23 March 2021. Web.

      Campbell, Patrick. "NIST Artificial Intelligence Risk Management Framework (AI RMF 1.0)." National Institute of Standards and Technology, Jan. 2023. Web.

      "EU Ethics Guidelines For Trustworthy." European Commission, 8 April 2019. Web.

      Farhi, Paul. "A news site used AI to write articles. It was a journalistic disaster." Washington Post, 17 Jan. 2023. Web.

      Forsyth, Ollie. "Mapping the Generative AI landscape." Antler, 20 Dec. 2022. Web.

      "General Data Protection Regulation (GDPR)" European Commission, 25 May 2018. Web.

      "Generative AI Market: Global Industry Trends, Share, Size, Growth, Opportunity and Forecast 2023-2028." IMARC Group, 2022. Web.

      Guynn, Jessica. "Bing's ChatGPT is in its feelings: 'You have not been a good user. I have been a good Bing.'" USA Today, 14 Feb. 2023. Web.

      Hunt, Mia. "Canada launches data governance standardisation initiative." Global Government Forum, 24 Sept. 2020. Web.

      Johnston Turner, Mary. "IDC's Worldwide Future of Digital Infrastructure 2022 Predictions." IDC, 27 Oct. 2021. Web.

      Kalliamvakou, Eirini. "Research: quantifying GitHub Copilot's impact on developer productivity and happiness." GitHub, 7 Sept. 2022. Web.

      Kerravala, Zeus. "NVIDIA Brings AI To Health Care While Protecting Patient Data." eWeek, 12 Dec. 2019. Web.

      Knight, Will. "The Apple Card Didn't 'See' Gender-and That's the Problem." Wired, 19 Nov. 2019. Web.

      "OECD, Recommendation of the Council on Artificial Intelligence." OECD, 2022. Web.

      "The National AI Initiative Act" U.S. Federal Government, 1 Jan 2021. Web.

      "Trustworthy AI (TAI) Playbook." U.S. Department of Health & Human Services, Sept 2021. Web.

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      Analyze Your Service Desk Ticket Data

      • Buy Link or Shortcode: {j2store}483|cart{/j2store}
      • member rating overall impact (scale of 10): 10.0/10 Overall Impact
      • member rating average dollars saved: $6,499 Average $ Saved
      • member rating average days saved: 3 Average Days Saved
      • Parent Category Name: Service Desk
      • Parent Category Link: /service-desk
      • Leverage your service desk ticket data to gain insights for your service desk strategy.

      Our Advice

      Critical Insight

      • Properly analyzing ticket data is challenging for the following reasons:
        • Poor ticket hygiene and unclear ticket handling means the data is often inaccurate or incomplete.
        • Service desk personnel are not sure where to start with analysis.
        • Too many metrics are tracked to parse actionable data from the noise.
      • Ticket data won’t give you a silver bullet, but it can help point you in the right direction.

      Impact and Result

      • Create an iterative framework for tracking metrics, keeping data clean, and actioning your data on day-to-day and month-to-month timelines.

      Analyze Your Service Desk Ticket Data Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should analyze your service desk ticket data, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Import your ticket data

      Enter your data into our tool. Compare your own ITSM ticket fields to improve ticket data moving forward.

      • Service Desk Ticket Analysis Tool

      2. Analyze your ticket data

      Use the ticket analysis tool as a guide to build your own operational dashboards to measure metrics over time. Gain actionable insights from your data.

      • Ticket Analysis Report

      3. Action your ticket data

      Use the data to communicate your findings to the business and leadership using the Ticket Analysis Report.

      [infographic]

      Further reading

      INFO-TECH RESEARCH GROUP

      Analyze Your Service Desk Ticket Data

      Take a data-driven approach to service desk optimization.

      EXECUTIVE BRIEF

      Analyst Perspective

      Photo of Benedict Chang, Research Analyst, Infrastructure & Operations, Info-Tech Research Group

      Benedict Chang
      Research Analyst, Infrastructure & Operations
      Info-Tech Research Group

      Photo of Ken Weston ITIL MP, PMP, Cert.APM, SMC, Research Director, Infrastructure & Operations, Info-Tech Research Group

      Ken Weston ITIL MP, PMP, Cert.APM, SMC
      Research Director, Infrastructure & Operations
      Info-Tech Research Group

      The perfect time to start analyzing your ticket data is now

      Service desks improve their services by leveraging ticket data to inform their actions. However, many organizations don’t know where to start. It’s tempting to wait for perfect data, but there’s a lot of value in analyzing your ticket data as it exists today.

      Start small. Track key tension metrics based on the out-of-the-box functionality in your tool. Review the metrics regularly to stay on track.

      By reviewing your ticket data, you’re going to get better organically. You’re going to learn about the state of your environment, the health of your processes, and the quality of your services. Regularly analyze your data to drive improvements.

      Make ticket analysis a weekly habit. Every week, you should be evaluating how the past week went. Every month, you should be looking for patterns and trends.

      Executive Summary

      Your Situation

      Leverage your service desk ticket data to gain insights for improving your operations:

      1. Use a data-based approach to allocate service desk resources.
      2. Design appropriate SLOs and SLAs to better service end users.
      3. Gain efficiencies for your shift-left strategy.
      4. Communicate the current and future value of the service desk to the business.

      Common Obstacles

      Properly analyzing ticket data is challenging for the following reasons:

      • Poor ticket hygiene and unclear ticket handling guidelines can lead to untrustworthy results.
      • Undocumented tickets from various intake channels prevents you from seeing the whole picture.
      • Service desk personnel are not sure where to start with analysis and are too busy to find time.
      • Too many metrics are tracked to parse actionable insights from the noise.

      Info-Tech’s Approach

      Info-Tech’s approach to improvement:

      • To reduce the noise, standardize your ticket data in a format that will ease analysis.
      • Start with common analyses using the cleaned data set.
      • Identify action items based on your ticket data.

      Analyze your ticket data to help continually improve your service desk.

      Slow down. Give yourself time.

      Give yourself time to observe the new metrics and draw enough insights to make recommendations for improvement. Then, execute on those recommendations. Slow and steady improvement of the service desk only adds business value and will have a positive impact on customer satisfaction.

      Your challenge

      This research is designed to help service desk managers analyze their ticket data

      Analyzing ticket data involves:

      • Collecting ticket data and keeping it clean. Based on the metrics you’re analyzing, define ticket expectations and keep the data up to date.
      • Showing the value of the service desk. SLAs are meaningless if they are not met consistently. The prerequisite to implementing proper SLAs is fully understanding the workload of the service desk.
      • Understanding – and improving – the user experience. You cannot improve the user experience without meaningful metrics that allow you to understand the user experience. Different user groups will have different needs and different expectations of the level of service. Your metrics should reflect those needs and expectations.

      36% of organizations are prioritizing ticket handling in IT for 2021 (Source: SDI, 2021)

      12% of organizations are focusing directly on service desk improvement (Source: SDI, 2021)

      Common obstacles

      Many organizations face these barriers to analyzing their ticket data:

      • Finding time to properly analyze ticket data is a challenge. Not knowing where to start can lead to not analyzing the proper data. Service desks end up either tracking too much data or not tracking the proper metrics.
      • Data, even if clean, can be housed in various tools and databases. It’s difficult to aggregate data if the data is stored throughout various tools. Comparisons may also be difficult if the data sets aren’t consistent.
      • Shifting left to move tickets toward self-service is difficult when there is no visibility into which tickets should be shifted left.

      What your peers are saying about why they can’t start analyzing their ticket data:

      • “My technicians do not consistently update and close tickets.”
      • “My ITSM doesn’t have the capabilities I need to make informed decisions on shifting tickets left.”
      • “My tickets are always missing data”
      • “I’m constantly firefighting. I have no time for ticket data analysis.”
      • “I have no idea where to start with the amount of data I have.”
      (Source: Info-Tech survey, 2021; N=20.)

      Common obstacles that prevent effective ticket analysis

      We asked IT service desk managers and teams about their biggest hurdles

      Missing or Inaccurate Information
      • Lack of information in the ticket
      • Categories are too general/specific to draw insights
      • Poor ticket hygiene
      Missing Updates
      • Tickets aren’t updated while being resolved
      Correlating Tickets to Identify Trends
      • Not sure where to start with all the data at hand
      No Time
      • No time to figure out the tool or analyze the data properly
      Ineffective Categorization Schemes
      • Reduces the power of ticket data
      Tool Limitations
      • Can’t be easily customized
      • Too customized to be effective
      • Desired dashboards unavailable
      (Source: Info-Tech survey, 2021; N=20)

      Info-Tech’s approach

      Repeat this analysis every business cycle:

      • Gather Your Data
        Collect your ticket data OR start measuring the right metrics.
      • Extract & Analyze
        Organize and visualize your data to extract insights
      • Action the Results
        Implement low-effort improvements and celebrate quick successes.
      • Implement Larger Changes
        Reference your ticket data while implementing process, tooling, and other changes.
      • Communicate the Results
        Use your data to show the value of your effort.

      Measure the value of this blueprint

      Track these metrics as you improve

      Use the data to tell you which aspects of IT need to be shifted left and which need to be automated

      Your data will show you where you can improve.

      As you act on your data, you should see:

      • Lower costs per ticket
      • Decreased average time to resolve
      • Increased end-user satisfaction
      • Fewer tickets escalated beyond Tier 1

      An illustration of the 'Shift Left Strategy' using three line graphs arranged in a table with the same axes but representing different metrics. The header row is 'Metrics,' then values of the x-axes are 'Auto-Fix,' 'User,' 'Tier 1,' 'Tier2/Tier3,' and 'Vendor.' Under 'Metrics' we see 'Cost,' 'Time,' and 'Satisfaction.' The 'Cost' graph begins 'Low' at 'Auto-Fix' and gradually moves to 'High' at 'Vendor.' The 'Time' graph begins 'Low' at 'Auto-Fix' and gradually moves to 'High' at 'Vendor.' The 'Satisfaction' graph begins 'High' at 'Auto-Fix' and gradually moves to 'Low' at 'Vendor.' Below is an arrow directing us away from the 'Vendor' option and toward the 'Auto-Fix' option, 'Shift Ticket Resolution Left.'

      See Info-Tech’s blueprint Optimize the Service Desk With a Shift-Left Strategy.

      Info-Tech’s methodology for analyzing service desk tickets

      1. Import Your Ticket Data 2. Analyze Your Ticket Data 3. Communicate Your Insights
      Phase Steps
      1. Import Your Ticket Data
      1. Analyze High-Level Ticket Data
      2. Analyze Incidents, Service Requests, and Ticket Categories
      1. Build Recommendations
      2. Action and Communicate Your Ticket Data
      Phase Outcomes Enter your data into our tool. Compare your own ITSM ticket fields to improve ticket data moving forward. Use the Service Desk Ticket Analysis Tool as a guide to build your own operational dashboards to measure metrics over time. Gain actionable insights from your data. Use the data to communicate your findings to the business and leadership using the Ticket Analysis Report.

      Insight summary

      Slow down. Give yourself time.

      Give yourself time to observe the new metrics and draw enough insights to make recommendations for improvement. Then, execute on those recommendations. Slow and steady improvement of the service desk only adds business value and will have a positive impact on customer satisfaction.

      Iterate on what to track rather than trying to get it right the first time.

      Tracking the right data in your ticket can be challenging if you don’t know what you’re looking for. Start with standardized fields and iterate on your data analysis to figure out your gaps and needs.

      If you don’t know where to go, ticket data can point you in the right direction.

      If you have service desk challenges, you will need to allocate time to process improvement. However, prioritizing your initiatives is easier if you have the ticket data to point you in the right direction.

      Start with data from one business cycle.

      Service desks don’t need three years’ worth of data. Focus on gathering data for one business cycle (e.g. three months). That will give you enough information to start generating value.

      Let the data do the talking.

      Leverage the data to drive organizational and process change in your organization by tracking meaningful metrics. Choose those metrics using business-aligned goals.

      Paint the whole picture.

      Single metrics in isolation, even if measured over time, may not tell the whole story. Make sure you design tension metrics where necessary to get a holistic view of your service desk.

      Blueprint deliverables

      This blueprint’s key deliverable is a ticket analysis tool. Many of the activities throughout this blueprint will direct you to complete and interpret this tool. The other main deliverable is a stakeholder presentation template to help you document the outcomes of the project.
      Service Desk Ticket Analysis Tool Ticket Analysis Report
      Use this tool to identify trends and patterns in your ticket data to action improvement initiatives.

      Sample of the Service Desk Ticket Analysis Tool blueprint deliverable.

      Use this template to document the justification for addressing service desk improvement, the results of your analysis, and your next steps.

      Sample of the Ticket Analysis Report blueprint deliverable.

      Blueprint benefits

      IT Benefits

      • Discover and implement the proper metrics to improve your service desk
      • Use a data-based approach to improve your customer service and operational goals
      • Increase visibility with the business and other IT departments using a structured presentation

      Business Benefits

      • Quicker resolutions to incidents and service requests
      • Better expectations for the service desk and IT
      • Better visibility into the current state, challenges, and goals of the service desk
      • More effective support when contacting the service desk

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      Guided Implementation

      Workshop

      Consulting

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks used throughout all four options

      Guided Implementation

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is 3-4 calls over the course of 2-3 months.

      What does a typical GI on this topic look like?

        Phase 1

      • Call #1: Scope requirements, objectives, and your specific challenges. Enter your data into the tool.
      • Phase 2

      • Call #2: Assess the current state across the different dashboards.
      • Phase 3

      • Call #3: Identify improvements and insights to include in the communication report.
      • Call #4: Review the service desk ticket analysis report.

      PHASE 1

      Import Your Ticket Data

      This phase will walk you through the following activities:

      • 1.1.1 Define your objectives for analyzing ticket data
      • 1.1.2 Identify success metrics
      • 1.1.3 Import your ticket data into the tool
      • 1.1.4 Update your ticket fields for future analysis

      This phase involves the following participants:

      • Service Desk Manager
      • ITSM Manager
      • Service Desk Technician

      1.1.1 Define your objectives for analyzing ticket data

      Input: Understanding of current service desk process and ticket routing

      Output: Defined objectives for the project

      Materials: Whiteboard/flip charts, Ticket Analysis Report

      Participants: Service Desk Staff, Service Desk Manager, IT Director, CIO

      Use the discussion questions below as a guide
      1. Identify your main objective for analyzing ticket data. Use these three sample objectives as a starting point:
        • Demonstrate value to the business by improving customer service.
        • Improve service desk operations.
        • Reduce the number of recurring incidents.
      2. Answer the following questions as a group:
        • What challenges do you have getting accurate data for this objective?
        • What data is missing for supporting this objective?
        • What kind of issues must be solved for us to make progress on achieving this objective?
        • What decisions are held up from a lack of data?
        • How can better ticket data help us to more effectively manage our services and operations?

      Document in the Ticket Analysis Report.

      1.1.2 Identify success metrics

      Select metrics that will track your progress on meeting the objective identified in Activity 1.1.1.

      Input: Understanding of current service desk process and ticket routing

      Output: Defined objectives for the project

      Materials: Whiteboard/flip charts, Ticket Analysis Report

      Participants: Service Desk Manager, IT Director, CIO

      Use these sample metrics as a starting point:
      Demonstrate value to the business by improving customer service
      Ticket trends by category by month # tickets by business department % SLAs met by IT teams
      Average customer satisfaction rating % incident tickets closed in one day Service request SLAs met by % Annual IT satisfaction survey result
      Improve service desk operations
      Incident tickets assigned, sorted by age and priority Scheduled requests for today and tomorrow Knowledgebase articles due for renewal this month Top 5-10 tickets for the quarter
      Unassigned tickets by age # incident tickets assigned by tech Open tickets by category Backlog summary by age
      Reducing the number of recurring incidents
      # incidents by category and resolution code Number of problem tickets opened and resolved Correlation of ticket volume trends to events Reduction of volume of recurring tickets
      Use of knowledgebase by users Use of self-service for ticket creation Use of service catalog Use of automated features (e.g. password resets)
      Average call hold time % calls abandoned Average resolution time Number of tickets reopened

      Document in the Ticket Analysis Report.

      Inefficient ticket-handling processes lead to SLA breaches and unplanned downtime

      Analyze the ticket data to catch mismanaged or lost tickets that lead to unnecessary escalations and impact business profitability

      • Ticket Category – Are your tickets categorized by type of asset? By service?
      • Average Ticket Times – How long does it take to resolve or fulfill tickets?
      • Ticket Priority – What is the impact and urgency of the ticket?
      • SLA/OLA Violations – Did we meet our SLA objectives? If not, why?
      • Ticket Channel – How was the issue reported or ticket received?
      • Response and Fulfillment – Did we complete first contact resolution? How many times was it transferred?
      • Associated Tasks and Tickets – Is this incident associated with any other tasks like change tickets or problem tickets?

      Encourage proper ticket-handling procedures to enable data quality

      Ensure everyone understands the expectations and the value created from having ticket data that follows these expectations

      • Create and update tickets, but not at the expense of good customer service. Agents can start the ticket but shouldn’t spend five minutes creating the ticket when they should be troubleshooting the problem.
      • Update the ticket when the issue is resolved or needs to be escalated. If agents are escalating, they should make sure all relevant information is passed along within the ticket to the next technician.
      • Update user of ETA if issue cannot be resolved quickly.
      • Ticket templates for common incidents can lead to fast creation, data input, and categorizations. Templates can reduce the time it takes to create tickets from two minutes to 30 seconds.
      • Update categories to reflect the actual issue and resolution.
      • Reference or link to the knowledgebase article as the documented steps taken to resolve the incident.
      • Validate with the client that the incident is resolved; automate this process with ticket closure after a certain time.
      • Close or resolve the ticket on time.

      Info-Tech Insight

      Ticket handling ensures clean handovers, whether it is to higher tiers or back to the customer. When filling the ticket out with information intended for another party, ensure the information is written for their benefit and from their point of view.

      Service Desk Ticket Analysis Tool overview

      The Service Desk Ticket Analysis Tool will help you standardize your ticket data in a meaningful format that will allow you to apply common analyses to identify the actions you need to take to improve service desk operations

      TABS 1 & 2
      INSTRUCTIONS & DATA ENTRY
      TAB 3 : TICKET SUMMARY
      TICKET SUMMARY DASHBOARDS
      TABS 4 to 8: DASHBOARDS
      INCIDENT SERVICE REQUEST CATEGORY
      Sample of the Service Desk Ticket Analysis Tool, tabs 1 & 2.
      Input at least three months of your exported ticket data into the corresponding columns in the tool to feed into the common analysis graphs in the other tabs.
      Sample of the Service Desk Ticket Analysis Tool, tab 3.
      This tab contains multiple dashboards analyzing how tickets come in, who requests them, who resolves them, and how long it takes to resolve them.
      Sample of the Service Desk Ticket Analysis Tool, tabs 4 to 8.
      These tabs each have dashboards outlining analysis on incidents and service requests. The category tab will allow you to dive deeper on commonly reported issues.

      1.1.3 Import your data into our Service Desk Ticket Analysis Tool

      You can still leverage your current data, but use this opportunity to improve your service desk ticket fields down the line

      Input: ITSM data log

      Output: Populated Service Desk Ticket Data Analysis Tool

      Materials: Whiteboard/flip charts, Service Desk Ticket Analysis Tool

      Participants: Service Desk Manager, Service Desk Technicians

      Start here:

      • Extract your ticket data from your ITSM tool in an Excel or text format.
      • Look at the fields on the data entry tab of the Service Desk Ticket Analysis Tool.
      • Fill the fields with your ticket data by copying and pasting relevant sections. It is okay if you don’t have all the fields, but take note of the fields you are missing.
      • With the list of the fields you are missing, run through the following activity to decide if you will need to adopt or add fields to your own service desk ticket tool.
      Fields Captured
      Ticket Number Open Date
      Open Time Closed Date
      Closed Time Intake Channel
      Time to Resolve Site Location
      First Contact Resolution Resolution Code
      Category (I, II, III) Ticket Type (Request or Incident)
      Status of Ticket Resolved by Tier
      Ticket Priority Requestor/Department
      SLA Fulfilled Subject
      Technician

      When entering your data, pay close attention to the following fields:

      • Time to Resolve: This is automatically calculated using data in the Open Date, Open Time, Close Date, and Close Time fields. You have three options for entering your data in these fields:
        1. Enter your data as the fields describe. Ensure your data contain only the field description (e.g. Open Date separated from Open Time). If your data contain Open Date AND Open Time, Excel will not show both.
        2. Enter your data only in Open Date and Close Date. If your ITSM does not separate date and time, you can keep the data in a single cell and enter it in the column. The formula in Time to Resolve will still be accurate.
        3. If your ITSM outputs Time to Resolve, overwrite the formula in the Time to Resolve column.
      • SLA: If your ITSM outputs SLA fulfilled: Y/N, enter that directly into the SLA Fulfilled column.
      • Blank Columns: If you do not have data for all the columns, that is okay. Continue with the following activity. Note that some stock dashboards will be empty if that is the case.
      • Incidents vs. Service Requests: If you separate incidents and service requests, be sure to capture that in the SR/Incident for Tabs 4 and 5. If you do not separate the two, then you will only need to analyze Tab 3.
      Fields Captured
      Ticket Number Open Date
      Open Time Closed Date
      Closed Time Intake Channel
      Time to Resolve Site Location
      First Contact Resolution Resolution Code
      Category (I, II, III) Ticket Type (Request or Incident)
      Status of Ticket Resolved by Tier
      Ticket Priority Requestor/Department
      SLA Fulfilled Subject
      Technician

      Use Info-Tech’s tool instead of building your own. Download the Service Desk Ticket Analysis Tool.

      1.1.4 Update your ticket fields for future analysis

      Input: Populated Service Desk Ticket Data Analysis Tool

      Output: New ticket fields to track

      Materials: Whiteboard/flip charts, Service Desk Ticket Analysis Tool

      Participants: Service Desk Manager, Service Desk Technicians

      As a group, pay attention to the ticket fields populated in the tool as well as the ticket fields that you were not able to populate. Use the example “Fields Captured” table to the right, which lists all fields present in the ticket analysis tool.

      Discuss the following questions:

      1. Consider the fields not captured. Would it be valuable to start capturing that data for future analysis?
      2. If so, does your ITSM support that field?
      3. Can you make the change in-house or do you have to bring in an external ITSM administrator to make the change?
      4. Capture the results in the Ticket Analysis Report.
      Example: Fields Captured - Fields Not Captured
      Ticket Number Open Date
      Open Time Closed Date
      Closed Time Intake Channel
      Time to Resolve Site Location
      First Contact Resolution Resolution Code
      Category (I, II, III) Ticket Type (Request or Incident)
      Status of Ticket Resolved by Tier
      Ticket Priority Requestor/Department
      SLA Fulfilled Subject
      Technician

      Document in the Ticket Analysis Report.

      Info-Tech Insight

      Don’t wait for your ticket quality to be perfect. You can still draw actions from your ticket data. They will likely be process improvements initially, but the exercise of pulling the data is a necessary first step.

      Common ticket fields tracked by your peers

      Which of these metrics do you track and action?

      • Remember you don’t have to track every metric. Only track metrics that are actionable.

      For each metric that you end up tracking:

      • Look for trends over time.
      • Brainstorm reasons why the metric could rise or fall.

      Associate a metric with each improvement you execute.

      • Performing this step will allow you to better see the value from your team’s efforts.
      • It will also give you a quicker response than waiting for spikes in your data.

      A bar chart of 'Metrics tracked by other organizations' with the x-axis populated by different metrics and the y-axis as '% organizations who track the metric'. The highest percentage of businesses track 'Ticket volume', then 'Ticket trends by category', then 'Tickets by business units'. The lowest three shown are 'Reopened tickets', 'Cost per ticket', and 'Other'.(Source: Info-Tech survey, 2021; N=20)

      PHASE 2

      Analyze Your Ticket Data

      This phase will walk you through the following activities:

      • 2.1.1 Review high-level ticket dashboards
      • 2.2.1 Review incident, service request, and ticket category dashboards

      This phase involves the following participants:

      • Service Desk Manager
      • Service Desk Technicians
      • IT Managers

      Visualize your ticket data as a first step to analysis

      Identifying trends is easier when looking at diagrams, graphs, and figures

      Start your analysis with common visuals employed by other service desk professionals

      • Phase 2 will walk you through visualizing your data to get a better understanding of your ticket intake, incident management, and service request management.
      • Each step will walk you through:
        • Common visualizations used by service desks
        • Patterns to look for in your visualizations
        • Actions to take to address negative patterns and to continue positive trends
      • Share diagrams that underscore both the value being provided by the service desk as well as the scope of the pain points. Use Info-Tech’s Ticket Analysis Report template as a starting point.

      “Being able to tell stories with data is a skill that’s becoming ever more important in our world of increasing data and desire for data-driven decision making. An effective data visualization can mean the difference between success and failure when it comes to communicating the findings of your study, raising money for your nonprofit, presenting to your board, or simply getting your point across to your audience.” - Cole Knaflic, Founder and CEO, Storytelling with Data: A Data Visualization Guide for Business Professionals

      Use the detailed dashboards to determine the next steps for improvement

      A single number doesn’t tell the whole picture

      Analyze trends over time:

      • Analyze trends by day, by week, by month, and by year to determine:
        • When are the busy periods? (E.g. Do tickets tend to spike every morning, every Monday, or every September?)
        • When are the slow periods? (E.g. Do tickets drop at the end of the day, at midday, on Fridays, or over the summer?)
      • Are spikes or drops in volume consistent trends or one-time anomalies?

      Then build a plan to address them:

      • How will you handle volume spikes, if they’re consistent?
      • What can your resources work on during slow times, if they are consistent?
      • If you assume no shrinkage, can you handle the peaks in volume if you make all FTEs available to work on tickets at a certain time of day?

      Sample of a bar chart comparing tickets that were 'Backlog versus Closed by Month Opened'.

      Look for seasonal trends. In this example, we see high ticket volumes in May and January, with lower ticket volumes in June and July when many staff are taking holidays. However, also be careful to look at the big picture of how you pulled the data. August through October sees a high volume of open tickets because the data set is pulled in November, not because there’s a seasonal spike on tickets not closing at the end of the fiscal year.

      Track ticket data over time

      Make low-effort adjustments before major changes

      Don’t rush to a decision based off the first numbers you see

      Review ticket summary dashboard

      Ideally, you should track ticket patterns over an entire year to get a full sense of trends within each month of the year. At minimum, track for 30 days, then 60, then 90, and see if anything changes. The longer you can track ticket patterns, the more accurate your picture will be.

      Review additional dashboards

      If you separate incidents and service requests, and you have accurate ticket categories, then you can use these dashboards to further break down the data to identify ticket trends.

      The output of the ticket analysis will only be as accurate as its input.
      To get the most accurate results, first ensure your data is accurate, then analyze it over as much time as possible. Aggregating with accurate data will give you a better picture of the trends in demand that your service desk sees.

      Not separating incidents and service requests? Need to fix your ticket categories? Visit Standardize the Service Desk to get started.

      Analyze incidents and requests separately

      Each type has its own set of customer experiences and expectations

      • Different ticket types are associated with radically different prioritization, routing, and service levels. For instance, most incidents are resolved within a business day, but requests take longer to implement.
      • If you fail to distinguish between ticket types, your metrics will obscure service desk performance.
      • From a ticket analysis standpoint, separating ticket types prior to analysis or, better yet, at intake allows for cleaner data. In turn, this means more structured analyses, better insights, and more meaningful actions. Not separating ticket types may still get you to the same conclusions, but it will be much more difficult to sift through the data.

      Incident

      An unanticipated interruption of a service.
      The goal of incident management is to restore the service as soon as possible, even if the resolution involves a workaround.

      Request

      A generic description for a small change or service access.
      Requests are small, frequent, and low risk. They are best handled by a process distinct from incident, change, and project management.

      Not separating incidents and service requests? Need to fix your ticket categories? Visit Standardize the Service Desk to get started.

      Step 2.1

      Analyze Your High-Level Ticket Data

      Dashboards
      • Ticket Volume
      • Ticket Intake
      • Ticket Handling and Resolution
      • Ticket Categorization

      This step will walk you through the following activities:

      Visualize the current state of your service desk.

      This step involves the following participants:

      • Service Desk Manager
      • Service Desk Technicians
      • IT Managers

      Outcomes of this step

      Build your metrics baseline to compare with future metric results.

      Dashboards: Ticket Volume

      Example of a dashboard for ticket volume with two bar charts, one breaking down volume by month, and the other marking certain days or weeks in each month.

      Analyze your data for insights

      • Analyze volume trends by day, by week, by month, and by year to determine:
        • When are the busy periods? (E.g. Do tickets tend to spike every morning, every Monday, or every September?)
        • When are slow periods? (E.g. Do tickets drop at the end of the day, at midday, on Fridays, or over the summer?)
      • Are spikes or drops in volume consistent trends or one-time anomalies?
      • What can your resources be working on during slow times? Are you able to address ticket backlog?

      Dashboards: Ticket Intake

      Example of a dashboard for ticket intake with three bar charts, one breaking it down by 'Intake Channel', one by 'Requestor/Department', and one by 'Location'.

      Analyze your data for insights

      • Determine how to drive intake to the most appropriate solution for your organization:
        • A web portal is the most efficient intake method, but it must be user friendly to increase its adoption.
        • The phone should be available for urgent requests or incidents. Encourage those who call with a request to submit a ticket through the portal.
        • Discourage use of email if it is unstructured, as users don’t provide enough detail, and often two or three transactions are required for triage.
        • If walk-ups are encouraged, structure and formalize the support so it can be resourced and managed rather than interrupt-driven.

      Dashboard: Ticket Handling and Resolution

      Example of a dashboard for ticket handling and resolution with three bar charts, one breaking down 'Tickets Resolved by Technician', one by 'Tier', and one by 'Average Time to Resolve (Hours)'.

      Analyze your data for insights

      • Look at your ticket load by technician and by tier. This is an essential step to set your baseline to measure your shift-left initiatives. If you are focusing on self-service or Tier 1 training, the ticket load from higher tiers should decrease over time.
      • If Tiers 2 and 3 are handling the majority of the tickets, this could be a red flag indicating tickets are inappropriately escalated or Tier 1 could use more training and support.
      • For average time to resolve and average time to resolve by tier, are you meeting your SLAs? If not, are your SLAs too aggressive? Are tickets left open and not properly closed?

      Dashboard: Ticket Categorization

      Analyze your data for insights

      • Ticket categorization is critical to clean data. Having a categorization scheme with categories that are miscellaneous, too specific, or too general easily leads to inaccurate reporting or confusing workflows for technicians.
      • When looking at your ticket categories, first look for duplicate categories that could be collapsed into one.
      • Also look at your top five to seven categories and see if they make sense. Are these good candidates in your organization for automation or shift-left?
      • Compare your Tier 1 categories. The level of specificity for these categories should be comparable to easily run reports. If they are not, assess the need for a category redesign.

      Example of a dashboard for ticket categorization with one horizontal bar chart, 'Incident Ticket Volume by Level 1 Category'.

      Step 2.2

      Analyze Incidents, Service Requests, and Ticket Categories

      Dashboards
      • Incidents
      • Service Requests
      • Volume by Ticket Category
      • Resolution Times by Priority and/or Category
      • Tabs for More Granular Investigation and Reporting

      This step will walk you through the following activities:

      Visualize your incident and service request ticket load and analyze trends. Use this information and cross reference data sets to gain a holistic view of how the service desk interacts with IT and the business.

      This step involves the following participants:

      • Service Desk Manager
      • Service Desk Technicians
      • IT Managers

      Outcomes of this step

      Gain actionable, data-driven improvements based on your incident and service request data. Show the value of the service desk and highlight improvements needed.

      Incident and Service Requests Dashboard: Priority and SLA

      Example of an Incident and Service Requests dashboard for priority and SLA with three charts, one breaking down 'Incident Priority', one 'Average time to resolve (in hours) by priority', and one '% of SLA met'.

      Analyze your data for insights

      • Your ticket priority distribution for overall load and time to resolve (TTR) should look something like above with low-priority tickets having higher load and TTR and high/critical-priority tickets having a lower load and lower TTR. If it is reversed, that is a good indication that the service desk is too reactive or isn’t properly prioritizing its work.
      • If your SLA has a high failure rate, consider reassessing your targets with SLOs that you can meet before publishing them as achievable SLAs.

      Incident and Service Requests Dashboard: Priority and SLA

      Example of an Incident and Service Requests dashboard for resolution and close with three bar charts, one breaking down 'Incident Volume by Resolution Code', one 'Incidents Resolved by Tier', and one 'Average time to resolve (in hours) by Resolution Code'.

      Analyze your data for insights

      • Examine your ticket handling by looking at ticket status and resolution codes.
        • If you have a lot of blanks, then tickets are not properly handled. Consider reinforcing your standards for close codes and statuses.
        • Alternatively, if tickets are left open, you may have to build follow-ups on stale tickets into your process or introduce proper auto-close processes.

      Category, Resolution Time, and Resolution Code Dashboards

      These PivotCharts allow you to dig deeper

      Investigate whether there are trends in ticket volume and resolution times within specific categories and subcategories

      Tab 6, Category Dashboard; tab 7, Resolution Time Dashboard; and tab 8, Resolution Code Dashboard are PivotCharts. Use these tabs to investigate whether there are trends in ticket volume, resolution times, and resolution codes within specific categories and subcategories.

      Start with the charts that are available. The +/- buttons will allow you to show more granular information. By default, this granularity will be into the levels of the ticket categorization scheme.

      For most categorization schemes, there will be too many categories to properly graph. You can apply a filter to investigate specific categories by clicking on the drop-down buttons.

      Example of dashboards featured on next slide

      Use these tabs for more granular investigation and reporting

      TAB 6
      CATEGORY DASHBOARD
      TAB 7
      RESOLUTION TIME DASHBOARD
      TAB 8
      RESOLUTION TIME DASHBOARD
      Sample of the 'Ticket Volume by Second, Third Level Category' dashboard tab.
      Investigate ticket distributions in first, second, and third levels. Are certain categories overcrowded, suggesting they can be split? Are certain categories not being used?
      Sample of the 'Average Resolution Times' dashboard tab.
      Do average resolution times match your service level agreements? Do certain categories have significantly different resolution times? Are there areas that can benefit from shift-left?
      Sample of the 'Volume of Resolution Codes' dashboard tab.
      Are resolution codes being accurately used? Are there trends in resolution codes? Are these codes providing sufficient information for problem management?

      PHASE 3

      Communicate Your Insights

      This phase will walk you through the following activities:

      • 3.1.1 Review common recommendations
      • 3.2.1 Review ticket reports daily
      • 3.2.2 Incorporate ticket data into retrospectives and team updates
      • 3.2.3 Regularly review trends with business leaders
      • 3.2.4 Tell a story with your data

      This phase involves the following participants:

      • Service Desk Manager
      • Service Desk Technicians
      • IT Managers

      Step 3.1

      Build Recommendations Based on Your Ticket Data

      Activities
      • 3.1.1 Review common recommendations

      This step will walk you through the following activities:

      Review common recommendations as a first step to extracting insights from your own data.

      This step involves the following participants:

      • Service Desk Manager
      • Service Desk Technicians

      Outcomes of this step

      You will gain an understanding of the common challenges with service desks and ticket analysis in general. See which ones apply to you to inform your ticket data analysis moving forward.

      Review these common recommendations

      1. Fix your ticket categories
        Organize your ticket categorization scheme for proper routing and reporting.
      2. Focus more on self-service
        Self-service is essential to enable shift-left strategies. Focus on knowledgebase processes and portal ease of use.
      3. Update your service catalog
        Improve your service catalog, if necessary, to make it easy for end users to request services and for the service desk to provide those services.
      4. Direct volume toward other channels
        Walk-ups make it more difficult to properly log tickets and assign service desk resources. Drive volume to other channels to improve your ticket quality.
      5. Crosstrain Tier 1 on certain topics
        Tier 1 breadth of knowledge is essential to drive up first contact resolution.
      6. Build more automation
        Identify bottlenecks and challenges with your ticket data to streamline ticket handling and resolution.
      7. Revisit service level agreements
        Update your SLAs and/or SLOs to prioritize expectation management for your end users.
      8. Improve your data quality
        You can only analyze data that exists. Revisit your ticket-handling guidelines and more regularly check tickets to ensure they comply with those standards.

      Optimize your processes and look for opportunities for automation

      Leverage Info-Tech research to improve service desk processes

      Review your service desk processes and tools for optimization opportunities:

      • Clearly establish ticket-handling guidelines.
      • Use ticket templates to reduce time spent entering tickets.
      • Document incident management and service request fulfillment workflows and eliminate any unnecessary steps.
      • Automate manual tasks wherever possible.
      • Build or improve a self-service portal with a knowledgebase to allow users to resolve their own issues, reducing incoming ticket volume to the service desk.
      • Optimize your internal knowledgebase to reduce time spent troubleshooting recurring issues.
      • Leverage AI capabilities to speed up ticket processing and resolution.

      Standardize the Service Desk

      This project will help you build and improve essential service desk processes, including incident management, request fulfillment, and knowledge management.

      Optimize the Service Desk With a Shift-Left Strategy

      This project will help you build a strategy to shift service support left to optimize your service desk operations and increase end-user satisfaction.

      Step 3.2

      Action and Communicate Your Ticket Data

      Activities
      • 3.2.1 Review your ticket queues daily
      • 3.2.2 Incorporate ticket data into retrospectives and team status updates
      • 3.2.3 Regularly review trends with business leaders
      • 3.2.4 Tell a story with your data

      This step will walk you through the following activities:

      Organize your scrums to report on the metrics that will inform daily and monthly operations.

      This step involves the following participants:

      • Service Desk Manager
      • Service Desk Technicians
      • IT Managers

      Outcomes of this step

      Use the dashboards and data to inform your daily and monthly scrums.

      3.2.1 Review your ticket queues daily

      Clean data is still useless if not used properly

      • The metrics you’ve chosen to measure and visualize in the previous step are useful for informing your day-to-day, week-to-week, and month-to-month strategies for the service desk and IT. Conduct scrums daily to action your dashboard data to help clear ticket queues.
      • Reference your dashboards daily with each IT team.
      • You need to have a dashboard of open tickets assigned to each team.

      Review Daily

      • Ticket volume over the last day (look for spikes)
      • SLA breach risks/SLA breaches
      • Recurring incidents
      • Tickets open
      • Tickets handed over (confirmation of handover)

      3.2.2 Incorporate ticket data into retrospectives and team status updates

      Explain your metric spikes and trends

      • Hold weekly or monthly meetings to review the ticket trends selected during Phases 1 and 2 of this blueprint.
      • Review ticket spikes, identify seasonal trends, and discuss root causes (e.g. projects/changes going live, onboarding blitz).
      • Discuss any actions associated with spikes and seasonal trends (e.g. resource allocation, hiring, training).
      • You can incorporate other IT leaders or departments in this meeting as needed to discuss action items for improvement, quality assurance concerns, customer service concerns, and/or operating level agreement concerns.

      Review Weekly/Monthly

      • Ticket volume
      • Ticket category by priority level over time
      • Tickets from different business groups, VIP groups, and different vertical levels
      • Tickets escalated, tickets that didn’t need to be escalated, tickets that were incorrectly escalated
      • Ticket priority levels over time
      • Most requested services
      • Tickets resolved by which group over time
      • Ability to meet SLAs and OLAs over time by different groups

      3.2.3 Regularly review trends with business leaders

      Use your data to help improve business relationships

      Review the following with business leaders:

      • Volume of work done this past time cycle for the leader’s group
      • Trends and spikes in the data and possible explanations for them (note: get their input on the potential causes of trends)
      • Improvements you plan to execute within the service desk
      • Action items you need from the business leader

      Use your data to show the value you provide to the group. Schedule quarterly meetings with the heads of different business groups to discuss the work that the service desk does for each group.

      Show trends in incidents and service requests: “I see you have a spike in CRM tickets. I’ve been working with the CRM team to address this issue.”

      3.2.4 Tell a story with your data

      Effectively communicate with the business and leadership

      • With your visualized metrics, organize your story into a presentation for different stakeholder groups. You can use the Ticket Analysis Report as a starting point to provide data about:
        • Value provided by the service desk
        • Successes
        • Opportunities for Improvements
        • Current state of KPIs
      • Include information about the causes of data trends and actions you will take in response to the data.
      • For each of these themes, look at the metrics you’ve chosen to track and see which ones fit to tell the story. Let the data do the talking.
      • Consider supplementing the ticket data with data from other systems. For example, you can include data on transactional customer satisfaction surveys, knowledgebase utilization, and self-service utilization.

      Sample of the Ticket Analysis Report.

      Download the Ticket Analysis Report.

      Ticket Analysis Report

      Include the following information as you build your ticket analysis report:

      • Value Provided by the Service Desk
        Start with the value provided by the service desk to different areas of the business. Include information about first contact resolution, average resolution times, ticket volume (e.g. by category, priority, location, requestor).
      • Successes
        Successes is a general field that can include how process improvements have impacted the service desk or how initiatives have enhanced shift-left opportunities. Highlight any positive trends over time.
      • Opportunities for Improvement
        Let the data guide the conversation to where improvements can be made. Day-to-day ops, self-service tools, shifting work left from Tier 2, Tier 3, standardizing a non-standard service, and staffing adjustments are possibilities for this section.
      • Current State of KPIs
        Mean time to resolve, FCR, ticket volume, and end-user satisfaction are great KPIs to include as a starting point.

      Sample of the Ticket Analysis Report.

      Download the Ticket Analysis Report.

      Summary of Accomplishment

      Problem Solved

      You now have a better understanding of how to action your service desk ticket data, including improvements to your current ticket templates for incidents and service requests.

      You also have the data to craft a story to different stakeholder groups to celebrate the successes of the service desk and highlight possible improvements. Continue this exercise iteratively to continue improving the service desk.

      Remember, ticket analysis is not a single event but an ongoing initiative. As you track, analyze, and action more data, you will find more improvements.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Contact your account representative for more information.

      workshops@infotech.com 1-888-670-8889

      Additional Support

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Photo of Benedict Chang.

      Contact your account representative for more information.

      workshops@infotech.com 1-888-670-8889

      To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team. Info-Tech analysts will join you and your team at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      Sample of dashboards we saw earlier. Sample of the 'Ticket Analysis Report'.
      Analyze your dashboards
      An analyst will walk through the ticket data and dashboards with you and your team to help interpret the data and tailor improvements
      Populate your ticket data report
      Given the action items from this solution set, an analyst will help you craft a report to celebrate the successes and highlight needed improvements in the service desk.

      Related Info-Tech Research

      Optimize the Service Desk With a Shift-Left Strategy

      The best type of service desk ticket is the one that doesn’t exist.

      Incident & Problem Management

      Don’t let persistent problems govern your department.

      Design & Build a User-Facing Service Catalog

      Improve user satisfaction with IT with a convenient menu-like catalog.

      Bibliography

      Bayes, Scarlett. “ITSM: 2021 & Beyond.” Service Desk Institute, 2021. Web.

      “Benchmarking Report v.9.” Service Desk Institute, 17 Jan. 2020. Web.

      Bennett, Micah. “The 9 Help Desk Metrics That Should Guide Your Customer Support.” Zapier, 3 Dec. 2015. Web.

      “Global State of Customer Service: The transformation of customer service from 2015 to present day.” Microsoft Dynamics 365, Microsoft, 2020. Web.

      Goodey, Ben. “How to Manually Analyze Support Tickets.” SentiSum, 26 July 2021. Web.

      Jadhav, Megha. “Four Metrics to Analyze When Using Ticketing Software.” Vision Helpdesk Blog, 21 Mar. 2016. Web.

      Knaflic, Cole Nussbaumer. Storytelling with Data: A Data Visualization Guide for Business Professionals. Wiley, 2015.

      Li, Ta Hsin, et al. “Incident Ticket Analytics for IT Application Management Services.” 2014 IEEE International Conference on Services Computing, 2014. Web.

      Olson, Sarah. “10 Help Desk Metrics for Service Desks and Internal Help Desks.” Zendesk Blog, Sept. 2021. Web.

      Paramesh, S.P., et al. “Classifying the Unstructured IT Service Desk Tickets Using Ensemble of Classifiers.” 2018 3rd International Conference on Computational Systems and Information Technology for Sustainable Solutions (CSITSS), 2018. Web.

      Volini, Erica, et al. “2021 Global Human Capital Trends: Special Report.” Deloitte Insights, 21 July 2021. Web.

      “What Kind of Analysis You Can Perform on a Ticket Management System.” Commence, 3 Dec. 2019. Web.

      INFO-TECH RESEARCH GROUP

      Become a Strategic CIO

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      • member rating overall impact (scale of 10): 9.5/10 Overall Impact
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      • Parent Category Name: IT Strategy
      • Parent Category Link: /it-strategy
      • As a CIO, you are currently operating in a stable and trusted IT environment, but you would like to advance your role to strategic business partner.
      • CIOs are often overlooked as a strategic partner by their peers, and therefore face the challenge of proving they deserve a seat at the table.

      Our Advice

      Critical Insight

      • To become a strategic business partner, you must think and act as a business person that works in IT, rather than an IT person that works for the business.
      • Career advancement is not a solo effort. Building relationships with your executive business stakeholders will be critical to becoming a respected business partner.

      Impact and Result

      • Create a personal development plan and stakeholder management strategy to accelerate your career and become a strategic business partner. For a CIO to be considered a strategic business partner, he or she must be able to:
        • Act as a business person that works in IT, rather than an IT person that works for the business. This involves meeting executive stakeholder expectations, facilitating innovation, and managing stakeholder relationships.
        • Align IT with the customer. This involves providing business stakeholders with information to support stronger decision making, keeping up with disruptive technologies, and constantly adapting to the ever-changing end-customer needs.
        • Manage talent and change. This involves performing strategic workforce planning, and being actively engaged in identifying opportunities to introduce change in your organization, suggesting ways to improve, and then acting on them.

      Become a Strategic CIO Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should become a strategic CIO, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Launch

      Analyze strategic CIO competencies and assess business stakeholder satisfaction with IT using Info-Tech's CIO Business Vision Diagnostic and CXO-CIO Alignment Program.

      • Become a Strategic CIO – Phase 1: Launch

      2. Assess

      Evaluate strategic CIO competencies and business stakeholder relationships.

      • Become a Strategic CIO – Phase 2: Assess
      • CIO Strategic Competency Evaluation Tool
      • CIO Stakeholder Power Map Template

      3. Plan

      Create a personal development plan and stakeholder management strategy.

      • Become a Strategic CIO – Phase 3: Plan
      • CIO Personal Development Plan
      • CIO Stakeholder Management Strategy Template

      4. Execute

      Develop a scorecard to track personal development initiatives.

      • Become a Strategic CIO – Phase 4: Execute
      • CIO Strategic Competency Scorecard
      [infographic]

      Workshop: Become a Strategic CIO

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Assess Competencies & Stakeholder Relationships

      The Purpose

      Gather and review information from business stakeholders.

      Assess strategic CIO competencies and business stakeholder relationships.

      Key Benefits Achieved

      Gathered information to create a personal development plan and stakeholder management strategy.

      Analyzed the information from diagnostics and determined the appropriate next steps.

      Identified and prioritized strategic CIO competency gaps.

      Evaluated the power, impact, and support of key business stakeholders.

      Activities

      1.1 Conduct CIO Business Vision diagnostic

      1.2 Conduct CXO-CIO Alignment program

      1.3 Assess CIO competencies

      1.4 Assess business stakeholder relationships

      Outputs

      CIO Business Vision results

      CXO-CIO Alignment Program results

      CIO competency gaps

      Executive Stakeholder Power Map

      2 Take Control of Your Personal Development

      The Purpose

      Create a personal development plan and stakeholder management strategy.

      Track your personal development and establish checkpoints to revise initiatives.

      Key Benefits Achieved

      Identified personal development and stakeholder engagement initiatives to bridge high priority competency gaps.

      Identified key performance indicators and benchmarks/targets to track competency development.

      Activities

      2.1 Create a personal development plan

      2.2 Create a stakeholder management strategy

      2.3 Establish key performance indicators and benchmarks/targets

      Outputs

      Personal Development Plan

      Stakeholder Management Strategy

      Strategic CIO Competency Scorecard

      Mature and Scale Product Ownership

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      • Parent Category Name: Development
      • Parent Category Link: /development
      • Product owners must bridge the gap between the customers, operations, and delivery to ensure products continuously deliver increasing value.
      • Product owners are often assigned to projects or product delivery without proper support, guidance, or alignment.
      • In many organizations, the product owner role is not well-defined, serves as a proxy for stakeholder ownership, and lacks reinforcement of the key skills needed to be successful.

      Our Advice

      Critical Insight

      A product owner is the CEO for their product. Successful product management starts with empowerment and accountability. Product owners own the vision, roadmap, and value realization for their product or family aligned to enterprise goals and priorities.

      • Product and service ownership share the same foundation - underlying capabilities and best practices to own and improve a product or service are identical for both roles. Use the terms that make the most sense for your culture.
      • Product owners represent three primary perspectives: Business (externally facing), Technical (systems and tools), or Operational (manual processes). Although all share the same capabilities, how they approach their responsibilities is influenced by their primary perspective.
      • Product owners are operating under an incomplete understanding of the capabilities needed to succeed. Most product/service owners lack a complete picture of the needed capabilities, skills, and activities to successfully perform their roles.

      Impact and Result

      • Create a culture of product management trust and empowerment with product owners aligned to your operational structure and product needs.
      • Promote and develop true Agile skills among your product owners and family managers.
      • Implement Info-Tech’s product owner capability model to define the role expectations and provide a development path for product owners.

      Mature and Scale Product Ownership Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Mature and Scale Product Ownership Storyboard – Establish a culture of success for product management and mature product owner capabilities.

      Strengthen the product owner role in your organization by focusing on core capabilities and proper alignment.

    • Establish a foundation for empowerment and success.
    • Assign and align product owners with products and stakeholders.
    • Mature product owner capabilities and skills.
      • Mature and Scale Product Ownership Storyboard

      2. Mature and Scale Product Ownership Readiness Assessment – Determine your readiness for a product-centric culture based on Info-Tech’s CLAIM+G model.

      Using Info-Tech’s CLAIM model, quickly determine your organization’s strengths and weaknesses preparing for a product culture. Use the heat map to identify key areas.

      • Mature and Scale Product Ownership Readiness Assessment

      3. Mature and Scale Product Ownership Playbook – Playbook for product owners and product managers.

      Use the blueprint exercises to build your personal product owner playbook. You can also use the workbook to capture exercise outcomes.

      • Mature and Scale Product Ownership Playbook

      4. Mature and Scale Product Ownership Workbook – Workbook for product owners and product managers.

      Use this workbook to capture exercise outcomes and transfer them to your Mature and Scale Product Ownership Playbook (optional).

      • Mature and Scale Product Ownership Workbook

      5. Mature and Scale Product Ownership Proficiency Assessment – Determine your current proficiency and improvement areas.

      Product owners need to improve their core capabilities and real Agile skills. The assessment radar will help identify current proficiency and growth opportunities.

      • Mature and Scale Product Ownership Proficiency Assessment
      [infographic]

      Workshop: Mature and Scale Product Ownership

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Establish the foundation for product ownership

      The Purpose

      Establish the foundation for product ownership.

      Key Benefits Achieved

      Product owner playbook with role clarity and RACI.

      Activities

      1.1 Define enablers and blockers of product management.

      1.2 Define your product management roles and names.

      1.3 Assess your product management readiness.

      1.4 Identify your primary product owner perspective.

      1.5 Define your product owner RACI.

      Outputs

      Enablers and blockers

      Role definitions.

      Product culture readiness

      Product owner perspective mapping

      Product owner RACI

      2 Align product owners to products

      The Purpose

      Align product owners to products.

      Key Benefits Achieved

      Assignment of resources to open products.

      A stakeholder management strategy.

      Activities

      2.1 Assign resources to your products and families.

      2.2 Visualize relationships to identify key influencers.

      2.3 Group stakeholders into categories.

      2.4 Prioritize your stakeholders.

      Outputs

      Product resource assignment

      Stakeholder management strategy

      Stakeholder management strategy

      Stakeholder management strategy

      3 Mature product owner capabilities

      The Purpose

      Mature product owner capabilities.

      Key Benefits Achieved

      Assess your Agile product owner readiness

      Assess and mature product owner capabilities

      Activities

      3.1 Assess your real Agile skill proficiency.

      3.2 Assess your vison capability proficiency.

      3.3 Assess your leadership capability proficiency.

      3.4 Assess your PLM capability proficiency.

      3.5 Assess your value realization capability proficiency.

      3.6 Identify your business value drivers and sources of value.

      Outputs

      Real Agile skill proficiency assessment

      Info-Tech’s product owner capability model proficiency assessment

      Info-Tech’s product owner capability model proficiency assessment

      Info-Tech’s product owner capability model proficiency assessment

      Info-Tech’s product owner capability model proficiency assessment

      Business value drivers and sources of value

      Further reading

      Mature and Scale Product Ownership

      Strengthen the product owner’s role in your organization by focusing on core capabilities and proper alignment.

      Executive Brief

      Analyst Perspective

      Empower product owners throughout your organization.

      Hans Eckman

      Whether you manage a product or service, the fundamentals of good product ownership are the same. Organizations need to focus on three key elements of product ownership in order to be successful.

      • Create an environment of empowerment and service leadership to reinforce product owners and product family managers as the true owners of the vision, improvement, and realized the value of their products.
      • Align product and product family owner roles based on operational alignment and the groups defined when scaling product management.
      • Develop your product owners to improve the quality of roadmaps, alignment to enterprise goals, and profit and loss (P&L) for each product or service.

      By focusing the attention of the teammates serving in product owner or service owner roles, your organization will deliver value sooner and respond to change more effectively.

      Hans Eckman

      Principal Research Director – Application Delivery and Management
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Product owners must bridge the gap between the customers, operations, and delivery to ensure products continuously deliver increasing value.

      Product owners are often assigned to projects or product delivery without proper support, guidance, or alignment.

      In many organizations the product owner role is not well-defined, serves as a proxy for stakeholder ownership, and lacks reinforcement of the key skills needed to be successful.

      Common Obstacles

      Organizations have poor alignment or missing product owners between lines of business, IT, and operations.

      Product owners are aligned to projects and demand management rather than long-term strategic product ownership.

      Product families are not properly defined, scaled, and supported within organizations.

      Individuals in product owner roles have an incomplete understanding of needed capabilities and lack a development path.

      Info-Tech's Approach

      Create a culture of product management trust and empowerment with product owners aligned to your operational structure and product needs.

      Promote and develop true Agile skills among your product owners and family managers.

      Implement Info-Tech’s product owner capability model to define the role expectations and provide a development path for product owners.

      Extend product management success using Deliver on Your Digital Product Vision and Deliver Digital Products at Scale.

      Info-Tech Insight

      There is no single correct approach to product ownership. Product ownership must be tuned and structured to meet the delivery needs of your organization and the teams it serves.

      Info-Tech’s Approach

      Product owners make the final decision

      • Establish a foundation for empowerment and success
      • Assign product owners and align with products and stakeholders
      • Mature product owner capabilities and skills
      Product Owner capabilities: Vision, Product Lifecycle Management, Leadership, Value Realization

      The Info-Tech difference

      1. Assign product owners where product decisions are needed, not to match org charts or delivery teams. The product owner has the final word on product decisions.
      2. Organize product owners into related teams to ensure product capabilities delivered are aligned to enterprise strategy and goals.
      3. Shared products and services must support the needs of many product owners with conflicting priorities. Shared service product owners must map and prioritize demand to align to enterprise priorities and goals.
      4. All product owners share the same capability model.

      Insight summary

      There is no single correct approach to product ownership

      Successful product management starts with empowerment and accountability. Product owners own the vision, roadmap, and value realization for their product or family aligned to enterprise goals and priorities.

      Phase 1 insight

      Product owners represent three primary perspectives: business (external-facing), technical (systems and tools), or operational (manual processes). Although all share the same capabilities, how they approach their responsibilities is influenced by their primary perspective.

      Phase 2 insight

      Start with your operational grouping of products and families, identifying where an owner is needed. Then, assign people to the products and families. The owner does not define the product or family.

      Phase 3 insight

      Product owners are operating under an incomplete understanding of the capabilities needed to succeed. Most product/service owners lack a complete picture of the needed capabilities, skills, and activities to successfully perform their roles.

      Product and service ownership share the same foundation

      The underlying capabilities and best practices to own and improve a product or service are identical for both roles. Use the terms that make the most sense for your culture.

      Map product owner roles to your existing job titles

      Identify where product management is needed and align expectations with existing roles. Successful product management does not require a dedicated job family.

      Projects can be a mechanism for funding product changes and improvements

      Projects can be a mechanism for funding product changes and improvements. Shows difference of value for project life-cycles, hybrid life-cycles, and product life-cycles.

      Projects within products

      Regardless of whether you recognize yourself as a product-based or project-based shop, the same basic principles should apply.

      You go through a period or periods of project-like development to build a version of an application or product.

      You also have parallel services along with your project development, which encompass the more product-based view. These may range from basic support and maintenance to full-fledged strategy teams or services like sales and marketing.

      Product and services owners share the same foundation and capabilities

      For the purpose of this blueprint, product/service and product owner/service owner are used interchangeably. The term “product” is used for consistency but would apply to services, as well.

      Product = Service

      Common foundations: Focus on continuous improvement, ROI, and value realization. Clear vision, goals, roadmap, and backlog.

      “Product” and “service” are terms that each organization needs to define to fit its culture and customers (internal and external). The most important aspect is consistent use and understanding of:

      • External products
      • Internal products
      • External services
      • Internal services
      • Products as a service (PaaS)
      • Productizing services (SaaS)

      Recognize the product owner perspectives

      The 3 product owner perspectives. 1. Business: Customer-facing, value-generating. 2. Technical: IT systems and tools. 3. Operations: Keep-the-lights-on processes.

      Product owners represent one of three primary perspectives. Although all share the same capabilities, how they approach their responsibilities is influenced by their primary perspective.

      Info-Tech Insight

      Product owners must translate needs and constraints from their perspective into the language of their audience. Kathy Borneman, Digital Product Owner at SunTrust Bank, noted the challenges of finding a common language between lines of business and IT (e.g. what is a unit?).

      Match your product management role definitions to your product family levels

      Product ownership exists at the different operational tiers or levels in your product hierarchy. This does not imply a management relationship.

      Product portfolio

      Groups of product families within an overall value stream or capability grouping.

      Project portfolio manager

      Product family

      A collection of related products. Products can be grouped along architectural, functional, operational, or experiential patterns.

      Product family manager

      Product

      Single product composed of one or more applications and services.

      Product owner

      Info-Tech Insight

      Define the current roles that will perform the product management function or define consistent role names to product owners and managers.

      Align enterprise value through product families

      Product families are operational groups based on capabilities or business functions. Product family managers translate goals, priorities, and constraints so they are actionable at the next level. Product owners prioritize changes to enhance the capabilities that allow you to realize your product family. Enabling capabilities realize value and help reach your goals.

      Understand special circumstances

      In Deliver Digital Products at Scale, products were grouped into families using Info-Tech’s five scaling patterns. Assigning owners to Enterprise Applications and Shared Services requires special consideration.

      Value stream alignment

      • Business architecture
        • Value stream
        • Capability
        • Function
      • Market/customer segment
      • Line of business (LoB)
      • Example: Customer group > value stream > products

      Enterprise applications

      • Enabling capabilities
      • Enterprise platforms
      • Supporting apps
      • Example: HR > Workday/Peoplesoft > Modules Supporting: Job board, healthcare administrator

      Shared Services

      • Organization of related services into service family
      • Direct hierarchy does not necessarily exist within the family
      • Examples: End-user support and ticketing, workflow and collaboration tools

      Technical

      • Domain grouping of IT infrastructure, platforms, apps, skills, or languages
      • Often used in combination with Shared Services grouping or LoB-specific apps
      • Examples: Java, .NET, low-code, database, network

      Organizational alignment

      • Used at higher levels of the organization where products are aligned under divisions
      • Separation of product managers from organizational structure is no longer needed because the management team owns the product management role

      Map sources of demand and influencers

      Use the stakeholder analysis to define the key stakeholders and sources of demand for enterprise applications and shared services. Extend your mapping to include their stakeholders and influencers to uncover additional sources of demand and prioritization.

      Map of key stakeholders for enterprise applications and shared services.

      Info-Tech Insight

      Your product owner map defines the influence landscape your product operates. It is every bit as important as the teams who enhance, support and operate your product directly.

      Combine your product owner map with your stakeholder map to create a comprehensive view of influencers.

      The primary value of the product owner is to fill the backlog with the highest ROI opportunities aligned with enterprise goals.

      Info-Tech Insight

      The product owner owns the direction of the product.

      • Roadmap - Where are we going?
      • Backlog - What changes are needed to get there?
      • Product review - Did we get close enough?

      Product delivery realizes value for your product family

      While planning and analysis are done at the family level, work and delivery are done at the individual product level.

      Product strategy includes: Vision, Goals, Roadmap, backlog and Release plan.

      Product family owners are more strategic

      When assigning resources, recognize that product family owners will need to be more strategic with their planning and alignment of child families and products.

      Product family owners are more strategic. They require a roadmap that is strategic, goal-based, high-level, and flexible.

      Info-Tech Insight

      Roadmaps for your product family are, by design, less detailed. This does not mean they aren’t actionable! Your product family roadmap should be able to communicate clear intentions around the future delivery of value in both the near and long term.

      Connecting your product family roadmaps to product roadmaps

      Your product and product family roadmaps should be connected at an artifact level that is common between both. Typically, this is done with capabilities, but it can be done at a more granular level if an understanding of capabilities isn’t available.

      Product family roadmap versus Product Roadmaps.

      Develop a product owner stakeholder strategy

      Stakeholder management, Product lifecycle, Project delivery, Operational support.

      Stakeholders are a critical cornerstone to product ownership. They provide the context, alignment, and constraints that influence or control what a product owner can accomplish.

      Product owners operate within a network of stakeholders who represent different perspectives within the organization.

      First, product owners must identify members of their stakeholder network. Next, they should devise a strategy for managing stakeholders.

      Without a stakeholder strategy, product owners will encounter obstacles, resistance, or unexpected changes.

      Create a stakeholder network map to product roadmaps and prioritization

      Follow the trail of breadcrumbs from your direct stakeholders to their influencers, to uncover hidden stakeholders.

      Stakeholder network map defines the influence landscape your product operates. Connectors determine who may be influencing your direct stakeholders.

      Info-Tech Insight

      Your stakeholder map defines the influence landscape your product operates. It is every bit as important as the teams who enhance, support and operate your product directly.

      Use “connectors” to determine who may be influencing your direct stakeholders. They may not have any formal authority within the organization, but they may have informal yet substantive relationships with your stakeholders.

      Being successful at Agile is more than about just doing Agile

      The following represents the hard skills needed to “Do Agile”:

      Being successful at Agile needs 4 hard skills: 1. Engineering skills, 2. Technician Skills, 3. Framework/Process skills, 4. Tools skills.
      • Engineering skills. These are the skills and competencies required for building brand-new valuable software.
      • Technician skills. These are the skills and competencies required for maintaining and operating the software delivered to stakeholders.
      • Framework/Process skills. These are the specific knowledge skills required to support engineering or technician skills.
      • Tools skills. This represents the software that helps you deliver other software.

      While these are important, they are not the whole story. To effectively deliver software, we believe in the importance of being Agile over simply doing Agile.

      Adapted from: “Doing Agile” Is Only Part of the Software Delivery Pie

      Why focus on core skills?

      They are the foundation to achieve business outcomes

      Skills, actions, output and outcomes

      The right skills development is only possible with proper assessment and alignment against outcomes.

      Focus on these real Agile skills

      Agile skills

      • Accountability
      • Collaboration
      • Comfort with ambiguity
      • Communication
      • Empathy
      • Facilitation
      • Functional decomposition
      • Initiative
      • Process discipline
      • Resilience

      Product capabilities deliver value

      As a product owner, you are responsible for managing these facets through your capabilities and activities.

      The core product and value stream consists of: Funding - Product management and governance, Business functionality - Stakeholder and relationship management, and Technology - Product delivery.

      Info-Tech Best Practice

      It is easy to lose sight of what matters when we look at a product from a single point of view. Despite what "The Agile Manifesto" says, working software is not valuable without the knowledge and support that people need in order to adopt, use, and maintain it. If you build it, they will not come. Product owners must consider the needs of all stakeholders when designing and building products.

      Recognize product owner knowledge gaps

      Pulse survey of product owners

      Pulse survey of product owners. Graph shows large percentage of respondents have alignment to common agile definition of product owners. Yet a significant perception gap in P&L, delivery, and analytics.

      Info-Tech Insight

      1. Less than 15% of respondents identified analytics or financial management as a key component of product ownership.
      2. Assess your product owner’s capabilities and understanding to develop a maturity plan.

      Source: Pulse Survey (N=18)

      Implement the Info-Tech product owner capability model

      Unfortunately, most product owners operate with incomplete knowledge of the skills and capabilities needed to perform the role. Common gaps include focusing only on product backlogs, acting as a proxy for product decisions, and ignoring the need for key performance indicators (KPIs) and analytics in both planning and value realization.

      Product Owner capabilities: Vision, Product Lifecycle Management, Leadership, Value Realization

      Vision

      • Market Analysis
      • Business Alignment
      • Product Roadmap

      Leadership

      • Soft Skills
      • Collaboration
      • Decision Making

      Product Lifecycle Management

      • Plan
      • Build
      • Run

      Value Realization

      • KPIs
      • Financial Management
      • Business Model

      Product owner capabilities provide support

      Vision predicts impact of Value realization. Value realization provides input to vision

      Your vision informs and aligns what goals and capabilities are needed to fulfill your product or product family vision and align with enterprise goals and priorities. Each item on your roadmap should have corresponding KPIs or OKRs to know how far you moved the value needle. Value realization measures how well you met your target, as well as the impacts on your business value canvas and cost model.

      Product lifecycle management builds trust with Leadership. Leadership improves quality of Product lifecycle management.

      Your leadership skills improve collaborations and decisions when working with your stakeholders and product delivery teams. This builds trust and improves continued improvements to the entire product lifecycle. A product owner’s focus should always be on finding ways to improve value delivery.

      Product owner capabilities provide support

      Leadership enhances Vision. Vision Guides Product Lifecycle Management. Product Lifecycle Management delivers Value Realization. Leadership enhances Value Realization

      Develop product owner capabilities

      Each capability: Vision, Product lifecycle management, Value realization and Leadership has 3 components needed for successful product ownership.

      Avoid common capability gaps

      Vision

      • Focusing solely on backlog grooming (tactical only)
      • Ignoring or failing to align product roadmap to enterprise goals
      • Operational support and execution
      • Basing decisions on opinion rather than market data
      • Ignoring or missing internal and external threats to your product

      Leadership

      • Failing to include feedback from all teams who interact with your product
      • Using a command-and-control approach
      • Viewing product owner as only a delivery role
      • Acting as a proxy for stakeholder decisions
      • Avoiding tough strategic decisions in favor of easier tactical choices

      Product lifecycle management

      • Focusing on delivery and not the full product lifecycle
      • Ignoring support, operations, and technical debt
      • Failing to build knowledge management into the lifecycle
      • Underestimating delivery capacity, capabilities, or commitment
      • Assuming delivery stops at implementation

      Value realization

      • Focusing exclusively on “on time/on budget” metrics
      • Failing to measure a 360-degree end-user view of the product
      • Skipping business plans and financial models
      • Limiting financial management to project/change budgets
      • Ignoring market analysis for growth, penetration, and threats

      Your product vision is your North Star

      It's ok to dream a little!

      Who is the target customer, what is the key benefit, what do they need, what is the differentiator

      Adapted from: Crossing the Chasm

      Info-Tech Best Practice

      A product vision shouldn’t be so far out that it doesn’t feel real or so short-term that it gets bogged down in minutiae and implementation details. Finding the right balance will take some trial and error and will be different for each organization.

      Leverage the product canvas to state and inform your product vision

      Leverage the product Canvas to state and inform your product vision. Includes: Product name, Tracking info, Vision, List of business objectives or goals, Metrics used to measure value realization, List of groups who consume the product/service, and List of key resources or stakeholders.

      Define product value by aligning backlog delivery with roadmap goals

      In each product plan, the backlogs show what you will deliver. Roadmaps identify when and in what order you will deliver value, capabilities, and goals.

      In each product plan, the backlogs show what you will deliver. Roadmaps identify when and in what order you will deliver value, capabilities, and goals.

      Use a balanced value to establish a common definition of goals and value

      Value drivers are strategic priorities aligned to our enterprise strategy and translated through our product families. Each product and change has an impact on the value driver helping us reach our enterprise goals.

      Importance of the value driver multiplied by the Impact of value score is equal to the Value score.

      Info-Tech Insight

      Your value drivers and impact helps estimate the expected value of roadmap items, prioritize roadmap and backlog items, and identify KPIs and OKRs to measure value realization and actual impact.

      Use CLAIM to guide your journey

      Culture, Learning, Automation, Integrated teams, Metrics and governance.

      Value is best created by self-managing teams who deliver in frequent, short increments supported by leaders who coach them through challenges.

      Product-centric delivery and Agile are a radical change in how people work and think. Structured, facilitated learning is required throughout the transformation to help leaders and practitioners make the shift.

      Product management, Agile, and DevOps have inspired SDLC tools that have become a key part of delivery practices and work management.

      Self-organizing teams that cross business, delivery, and operations are essential to gain the full benefits of product-centric delivery.

      Successful implementations require the disciplined use of metrics that support developing better teams

      Communicate reasons for changes and how they will be implemented

      Five elements of communicating change: What is the change? Why are we doing it? How are we going to go about it? How long will it take us to do it? What will the role be for each department individual?

      Leaders of successful change spend considerable time developing a powerful change message; that is, a compelling narrative that articulates the desired end state, and that makes the change concrete and meaningful to staff.

      The organizational change message should:

      • Explain why the change is needed.
      • Summarize what will stay the same.
      • Highlight what will be left behind.
      • Emphasize what is being changed.
      • Explain how the change will be implemented.
      • Address how change will affect various roles in the organization.
      • Discuss the staff’s role in making the change successful.

      Info-Tech’s methodology for mature and scale product ownership

      Phase steps

      1. Establish the foundation for product ownership

      Step 1.1 Establish an environment for product owner success

      Step 1.2 Establish your product ownership model

      2. Align product owners to products

      Step 2.1 Assign product owners to products

      Step 2.2 Manage stakeholder influence

      3. Mature product owner capabilities

      Step 3.1 Assess your Agile product owner readiness

      Step 3.2 Mature product owner capabilities

      Phase outcomes

      1.1.1 Define enablers and blockers of product management

      1.1.2 Define your product management roles and names

      1.2.1 Identify your primary product owner perspective

      1.2.2 Define your product owner RACI

      2.1.1 Assign resources to your products and families

      2.2.1 Visualize relationships to identify key influencers

      2.2.2 Group stakeholders into categories

      2.2.3 Prioritize your stakeholders

      3.1.1 Assess your real Agile skill proficiency

      3.2 Mature product owner capabilities

      3.2.1 Assess your vision capability proficiency

      3.2.2 Assess your leadership capability proficiency

      3.2.3 Assess your PLM capability proficiency

      3.2.4 Identify your business value drivers and sources of value

      3.2.5 Assess your value realization capability proficiency

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals.

      Key deliverable

      Mature and Scale Product Ownership Playbook

      Capture and organize the outcomes of the activities in the workbook.

      Mature and Scale Product Ownership Workbook

      The workbook helps organize and communicate the outcomes of each activity.

      Mature and Scale Product Ownership Readiness Assessment

      Determine your level of mastery of real Agile skills and product owner capabilities.


      Blueprint benefits

      IT benefits

      • Competent product owner who can support teams operating in any delivery methodology.
      • Representative viewpoint and input from the technical and operational product owner perspectives.
      • Products aligned to business needs and committed work are achievable.
      • Single point of contact with a business representative.
      • Acceptance of product owner role outside the Scrum teams.

      Business benefits

      • Better alignment to enterprise goals, vision, and outcomes.
      • Improved coordination with stakeholders.
      • Quantifiable value realization tied to vision.
      • Product decisions made at the right time and with the right input.
      • Product owner who has the appropriate business, operations, and technical knowledge.

      Measure the value of this blueprint

      Align product owner metrics to product delivery and value realization.

      Member outcome

      Suggested Metric

      Estimated impact

      Increase business application satisfaction Satisfaction of business applications (CIO BV Diagnostic) 20% increase within one year after implementation
      Increase effectiveness of application portfolio management Effectiveness of application portfolio management (M&G Diagnostic) 20% increase within one year after implementation
      Increase importance and effectiveness of application portfolio Importance and effectiveness to business (APA Diagnostic) 20% increase within one year after implementation
      Increase satisfaction of support of business operations Support to business (CIO BV Diagnostic) 20% increase within one year after implementation
      Successfully deliver committed work (productivity) Number of successful deliveries; burndown Reduction in project implementation overrun by 20%

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      Guided Implementation

      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track."

      Workshop

      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting

      "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project"

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1 Establish the Foundation for Product Ownership

      Phase 2 Align Product Owners to Products

      Phase 3 Mature Product Owner Capabilities

      • Call #1:
        Scope objectives and your specific challenges
      • Call #2:
        Step 1.1 Establish an environment for product owner success
        Step 1.2 Establish your product ownership model
      • Call #3:
        Step 2.1 Assign product owners to products
      • Call #4:
        Step 2.2 Manage stakeholder influence
      • Call #5:
        Step 3.1 Assess your Agile product owner readiness
      • Call #6:
        Step 3.2 Mature product owner capabilities

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is between 8 and 12 calls over the course of 4 to 6 months.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Phase 1

      Phase 2

      Phase 3

      Activities

      Establish the Foundation for Product Ownership

      Step 1.1 Establish an environment for product owner success

      1.1.1 Define enablers and blockers of product management

      1.1.2 Define your product management roles and names

      1.1.3 Assess your product management readiness

      Step 1.2 Establish your product ownership model

      1.2.1 Identify your primary product owner perspective

      1.2.2 Define your product owner RACI

      Align Product Owners to Products

      Step 2.1 Assign product owners to products

      2.1.1 Assign resources to your products and families

      Step 2.2 Manage stakeholder influence

      2.2.1 Visualize relationships to identify key influencers

      2.2.2 Group stakeholders into categories

      2.2.3 Prioritize your stakeholders

      Mature Product Owner Capabilities

      Step 3.1 Assess your Agile product owner readiness

      3.1.1 Assess your real Agile skill proficiency

      Step 3.2 Mature product owner capabilities=

      3.2.1 Assess your Vision capability proficiency

      3.2.2 Assess your Leadership capability proficiency

      3.2.3 Assess your PLM capability proficiency

      3.2.4 Identify your business value drivers and sources of value

      3.2.5 Assess your Value Realization capability proficiency

      Deliverables

      1. Enablers and blockers
      2. Role definitions
      3. Product culture readiness
      4. Product owner perspective mapping
      5. Product owner RACI
      1. Product resource assignment
      2. Stakeholder management strategy
      1. Real Agile skill proficiency assessment
      2. Info-Tech’s product owner capability model proficiency assessment
      3. Business value drivers and sources of value

      Related Info-Tech Research

      Product delivery

      Deliver on Your Digital Product Vision

      Build a product vision your organization can take from strategy through execution.

      Deliver Digital Products at Scale

      Deliver value at the scale of your organization through defining enterprise product families.

      Build Your Agile Acceleration Roadmap

      Quickly assess the state of your Agile readiness and plan your path forward to higher value realization.

      Develop Your Agile Approach for a Successful Transformation

      Understand Agile fundamentals, principles, and practices so you can apply them effectively in your organization.

      Implement DevOps Practices That Work

      Streamline business value delivery through the strategic adoption of DevOps practices.

      Extend Agile Practices Beyond IT

      Further the benefits of Agile by extending a scaled Agile framework to the business.

      Build Your BizDevOps Playbook

      Embrace a team sport culture built around continuous business-IT collaboration to deliver great products.

      Embed Security Into the DevOps Pipeline

      Shift security left to get into DevSecOps.

      Spread Best Practices With an Agile Center of Excellence

      Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

      Enable Organization-Wide Collaboration by Scaling Agile

      Execute a disciplined approach to rolling out Agile methods in the organization.

      Related Info-Tech Research

      Application portfolio management

      APM Research Center

      See an overview of the APM journey and how we can support the pieces in this journey.

      Application Portfolio Management Foundations

      Ensure your application portfolio delivers the best possible return on investment.

      Streamline Application Maintenance

      Effective maintenance ensures the long-term value of your applications.

      Streamline Application Management

      Move beyond maintenance to ensuring exceptional value from your apps.

      Build an Application Department Strategy

      Delivering value starts with embracing what your department can do.

      Embrace Business-Managed Applications

      Empower the business to implement its own applications with a trusted business-IT relationship.

      Optimize Applications Release Management

      Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

      Related Info-Tech Research

      Value, delivery metrics, estimation

      Build a Value Measurement Framework

      Focus product delivery on business value-driven outcomes.

      Select and Use SDLC Metrics Effectively

      Be careful what you ask for, because you will probably get it.

      Application Portfolio Assessment: End User Feedback

      Develop data-driven insights to help you decide which applications to retire, upgrade, re-train on, or maintain to meet the demands of the business.

      Create a Holistic IT Dashboard

      Mature your IT department by measuring what matters.

      Refine Your Estimation Practices With Top-Down Allocations

      Don’t let bad estimates ruin good work.

      Estimate Software Delivery With Confidence

      Commit to achievable software releases by grounding realistic expectations.

      Reduce Time to Consensus With an Accelerated Business Case

      Expand on the financial model to give your initiative momentum.

      Optimize Project Intake, Approval, and Prioritization

      Deliver more projects by giving yourself the voice to say “no” or “not yet” to new projects.

      Enhance PPM Dashboards and Reports

      Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

      Related Info-Tech Research

      Organizational design and performance

      Redesign Your IT Organizational Structure

      Focus product delivery on business value-driven outcomes.

      Build a Strategic Workforce Plan

      Have the right people in the right place, at the right time.

      Implement a New Organizational Structure

      Reorganizations are inherently disruptive. Implement your new structure with minimal pain for staff while maintaining IT performance throughout the change.

      Build an IT Employee Engagement Program

      Don’t just measure engagement, act on it.

      Set Meaningful Employee Performance Measures

      Set holistic measures to inspire employee performance.

      Phase 1

      Establish the Foundation for Product Ownership

      Phase 1: Establish an environment for product owner success, Establish your product ownership model

      Mature and Scale Product Ownership

      This phase will walk you through the following activities:

      1.1.1 Define enablers and blockers of product management

      1.1.2 Define your product management roles and names

      1.1.3 Assess your product management readiness

      1.2.1 Identify your primary product owner perspective

      1.2.2 Define your product owner RACI

      This phase involves the following participants:

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Delivery managers
      • Business analysts

      Step 1.1

      Establish an environment for product owner success

      Activities

      1.1.1 Define enablers and blockers of product management

      1.1.2 Define your product management roles and names

      1.1.3 Assess your product management readiness

      Establish the foundation for product ownership

      This step involves the following participants:

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Delivery managers
      • Business analysts

      Outcomes of this step

      • Enablers and blockers
      • Role definitions

      Empower product owners as the true owners of their product

      Product ownership requires decision-making authority and accountability for the value realization from those decisions. POs are more than a proxy for stakeholders, aggregators for changes, and the communication of someone else’s priorities.

      “A Product Owner in its most beneficial form acts like an Entrepreneur, like a 'mini-CEO'. The Product Owner is someone who really 'owns' the product.”

      – Robbin Schuurman,
      “Tips for Starting Technical Product Managers”

      Info-Tech Best Practice

      Implement Info-Tech’s Product Owner Capability Model to help empower and hold product owners accountable for the maturity and success of their product. The product owner must understand how their product fits into the organization’s mission and strategy in order to align to enterprise value.

      Product and service owners share the same foundation and capabilities

      For the purpose of this blueprint, product/service and product owner/service owner are used interchangeably. The term “product” is used for consistency but applies to services, as well.

      Product = Service

      Common foundations: Focus on continuous improvement, ROI, and value realization. Clear vision, goals, roadmap, and backlog.

      “Product” and “service” are terms that each organization needs to define to fit its culture and customers (internal and external). The most important aspect is consistent use and understanding of:

      • External products
      • Internal products
      • External services
      • Internal services
      • Products as a service (PaaS)
      • Productizing services (SaaS)

      Define product ownership to match your culture and customers

      Characteristics of a discrete product:

      • Has end users or consumers
      • Delivers quantifiable value
      • Evolves or changes over time
      • Has predictable delivery
      • Has definable boundaries
      • Has a cost to produce and operate
      • Has a discrete backlog and roadmap of improvements

      What does not need a product owner?

      • Individual features
      • Transactions
      • Unstructured data
      • One-time solutions
      • Non-repeatable processes
      • Solutions that have no users or consumers
      • People or teams

      Info-Tech Insight

      • Products are long-term endeavors that don’t end after the project finishes.
      • Products mature and improve their ability to deliver value.
      • Products have a discrete backlog of changes to improve the product itself, separate from operational requests fulfilled by the product or service.

      Need help defining your products or services? Download our blueprint Deliver Digital Products at Scale.

      Connect roadmaps to value realization with KPIs

      Every roadmap item should have an expected realized value once it is implemented. The associate KPIs or OKRs determine if our goal was met. Any gap in value feedback back into the roadmap and backlog refinement.</p data-verified=

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      Info-Tech Insight

      Every roadmap item should have an expected realized value once it is implemented. The associate KPIs or OKRs determine if our goal was met. Any gap in value feedback back into the roadmap and backlog refinement.

      Identify the differences between a project-centric and a product-centric organization

      Differences between Project centric and Product centric organizations in regards to: Funding, Prioritization, Accountability, Product management, Work allocation, and Capacity management.

      Info-Tech Insight

      Product delivery requires significant shifts in the way you complete development work and deliver value to your users. Make the changes that support improving end-user value and enterprise alignment.

      Projects can be a mechanism for funding product changes and improvements

      Projects lifecycle, hybrid lifecycle and product lifecycle. Period or periods of project development have parallel services that encompass a more product-based view.

      Projects withing products

      Regardless of whether you recognize yourself as a product-based or project-based shop, the same basic principles should apply.

      You go through a period or periods of project-like development to build a version of an application or product.

      You also have parallel services along with your project development, which encompasses a more product-based view. These may range from basic support and maintenance to full-fledged strategy teams or services like sales and marketing.

      Recognize common barriers to product management

      The transition to product ownership is a series of behavioral and cultural changes supported by processes and governance. It takes time and consistency to be successful.

      • Command and control structures
      • Lack of ownership and accountability
      • High instability in the market, demand, or organization
      • Lack of dedicated teams align to delivery, service, or product areas
      • Culture of one-off projects
      • Lack of identified and engaged stakeholders
      • Lack of customer exposure and knowledge

      Agile’s four core values

      “…while there is value in the items on the right, we value the items on the left more.”

      Source: “The Agile Manifesto”

      We value...

      We value being agile: Individuals and interactions, Working Software, Customer collaboration, Responding to change. Versus being prescriptive: Processes and tools, Comprehensive documentation, Contract negotiation, following a plan.

      Exercise 1.1.1 Define enablers and blockers of product management

      1 hour
      1. Identify and mitigate blockers of product management in your organization.
      2. What enablers will support strong product owners?
      3. What blockers will make the transition to product management harder?
      4. For each blocker, also define at least one mitigating step.
      Define enablers e.g. team culture. Define blockers and at least one mitigating step

      Output

      • Enablers and blockers

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Align enterprise value through product families

      Product families are operational groups based on capabilities or business functions. Product family managers translate goals, priorities, and constraints so they are actionable at the next level. Product owners prioritize changes to enhance the capabilities that allow you to realize your product family. Enabling capabilities realize value and help reach your goals.

      Effective product delivery requires thinking about more than just a single product

      Good application and product management begins with strengthening good practices for a single or small set of applications, products, and services.

      Product portfolio

      Groups of product families within an overall value stream or capability grouping.

      Project portfolio manager

      Product family

      A collection of related products. Products can be grouped along architectural, functional, operational, or experiential patterns.

      Product family manager

      Product

      Single product composed of one or more applications and services.

      Product owner

      Info-Tech Insight

      Define the current roles that will perform the product management function or define consistent role names to product owners and managers.

      Exercise 1.1.2 Define your product management roles and names

      1-2 hour
      1. Identify the roles in which product management activities will be owned.
      2. Define a common set of role names and describe the role.
      3. Map the level of accountability for each role: Product or Product Family
      4. Product owner perspectives will be defined in the next step.

      Define roles, description and level of product accountability.

      Output

      • Role definitions

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Use CLAIM to guide your journey

      Culture, Learning, Automation, Integrated teams, Metrics and governance.

      Value is best created by self-managing teams who deliver in frequent, short increments supported by leaders who coach them through challenges.

      Product-centric delivery and Agile are a radical change in how people work and think. Structured, facilitated learning is required throughout the transformation to help leaders and practitioners make the shift.

      Product management, Agile, and DevOps have inspired SDLC tools that have become a key part of delivery practices and work management.

      Self-organizing teams that cross business, delivery, and operations are essential to gain the full benefits of product-centric delivery.

      Successful implementations require the disciplined use of metrics that support developing better teams

      Exercise 1.1.3 Assess your product management readiness

      1 hour
      1. Open and complete the Mature and Scale Product Ownership Readiness Assessment in your Playbook or the provided Excel tool.
      2. Discuss high and low scores for each area to reach a consensus.
      3. Record your results in your Playbook.

      Assess your culture, learning, automation, Integrated teams, metrics and governance.

      Output

      • Assessment of product management readiness based on Info-Tech’s CLAIM+G model.

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Readiness Assessment.

      Communicate reasons for changes and how they will be implemented

      Five elements of communicating change: What is the change? Why are we doing it? How are we going to go about it? How long will it take us to do it? What will the role be for each department individual?

      Leaders of successful change spend considerable time developing a powerful change message; that is, a compelling narrative that articulates the desired end state, and that makes the change concrete and meaningful to staff.

      The organizational change message should:

      Step 1.2

      Establish your product ownership model

      Activities

      1.2.1 Identify your primary product owner perspective

      1.2.2 Define your product owner RACI

      Establish the foundation for product ownership

      This step involves the following participants:

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Delivery managers
      • Business analysts

      Outcomes of this step

      • Product owner perspective mapping
      • Product owner RACI

      Recognize the product owner perspectives

      The 3 product owner perspectives. 1. Business: Customer-facing, value-generating. 2. Technical: IT systems and tools. 3. Operations: Keep-the-lights-on processes.

      Product owners represent one of three primary perspectives. Although all share the same capabilities, how they approach their responsibilities is influenced by their primary perspective.

      Info-Tech Best Practice

      Product owners must translate needs and constraints from their perspective into the language of their audience. Kathy Borneman, Digital Product Owner at SunTrust Bank, noted the challenges of finding a common language between lines of business and IT (e.g. what is a unit?).

      Identify and align to product owner perspectives to ensure product success

      Product owner perspectives

      The 3 product owner perspectives. 1. Business: Customer-facing, value-generating. 2. Technical: IT systems and tools. 3. Operations: Keep-the-lights-on processes.
      1. Each product owner perspective provides important feedback, demand, and support for the product.
      2. Where a perspective is represented by a distinct role, the perspective is managed with that product owner.
      3. If separate roles don’t exist, the product owner must evaluate their work using two or three perspectives.
      4. The ultimate success of a product, and therefore product owner, is meeting the end-user value of the business product owner, tool support of the technical product owner, and manual processing support of the operations product owner.

      Line of business (LOB) product owners

      LOB product owners focus on the products and services consumed by the organization’s external consumers and users. The role centers on the market needs, competitive landscape, and operational support to deliver products and services.

      Business perspective

      • Alignment to enterprise strategy and priorities
      • Growth: market penetration and/or revenue
      • Perception of product value
      • Quality, stability, and predictability
      • Improvement and innovation
      • P&L
      • Market threats and opportunities
      • Speed to market
      • Service alignment
      • Meet or exceed individual goals

      Relationship to Operations

      • Customer satisfaction
      • Speed of delivery and manual processing
      • Continuity

      Relationship to Technical

      • Enabler
      • Analysis and insight
      • Lower operating and support costs

      Technical product owners

      Technical product owners are responsible for the IT systems, tools, platforms, and services that support business operations. Often they are identified as application or platform managers.

      Technical perspective

      • Application, application suite, or group of applications
      • Core platforms and tools
      • Infrastructure and networking
      • Third-party technology services
      • Enable business operations
      • Direct-to-customer product or service
      • Highly interconnected
      • Need for continuous improvement
      • End-of-life management
      • Internal value proposition and users

      Relationship to Business

      • Direct consumers
      • End users
      • Source of funding

      Relationship to Operations

      • End users
      • Process enablement or automation
      • Support, continuity, and manual intervention

      Operations (service) product owners

      Operational product owners focus on the people, processes, and tools needed for manual processing and decisions when automation is not cost-effective. Operational product owners are typically called service owners due to the nature of their work.

      Operational perspective

      • Business enablement
      • Continuity
      • Problem, incident, issue resolution
      • Process efficiency
      • Throughput
      • Error/defect avoidance
      • Decision enablement
      • Waste reduction
      • Limit time in process
      • Disaster recovery

      Relationship to Business

      • Revenue enablement
      • Manual intervention and processing
      • End-user satisfaction

      Relationship to Technical

      • Process enabler
      • Performance enhancement
      • Threat of automation

      Exercise 1.2.1 Identify your primary product owner perspective

      1 hour
      1. Identify which product owner perspective represents your primary focus.
      2. Determine where the other perspectives need to be part of your product roadmap or if they are managed by other product owners.

      Identify product/service name, identify product owner perspective, determine if other perspectives need to be part of roadmap.

      Output

      • Identification of primary product owner perspective.

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Realign differences between project managers and product owners

      Differences between Project Manager and Product Owners in regards to: Funding, Prioritization, Accountability, Product management, Work allocation, and Capacity management.

      Manage and communicate key milestones

      Successful product owners understand and define the key milestones in their product delivery lifecycles. These need to be managed along with the product backlog and roadmap.

      Define key milestones and their product delivery life-cycles.

      Info-Tech Best Practice

      Product ownership isn’t just about managing the product backlog and development cycles. Teams need to manage key milestones such as learning milestones, test releases, product releases, phase gates, and other organizational checkpoints.

      Define who manages each key milestone

      Key milestones must be proactively managed. If a project manager is not available, those responsibilities need to be managed by the product owner or Scrum Master. Start with responsibility mapping to decide which role will be responsible.

      Example milestones and Project Manager, Product Owner and Team Facilitator.

      *Scrum Master, Delivery Manager, Team Lead

      Exercise 1.2.2 Define your product owner RACI

      60 minutes
      1. Review your product and project delivery methodologies to identify key milestones (including approvals, gates, reviews, compliance checks, etc.). List each milestone on a flip chart or whiteboard.
      2. For each milestone, define who is accountable for the completion.
      3. For each milestone, define who is responsible for executing the milestone activity. (Who does the work that allows the milestone to be completed?)
      4. Review any responsibility and accountability gaps and identify opportunities to better support and execute your operating model.
      5. If you previously completed Deliver Digital Products at Scale , review and update your RACI in the Mature and Scale Product Ownership Workbook .

      Define: Milestones, Project Manager, Product/service owner, Team Facilitator, and Other roles.

      Output

      • Product owner RACI

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Phase 2

      Align Product Owners to Products

      Phase 2: Assign product owners to products, Manage stakeholder influence

      Mature and Scale Product Ownership

      This phase will walk you through the following activities:

      2.1.1 Assign resources to your products and families

      2.2.1 Visualize relationships to identify key influencers

      2.2.2 Group stakeholders into categories

      2.2.3 Prioritize your stakeholders

      This phase involves the following participants:

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Delivery managers
      • Business analysts

      Step 2.1

      Assign product owners to products

      Activities

      2.1.1 Assign resources to your products and families

      Align product owners to products

      This step involves the following participants:

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Delivery managers
      • Business analysts

      Outcomes of this step

      • Product resource assignment

      Match your product management role definitions to your product family levels

      Using the role definitions, you created in Exercise 1.1.2, determine which roles correspond to which levels of your product families.

      Product portfolio

      Groups of product families within an overall value stream or capability grouping.

      Project portfolio manager

      Product family

      A collection of related products. Products can be grouped along architectural, functional, operational, or experiential patterns.

      Product family manager

      Product

      Single product composed of one or more applications and services.

      Product owner

      Info-Tech Insight

      Define the current roles that will perform the product management function or define consistent role names to product owners and managers.

      Assign resources throughout your product families

      Project families are owned by a product manager. Product owners own each product that has a distinct backlog.

      Info-Tech Insight

      • Start by assigning resources to each product or product family box.
      • A product owner can be responsible for more than one product.
      • Ownership of more than one product does not mean they share the same backlog.
      • For help organizing your product families, please download Deliver Digital Products at Scale.

      Understand special circumstances

      In Deliver Digital Products at Scale , products were grouped into families using Info-Tech’s five scaling patterns. Assigning owners to Enterprise Applications and Shared Services requires special consideration.

      Value stream alignment

      • Business architecture
        • Value stream
        • Capability
        • Function
      • Market/customer segment
      • Line of business (LoB)
      • Example: Customer group > value stream > products

      Enterprise applications

      • Enabling capabilities
      • Enterprise platforms
      • Supporting apps
      • Example: HR > Workday/Peoplesoft > Modules Supporting: Job board, healthcare administrator

      Shared Services

      • Organization of related services into service family
      • Direct hierarchy does not necessarily exist within the family
      • Examples: End-user support and ticketing, workflow and collaboration tools

      Technical

      • Domain grouping of IT infrastructure, platforms, apps, skills, or languages
      • Often used in combination with Shared Services grouping or LoB-specific apps
      • Examples: Java, .NET, low-code, database, network

      Organizational alignment

      • Used at higher levels of the organization where products are aligned under divisions
      • Separation of product managers from organizational structure is no longer needed because the management team owns the product management role

      Map the source of demand to each product

      With enterprise applications and shared services, your demand comes from other product and service owners rather than end customers in a value stream.

      Enterprise applications

      • Primary demand comes from the operational teams and service groups using the platform.
      • Each group typically has processes and tools aligned to a module or portion of the overall platform.
      • Product owners determine end-user needs to assist with process improvement and automation.
      • Product family managers help align roadmap goals and capabilities across the modules and tools to ensure consistency and the alignment of changes.

      Shared services

      • Primary demand for shared services comes from other product owners and service managers whose solution or application is dependent on the shared service platform.
      • Families are grouped by related themes (e.g. workflow tools) to increase reusability, standard enterprise solutions, reduced redundancy, and consistent processes across multiple teams.
      • Product owners manage the individual applications or services within a family.

      Pattern: Enterprise applications

      A division or group delivers enabling capabilities and the team’s operational alignment maps directly to the modules/components of an enterprise application and other applications that support the specific business function.

      Workforce Management, Strategic HR, Talent Management, Core HR

      Example:

      • Human resources is one corporate function. Within HR, however, there are subfunctions that operate independently.
      • Each operational team is supported by one or more applications or modules within a primary HR system.
      • Even though the teams work independently, the information they manage is shared with, or ties into processes used by other teams. Coordination of efforts helps provide a higher level of service and consistency.

      For additional information about HRMS, please download Get the Most Out of Your HRMS.

      Assigning owners to enterprise applications

      Align your enterprise application owners to your operating teams that use the enterprise applications. Effectively, your service managers will align with your platform module owners to provide integrated awareness and planning.

      Family manager (top-level), Family managers (second-level) and Product owners.

      Pattern: Shared services

      Grouping by service type, knowledge area, or technology allows for specialization while families align service delivery to shared business capabilities.

      Grouping by service type, knowledge area, or technology allows for specialization while families align service delivery to shared business capabilities.

      Example:

      • Recommended for governance, risk, and compliance; infrastructure; security; end-user support; and shared platforms (workflow, collaboration, imaging/record retention). Direct hierarchies do not necessarily exist within the shared service family.
      • Service groupings are common for service owners (also known as support managers, operations managers, etc.).
      • End-user ticketing comes through a common request system, is routed to the team responsible for triage, and then is routed to a team for resolution.
      • Collaboration tools and workflow tools are enablers of other applications, and product families might support multiple apps or platforms delivering that shared capability.

      Assigning owners to shared services

      Assign owners by service type, knowledge area, or technology to provide alignment of shared business capabilities and common solutions.

      Family manager (top-level), Family managers (second-level) and Product owners.

      Map sources of demand and influencers

      Use the stakeholder analysis to define the key stakeholders and sources of demand for enterprise applications and shared services. Extend your mapping to include their stakeholders and influencers to uncover additional sources of demand and prioritization.

      Map of key stakeholders for enterprise applications and shared services.

      Info-Tech Insight

      Your product owner map defines the influence landscape your product operates. It is every bit as important as the teams who enhance, support, and operate your product directly.

      Combine your product owner map with your stakeholder map to create a comprehensive view of influencers.

      Exercise 2.1.1 Assign resources to your products and families

      1-4 hours
      1. Use the product families you completed in Deliver Digital Products at Scale to determine which products and product families need a resource assigned. Where the same resource fills more than one role, they are the product owner or manager for each independently.
      2. Product families that are being managed as products (one backlog for multiple products) should have one owner until the family is split into separate products later.
      3. For each product and family, define the following:
        • Who is the owner (role or person)?
        • Is ownership clearly defined?
        • Are there other stakeholders who make decisions for the product?
      4. Record the results in the Mature and Scale Product Ownership Workbook on the Product Owner Mapping worksheet.

      Output

      • Product owner and manager resource alignment.

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Step 2.2

      Manage stakeholder influence

      Activities

      2.2.1 Visualize relationships to identify key influencers

      2.2.2 Group stakeholders into categories

      2.2.3 Prioritize your stakeholders

      Align product owners to products

      This step involves the following participants:

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Delivery managers
      • Business analysts

      Outcomes of this step

      • Stakeholder management strategy

      Develop a product owner stakeholder strategy

      Stakeholder management, Product lifecycle, Project delivery, Operational support.

      Stakeholders are a critical cornerstone to product ownership. They provide the context, alignment, and constraints that influence or control what a product owner can accomplish.

      Product owners operate within a network of stakeholders who represent different perspectives within the organization.

      First, product owners must identify members of their stakeholder network. Next, they should devise a strategy for managing stakeholders.

      Without a stakeholder strategy, product owners will encounter obstacles, resistance, or unexpected changes.

      Create a stakeholder network map to product roadmaps and prioritization

      Follow the trail of breadcrumbs from your direct stakeholders to their influencers to uncover hidden stakeholders.

      Create a stakeholder network map to product roadmaps and prioritization. Use connectors to determine who may be influencing your direct stakeholders.

      Info-Tech Insight

      Your stakeholder map defines the influence landscape your product operates. It is every bit as important as the teams who enhance, support, and operate your product directly.

      Use connectors to determine who may be influencing your direct stakeholders. They may not have any formal authority within the organization, but they may have informal yet substantive relationships with your stakeholders.

      Exercise 2.2.1 Visualize relationships to identify key influencers

      1 hour
      1. List direct stakeholders for your product.
      2. Determine the stakeholders of your stakeholders and consider adding each of them to the stakeholder list.
      3. Assess who has either formal or informal influence over your stakeholders; add these influencers to your stakeholder list.
      4. Construct a diagram linking stakeholders and their influencers together.
        • Use black arrows to indicate the direction of professional influence.
        • Use dashed green arrows to indicate informal bidirectional influence relationships.
      5. Record the results in the Mature and Scale Product Ownership Workbook .

      Output

      • Relationships among stakeholders and influencers

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Categorize your stakeholders with a prioritization map

      A stakeholder prioritization map helps product owners categorize their stakeholders by their level of influence and ownership in the product and/or teams.

      Influence versus Ownership/Interest

      There are four areas on the map, and the stakeholders within each area should be treated differently.

      • Players have a high interest in the initiative and the influence to effect change over the initiative. Their support is critical, and a lack of support can cause significant impediments to the objectives.
      • Mediators have a low interest but significant influence over the initiative. They can help to provide balance and objective opinions to issues that arise.
      • Noisemakers have low influence but high interest. They tend to be very vocal and engaged, either positively or negatively but have little ability to enact their wishes.
      • Spectators are generally apathetic and have little influence over or interest in the initiative.

      Exercise 2.2.2 Group stakeholders into categories

      1 hour
      1. Identify your stakeholders’ interest in and influence on your Agile implementation as high, medium, or low by rating the attributes below.
      2. Map your results to the model below to determine each stakeholder’s category.
      3. Record the results in the Mature and Scale Product Ownership Workbook .

      Influence versus Ownership/Interest with CMO, CIO and Product Manager in assigned areas.

      Output

      • Categorization of stakeholders and influencers

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Prioritize your stakeholders

      There may be too many stakeholders to be able to manage them all. Focus your attention on the stakeholders that matter most.

      Stakeholder category versus level of support.

      Consider the three dimensions of stakeholder prioritization: influence, interest, and support. Support can be determined by rating the following question: How likely is it that your stakeholder would recommend your product? These parameters are used to prioritize which stakeholders are most important and should receive your focused attention. The table to the right indicates how stakeholders are ranked.

      Exercise 2.2.3 Prioritize your stakeholders

      1 hour
      1. Identify the level of support of each stakeholder by answering the following question: How likely is it that your stakeholder would endorse your product?
      2. Prioritize your stakeholders using the prioritization scheme on the previous slide.
      3. Record the results in the Mature and Scale Product Ownership Workbook .

      Stakeholder, Category, level of support, prioritization.

      Output

      • Stakeholder and influencer prioritization

      Participants

      • Product owners
      • Product managers
      • Development team leads
      • Portfolio managers
      • Business analysts

      Capture in the Mature and Scale Product Ownership Playbook.

      Define strategies for engaging stakeholders by type

      Authority Vs. Ownership/Interest.

      Type

      Quadrant

      Actions

      Players

      High influence, high interest – actively engage Keep them updated on the progress of the project. Continuously involve players in the process and maintain their engagement and interest by demonstrating their value to its success.

      Mediators

      High influence, low interest – keep satisfied They can be the game changers in groups of stakeholders. Turn them into supporters by gaining their confidence and trust and including them in important decision-making steps. In turn, they can help you influence other stakeholders.

      Noisemakers

      Low influence, high interest – keep informed Try to increase their influence (or decrease it if they are detractors) by providing them with key information, supporting them in meetings, and using mediators to help them.

      Spectators

      Low influence, low interest – monitor They are followers. Keep them in the loop by providing clarity on objectives and status updates.

      Info-Tech Insight

      Each group of stakeholders draws attention and resources away from critical tasks. By properly identifying your stakeholder groups, the product owner can develop corresponding actions to manage stakeholders in each group. This can dramatically reduce wasted effort trying to satisfy spectators and noisemakers while ensuring the needs of mediators and players are met.

      Phase 3

      Mature Product Owner Capabilities

      Phase 3: Assess your Agile product owner readiness, Mature product owner capabilities.

      Mature and Scale Product Ownership

      This phase will walk you through the following activities:

      3.1.1 Assess your real Agile skill proficiency

      3.2.1 Assess your vision capability proficiency

      3.2.2 Assess your leadership capability proficiency

      3.2.3 Assess your PLM capability proficiency

      3.2.4 Identify your business value drivers and sources of value

      3.2.5 Assess your value realization capability proficiency

      This phase involves the following participants:

      • Product owners
      • Product managers

      Step 3.1

      Assess your Agile product owner readiness

      Activities

      3.1.1 Assess your real Agile skill proficiency

      Mature product owner capabilities

      This step involves the following participants:

      • Product owners
      • Product managers

      Outcomes of this step

      • Real Agile skill proficiency assessment

      Why focus on core skills?

      They are the foundation to achieve business outcomes

      Skills, actions, output and outcomes

      The right skills development is only possible with proper assessment and alignment against outcomes.

      Being successful at Agile is more than about just doing Agile

      The following represents the hard skills needed to “Do Agile”:

      Being successful at Agile needs 4 hard skills: 1. Engineering skills, 2. Technician Skills, 3. Framework/Process skills, 4. Tools skills.

      • Engineering skills. These are the skills and competencies required for building brand-new valuable software.
      • Technician skills. These are the skills and competencies required for maintaining and operating the software delivered to stakeholders.
      • Framework/Process skills. These are the specific knowledge skills required to support engineering or technician skills.
      • Tools skills. This represents the software that helps you deliver other software.

      While these are important, they are not the whole story. To effectively deliver software, we believe in the importance of being Agile over simply doing Agile.

      Adapted from: “Doing Agile” Is Only Part of the Software Delivery Pie

      Focus on these real Agile skills

      Agile skills

      • Accountability
      • Collaboration
      • Comfort with ambiguity
      • Communication
      • Empathy
      • Facilitation
      • Functional decomposition
      • Initiative
      • Process discipline
      • Resilience

      Info-Tech research shows these are the real Agile skills to get started with

      Skill Name

      Description

      Accountability

      Refers to the state of being accountable. In an Agile context, it implies transparency, dedication, acting responsibly, and doing what is necessary to get the job done.

      Collaboration

      Values diverse perspectives and working with others to achieve the best output possible. Effective at working toward individual, team, department, and organizational goals.

      Comfort with ambiguity

      Allows you to confidently take the next steps when presented with a problem without having all the necessary information present.

      Communication

      Uses different techniques to share information, concerns, or emotions when a situation arises, and it allows you to vary your approach depending on the current phase of development.

      Empathy

      Is the ability to understand and share the feelings of another to better serve your team and your stakeholders.

      Facilitation

      Refers to guiding and directing people through a set of conversations and events to learn and achieve a shared understanding.

      Functional decomposition

      Is being able to break down requirements into constituent epics and stories.

      Initiative

      Is being able to anticipate challenges and then act on opportunities that lead to better business outcomes.

      Process discipline

      Refers to the focus of following the right steps for a given activity at the right time to achieve the right outcomes.

      Resilience

      Refers to the behaviors, thoughts, and actions that allow a person to recover from stress and adversity.

      Accountability

      An accountable person:

      • Takes ownership of their own decisions and actions and is responsible for the quality of results.
      • Recognizes personal accountabilities to others, including customers.
      • Works well autonomously.
      • Ensures that the mutual expectations between themselves and others are clearly defined.
      • Takes the appropriate actions to ensure that obligations are met in a timely manner.
      • As a leader, takes responsibility for those being led.

      Accountability drives high performance in teams and organizations

      • The performance level of teams depends heavily on accountability and who demonstrates it:
        • In weak teams, there is no accountability.
        • In mediocre teams, supervisors demonstrate accountability.
        • In high-performance teams, peers manage most performance problems through joint accountability. (Grenny, 2014)
      • According to Bain & Company, accountability is the third most important attribute of high-performing companies. Some of the other key attributes include honest, performance-focused, collaborative, and innovative. (Mankins, 2013)

      All components of the employee empowerment driver have a strong, positive correlation with engagement.

      Employee empowerment and Correlation with engagement.

      Source: McLean & Company Engagement Database, 2018; N=71,794

      Accountability

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Alerts others to possible problems in a timely manner.
      • Seeks appropriate support to solve problems.
      • Actively contributes to the creation and evaluation of possible solutions.
      • Acts on solutions selected and decisions made as directed.
      • Makes effective decisions about how to complete work tasks.
      • Demonstrates the capability of breaking down concrete issues into parts and synthesizing information succinctly.
      • Collects and analyzes information from a variety of sources.
      • Seeks information and input to fully understand the cause of problems.
      • Takes action to address obstacles and problems before they impact performance and results.
      • Initiates the evaluation of possible solutions to problems.
      • Makes effective decisions about work task prioritization.
      • Appropriately assesses risks before deciding.
      • Effectively navigates through ambiguity, using multiple data points to analyze issues and identify trends.
      • Does not jump to conclusions.
      • Draws logical conclusions and provides opinions and recommendations with confidence.
      • Takes ownership over decisions and their consequences.
      • Demonstrates broad knowledge of information sources that can be used to assess problems and make decisions.
      • Invests time in planning, discovery, and reflection to drive better decisions.
      • Effectively leverages hard data as inputs to making decisions.
      • Garners insight from abstract data and makes appropriate decisions.
      • Coaches others in effective decision-making practices.
      • Has the authority to solve problems and make decisions.
      • Thinks several steps ahead in deciding the best course of action, anticipating likely outcomes, risks, or implications.
      • Establishes metrics to aid in decision-making, for self and teams
      • Prioritizes objective and ambiguous information and analyzes this when making decisions.
      • Solicits a diverse range of opinions and perspectives as inputs to decision making.
      • Applies frameworks to decision making, particularly in situations that have little base in prior experience.
      • Makes effective decisions about organizational priorities.
      • Holds others accountable for their decisions and consequences.
      • Creates a culture of empowerment and trust to facilitate effective problem solving and decision making.
      • Makes sound decisions that have organization-wide consequences and that influence future direction.

      Collaboration as a skill

      The principles and values of Agile revolve around collaboration.

      • Works well with others on specialized and cross-functional teams.
      • Can self-organize while part of a team.
      • Respects the commitments that others make.
      • Identifies and articulates dependencies.
      • Values diverse perspectives and works with others to achieve the best output possible.
      • Effective at working toward individual, team, department, and organizational goals.
      The principles and values of Agile revolve around collaboration. Doing what was done before (being prescriptive), going though the motions (doing Agile), living the principles (being Agile)

      Collaboration

      The Agile Manifesto has three principles that focus on collaboration:

      1. The business and developers must work together daily throughout the project.
      2. Build projects around motivated individuals. Give them the environment and support they need and trust them to get the job done.
      3. The most efficient and effective method of conveying information to and within a development team is face-to-face conversation.

      Effective collaboration supports Agile behaviors, including embracing change and the ability to work iteratively.

      Collaboration

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Understands role on the team and the associated responsibilities and accountabilities.
      • Treats team members with respect.
      • Contributes to team decisions and to the achievement of team goals and objectives.
      • Demonstrates a positive attitude.
      • Works cross-functionally to achieve common goals and to support the achievement of other team/department goals.
      • Values working in a diverse team and understands the importance of differing perspectives to develop unique solutions or ideas.
      • Fosters team camaraderie, collaboration, and cohesion.
      • Understands the impact of one's actions on the ability of team members to do their jobs.
      • Respects the differences other team members bring to the table by openly seeking others' opinions.
      • Helps the team accomplish goals and objectives by breaking down shared goals into smaller tasks.
      • Approaches challenging team situations with optimism and an open mind, focusing on coming to a respectful conclusion.
      • Makes suggestions to improve team engagement and effectiveness.
      • Supports implementation of team decisions.
      • Professionally gives and seeks feedback to achieve common goals.
      • Values working in a diverse team and understands the importance of differing perspectives to develop unique solutions or ideas.
      • Motivates the team toward achieving goals and exceeding expectations.
      • Reaches out to other teams and departments to build collaborative, cross-functional relationships.
      • Creates a culture of collaboration that leverages team members' strengths, even when the team is remote or virtual.
      • Participates and encourages others to participate in initiatives that improve team engagement and effectiveness.
      • Builds consensus to make and implement team decisions, often navigating through challenging task or interpersonal obstacles.
      • Values leading a diverse team and understands the importance of differing perspectives to develop unique solutions or ideas.
      • Creates a culture of collaboration among teams, departments, external business partners, and all employee levels.
      • Breaks down silos to achieve inter-departmental collaboration.
      • Demonstrates ownership and accountability for team/department/ organizational outcomes.
      • Uses an inclusive and consultative approach in setting team goals and objectives and making team decisions.
      • Coaches others on how to identify and proactively mitigate potential points of team conflict.
      • Recognizes and rewards teamwork throughout the organization.
      • Provides the tools and resources necessary for teams to succeed.
      • Values diverse teams and understands the importance of differing perspectives to develop unique solutions or ideas.

      Comfort with ambiguity

      Ability to handle ambiguity is a key factor in Agile success.

      • Implies the ability to maintain a level of effectiveness when all information is not present.
      • Able to confidently act when presented with a problem without all information present.
      • Risk and uncertainty can comfortably be handled.
      • As a result, can easily adapt and embrace change.
      • People comfortable with ambiguity demonstrate effective problem-solving skills.

      Relative importance of traits found in Agile teams

      1. Handles ambiguity
      2. Agreeable
      3. Conscientious

      Comfort with ambiguity

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Requires most information to be present before carrying out required activities.
      • Can operate with some information missing.
      • Comfortable asking people within their known circles for help.
      • Significant time is taken to reveal small pieces of information.
      • More adept at operating with information missing.
      • Willing to reach out to people outside of their regular circles for assistance and clarification.
      • Able to apply primary and secondary research methods to fill in the missing pieces.
      • Can operate essentially with a statement and a blank page.
      • Able to build a plan, drive others and themselves to obtain the right information to solve the problem.
      • Able to optimize only pulling what is necessary to answer the desired question and achieve the desired outcome.

      Communication

      Even though many organizations recognize its importance, communication is one of the root causes of project failure.

      Project success vs Communication effectiveness. Effective communications is associated with a 17% increase in finishing projects within budget.

      56%

      56% of the resources spent on a project are at risk due to ineffective communications.

      PMI, 2013.

      29%

      In 29% of projects started in the past 12 months, poor communication was identified as being one of the primary causes of failure.

      PMI, 2013.

      Why are communication skills important to the Agile team?

      It’s not about the volume, it’s about the method.

      • Effectively and appropriately interacts with others to build relationships and share ideas and information.
      • Uses tact and diplomacy to navigate difficult situations.
      • Relays key messages by creating a compelling story, targeted toward specific audiences.

      Communication effectiveness, Activity and Effort required.

      Adapted From: Agile Modeling

      Communication

      Your Score:____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Actively listens, learns through observation, and uses clear and precise language.
      • Possesses an open and approachable demeanor, with a positive and constructive tone.
      • Demonstrates interest in the thoughts and feelings of others.
      • Considers potential responses of others before speaking or acting.
      • Checks own understanding of others’ communication by repeating or paraphrasing.
      • Demonstrates self-control in stressful situations.
      • Provides clear, concise information to others via verbal or written communication.
      • Seeks to understand others' points of view, looking at verbal and non-verbal cues to encourage open and honest discussions.
      • Invites and encourages others to participate in discussions.
      • Projects a sincere and genuine tone.
      • Remains calm when dealing with others who are upset or angry.
      • Provides and seeks support to improve communication.
      • Does not jump to conclusions or act on assumptions.
      • Tailors messages to meet the different needs of different audiences.
      • Accurately interprets responses of others to their words and actions.
      • Provides feedback effectively and with empathy.
      • Is a role model for others on how to effectively communicate.
      • Ensures effective communication takes place at the departmental level.
      • Engages stakeholders using appropriate communication methods to achieve desired outcomes.
      • Creates opportunities and forums for discussion and idea sharing.
      • Demonstrates understanding of the feelings, motivations, and perspectives of others, while adapting communications to anticipated reactions.
      • Shares insights about their own strengths, weaknesses, successes, ad failures to show empathy and help others relate.
      • Discusses contentious issues without getting defensive and maintains a professional tone.
      • Coaches others on how to communicate effectively and craft targeted messages.
      • Sets and exemplifies standards for respectful and effective communications in the organization.
      • Comfortably delivers strategic messages supporting their function and the organization at the enterprise level.
      • Communicates with senior-level executives on complex organizational issues.
      • Promotes inter-departmental communication and transparency.
      • Achieves buy-in and consensus from people who share widely different views.
      • Shares complex messages in clear, understandable language.
      • Accurately interprets how they are perceived by others.
      • Rallies employees to communicate ideas and build upon differing perspectives to drive innovation.

      Empathy

      Empathy is the ability to understand and share the feelings of another in order to better serve your team and your stakeholders. There are three kinds:

      Cognitive

      Thought, understanding, intellect

      • Knowing how someone else feels and what they might be thinking.
      • Contributes to more effective communication.

      Emotional

      Feelings, physical sensation

      • You physically feel the emotions of the other person.
      • Helps build emotional connections with others.

      Compassionate

      Intellect, emotion with action

      • Along with understanding, you take action to help.

      How is empathy an Agile skill?

      Empathy enables you to serve your team, your customers, and your organization

      Serving the team

      • Primary types: Emotional and compassionate empathy.
      • The team is accountable for delivery.
      • By being able to empathize with the person you are talking to, complex issues can be addressed.
      • A lack of empathy leads to a lack of collaboration and being able to go forward on a common path.

      Serving your customers and stakeholders

      • Primary type: Cognitive empathy.
      • Agile enables the delivery of the right value at the right time to your stakeholders
      • Translating your stakeholders' needs requires an understanding of who they are as people. This is done through observations, interviews and conversations.
      • Leveraging empathy maps and user-story writing is an effective tool.

      Empathy

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Knowing how someone else feels and what they might be thinking.
      • Ability to build emotional connections with others.
      • Able to harness emotional connections to achieve tangible and experiential outcomes.
      • Demonstrates an awareness of different feelings and ways of thinking by both internal and external stakeholders.
      • Limited ability to make social connections with others outside of the immediate team.
      • Able to connect with similarly minded people to improve customer/stakeholder satisfaction. (Insights into action)
      • Able to interact and understand others with vastly different views.
      • Lack of agreement does not stop individual. from asking questions, understanding, and pushing the conversation forward

      Facilitation

      It’s not just your manager’s problem.

      “Facilitation is the skill of moderating discussions within a group in order to enable all participants to effectively articulate their views on a topic under discussion, and to ensure that participants in the discussion are able to recognize and appreciate the differing points of view that are articulated.” (IIBA, 2015)

      • Drives action through influence, often without authority.
      • Leads and impacts others' thinking, decisions, or behavior through inclusive practices and relationship building.
      • Encourages others to self-organize and hold themselves accountable.
      • Identifies blockers and constructively removes barriers to progress.

      Facilitation

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Drives action through influence, often without authority.
      • Leads and impacts others' thinking, decisions, or behavior through inclusive practices and relationship building.
      • Encourages others to self-organize and hold themselves accountable.
      • Identifies blockers and constructively removes barriers to progress.
      • Maps and executes processes effectively.
      • Uses facts and concrete examples to demonstrate a point and gain support from others.
      • Openly listens to the perspectives of others.
      • Builds relationships through honest and consistent behavior.
      • Understands the impact of their own actions and how others will perceive it.
      • Identifies impediments to progress.
      • Anticipates the effect of one's approach on the emotions and sensitivities of others.
      • Practices active listening while demonstrating positivity and openness.
      • Customizes discussion and presentations to include "what’s in it for me" for the audience.
      • Presents compelling information to emphasize the value of an idea.
      • Involves others in refining ideas or making decisions in order to drive buy-in and action.
      • Knows how to appropriately use influence to achieve outcomes without formal authority.
      • Seeks ways and the help of others to address barriers or blockers to progress.
      • Leverages a planned approach to influencing others by identifying stakeholder interests, common goals, and potential barriers.
      • Builds upon successes to gain acceptance for new ideas.
      • Facilitates connections between members of their network for the benefit of the organization or others.
      • Demonstrates the ability to draw on trusting relationships to garner support for ideas and action.
      • Encourages a culture that allows space for influence to drive action.
      • Adept at appropriately leveraging influence to achieve business unit outcomes.
      • Actively manages the removal of barriers and blockers for teams.

      Functional decomposition

      It’s not just a process, it’s a skill.

      “Functional decomposition helps manage complexity and reduce uncertainty by breaking down processes, systems, functional areas, or deliverables into their simpler constituent parts and allowing each part to be analyzed independently."

      (IIBA, 2015)

      Being able to break down requirements into constituent consumable items (example: epics and user stories).

      Start: Strategic Initiatives. 1: Epics. 2: Capabilities. 3: Features. End: Stories.

      Use artifact mapping to improve functional decomposition

      In our research, we refer to these items as epics, capabilities, features, and user stories. How you develop your guiding principles and structure your backlog should be based on the terminology and artifact types commonly used in your organization.

      Agile, Waterfall, Relationship, Decomposition skill most in demand, definition.

      Functional Decomposition

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Able to decompose items with assistance from other team members.
      • Able to decompose items independently, ensuring alignment with business value.
      • Able to decompose items independently and actively seeks out collaboration opportunities with relevant SME's during and after the refinement process to ensure completion.
      • Able to decompose items at a variety of granularity levels.
      • Able to teach and lead others in their decomposition efforts.
      • Able to quickly operate at different levels of the requirements stack.

      Initiative and self-organization

      A team that takes initiative can self-organize to solve critical problems.

      • "The best architectures, requirements, and designs emerge from self-organizing teams." (Agile Manifesto)
      • In a nutshell, the initiative represents the ability to anticipate challenges and act on opportunities that lead to better business outcomes.
      • Anticipates challenges and acts on opportunities that lead to better business outcomes.
      • Thinks critically and is motivated to use both specialist expertise and general knowledge.
      • Driven by the delivery of business value and better business outcomes.
      • Empowers others to act and is empowered and self-motivated.

      Initiative and self-organization

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Demonstrates awareness of an opportunity or issue which is presently occurring or is within the immediate work area.
      • Reports an opportunity or issue to the appropriate person.
      • Acts instead of waiting to be asked.
      • Willingly takes on challenges, even if they fall outside their area of expertise.
      • Is proactive in identifying issues and making recommendations to resolve them.
      • Within the scope of the work environment, takes action to improve processes or results, or to resolve problems.
      • Not deterred by obstacles.
      • Tackles challenges that require risk taking.
      • Procures the necessary resources, team and technical support to enable success.
      • Assists others to get the job done.
      • Demonstrates awareness of an opportunities or issues which are in the future or outside the immediate work area.
      • Typically exceeds the expectations of the job.
      • Learns new technology or skills outside their specialization so that they can be a more effective team member.
      • Recommends solutions to enhance results or prevent potential issues.
      • Drives implementation of new processes within the team to improve results.
      • Able to provide recommendations on plans and decisions that are strategic and future-oriented for the organization.
      • Identifies areas of high risk or of organizational level impact.
      • Able to empower significant recourses from the organization to enable success.
      • Leads long-term engagements that result in improved organizational capabilities and processes.

      Process discipline

      A common misconception is that Agile means no process and no discipline. Effective Agile teams require more adherence to the right processes to create a culture of self-improvement.

      • Refers to the focus of following the right steps for a given activity at the right time to achieve the right outcomes.
      • Focus on following the right steps for a given activity at the right time to achieve desired outcomes.
      Example: Scrum Ceremonies during a sprint (1 - 4 weeks/sprint). 1: Sprint planning, 2: Daily scrum, 3: Sprint review, 4: Sprint retrospective.

      Process discipline

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Demonstrates awareness of the key processes and steps that are needed in a given situation.
      • Limited consistency in following processes and limited understanding of the 'why' behind the processes.
      • Aware and follows through with key agile processes in a consistent manner.
      • Demonstrates not only the knowledge of processes but understands the 'why' behind their existence.
      • Aware and follows through with key agile processes in a consistent manner.
      • Demonstrates understanding of not only why specific processes exist but can suggest changes to improve efficiency, consistency, and outcomes.

      N/A -- Maximum level is '3

      Resilience

      If your team hits the wall, don’t let the wall hit them back.

      • Resilience is critical for an effective Agile transformation. A team that demonstrates resilience always exhibits:
      • Evolution over transformation – There is a recognition that changes happen over time.
      • Intensity and productivity – A race is not won by the ones who are the fastest, but by the ones who are the most consistent. Regardless of what comes up, the team can push through.
      • That organizational resistance is futile – Given that it is working on the right objectives, the team needs to demonstrate a consistency of approach and intensity regardless of what may stand in its way.
      • Refers to the behaviors, thoughts, and actions that allow a person to recover from stress and adversity.

      How resilience aligns with Agile

      A team is not “living the principles” without resilience.

      1. Purpose

        Aligns with: “Our highest priority is to satisfy the customer through early and continuous delivery of valuable software.” The vision or goals may not be clear in certain circumstances and can be difficult to relate to a single work item. Being able to intrinsically source and harness a sense of purpose becomes more important, especially as a self-organizing team.
      2. Perseverance

        Aligns with: “Agile processes harness change for the customer's competitive advantage.” Perseverance enables teams to continuously deliver at a steady pace, addressing impediments or setbacks and continuing to move forward.
      3. Composure

        Aligns with: “Agile processes promote sustainable development,” and “At regular intervals, the team reflects ... and adjusts its behavior accordingly.”
        When difficult situations arise, composure allows us to understand perspectives, empathize with customers, accept late changes, and sustain a steady pace.
      4. Self-Reliance

        Aligns with: “The best architectures, requirements, and designs emerge from self-organizing teams.” Knowing oneself, recognizing strengths, and drawing on past successes, can be a powerful aid in creating high-performing Agile teams
      5. Authenticity

        Aligns with: “At regular intervals, the team reflects … and adjusts its behavior accordingly,” and “Build projects around motivated individuals.”
        When difficult situations arise, authenticity is crucial. “For example, being able to openly disclose areas outside of your strengths in sprint planning or being able to contribute constructively toward self-organization.”

      Adapted from: Why Innovation, 2019.

      Resilience

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Easily distracted and stopped by moderately stressful and challenging situations.
      • Requires significant help from others to get back on track.
      • Not frequently able (or knows) how to ask for help
      • Handles typical stresses and challenges for the given role.
      • Able to get back on track with limited assistance.
      • Able to ask for help when they need it.
      • Quality of work unaffected by an increase in pressures and challenges.
      • Handles stresses and challenges what is deemed above and beyond their given role.
      • Able to provide advice to others on how to handle difficult and challenging situations.
      • Quality of work and outcomes is maintained and sometimes exceeded as pressure increases.
      • Team looks to this individual as being the gold standard on how to approach any given problem or situation.
      • Directly mentors others on approaches in situations regardless of the level of challenge.

      Exercise 1.2.1 Identify your primary product owner perspective

      1 hour
      1. Review each real Agile skill and determine your current proficiency.
      2. Complete your assessment in the Mature and Scale Product Owner Proficiency Assessment tool.
      3. Record the results in the Mature and Scale Product Ownership Playbook.
      4. Review the skills map to identify strengths and areas of growth.

      Accountability, Collaboration, Comfort in Ambiguity, Communication, Empathy, Facilitation, Functional Decomposition, Initiative, Process Discipline, Resilience.

      Output

      • Agile skills assessment results.

      Participants

      • Product owners
      • Product managers

      Capture in the Mature and Scale Product Owner Proficiency Assessment.

      Determine your Agile skills proficiency: Edit chart data to plot your scores or add your data points and connect the lines.

      Step 3.2

      Mature product owner capabilities

      Activities

      3.2.1 Assess your vision capability proficiency

      3.2.2 Assess your leadership capability proficiency

      3.2.3 Assess your PLM capability proficiency

      3.2.4 Identify your business value drivers and sources of value

      3.2.5 Assess your value realization capability proficiency

      Mature product owner capabilities

      This step involves the following participants:

      • Product owners
      • Product managers

      Outcomes of this step

      • Info-Tech product owner capability model proficiency assessment

      Product capabilities deliver value

      As a product owner, you are responsible for managing these facets through your capabilities and activities.

      The core product and value stream consists of: Funding - Product management and governance, Business functionality - Stakeholder and relationship management, and Technology - Product delivery.

      Info-Tech Best Practice

      It is easy to lose sight of what matters when we look at a product from a single point of view . Despite what "The Agile Manifesto" says, working software is not valuable without the knowledge and support that people need in order to adopt, use, and maintain it. If you build it, they will not come. Product owners must consider the needs of all stakeholders when designing and building products.

      Recognize product owner knowledge gaps

      Pulse survey of product owners

      Pulse survey of product owners. Graph shows large percentage of respondents have alignment to common agile definition of product owners. Yet a significant perception gap in P&L, delivery, and analytics.

      Info-Tech Insight

      1. Less than 15% of respondents identified analytics or financial management as a key component of product ownership.
      2. Assess your product owner’s capabilities and understanding to develop a maturity plan.

      Source: Pulse Survey (N=18)

      Implement the Info-Tech product owner capability model

      Unfortunately, most product owners operate with incomplete knowledge of the skills and capabilities needed to perform the role. Common gaps include focusing only on product backlogs, acting as a proxy for product decisions, and ignoring the need for key performance indicators (KPIs) and analytics in both planning and value realization.

      Product Owner capabilities: Vision, Product Lifecycle Management, Leadership, Value Realization

      Vision

      • Market Analysis
      • Business Alignment
      • Product Roadmap

      Leadership

      • Soft Skills
      • Collaboration
      • Decision Making

      Product Lifecycle Management

      • Plan
      • Build
      • Run

      Value Realization

      • KPIs
      • Financial Management
      • Business Model

      Product owner capabilities provide support

      Vision predicts impact of Value realization. Value realization provides input to vision

      Your vision informs and aligns what goals and capabilities are needed to fulfill your product or product family vision and align with enterprise goals and priorities. Each item on your roadmap should have corresponding KPIs or OKRs to know how far you moved the value needle. Value realization measures how well you met your target, as well as the impacts on your business value canvas and cost model.

      Product lifecycle management builds trust with Leadership. Leadership improves quality of Product lifecycle management.

      Your leadership skills improve collaborations and decisions when working with your stakeholders and product delivery teams. This builds trust and improves continued improvements to the entire product lifecycle. A product owner’s focus should always be on finding ways to improve value delivery.

      Product owner capabilities provide support

      Leadership enhances Vision. Vision Guides Product Lifecycle Management. Product Lifecycle Management delivers Value Realization. Leadership enhances Value Realization

      Develop product owner capabilities

      Each capability: Vision, Product lifecycle management, Value realization and Leadership has 3 components needed for successful product ownership.

      Avoid common capability gaps

      Vision

      • Focusing solely on backlog grooming (tactical only)
      • Ignoring or failing to align product roadmap to enterprise goals
      • Operational support and execution
      • Basing decisions on opinion rather than market data
      • Ignoring or missing internal and external threats to your product

      Leadership

      • Failing to include feedback from all teams who interact with your product
      • Using a command-and-control approach
      • Viewing product owner as only a delivery role
      • Acting as a proxy for stakeholder decisions
      • Avoiding tough strategic decisions in favor of easier tactical choices

      Product lifecycle management

      • Focusing on delivery and not the full product lifecycle
      • Ignoring support, operations, and technical debt
      • Failing to build knowledge management into the lifecycle
      • Underestimating delivery capacity, capabilities, or commitment
      • Assuming delivery stops at implementation

      Value realization

      • Focusing exclusively on “on time/on budget” metrics
      • Failing to measure a 360-degree end-user view of the product
      • Skipping business plans and financial models
      • Limiting financial management to project/change budgets
      • Ignoring market analysis for growth, penetration, and threats

      Capabilities: Vision

      Market Analysis

      • Customer Empathy: Identify the target users and unique value your product provides that is not currently being met. Define the size of your user base, segmentation, and potential growth.
      • Customer Journey: Define the future path and capabilities your users will respond to.
      • Competitive analysis: Complete a SWOT analysis for your end-to-end product lifecycle. Use Info-Tech’s Business SWOT Analysis Template.

      Business Alignment

      • Enterprise alignment: Align to enterprise and product family goals, strategies, and constraints.
      • Delivery and release strategy: Develop a delivery strategy to achieve value quickly and adapt to internal and external changes. Value delivery is constrained by your delivery pipeline.
      • OCM and go-to-market strategy: Create organizational change management, communications, and a user implementation approach to improve adoption and satisfaction from changes.

      Product Roadmap

      • Roadmap strategy: Determine the duration, detail, and structure of your roadmap to accurately communicate your vision.
      • Value prioritization: Define criteria used to evaluate and sequence demand items.
      • Release and capacity planning: Build your roadmap with realistic goals and milestones based on your delivery pipeline and dependencies.

      “Customers are best heard through many ears.”

      – Thomas K. Connellan, Inside the Magic Kingdom

      Vision: Market Analysis, Business Alignment, and Product Roadmap.

      Info-Tech Insight

      Data comes from many places and may still not tell the complete story.

      Build your product strategy playbook

      Complete Deliver on Your Digital Product Vision to define your Vision, Goals, Roadmap approach, and Backlog quality filters.

      Digital Product Strategy Supporting Workbook

      Supporting workbook that captures the interim results from a number of exercises that will contribute to your overall digital product vision.

      Product Backlog Item Prioritization Tool

      An optional tool to help you capture your product backlog and prioritize based on your given criteria

      Product Roadmap Tool

      An optional tool to help you build out and visualize your first roadmap.

      Your Digital Product Vision Details Strategy

      Record the results from the exercises to help you define, detail, and make real your digital product vision.

      Your product vision is your North Star

      It's ok to dream a little!

      Who is the target customer, what is the key benefit, what do they need, what is the differentiator

      Adapted from: Geoffrey Moore, 2014.

      Info-Tech Best Practice

      A product vision shouldn’t be so far out that it doesn’t feel real or so short-term that it gets bogged down in minutiae and implementation details. Finding the right balance will take some trial and error and will be different for each organization.

      Use product roadmaps to guide delivery

      In Deliver on Your Digital Product Vision, we showed how the product roadmap is key to value realization. As a product owner, the product roadmap is your communicated path to align teams and changes to your defined goals, while aligning your product to enterprise goals and strategy.

      As a product owner, the product roadmap is your communicated path to align teams and changes to your defined goals, while aligning your product to enterprise goals and strategy

      Info-Tech Best Practice

      Info-Tech Best Practice Product delivery requires a comprehensive set of business and technical competencies to effectively roadmap, plan, deliver, support, and validate your product portfolio. Product delivery is a “multi-faceted, complex discipline that can be difficult to grasp and hard to master.” It will take time to learn and adopt methods and become a competent product manager or owner (“What Is Product Management?”, Pichler Consulting Limited).

      Match your roadmap and backlog to the needs of the product

      Ultimately, you want products to be able to respond faster to changes and deliver value sooner. The level of detail in the roadmap and backlog is a tool to help the product owner plan for change. The duration of your product roadmap is all directly related to the tier of product owner in the product family.

      The level of detail in the roadmap and backlog is a tool to help the product owner plan for change. The duration of your product roadmap is all directly related to the tier of product owner in the product family.

      Product delivery realizes value for your product family

      While planning and analysis are done at the family level, work and delivery are done at the individual product level.

      Product strategy includes: Vision, Goals, Roadmap, backlog and Release plan.

      Use artifact mapping to improve functional decomposition

      In our research, we refer to these items as epics, capabilities, features, and user stories. How you develop your guiding principles and structure your backlog should be based on the terminology and artifact types commonly used in your organization.

      Agile, Waterfall, Relationship, Decomposition skill most in demand, definition.

      Manage and communicate key milestones

      Successful product owners understand and define the key milestones in their product delivery lifecycles. These need to be managed along with the product backlog and roadmap.

      Define key milestones and their release dates.

      Info-Tech Best Practice

      Product ownership isn’t just about managing the product backlog and development cycles! Teams need to manage key milestones such as learning milestones, test releases, product releases, phase gates, and other organizational checkpoints!

      Milestones

      • Points in the timeline when the established set of artifacts is complete (feature-based), or checking status at a particular point in time (time-based).
      • Typically assigned a date and used to show the progress of development.
      • Plays an important role when sequencing different types of artifacts.

      Release dates

      • Releases mark the actual delivery of a set of artifacts packaged together in a new version of the product.
      • Release dates, firm or not, allow stakeholders to anticipate when this is coming.

      Leverage the product canvas to state and inform your product vision

      Leverage the product Canvas to state and inform your product vision. Includes: Product name, Tracking info, Vision, List of business objectives or goals, Metrics used to measure value realization, List of groups who consume the product/service, and List of key resources or stakeholders.

      Capability: Vision

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Product backlog.
      • Basic roadmap with milestones and releases.
      • Unprioritized stakeholder list.
      • Understanding of product’s purpose and value.
      • Customers and end-users defined with core needs identified.
      • Roadmap with goals and capabilities defined by themes and set to appropriate time horizons.
      • Documented stakeholder management plan with communication and collaboration aligned to the stakeholder strategy.
      • Value drivers traced to product families and enterprise goals.
      • Customer personas defined with pain relievers and value creators defined.
      • Fully-developed roadmap traced to family (and child) roadmaps.
      • Expected ROI for all current and next roadmap items.
      • KPIs/OKRs used to improve roadmap prioritization and sequencing.
      • Proactive stakeholder engagement and reviews.
      • Cross-functional engagement to align opportunities and drive enterprise value.
      • Formal metrics to assess customer needs and value realization.
      • Roadmaps managed in an enterprise system for full traceability, value realization reporting, and views for defined audiences.
      • Proactive stakeholder engagement with regular planning and review ceremonies tied to their roadmaps and goals.
      • Cross-functional innovation to find disruptive opportunities to drive enterprise value.
      • Omni-channel metrics and customer feedback mechanisms to proactively evaluate goals, capabilities, and value realization.

      Exercise 3.2.1 Assess your Vision capability proficiency

      1 hour
      1. Review the expectations for this capability and determine your current proficiency for each skill.
      2. Complete your assessment in the Mature and Scale Product Owner Proficiency Assessment tool.
      3. Record the results in the Mature and Scale Product Ownership Playbook.
      4. Review the skills map to identify strengths and areas of growth.

      Output

      • Product owner capability assessment

      Participants

      • Product owners
      • Product managers

      Capture in the Mature and Scale Product Owner Proficiency Assessment.

      Capabilities: Leadership

      Soft Skills

      • Communication: Maintain consistent, concise, and appropriate communication using SMART guidelines (specific, measurable, attainable, relevant, and timely).
      • Integrity: Stick to your values, principles, and decision criteria for the product to build and maintain trust with your users and teams.
      • Influence: Manage stakeholders using influence and collaboration over contract negotiation.

      Collaboration

      • Stakeholder management: Build a communications strategy for each stakeholder group, tailored to individual stakeholders.
      • Relationship management: Use every interaction point to strengthen relationships, build trust, and empower teams.
      • Team development: Promote development through stretch goals and controlled risks to build team capabilities and performance.

      Decision Making

      • Prioritized criteria: Remove personal bias by basing decisions off data analysis and criteria.
      • Continuous improvement: Balance new features with the need to ensure quality and create an environment of continuous improvement.
      • Team empowerment/negotiation: Push decisions to teams closest to the problem and solution, using Delegation Poker to guide you.

      “Everything walks the walk. Everything talks the talk.”

      – Thomas K. Connellan, Inside the Magic Kingdom

      Leadership: Soft skills, collaboration, decision making.

      Info-Tech Insight

      Product owners cannot be just a proxy for stakeholder decisions. The product owner owns product decisions and management of all stakeholders.

      Capability: Leadership

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Activities are prioritized with minimal direction and/or assistance.
      • Progress self-monitoring against objectives with leadership apprised of deviations against plan.
      • Facilitated decisions from stakeholders or teams.
      • Informal feedback on performance and collaboration with teams.
      • Independently prioritized activities and provide direction or assistance to others as needed.
      • Managed issue resolution and provided guidance on goals, priorities, and constraints.
      • Product decision ownership with input from stakeholders, SMEs, and delivery teams.
      • Formal product management retrospectives with tracked and measured changes to improve performance.
      • Consulted in the most challenging situations to provide subject matter expertise on leading practices and industry standards.
      • Provide mentoring and coaching to your peers and/or teammates.
      • Use team empowerment, pushing decisions to the lowest appropriate level based on risk and complexity.
      • Mature and flexible communication.
      • Provide strategies and programs ensuring all individuals in the delivery organization obtain the level of coaching and supervision required for success in their position.
      • Provide leadership to the organization’s coaches ensuring delivery excellence across the organization.
      • Help develop strategic initiatives driving common approaches and utilizing information assets and processes across the enterprise.

      Exercise 3.2.2 Assess your Leadership capability proficiency

      1 hour
      1. Review the expectations for this capability and determine your current proficiency for each skill.
      2. Complete your assessment in the Mature and Scale Product Owner Proficiency Assessment tool.
      3. Record the results in the Mature and Scale Product Ownership Playbook.
      4. Review the skills map to identify strengths and areas of growth.

      Output

      • Product owner capability assessment

      Participants

      • Product owners
      • Product managers

      Capture in the Mature and Scale Product Owner Proficiency Assessment.

      Capability: Product lifecycle management

      Plan

      • Product backlog: Follow a schedule for backlog intake, grooming, updates, and prioritization.
      • Journey map: Create an end-user journey map to guide adoption and loyalty.
      • Fit for purpose: Define expected value and intended use to ensure product meets your end user’s needs.

      Build

      • Capacity management: Work with operations and delivery teams to ensure consistent and stable outcomes.
      • Release strategy: Build learning, release, and critical milestones into a repeatable release plan.
      • Compliance: Build policy compliance into delivery practices to ensure alignment and reduce avoidable risk (privacy, security).

      Run

      • Adoption: Focus attention on end-user adoption and proficiency to accelerate value and maximize retention.
      • Support: Build operational support and business continuity into every team.
      • Measure: Measure KPIs and validate expected value to ensure product alignment to goals and consistent product quality.

      “Pay fantastic attention to detail. Reward, recognize, celebrate.”

      – Thomas K. Connellan, Inside the Magic Kingdom

      Product Lifecycle Management: Plan, Build, Run

      Info-Tech Insight

      Product owners must actively manage the full lifecycle of the product.

      Define product value by aligning backlog delivery with roadmap goals

      In each product plan, the backlogs show what you will deliver. Roadmaps identify when and in what order you will deliver value, capabilities, and goals.

      In each product plan, the backlogs show what you will deliver. Roadmaps identify when and in what order you will deliver value, capabilities, and goals.

      A backlog stores and organizes PBIs at various stages of readiness

      A backlog stores and organizes PBIs at different levels of readiness. Stage 3 - Ideas are composed of raw, vague ideas that have yet to go through any formal valuation. Stage 2 - Qualified are researched and qualified PBIs awaiting refinement. Stage 1 - Ready are Discrete, refined RBIs that are read to be placed in your development team's sprint plans.

      A well-formed backlog can be thought of as a DEEP backlog:

      Detailed Appropriately: PBIs are broken down and refined, as necessary.

      Emergent: The backlog grows and evolves over time as PBIs are added and removed.

      Estimated: The effort a PBI requires is estimated at each tier.

      Prioritized: The PBI’s value and priority are determined at each tier.

      (Perforce, 2018)

      Distinguish your specific goals for refining in the product backlog vs. planning for a sprint itself

      Often backlog refinement is used interchangeably or considered a part of sprint planning. The reality is they are very similar, as the required participants and objectives are the same; however, there are some key differences.

      Backlog refinement versus Sprint planning. Differences in Objectives, Cadence and Participants

      Use quality filters to promote high value items into the delivery pipeline

      Product backlog has quality filters such as: Backlogged, Qualified and Ready. Sprint backlog has a backlog of accepted PBI's

      Basic scrum process

      The scrum process coordinates multiple stakeholders to deliver on business priorities.

      Prioritized Backlog, Sprint Backlog, Manage Delivery, Sprint Review, Product Release

      Capability: Product lifecycle management

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Informal or undocumented intake process.
      • Informal or undocumented delivery lifecycle.
      • Unstable or unpredictable throughput or quality.
      • Informal or undocumented testing and release processes.
      • Informal or undocumented organizational change management planning for each release.
      • Informal or undocumented compliance validation with every release.
      • Documented intake process with stakeholder prioritization of requests.
      • Consistent delivery lifecycle with stable and predictable throughput with an expected range of delivery variance.
      • Formal and documented testing and release processes.
      • Organizational change management planning for each major release.
      • Compliance validation with every major release.
      • Intake process using value drivers and prioritization criteria to sequence all items.
      • Consistent delivery lifecycle with stable and predictable throughput with little variance.
      • Risk-based and partially automated testing and release processes.
      • Organizational change management planning for all releases.
      • Automated compliance validation with every major release.
      • Intake process using enterprise value drivers and prioritization criteria to sequence all items.
      • Stable Agile DevOps with low variability and automation.
      • Risk-based automated and manual testing.
      • Multiple release channels based on risk. Automated build, validation, and rollback capabilities.
      • Cross-channel, integrated organizational change management for all releases.
      • Automated compliance validation with every change or release.

      Exercise 3.2.3 Assess your PLM capability proficiency

      1 hour
      1. Review the expectations for this capability and determine your current proficiency for each skill.
      2. Complete your assessment in the Mature and Scale Product Owner Proficiency Assessment tool.
      3. Record the results in the Mature and Scale Product Ownership Playbook.
      4. Review the skills map to identify strengths and areas of growth.

      Output

      • Product owner capability assessment

      Participants

      • Product owners
      • Product managers

      Capture in the Mature and Scale Product Owner Proficiency Assessment.

      Capabilities: Value realization

      Key performance indicators (KPIs)

      • Usability and user satisfaction: Assess satisfaction through usage monitoring and end-user feedback.
      • Value validation: Directly measure performance against defined value proposition, goals, and predicted ROI.
      • Fit for purpose: Verify the product addresses the intended purpose better than other options.

      Financial management

      • P&L: Manage each product as if it were its own business with profit and loss statements.
      • Acquisition cost/market growth: Define the cost of acquiring a new consumer, onboarding internal users, and increasing product usage.
      • User retention/market share: Verify product usage continues after adoption and solution reaches new user groups to increase value.

      Business model

      • Defines value proposition: Dedicate your primary focus to understanding and defining the value your product will deliver.
      • Market strategy and goals: Define your acquisition, adoption, and retention plan for users.
      • Financial model: Build an end-to-end financial model and plan for the product and all related operational support.

      “The competition is anyone the customer compares you with.”

      – Thomas K. Connellan, Inside the Magic Kingdom

      Value Realization: KPIs, Financial management, Business model

      Info-Tech Insight

      Most organizations stop with on-time and on-budget. True financial alignment needs to define and manage the full lifecycle P&L.

      Use a balanced value to establish a common definition of goals and value

      Value drivers are strategic priorities aligned to our enterprise strategy and translated through our product families. Each product and change has an impact on the value driver helping us reach our enterprise goals.

      Importance of the value driver multiplied by the Impact of value score is equal to the Value score.

      Info-Tech Insight

      Your value drivers and impact helps estimate the expected value of roadmap items, prioritize roadmap and backlog items, and identify KPIs and OKRs to measure value realization and actual impact.

      Include balanced value as one criteria to guide better decisions

      Your balanced value is just one of many criteria needed to align your product goals and sequence roadmap items. Feasibility, delivery pipeline capacity, shared services, and other factors may impact the prioritization of backlog items.

      Build your balanced business value score by using four key value drivers.

      Determine your value drivers

      Competent organizations know that value cannot always be represented by revenue or reduced expenses. However, it is not always apparent how to envision the full spectrum of sources of value. Dissecting value by benefit type and the value source’s orientation allows you to see the many ways in which a product or service brings value to the organization.

      Business value matrix

      Graph with 4 quadrants representing Outward versus Inward, and Financial benefit versus Human benefit. The quadrants are Reach customers, Increase revenue/demonstrate value, Enhance services, Reduce costs.

      Financial benefits vs. improved capabilities

      Financial benefits refer to the degree to which the value source can be measured through monetary metrics and is often quite tangible.

      Human benefits refer to how a product or service can deliver value through a user’s experience.

      Inward vs. outward orientation

      Inward refers to value sources that have an internal impact and improve your organization’s effectiveness and efficiency in performing its operations.

      Outward refers to value sources that come from your interaction with external factors, such as the market or your customers.

      Exercise 3.2.4 Identify your business value drivers and sources of value

      1 hour
      1. Brainstorm the different types of business value that you produce on the sticky notes (one item per page). Draw from examples of products in your portfolio.
      2. Identify the most important value items for your organization (two to three per quadrant).
      3. Record the results in the Mature and Scale Product Ownership Workbook.

      Output

      • Product owner capability assessment

      Participants

      • Product owners
      • Product managers

      Capture in the Mature and Scale Product Ownership Workbook.

      My business value sources

      Graph with 4 quadrants representing Outward versus Inward, and Financial benefit versus Human benefit. The quadrants are Reach customers, Increase revenue/demonstrate value, Enhance services, Reduce costs.

      Capability: Value realization

      Your Score: ____

      1 - Foundational: Transitioning and Growing

      2 - Capable/Competent: Core Contributor

      3 - Influential: Gifted Improver

      4 - Transformational: Towering Strength

      • Product canvas or basic product positioning overview.
      • Simple budget or funding mechanism for changes.
      • Product demos and informal user feedback mechanisms.
      • Business value canvas or basic business model tied to roadmap funding.
      • Product funding tied to roadmap milestones and prioritization.
      • Defined KPIs /OKRs for roadmap delivery throughput and value realization measurement.
      • Business model with operating cost structures, revenue/value traceability, and market/user segments.
      • Scenario-based roadmap funding alignment.
      • Roadmap aligned KPIs /OKRs for delivery throughput and value realization measurement as a key factor in roadmap prioritization.
      • Business model tied to enterprise operating costs and value realization KPIs/OKRs.
      • P&L roadmap and cost accounting tied to value metrics.
      • Roadmap aligned enterprise and scenario-based KPIs /OKRs for delivery throughput and value realization measurement as a key factor in roadmap prioritization.

      Exercise 3.2.5 Assess your value realization capability proficiency

      1 hour
      1. Review the expectations for this capability and determine your current proficiency for each skill.
      2. Complete your assessment in the Mature and Scale Product Owner Proficiency Assessment tool.
      3. Record the results in the Mature and Scale Product Ownership Playbook.
      4. Review the skills map to identify strengths and areas of growth.

      Output

      • Product owner capability assessment

      Participants

      • Product owners
      • Product managers

      Capture in the Mature and Scale Product Owner Proficiency Assessment.

      Determine your product owner capability proficiency in regards to: Vision, Leadership, Product Lifecycle, and Value Realization

      Summary of Accomplishment

      Problem solved.

      Product ownership can be one of the most difficult challenges facing delivery and operations teams. By focusing on operational grouping and alignment of goals, organizations can improve their value realization at all levels in the organization.

      The foundation for delivering and enhancing products and services is rooted in the same capability model. Traditionally, product owners have focused on only a subset of skills and capabilities needed to properly manage and grow their products. The product owner capability model is a useful tool to ensure optimal performance from product owners and assess the right level of detail for each product within the product families.

      Congratulations. You’ve completed a significant step toward higher-value products and services.

      If you would like additional support, have our analysts guide you through other phases as apart of an Info-Tech workshop

      Contact your account representative for more information

      workshops@infotech.com
      1-888-670-8889

      Additional Support

      If you would like additional support, have our analysts guide you through other phases as apart of an Info-Tech workshop

      Contact your account representative for more information
      workshops@infotech.com 1-888-670-8889

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.1.1 Assess your real Agile skill proficiency

      Assess your skills and capabilities against the real Agile skills inventory

      2.2.3 Prioritize your stakeholders

      Build a stakeholder management strategy.

      Research Contributors and Experts

      Emily Archer

      Lead Business Analyst,
      Enterprise Consulting, authentic digital agency

      Emily Archer is a consultant currently working with Fortune 500 clients to ensure the delivery of successful projects, products, and processes. She helps increase the business value returned for organizations’ investments in designing and implementing enterprise content hubs and content operations, custom web applications, digital marketing, and e-commerce platforms.

      David Berg

      Founder & CTO
      Strainprint Technologies Inc.

      David Berg is a product commercialization expert who has spent the last 20 years delivering product management and business development services across a broad range of industries. Early in his career, David worked with product management and engineering teams to build core network infrastructure products that secure and power the internet we benefit from today. David’s experience also includes working with clean technologies in the area of clean power generation, agritech, and Internet of Things infrastructure. Over the last five years, David has been focused on his latest venture, Strainprint Technologies, a data and analytics company focused on the medical cannabis industry. Strainprint has built the largest longitudinal medical cannabis dataset in the world, with a goal to develop an understanding of treatment behavior, interactions, and chemical drivers to guide future product development.

      Research Contributors and Experts

      Kathy Borneman

      Digital Product Owner, SunTrust Bank

      Kathy Borneman is a senior product owner who helps people enjoy their jobs again by engaging others in end-to-end decision making to deliver software and operational solutions that enhance the client experience and allow people to think and act strategically.

      Charlie Campbell

      Product Owner, Merchant e-Solutions

      Charlie Campbell is an experienced problem solver with the ability to quickly dissect situations and recommend immediate actions to achieve resolution, liaise between technical and functional personnel to bridge the technology and communication gap, and work with diverse teams and resources to reach a common goal.

      Research Contributors and Experts

      Yarrow Diamond

      Sr. Director, Business Architecture
      Financial Services

      Yarrow Diamond is an experienced professional with expertise in enterprise strategy development, project portfolio management, and business process reengineering across financial services, healthcare and insurance, hospitality, and real estate environments. She has a master’s in Enterprise Architecture from Penn State University, LSSMBB, PMP, CSM, ITILv3.

      Cari J. Faanes-Blakey, CBAP, PMI-PBA

      Enterprise Business Systems Analyst,
      Vertex, Inc.

      Cari J. Faanes-Blakey has a history in software development and implementation as a Business Analyst and Project Manager for financial and taxation software vendors. Active in the International Institute of Business Analysis (IIBA), Cari participated on the writing team for the BA Body of Knowledge 3.0 and the certification exam.

      Research Contributors and Experts

      Kieran Gobey

      Senior Consultant Professional Services
      Blueprint Software Systems

      Kieran Gobey is an IT professional with 24 years of experience, focused on business, technology, and systems analysis. He has split his career between external and internal customer-facing roles, and this has resulted in a true understanding of what is required to be a Professional Services Consultant. His problem-solving skills and ability to mentor others have resulted in successful software implementations.

      Kieran’s specialties include deep system troubleshooting and analysis skills, facilitating communications to bring together participants effectively, mentoring, leadership, and organizational skills.

      Rupert Kainzbauer

      VP Product, Digital Wallets
      Paysafe Group

      Rupert Kainzbauer is an experienced senior leader with a passion for defining and delivering products that deliver real customer and commercial benefit. With a team of highly experienced and motivated product managers, he has successfully led highly complex, multi-stakeholder payments initiatives, from proposition development and solution design through to market delivery. Their domain experience is in building online payment products in high-risk and emerging markets, remittance, prepaid cards, and mobile applications.

      Research Contributors and Experts

      Saeed Khan

      Founder,
      Transformation Labs

      Saeed Khan has been working in high tech for 30 years in Canada and the US and has held several leadership roles in Product Management in that time. He speaks regularly at conferences and has been writing publicly about technology product management since 2005.

      Through Transformation Labs, Saeed helps companies accelerate product success by working with product teams to improve their skills, practices, and processes. He is a cofounder of ProductCamp Toronto and currently runs a Meetup group and global Slack community called Product Leaders; the only global community of senior level product executives.

      Hoi Kun Lo

      Product Owner
      Nielsen

      Hoi Kun Lo is an experienced change agent who can be found actively participating within the IIBA and WITI groups in Tampa, FL and a champion for Agile, architecture, diversity, and inclusion programs at Nielsen. She is currently a Product Owner in the Digital Strategy team within Nielsen Global Watch Technology.

      Research Contributors and Experts

      Abhishek Mathur

      Sr Director, Product Management
      Kasisto, Inc.

      Abhishek Mathur is a product management leader, an artificial intelligence practitioner, and an educator. He has led product management and engineering teams at Clarifai, IBM, and Kasisto to build a variety of artificial intelligence applications within the space of computer vision, natural language processing, and recommendation systems. Abhishek enjoys having deep conversations about the future of technology and helping aspiring product managers enter and accelerate their careers.

      Jeff Meister

      Technology Advisor and Product Leader

      Jeff Meister is a technology advisor and product leader. He has more than 20 years of experience building and operating software products and the teams that build them. He has built products across a wide range of industries and has built and led large engineering, design, and product organizations.

      Jeff most recently served as Senior Director of Product Management at Avanade, where he built and led the product management practice. This involved hiring and leading product managers, defining product management processes, solution shaping and engagement execution, and evangelizing the discipline through pitches, presentations, and speaking engagements.

      Jeff holds a Bachelor of Applied Science (Electrical Engineering) and a Bachelor of Arts from the University of Waterloo, an MBA from INSEAD (Strategy), and certifications in product management, project management, and design thinking.

      Research Contributors and Experts

      Vincent Mirabelli

      Principal,
      Global Project Synergy Group

      With over 10 years of experience in both the private and public sectors, Vincent Mirabelli possesses an impressive track record of improving, informing, and transforming business strategy and operations through process improvement, design and re-engineering, and the application of quality to business analysis, project management, and process improvement standards.

      Oz Nazili

      VP, Product & Growth
      TWG

      Oz Nazili is a product leader with a decade of experience in both building products and product teams. Having spent time at funded startups and large enterprises, he thinks often about the most effective way to deliver value to users. His core areas of interest include Lean MVP development and data-driven product growth.

      Research Contributors and Experts

      Mike Starkey

      Director of Engineering
      W.W. Grainger

      Mike Starkey is a Director of Engineering at W.W. Grainger, currently focusing on operating model development, digital architecture, and building enterprise software. Prior to joining W.W. Grainger, Mike held a variety of technology consulting roles throughout the system delivery lifecycle spanning multiple industries such as healthcare, retail, manufacturing, and utilities with Fortune 500 companies.

      Anant Tailor

      Cofounder and Head of Product
      Dream Payments Corp.

      Anant Tailor is a cofounder at Dream Payments where he currently serves as the COO and Head of Product, having responsibility for Product Strategy & Development, Client Delivery, Compliance, and Operations. He has 20+ years of experience building and operating organizations that deliver software products and solutions for consumers and businesses of varying sizes.

      Prior to founding Dream Payments, Anant was the COO and Director of Client Services at DonRiver Inc, a technology strategy and software consultancy that he helped to build and scale into a global company with 100+ employees operating in seven countries.

      Anant is a Professional Engineer with a Bachelor degree in Electrical Engineering from McMaster University and a certificate in Product Strategy & Management from the Kellogg School of Management at Northwestern University.

      Research Contributors and Experts

      Angela Weller

      Scrum Master, Businessolver

      Angela Weller is an experienced Agile business analyst who collaborates with key stakeholders to attain their goals and contributes to the achievement of the company’s strategic objectives to ensure a competitive advantage. She excels when mediating or facilitating teams.

      Related Info-Tech Research

      Product Delivery

      Deliver on Your Digital Product Vision

      Build a product vision your organization can take from strategy through execution.

      Deliver Digital Products at Scale

      Deliver value at the scale of your organization through defining enterprise product families.

      Build Your Agile Acceleration Roadmap

      Quickly assess the state of your Agile readiness and plan your path forward to higher value realization.

      Implement Agile Practices That Work

      Improve collaboration and transparency with the business to minimize project failure.

      Implement DevOps Practices That Work

      Streamline business value delivery through the strategic adoption of DevOps practices.

      Extend Agile Practices Beyond IT

      Further the benefits of Agile by extending a scaled Agile framework to the business.

      Build Your BizDevOps Playbook

      Embrace a team sport culture built around continuous business-IT collaboration to deliver great products.

      Embed Security Into the DevOps Pipeline

      Shift security left to get into DevSecOps.

      Spread Best Practices With an Agile Center of Excellence

      Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

      Enable Organization-Wide Collaboration by Scaling Agile

      Execute a disciplined approach to rolling out Agile methods in the organization.

      Related Info-Tech Research

      Application Portfolio Management

      APM Research Center

      See an overview of the APM journey and how we can support the pieces in this journey.

      Application Portfolio Management Foundations

      Ensure your application portfolio delivers the best possible return on investment.

      Streamline Application Maintenance

      Effective maintenance ensures the long-term value of your applications.

      Streamline Application Management

      Move beyond maintenance to ensuring exceptional value from your apps.

      Build an Application Department Strategy

      Delivering value starts with embracing what your department can do.

      Embrace Business-Managed Applications

      Empower the business to implement their own applications with a trusted business-IT relationship

      Optimize Applications Release Management

      Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

      Related Info-Tech Research

      Value, Delivery Metrics, Estimation

      Build a Value Measurement Framework

      Focus product delivery on business value–driven outcomes.

      Select and Use SDLC Metrics Effectively

      Be careful what you ask for, because you will probably get it.

      Application Portfolio Assessment: End User Feedback

      Develop data-driven insights to help you decide which applications to retire, upgrade, re-train on, or maintain to meet the demands of the business.

      Create a Holistic IT Dashboard

      Mature your IT department by measuring what matters.

      Refine Your Estimation Practices With Top-Down Allocations

      Don’t let bad estimates ruin good work.

      Estimate Software Delivery With Confidence

      Commit to achievable software releases by grounding realistic expectations.

      Reduce Time to Consensus With an Accelerated Business Case

      Expand on the financial model to give your initiative momentum.

      Optimize Project Intake, Approval, and Prioritization

      Deliver more projects by giving yourself the voice to say “no” or “not yet” to new projects.

      Enhance PPM Dashboards and Reports

      Facilitate ongoing alignment between Agile teams and the business with a set of targeted service offerings.

      Related Info-Tech Research

      Organizational Design and Performance

      Redesign Your IT Organizational Structure

      Focus product delivery on business value-driven outcomes.

      Build a Strategic IT Workforce Plan

      Have the right people, in the right place, at the right time.

      Implement a New Organizational Structure

      Reorganizations are inherently disruptive. Implement your new structure with minimal pain for staff while maintaining IT performance throughout the change.

      Build an IT Employee Engagement Program

      Don’t just measure engagement, act on it

      Set Meaningful Employee Performance Measures

      Set holistic measures to inspire employee performance.

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      Gorisse, Willem. “A Practical Guide to the Product Canvas.” Mendix, 28 Mar. 2017. Web.

      Gothelf, Jeff. “The Lean UX Canvas.” Jeff Gothelf, 15 Dec. 2016. Web.

      Gottesdiener, Ellen. “Using the Product Canvas to Define Your Product: Getting Started.” EBG Consulting, 15 Jan. 2019. Web.

      Gottesdiener, Ellen. “Using the Product Canvas to Define Your Product's Core Requirements.” EBG Consulting, 4 Feb. 2019. Web.

      Gray, Mark Krishan. “Should I Use the Business Model Canvas or the Lean Canvas?” Blog, Medium.com, 2019. Web.

      Bibliography (Vision and Canvas)

      Hanby, Jeff. "Software Maintenance: Understanding and Estimating Costs." LookFar, 21 Oct. 2016. Web.

      “How do you define a product?” Scrum.org, 4 Apr 2017, Web

      Juncal, Shaun. “How to Build a Product Roadmap Based on a Business Model Canvas.” ProductPlan, 19 June 2019. Web.

      “Lean Canvas Intro - Uber Example.” YouTube, uploaded by Railsware Product Academy, 12 Oct. 2018. Web.

      “Lesson 6: Product Canvas.” ProdPad Help Center, 2019. Web.

      Lucero, Mario. “The Product Canvas.” Agilelucero.com, 22 June 2015. Web.

      Maurya, Ash. “Create a New Lean Canvas.” Canvanizer, 2019. Web.

      Maurya, Ash. “Don't Write a Business Plan. Create a Lean Canvas Instead.” LEANSTACK, 2019. Web.

      Maurya, Ash. “Why Lean Canvas vs Business Model Canvas?” Medium, 27 Feb. 2012. Web.

      Mirabelli, Vincent. “The Project Value Canvas.” Vincent Mirabelli, 2019. Web.

      Mishra, LN. “Business Analysis Canvas – The Ultimate Enterprise Architecture.” BA Times, 19 June 2019. Web.

      Muller. Jerry Z. “Why performance metrics isn’t always the best way to judge performance.” Fast Company, 3 April 2019. Web.

      Perri, Melissa. “What Is Good Product Strategy?” Melissa Perri, 14 July 2016. Web.

      Pichler, Roman. “A Product Canvas for Agile Product Management, Lean UX, Lean Startup.” Roman Pichler, 16 July 2012. Web.

      Pichler, Roman. “Introducing the Product Canvas.” JAXenter, 15 Jan. 2013. Web.

      Pichler, Roman. “Roman's Product Canvas: Introduction.” YouTube, uploaded by Roman Pichler, 3 Mar. 2017. Web.

      Pichler, Roman. “The Agile Vision Board: Vision and Product Strategy.” Roman Pichler, 10 May 2011. Web.

      Pichler, Roman. “The Product Canvas – Template.” Roman Pichler, 11 Oct. 2016. Web.

      Pichler, Roman. “The Product Canvas Tutorial V1.0.” LinkedIn SlideShare. Uploaded by Roman Pichler, 14 Feb. 2013. Web.

      Pichler, Roman. “The Product Vision Board: Introduction.” YouTube uploaded by Roman Pichler, 3 Mar. 2017. Web.

      “Product Canvas PowerPoint Template.” SlideModel, 2019. Web.

      Bibliography (Vision and Canvas)

      “Product Canvas.” SketchBubble, 2019, Web.

      “Product Canvas.” YouTube, uploaded by Wojciech Szramowski, 18 May 2016. Web.

      “Product Roadmap Software to Help You Plan, Visualize, and Share Your Product Roadmap.” Productboard, 2019. Web.

      Roggero, Giulio. “Product Canvas Step-by-Step.” LinkedIn SlideShare, uploaded by Giulio Roggero, 18 May 2013. Web.

      Royce, Dr. Winston W. “Managing the Development of Large Software Systems.” Scf.usc.edu, 1970. Web.

      Ryan, Dustin. “The Product Canvas.” Qdivision, Medium, 20 June 2017. Web.

      Snow, Darryl. “Product Vision Board.” Medium, 6 May 2017. Web.

      Stanislav, Shymansky. “Lean Canvas – a Tool Your Startup Needs Instead of a Business Plan.” Railsware, 12 Oct. 2018. Web.

      Stanislav, Shymansky. “Lean Canvas Examples of Multi-Billion Startups.” Railsware, 20 Feb. 2019. Web.

      “The Product Vision Canvas.” YouTube, Uploaded by Tom Miskin, 20 May 2019. Web.

      Tranter, Leon. “Agile Metrics: the Ultimate Guide.” Extreme Uncertainty, n.d. Web.

      “Using Business Model Canvas to Launch a Technology Startup or Improve Established Operating Model.” AltexSoft, 27 July 2018. Web.

      Veyrat, Pierre. “Lean Business Model Canvas: Examples + 3 Pillars + MVP + Agile.” HEFLO BPM, 10 Mar. 2017. Web.

      “What Are Software Metrics and How Can You Track Them?” Stackify, 16 Sept. 2017. Web

      “What Is a Product Vision?” Aha!, 2019. Web.

      Supporting Research

      Transformation topics and supporting Info-Tech research to make the journey easier, with less rework.

      Supporting research and services

      Improving IT alignment

      Build a Business-Aligned IT Strategy

      Success depends on IT initiatives clearly aligned to business goals, IT excellence, and driving technology innovation.

      Includes a "Strategy on a page" template

      Make Your IT Governance Adaptable

      Governance isn't optional, so keep it simple and make it flexible.

      Create an IT View of the Service Catalog

      Unlock the full value of your service catalog with technical components.

      Application Portfolio Management Foundations

      Ensure your application portfolio delivers the best possible return on investment.

      Supporting research and services

      Shifting toward Agile DevOps

      Agile/DevOps Resource Center

      Tools and advice you need to be successful with Agile.

      Develop Your Agile Approach for a Successful Transformation

      Understand Agile fundamentals, principles, and practices so you can apply them effectively in your organization.

      Implement DevOps Practices That Work

      Streamline business value delivery through the strategic adoption of DevOps practices.

      Perform an Agile Skills Assessment

      Being Agile isn't about processes, it's about people.

      Define the Role of Project Management in Agile and Product-Centric Delivery

      Projects and products are not mutually exclusive.

      Supporting research and services

      Shifting toward product management

      Make the Case for Product Delivery

      Align your organization on the practices to deliver what matters most.

      Deliver on Your Digital Product Vision

      Build a product vision your organization can take from strategy through execution.

      Deliver Digital Products at Scale

      Deliver value at the scale of your organization through defining enterprise product families.

      Build a Better Product Owner

      Strengthen the product owner's role in your organization by focusing on core capabilities and proper alignment.

      Supporting research and services

      Improving value and delivery metrics

      Build a Value Measurement Framework

      Focus product delivery on business value-driven outcomes.

      Create a Holistic IT Dashboard

      Mature your IT department by measuring what matters.

      Select and Use SDLC Metrics Effectively

      Be careful what you ask for because you will probably get it.

      Reduce Time to Consensus With an Accelerated Business Case

      Expand on the financial model to give your initiative momentum.

      Supporting research and services

      Improving governance, prioritization, and value

      Make Your IT Governance Adaptable

      Governance isn't optional, so keep it simple and make it flexible.

      Maximize Business Value from IT Through Benefits Realization

      Embed benefits realization into your governance process to prioritize IT spending and confirm the value of IT.

      Drive Digital Transformation With Platform Strategies

      Innovate and transform your business models with digital platforms.

      Succeed With Digital Strategy Execution

      Building a digital strategy is only half the battle: create a systematic roadmap of technology initiatives to execute the strategy and drive digital transformation.

      Build a Value Measurement Framework

      Focus product delivery on business value-driven outcomes.

      Create a Holistic IT Dashboard

      Mature your IT department by measuring what matters.

      Supporting research and services

      Improving requirements management and quality assurance

      Requirements Gathering for Small Enterprises

      Right-size the guidelines of your requirements gathering process.

      Improve Requirements Gathering

      Back to basics: great products are built on great requirements.

      Build a Software Quality Assurance Program

      Build quality into every step of your SDLC.

      Automate Testing to Get More Done

      Drive software delivery throughput and quality confidence by extending your automation test coverage.

      Manage Your Technical Debt

      Make the case to manage technical debt in terms of business impact.

      Create a Business Process Management Strategy

      Avoid project failure by keeping the "B" in BPM.

      Build a Winning Business Process Automation Playbook

      Optimize and automate your business processes with a user-centric approach.

      Create a Winning BPI Playbook

      Don't waste your time focusing on the "as is." Focus on the improvements and the "to be."

      Supporting research and services

      Improving release management

      Optimize Applications Release Management

      Build trust by right-sizing your process using appropriate governance.

      Streamline Application Maintenance

      Effective maintenance ensures the long-term value of your applications.

      Streamline Application Management

      Move beyond maintenance to ensure exceptional value from your apps.

      Optimize Change Management

      Right-size your change management process.

      Manage Your Technical Debt

      Make the case to manage technical debt in terms of business impact.

      Improve Application Development Throughput

      Drive down your delivery time by eliminating development inefficiencies and bottlenecks while maintaining high quality.

      Supporting research and services

      Business relationship management

      Embed Business Relationship Management

      Leverage knowledge of the business to become a strategic IT partner.

      Improving security

      Build an Information Security Strategy

      Create value by aligning your strategy to business goals and business risks.

      Develop and Deploy Security Policies

      Enhance your overall security posture with a defensible and prescriptive policy suite.

      Simplify Identity and Access Management

      Leverage risk- and role-based access control to quantify and simplify the IAM process.

      Supporting research and services

      Improving and supporting business-managed applications

      Embrace Business-Managed Applications

      Empower the business to implement their own applications with a trusted business-IT relationship.

      Enhance Your Solution Architecture Practices

      Ensure your software systems solution is architected to reflect stakeholders’ short-and long-term needs.

      Satisfy Digital End Users With Low- and No-Code

      Extend IT, automation, and digital capabilities to the business with the right tools, good governance, and trusted organizational relationships.

      Build Your First RPA Bot

      Support RPA delivery with strong collaboration and management foundations.

      Automate Work Faster and More Easily With Robotic Process Automation

      Embrace the symbiotic relationship between the human and digital workforce.

      Supporting research and services

      Improving business intelligence, analytics, and reporting

      Modernize Data Architecture for Measurable Business Results

      Enable the business to achieve operational excellence, client intimacy, and product leadership with an innovative, Agile, and fit-for-purpose data architecture practice.

      Build a Reporting and Analytics Strategy

      Deliver actionable business insights by creating a business-aligned reporting and analytics strategy.

      Build Your Data Quality Program

      Quality data drives quality business decisions.

      Design Data-as-a-Service

      Journey to the data marketplace ecosystems.

      Build a Robust and Comprehensive Data Strategy

      Key to building and fostering a data-driven culture.

      Build an Application Integration Strategy

      Level the table before assembling the application integration puzzle or risk losing pieces.

      Appendix

      Pulse survey results

      Pulse survey (N=18): What are the key components of product/service ownership?

      Pulse survey results: What are the key components of product/service ownership? Table shows answer options and responses in percentage.

      Pulse Survey (N=18): What are the key individual skills for a product/service owner?

      What are the key individual skills for a product/service owner? Table shows answer options and responses in percentage

      Other choices entered by respondents:

      • Anticipating client needs, being able to support delivery in all phases of the product lifecycle, adaptability, and ensuring a healthy backlog (at least two sprints’ worth of work).
      • Requirements elicitation and prioritization.
      • The key skill is being product-focused to ensure it provides value for competitive advantage.

      Pulse Survey (N=18): What are three things an outstanding product/service owner does that an average one doesn’t?

      What are three things an outstanding product/service owner does that an average one doesn't? Table shows results.

      Drive Business Value With a Right-Sized Project Gating Process

      • Buy Link or Shortcode: {j2store}445|cart{/j2store}
      • member rating overall impact (scale of 10): 9.0/10 Overall Impact
      • member rating average dollars saved: $61,999 Average $ Saved
      • member rating average days saved: 21 Average Days Saved
      • Parent Category Name: Portfolio Management
      • Parent Category Link: /portfolio-management
      • Low sponsor commitment on projects.
      • Poor quality on completed projects.
      • Little to no visibility into the project portfolio.
      • Organization does not operationalize change .
      • Analyzing, fixing, and redeploying is a constant struggle. Even when projects are done well, they fail to deliver the intended outcomes and benefits.

      Our Advice

      Critical Insight

      • Stop applying a one-size-fits-all-projects approach to governance.
      • Engage the sponsor by shifting the accountability to the business so they can get the most out of the project.
      • Do not limit the gating process to project management – expand to portfolio management.

      Impact and Result

      • Increase Project Throughput: Do more projects by ensuring the right projects and right amount of projects are approved and executed.
      • Validate Project Quality: Ensure issues are uncovered and resolved with standard check points in the project.
      • Increase Reporting and Visibility: Easily compare progress of projects across the portfolio and report outcomes to leadership.
      • Reduce Resource Waste: Terminate low-value projects early and assign the right resources to approved projects.
      • Achieve Intended Project Outcomes: Keep the sponsor engaged throughout the gating process to achieve desired outcomes.

      Drive Business Value With a Right-Sized Project Gating Process Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should design a right-sized project gating process, review Info-Tech’s methodology, and understand the four ways we can support you.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Lay the groundwork for tailored project gating

      This phase will walk you through the following activities:

    • Understand the role of gating and why we need it.
    • Determine what projects will follow the gating process and how to classify them.
    • Establish the role of the project sponsor throughout the entire project lifecycle.
      • Drive Business Value With a Right-Sized Project Gating Process – Phase 1: Lay the Groundwork for Tailored Project Gating
      • Project Intake Classification Matrix
      • Project Sponsor Role Description Template

      2. Establish level 1 project gating

      This phase will help you customize Level 1 Project Gates with appropriate roles and responsibilities.

      • Drive Business Value With a Right-Sized Project Gating Process – Phase 2: Establish Level 1 Project Gating
      • Project Gating Strategic Template

      3. Establish level 2 project gating

      This phase will help you customize Level 2 Project Gates with appropriate roles and responsibilities.

      • Drive Business Value With a Right-Sized Project Gating Process – Phase 3: Establish Level 2 Project Gating

      4. Establish level 3 project gating

      This phase will help you customize Level 3 Project Gates with appropriate roles and responsibilities. It will also help you determine next steps and milestones for the adoption of the new process.

      • Drive Business Value With a Right-Sized Project Gating Process – Phase 4: Establish Level 3 Project Gating
      • Project Gating Reference Document
      [infographic]

      Workshop: Drive Business Value With a Right-Sized Project Gating Process

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Lay the Groundwork for Tailored Project Gating

      The Purpose

      Understand the role of gating and why we need it.

      Determine what projects will follow the gating process and how to classify them.

      Establish the role of the project sponsor throughout the entire project lifecycle.

      Key Benefits Achieved

      Get stakeholder buy-in for the process.

      Ensure there is a standard leveling process to determine size, risk, and complexity of requests.

      Engage the project sponsor throughout the portfolio and project processes.

      Activities

      1.1 Project Gating Review

      1.2 Establish appropriate project levels

      1.3 Define the role of the project sponsor

      Outputs

      Project Intake Classification Matrix

      Project Sponsor Role Description Template

      2 Establish Level 1 Project Gating

      The Purpose

      This phase will help you customize Level 1 Project Gates with appropriate roles and responsibilities.

      Key Benefits Achieved

      Create a lightweight project gating process for small projects.

      Activities

      2.1 Review level 1 project gating process

      2.2 Determine what gates should be part of your custom level 1 gating process

      2.3 Establish required artifacts for each gate

      2.4 Define the stakeholder’s roles and responsibilities at each gate

      Outputs

      Documented outputs in the Project Gating Strategic Template

      3 Establish Level 2 Project Gating

      The Purpose

      This phase will help you customize Level 2 Project Gates with appropriate roles and responsibilities.

      Key Benefits Achieved

      Create a heavier project gating process for medium projects.

      Activities

      3.1 Review level 2 project gating process

      3.2 Determine what gates should be part of your custom level 2 gating process

      3.3 Establish required artifacts for each gate

      3.4 Define the stakeholder’s roles and responsibilities at each gate

      Outputs

      4 Establish Level 3 Project Gating

      The Purpose

      This phase will help you customize Level 3 Project Gates with appropriate roles and responsibilities.

      Come up with a roadmap for the adoption of the new project gating process.

      Key Benefits Achieved

      Create a comprehensive project gating process for large projects.

      Activities

      4.1 Review level 3 project gating process

      4.2 Determine what gates should be part of your custom level 3 gating process

      4.3 Establish required artifacts for each gate

      4.4 Define the stakeholder’s roles and responsibilities at each gate

      4.5 Determine next steps and milestones for process adoption

      Outputs

      Documented outputs in the Project Gating Strategic Template

      Documented Project Gating Reference Document for all stakeholders

      Streamline Application Maintenance

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      • member rating overall impact (scale of 10): 9.5/10 Overall Impact
      • member rating average dollars saved: 20 Average Days Saved
      • member rating average days saved: After each Info-Tech experience, we ask our members to quantify the real-time savings, monetary impact, and project improvements our research helped them achieve.
      • Parent Category Name: Maintenance
      • Parent Category Link: /maintenance
      • Application maintenance teams are accountable for the various requests and incidents coming from a variety business and technical sources. The sheer volume and variety of requests create unmanageable backlogs.
      • The increasing complexity and reliance on technology within the business has set unrealistic expectations on maintenance teams. Stakeholders expect teams to accommodate maintenance without impact on project schedules.

      Our Advice

      Critical Insight

      • Improving maintenance’s focus and attention may mean doing less but more valuable work. Teams need to be realistic about what can be committed and be prepared to justify why certain requests have to be pushed down the backlog (e.g. lack of business value, high risks).
      • Maintenance must be treated like any other development activity. The same intake and prioritization practices and quality standards must be upheld, and best practices followed.

      Impact and Result

      • Justify the necessity of streamlined maintenance. Gain a grounded understanding of stakeholder objectives and concerns, and validate their achievability against the current state of the people, process, and technologies involved in application maintenance.
      • Strengthen triaging and prioritization practices. Obtain a holistic picture of the business and technical impacts, risks, and urgencies of each accepted maintenance requests in order to justify its prioritization and relevance within your backlog. Identify opportunities to bundle requests together or integrate them within project commitments to ensure completion.
      • Establish and govern a repeatable process. Develop a maintenance process with well-defined stage gates, quality controls, and roles and responsibilities, and instill development best practices to improve the success of delivery.

      Streamline Application Maintenance Research & Tools

      Start here – read the Executive Brief

      Read our Executive Brief to understand the common struggles found in application maintenance, their root causes, and the Info-Tech methodology to overcoming these hurdles.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Understand your maintenance priorities

      Understand the stakeholder priorities driving changes in your application maintenance practice.

      • Streamline Application Maintenance – Phase 1: Assess the Current Maintenance Landscape
      • Application Maintenance Operating Model Template
      • Application Maintenance Resource Capacity Assessment
      • Application Maintenance Maturity Assessment

      2. Instill maintenance governance

      Identify the appropriate level of governance and enforcement to ensure accountability and quality standards are upheld across maintenance practices.

      • Streamline Application Maintenance – Phase 2: Develop a Maintenance Release Schedule

      3. Enhance triaging and prioritization practices

      Build a maintenance triage and prioritization scheme that accommodates business and IT risks and urgencies.

      • Streamline Application Maintenance – Phase 3: Optimize Maintenance Capabilities

      4. Streamline maintenance delivery

      Define and enforce quality standards in maintenance activities and build a high degree of transparency to readily address delivery challenges.

      • Streamline Application Maintenance – Phase 4: Streamline Maintenance Delivery
      • Application Maintenance Business Case Presentation Document
      [infographic]

      Workshop: Streamline Application Maintenance

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Understand Your Maintenance Priorities

      The Purpose

      Understand the business and IT stakeholder priorities driving the success of your application maintenance practice.

      Understand any current issues that are affecting your maintenance practice.

      Key Benefits Achieved

      Awareness of business and IT priorities.

      An understanding of the maturity of your maintenance practices and identification of issues to alleviate.

      Activities

      1.1 Define priorities for enhanced maintenance practices.

      1.2 Conduct a current state assessment of your application maintenance practices.

      Outputs

      List of business and technical priorities

      List of the root-cause issues, constraints, and opportunities of current maintenance practice

      2 Instill Maintenance Governance

      The Purpose

      Define the processes, roles, and points of communication across all maintenance activities.

      Key Benefits Achieved

      An in-depth understanding of all maintenance activities and what they require to function effectively.

      Activities

      2.1 Modify your maintenance process.

      2.2 Define your maintenance roles and responsibilities.

      Outputs

      Application maintenance process flow

      List of metrics to gauge success

      Maintenance roles and responsibilities

      Maintenance communication flow

      3 Enhance Triaging and Prioritization Practices

      The Purpose

      Understand in greater detail the process and people involved in receiving and triaging a request.

      Define your criteria for value, impact, and urgency, and understand how these fit into a prioritization scheme.

      Understand backlog management and release planning tactics to accommodate maintenance.

      Key Benefits Achieved

      An understanding of the stakeholders needed to assess and approve requests.

      The criteria used to build a tailored prioritization scheme.

      Tactics for efficient use of resources and ideal timing of the delivery of changes.

      A process that ensures maintenance teams are always working on tasks that are valuable to the business.

      Activities

      3.1 Review your maintenance intake process.

      3.2 Define a request prioritization scheme.

      3.3 Create a set of practices to manage your backlog and release plans.

      Outputs

      Understanding of the maintenance request intake process

      Approach to assess the impact, urgency, and severity of requests for prioritization

      List of backlog management grooming and release planning practices

      4 Streamline Maintenance Delivery

      The Purpose

      Understand how to apply development best practices and quality standards to application maintenance.

      Learn the methods for monitoring and visualizing maintenance work.

      Key Benefits Achieved

      An understanding of quality standards and the scenarios for where they apply.

      The tactics to monitor and visualize maintenance work.

      Streamlined maintenance delivery process with best practices.

      Activities

      4.1 Define approach to monitor maintenance work.

      4.2 Define application quality attributes.

      4.3 Discuss best practices to enhance maintenance development and deployment.

      Outputs

      Taskboard structure and rules

      Definition of application quality attributes with user scenarios

      List of best practices to streamline maintenance development and deployment

      5 Finalize Your Maintenance Practice

      The Purpose

      Create a target state built from appropriate metrics and attainable goals.

      Consider the required items and steps for the implementation of your optimization initiatives.

      Key Benefits Achieved

      A realistic target state for your optimized application maintenance practice.

      A well-defined and structured roadmap for the implementation of your optimization initiatives.

      Activities

      5.1 Refine your target state maintenance practices.

      5.2 Develop a roadmap to achieve your target state.

      Outputs

      Finalized application maintenance process document

      Roadmap of initiatives to achieve your target state

      Enterprise Architecture

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      • member rating overall impact (scale of 10): 9.2/10
      • member rating average dollars saved: $28,368
      • member rating average days saved: 24
      • Parent Category Name: Service Planning and Architecture
      • Parent Category Link: service-planning-and-architecture
      Demystify enterprise architecture value with key metrics.

      Build an Information Security Strategy

      • Buy Link or Shortcode: {j2store}242|cart{/j2store}
      • member rating overall impact (scale of 10): 9.5/10 Overall Impact
      • member rating average dollars saved: $45,303 Average $ Saved
      • member rating average days saved: 34 Average Days Saved
      • Parent Category Name: Security Strategy & Budgeting
      • Parent Category Link: /security-strategy-and-budgeting
      • Many security leaders struggle to decide how to best to prioritize their scarce information security resources
      • The need to move from a reactive approach to security towards a strategic planning approach is clear. The path to getting there is less so.

      Our Advice

      Critical Insight

      The most successful information security strategies are:

      • Holistic – They consider the full spectrum of information security, including people, processes, and technology.
      • Risk aware – They understand that security decisions should be made based on the security risks facing their organization, not just on “best practice.”
      • Business aligned – They demonstrate an understanding of the goals and strategies of the organization and how the security program can support the business.

      Impact and Result

      • Info-Tech has developed a highly effective approach to building an information security strategy, an approach that has been successfully tested and refined for more than seven years with hundreds of different organizations:
      • This approach includes tools for:
        • Ensuring alignment with business objectives.
        • Assessing organizational risk and stakeholder expectations.
        • Enabling a comprehensive current state assessment.
        • Prioritizing initiatives and building out a security roadmap.

      Build an Information Security Strategy Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Information Security (IS) Strategy Research – A step-by-step document that helps you build a holistic, risk-based, and business-aligned IS strategy.

      Your security strategy should not be based on trying to blindly follow best practices but on a holistic risk-based assessment that is risk aware and aligns with your business context. Use this storyboard to augment your security strategy by ensuring alignment with business objectives, assessing your organization's risk and stakeholder expectations, understanding your current security state, and prioritizing initiatives and a security roadmap.

      • Build an Information Security Strategy – Phases 1-4

      2. Information Security Requirements Gathering Tool – A tool to make informed security risk decisions to support business needs.

      Use this tool to formally identify business goals and customer and compliance obligations and make explicit links to how security initiatives propose to support these business interests. Then define the scope and boundaries for the security strategy and the risk tolerance definitions that will guide future security risk decisions.

      • Information Security Requirements Gathering Tool

      3. Information Security Pressure Analysis Tool – An evaluation tool to invest in the right security functions using a pressure analysis approach.

      Security pressure posture analysis helps your organization assess your real security context and enables you to invest in the right security functions while balancing the cost and value in alignment with business strategies. Security pressure sets the baseline that will help you avoid over-investing or under-investing in your security functions.

      • Information Security Pressure Analysis Tool

      4. Information Security Program Gap Analysis Tool – A structured tool to systematically understand your current security state.

      Effective security planning should not be one size fits all – it must consider business alignment, security benefit, and resource cost. To enable an effective security program, all areas of security need to be evaluated closely to determine where the organization sits currently and where it needs to go in the future.

      • Information Security Program Gap Analysis Tool

      5. Information Security Strategy Communication Deck – A best-of-breed presentation document to build a clear, concise, and compelling strategy document.

      Use this communication deck template to present the results of the security strategy to stakeholders, demonstrate the progression from the current state to the future state, and establish the roadmap of the security initiatives that will be implemented. This information security communication deck will help ensure that you’re communicating effectively for your cause.

      • Information Security Strategy Communication Deck

      6. Information Security Charter – An essential document for defining the scope and purpose of a security project or program.

      A charter is an essential document for defining the scope and purpose of security. Without a charter to control and set clear objectives for this committee, the responsibility of security governance initiatives will likely be undefined within the enterprise, preventing the security governance program from operating efficiently. This template can act as the foundation for a security charter to provide guidance to the governance of information security.

      • Information Security Charter
      [infographic]

      Workshop: Build an Information Security Strategy

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Assess Security Requirements

      The Purpose

      Understand business and IT strategy and plans.

      Key Benefits Achieved

      Defined security obligations, scope, and boundaries.

      Activities

      1.1 Define business and compliance.

      1.2 Establish security program scope.

      1.3 Analyze the organization’s risk and stakeholder pressures.

      1.4 Identify the organizational risk tolerance level.

      Outputs

      Security obligations statement

      Security scope and boundaries statement

      Defined risk tolerance level

      Risk assessment and pressure analysis

      2 Perform a Gap Analysis

      The Purpose

      Define the information security target state.

      Key Benefits Achieved

      Set goals and Initiatives for the security strategy in line with the business objectives.

      Activities

      2.1 Assess current security capabilities.

      2.2 Identify security gaps.

      2.3 Build initiatives to bridge the gaps.

      Outputs

      Information security target state

      Security current state assessment

      Initiatives to address gaps

      3 Complete the Gap Analysis

      The Purpose

      Continue assessing current security capabilities.

      Key Benefits Achieved

      Identification of security gaps and initiatives to bridge them according to the business goals.

      Activities

      3.1 Identify security gaps.

      3.2 Build initiatives to bridge the maturity gaps.

      3.3 Identify initiative list and task list.

      3.4 Define criteria to be used to prioritize initiatives.

      Outputs

      Completed security current state assessment

      Task list to address gaps

      Initiative list to address gaps

      Prioritize criteria

      4 Develop the Roadmap

      The Purpose

      Create a plan for your security strategy going forward.

      Key Benefits Achieved

      Set path forward to achieving the target state for the business through goal cascade and gap initiatives.

      Activities

      4.1 Conduct cost/benefit analysis on initiatives.

      4.2 Prioritize gap initiatives based on cost and alignment with business.

      4.3 Build an effort list.

      4.4 Determine state times and accountability.

      4.5 Finalize security roadmap and action plan.

      4.6 Create communication plan.

      Outputs

      Information security roadmap

      Draft communication deck

      5 Communicate and Implement

      The Purpose

      Finalize deliverables.

      Key Benefits Achieved

      Consolidate documentation into a finalized deliverable that can be used to present to executives and decision makers to achieve buy-in for the project.

      Activities

      5.1 Support communication efforts.

      5.2 Identify resources in support of priority initiatives.

      Outputs

      Security strategy roadmap documentation

      Detailed cost and effort estimates

      Mapping of Info-Tech resources against individual initiatives

      Further reading

      Build an Information Security Strategy

      Create value by aligning your strategy to business goals and business risks.

      Analyst Perspective

      Set your security strategy up for success.

      “Today’s rapid pace of change in business innovation and digital transformation is a call to action to information security leaders.

      Too often, chief information security officers find their programs stuck in reactive mode, a result of years of mounting security technical debt. Shifting from a reactive to proactive stance has never been more important. Unfortunately, doing so remains a daunting task for many.

      While easy to develop, security plans premised on the need to blindly follow ‘best practices’ are unlikely to win over many stakeholders. To be truly successful, an information security strategy needs to be holistic, risk-aware, and business-aligned.”

      Kevin Peuhkurinen

      Research Director – Security, Risk & Compliance

      Info-Tech Research Group

      Executive summary

      Your Challenge

      • Many security leaders struggle to decide how best to prioritize their scarce information security resources.
      • The need to move from a reactive approach to security toward a strategic planning approach is clear. The path to getting there is less clear.

      Common Obstacle

      • Developing a security strategy can be challenging. Complications include:
        • Performing an accurate assessment of your current security program can be extremely difficult when you don’t know what to assess or how.
        • Determining the appropriate target state for security can be even more challenging. A strategy built around following best practices is unlikely to garner significant support from business stakeholders.

      Info-Tech’s Approach

      • Info-Tech has developed a highly effective approach to building an information security strategy, an approach that has been successfully tested and refined for 7+ years with hundreds of organizations.
      • This unique approach includes tools for:
        • Ensuring alignment with business objectives.
        • Assessing organizational risk and stakeholder expectations.
        • Enabling a comprehensive current state assessment.
        • Prioritizing initiatives and building out a security roadmap.

      Info-Tech Insight

      The most successful information security strategies are:

      • Holistic. They consider the full spectrum of information security, including people, processes, and technologies.
      • Risk-Aware. They understand that security decisions should be made based on the security risks facing their organization, not just on best practice.
      • Business-Aligned. They demonstrate an understanding of the goals and strategies of the organization, and how the security program can support the business.

      It’s not a matter of if you have a security incident, but when

      Organizations need to prepare and expect the inevitable security breach.

      Fifty-eight percent of companies surveyed that experienced a breach were small businesses.

      Eighty-nine percent of breaches have a financial or espionage motive.

      Three graphs are depicted. The first is labeled ‘Total Cost for Three Data Breach Root Causes,’ the second ‘Distribution of Benchmark by Root Cause of the Data Breach,’ and the third ‘Per Capita for Three Root Causes of a Data Breach.’ The three root causes are malicious or criminal attack (US$166 million per capita), system glitch ($132 million per capita), and human error ($133 million per capita).

      Source: Ponemon Institute, “2019 Global Cost of Data Breach Study”

      An information security strategy can help you prepare for incidents

      Organizations need to expect the inevitable security breach.

      90%

      of businesses have experienced an external threat in the last year.

      50%

      of IT professionals consider security to be their number one priority.

      53%

      of organizations claimed to have experienced an insider attack in the previous 12 months. 1

      46%

      of businesses believe the frequency of attacks is increasing. 2

      Effective IT leaders approach their security strategy from an understanding that attacks on their organization will occur. Building a strategy around this assumption allows your security team to understand the gaps in your current approach and become proactive instead of being reactive.

      Sources: 1 Kaspersky Lab, “Global IT Security Risks Survey”; 2 CA Technologies, “Insider Threat 2018 Report”

      Persistent Issues

      Evolving Ransomware

      • Continual changes in types and platforms make ransomware a persistent threat. The frequency of ransomware attacks was reported to have increased by 67% in the past five years. 1

      Phishing Attacks

        • Despite filtering and awareness, email remains the most common threat vector for phishing attacks (94%) and an average of 3% of participants in phishing campaigns still click on them. 2

      Insider Privilege and Misuse

      • Typically, 34% of breaches are perpetrated by insiders, with 15% involving privilege misuse. Takeaway: Care less about titles and more about access levels. 3

      Denial of Service

      • The median amount of time that an organization is under attack from DDoS attack is three days.

      Emerging Trends

      Advanced Identity and Access Governance

      • Using emerging technologies in automation, orchestration, and machine learning, the management and governance of identities and access has become more advanced.

      Sources: 1 Accenture, “2019 The Cost of Cyber Crime Study”; 2,3 Verizon, “2019 Data Breach Investigations Report”

      New threat trends in information security aren’t new.

      Previously understood attacks are simply an evolution of prior implementations, not a revolution.

      Traditionally, most organizations are not doing a good-enough job with security fundamentals, which is why attackers have been able to use the same old tricks.

      However, information security has finally caught the attention of organizational leaders, presenting the opportunity to implement a comprehensive security program.

      Cyberattacks have a significant financial impact

      Global average cost of a data breach: $3.92 Million

      Source: Ponemon Institute, “2019 Cost of a Data Breach Study: Global Overview”

      A bar graph, titled ‘Average cost of data breach by industry,’ is depicted. Of 17 industries depicted, public is the lowest average cost (US$1.29 million) and health is the highest average cost ($6.45 million).

      Primary incident type (with a confirmed data breach)

      1. Leading incident type is Denial of Service attacks (DoS), taking up to 70% of all incidents.
      2. When it comes to data breaches, we see that the use of stolen credentials leads to the most cases of confirmed breaches, accounting for 29%.

      Personal records tend to be the most compromised data types, while databases tend to be the most frequently involved asset in breaches.

      Source: Verizon, “2019 Data Breach Investigations Report”

      Security threats are not going away

      We continue to see and hear of security breaches occurring regularly.

      A bar graph depicts the percentage of businesses who experienced a data breach in the last year–US total and global total. Numbers have increased from 2016 to 2019. In 2016, 19 percent of US businesses experienced a breach. In 2019, this number was 59 percent.

      An attacker must be successful only once. The defender – you – must be successful every time.

      Info-Tech’s approach

      Maturing from reactive to strategic information security

      Two circular graphs depict the move from ‘reactive security’ to ‘strategic security’ organizations can accomplish using Info-Tech’s approach.

      Tools icon that is used in the first three stages of the strategic security graph above. Indicates Info-Tech tools included in this blueprint.

      The Info-Tech difference:

      1. A proven, structured approach to mature your information security program from reactive to strategic.
      2. A comprehensive set of tools to take the pain out of each phase in the strategy building exercise.
      3. Visually appealing templates to communicate and socialize your security strategy and roadmap to your stakeholders.

      Info-Tech’s Security Strategy Model

      Info-Tech’s Security Strategy Model is depicted in this rectangular image with arrows. The first level depicts business context (enterprise goals, compliance obligations, scope and boundaries) and pressures (security risks, risk tolerance, stakeholder expectations). The second level depicts security target state (maturity model, security framework, security alignment goals, target maturity, time frame) and current state (current state assessment, gap analysis). The third level depicts the information security roadmap (initiative list, task list, prioritization methodology, and Gantt chart).

      The Info-Tech difference:

      An information security strategy model that is:

      1. Business-Aligned. Determines business context and cascades enterprise goals into security alignment goals.
      2. Risk-Aware. Understands the security risks of the business and how they intersect with the overall organizational risk tolerance.
      3. Holistic. Leverages a best-of-breed information security framework to provide comprehensive awareness of organizational security capabilities.

      Info-Tech’s best-of-breed security framework

      This image shows how Info-Tech’s framework is based on ISO 27000 series, CIS Top 20, COBIT 2019, NIST 800-53, and NIST CSF.

      Info-Tech’s approach

      Creating an information security strategy

      Value to the business

      Outcome

      Best-of-breed security strategy

      Have documentation that paints a picture of the road to compliance. Integrate your framework with your risk tolerance and external pressures.

      Be ready for future changes by aligning your security strategy to security framework best practices.

      Address the nature of your current information security

      Eliminate gaps in process and know what is in scope for your security strategy. Learn what pressures your business and industry are under.

      Gain insight into your current state, allowing you to focus on high-value projects first, transitioning towards a target state.

      Highlight overlooked functions of your current security strategy

      Build a comprehensive security program that brings to light all aspects of your security program.

      Instead of pursing ad hoc projects, know what needs work and how to prioritize your pressing security issues.

      Create a tangible roadmap to your target state

      Create a plan for your future state of information security. Refer to and update your target state as your business needs change.

      Document your current progress and path forward in the future. Know your goals and requirements, codified in a living document.

      Use our prepopulated deliverables to fast track your progress

      Let Info-Tech do the work for you. With completed deliverables, have tangible documents to convey your business needs.

      A comprehensive set of deliverables with concrete, defensible data to justify any business changes.

      A living security strategy

      Pivot and change prioritization to meet the needs of your security deficits.

      Future-proof your security strategy for any contingency.

      The Info-Tech difference:

      Evolve the security program to be more proactive by leveraging Info-Tech’s approach to building a security strategy.

      • Dive deep into security obligations and security pressures to define the business context.
      • Conduct a thorough current state and future state analysis that is aligned with a best-of-breed framework.
      • Prioritize gap-closing initiatives to create a living security strategy roadmap.

      Use Info-Tech’s blueprint to save one to three months

      This image depicts how using Info-Tech’s four-phase blueprint can save an estimated seven to 14 weeks of an organization’s time and effort.

      Iterative benefit

      Over time, experience incremental value from your initial security strategy. Through continual updates your strategy will evolve but with less associated effort, time, and costs.

      These estimates are based on experiences with Info-Tech clients throughout the creation of this blueprint.

      Key deliverable:

      Information Security Strategy Communication Deck (PPT)

      Present your findings in a prepopulated document that can summarizes all key findings of the blueprint.

      Screenshots from Info-Tech’s Information Security Strategy Communication Deck Template.

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Information Security Requirements Gathering Tool

      Define the business, customer, and compliance alignment for your security program.

      Information Security Pressure Analysis Tool

      Determine your organization’s security pressures and ability to tolerate risk.

      Information Security Program Gap Analysis Tool

      Use our best-of-breed security framework to perform a gap analysis between your current and target states.

      Information Security Charter

      Ensure the development and management of your security policies meet the broader program vision.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostic and consistent frameworks are used throughout all four options.

      Guided Implementation

      What does a typical Guided Implementation on this topic look like?

      Guided Implementation #1 - Assess security requirements
      • Call #1 - Introduce project and complete pressure analysis.
      Guided Implementation #2 - Build a gap initiative strategy
      • Call #1 - Introduce the maturity assessment.
      • Call #2 - Perform gap analysis and translate into initiatives.
      • Call #3 - Consolidate related gap initiatives and define, cost, effort, alignment, and security benefits.
      Guided Implementation #3 - Prioritize initiatives and build roadmap
      • Call #1 - Review cost/benefit analysis and build an effort map.
      • Call #2 - Build implementation waves and introduce Gantt chart.
      Guided Implementation #4 - Execute and maintain
      • Call #1 - Review Gantt chart and ensure budget/buy-in support.
      • Call #2 - Three-month check-in: Execute and maintain.

      A Guided Implementation is series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical Guided Implementation is between 2-12 calls over the course of 4 to 6 months.

      Workshop Overview

      Contact your account representative for more information, or contact workshops@infotech.com or 1-888-670-8889.

      Day 1

      Day 2

      Day 3

      Day 4

      Day 5

      Activities

      Assess Security Requirements

      Perform a Gap Analysis

      Complete the Gap Analysis

      Develop Roadmap

      Communicate and Implement

      1.1 Understand business and IT strategy and plans

      1.2 Define business and compliance requirements

      1.3 Establish the security program scope

      1.4 Analyze the organization’s risks and stakeholder pressures

      1.5 Identify the organizational risk tolerance level

      2.1 Define the information security target state

      2.2 Assess current security capabilities

      2.3 Identify security gaps

      2.4 Build initiatives to bridge the gaps

      3.1 Continue assessing current security capabilities

      3.2 Identify security gaps

      3.3 Build initiatives to bridge the maturity gaps

      3.4 Identify initiative list and task list

      3.5 Define criteria to be used to prioritize initiatives

      4.1 Conduct cost/benefit analysis on initiatives

      4.2 Prioritize gap initiatives based on cost, time, and alignment with the business

      4.3 Build effort map

      4.4 Determine start times and accountability

      4.5 Finalize security roadmap and action plan

      4.6 Create communication plan

      5.1 Finalize deliverables

      5.2 Support communication efforts

      5.3 Identify resources in support of priority initiatives

      Deliverables

      1.Security obligations statement

      2.Security scope and boundaries statement

      3.Defined risk tolerance level

      4.Risk assessment and pressure analysis

      1.Information security target state

      2.Security current state assessment

      3.Initiatives to address gaps

      1.Completed security current state assessment

      2.Task list to address gaps address gaps

      4.Prioritization criteria

      1.Information security roadmap

      2.Draft communication deck

      1.Security strategy roadmap documentation

      2.Detailed cost and effort estimates

      3.Mapping of Info-Tech resources against individual initiatives

      Executive Brief Case Study

      Credit Service Company

      Industry: Financial Services

      Source: Info-Tech Research group

      Founded over 100 years ago, Credit Service Company (CSC)* operates in the United States with over 40 branches located across four states. The organization services over 50,000 clients.

      Situation

      Increased regulations, changes in technology, and a growing number of public security incidents had caught the attention of the organization’s leadership. Despite awareness, an IT and security strategy had not been previously created. Management was determined to create a direction for the security team that aligned with their core mission of providing exceptional service and expertise.

      Solution

      During the workshop, the IT team and Info-Tech analysts worked together to understand the organization’s ideal state in various areas of information security. Having a concise understanding of requirements was a stepping stone to beginning to develop CSC’s prioritized strategy.

      Results

      Over the course of the week, the team created a document that concisely prioritized upcoming projects and associated costs and benefits. On the final day of the workshop, the team effectively presented the value of the newly developed security strategy to senior management and received buy-in for the upcoming project.

      *Some details have been changed for client privacy.

      Phase 1

      Assess Security Requirements

        Phase 1

      • 1.1 Define goals & scope
      • 1.2 Assess risks
      • 1.3 Determine pressures
      • 1.4 Determine risk tolerance
      • 1.5 Establish target state

        Phase 2

      • 2.1 Review Info-Tech’s security framework
      • 2.2 Assess your current state
      • 2.3 Identify gap closure actions

        Phase 3

      • 3.1 Define tasks & initiatives
      • 3.2 Perform cost/benefit analysis
      • 3.3 Prioritize initiatives
      • 3.4 Build roadmap

        Phase 4

      • 4.1 Build communication deck
      • 4.2 Develop a security charter
      • 4.3 Execute on your roadmap

      This phase will walk you through the following activities:

      1.1 Define goals and scope of the security strategy.

      1.2 Assess your organization’s current inherent security risks.

      1.3 Determine your organization’s stakeholder pressures for security.

      1.4 Determine your organization’s risk tolerance.

      1.5 Establish your security target state.

      1.1.1 Record your business goals

      Once you have identified your primary and secondary business goals, as well as the corresponding security alignment goals, record them in the Information Security Requirements Gathering Tool. The tool provides an activity status that will let you know if any parts of the tool have not been completed.

      1. Record your identified primary and secondary business goals in the Goals Cascade tab of the Information Security Requirements Gathering Tool.

      Use the drop-down lists to select an appropriate goal or choose “Other.” If you do choose “Other,” you will need to manually enter an appropriate business goal.

      2. For each of your business goals, select one to two security alignment goals. The tool will provide you with recommendations, but you can override these by selecting a different goal from the drop-down lists.

      A screenshot of the ‘Business Goals Cascade,’ which is part of the ‘Information Security Requirements Gathering Tool.’

      A common challenge for security leaders is how to express their initiatives in terms that are meaningful to business executives. This exercise helps to make an explicit link between what the business cares about and what security is trying to accomplish.

      1.1.2 Review your goals cascade

      Estimated Time: 15 minutes

      1. When you have completed the goals cascade, you can review a graphic diagram that illustrates your goals. The graphic is found on the Results tab of the Information Security Requirements Gathering Tool.
        • Security must support the primary business objectives. A strong security program will enable the business to compete in new and creative ways, rather than simply acting as an obstacle.
        • Failure to meet business obligations can result in operational problems, impacting the organization’s ability to function and the organization’s bottom line.
      2. Once you have reviewed the diagram, copy it into the Information Security Strategy Communication Deck.

      A screenshot of the ‘Goal Cascade Diagrams,’ which is part of the ‘Information Security Requirements Gathering Tool.’

      Identify your compliance obligations

      Most conventional regulatory obligations are legally mandated legislation or compliance obligations, such as:

      Sarbanes-Oxley Act (SOX)

      Applies to public companies that have registered equity or debt securities within the SEC to guarantee data integrity against financial fraud.

      Payment Card Industry Data Security Standard (PCI DSS)

      Applies to any organization that processes, transmits, or stores credit card information to ensure cardholder data is protected.

      Health Insurance Portability and Accountability Act (HIPAA)

      Applies to the healthcare sector and protects the privacy of individually identifiable healthcare information.

      Health Information Technology for Economic and Clinical Health (HITECH)

      Applies to the healthcare sector and widens the scope of privacy and security protections available under HIPAA.

      Personal Information Protection and Electronic Documents Act (PIPEDA)

      Applies to private sector organizations that collect personal information in Canada to ensure the protection of personal information in the course of commercial business.

      Compliance obligations also extend to voluntary security frameworks:

      NIST

      National Institute of Standards and Technology; a non-regulatory agency that develops and publicizes measurement

      CIS – 20 CSC

      Center for Internet Security – 20 Critical Security Controls; foundational set of effective cybersecurity practices.

      ISO 27001

      An information security management system framework outlining policies and procedures.

      COBIT 5

      An information technology and management and governance framework.

      HITRUST

      A common security framework for organizations that use or hold regulated personal health information.

      1.1.3 Record your compliance obligations

      Estimated Time: 30 minutes

      1. Identify your compliance obligations. Most organizations have compliance obligations that must be adhered to. These can include both mandatory and voluntary obligations. Mandatory obligations include:
        • Laws
        • Government regulations
        • Industry standards
        • Contractual agreements
        Voluntary obligations include standards that the organization has chosen to follow for best practices and any obligations that are required to maintain certifications. Organizations will have many different compliance obligations. For the purposes of your security strategy, include only those that have information security or privacy requirements.
      2. Record your compliance obligations, along with any notes, in your copy of the Information Security Requirements Gathering Tool.

      A screenshot of ‘Security Compliance Obligations,’ part of the ‘Information Security Requirements Gathering Tool.’

      Establish your scope and boundaries

      It is important to know at the outset of the strategy: what are we trying to secure?

      This includes physical areas we are responsible for, types of data we care about, and departments or IT systems we are responsible for.

      This also includes what is not in scope. For some outsourced services or locations, you may not be responsible for their security. In some business departments, you may not have control of security processes. Ensure that it is made explicit at the outset what will be included and what will be excluded from security considerations.

      Physical Scope and Boundaries

      • How many offices and locations does your organization have?
      • Which locations/offices will be covered by your information security management system (ISMS)?
      • How sensitive is the data residing at each location?
      • You may have many physical locations, and it is not necessary to list every one. Rather, list exceptional cases that are specifically in or out of scope.

      IT Systems Scope and Boundaries

      • There may be hundreds of applications that are run and maintained in your organization. Some of these may be legacy applications. Does your ISMS need to secure all your programs or a select few?
      • Is the system owned or outsourced?
      • Where are we accountable for security?
      • How sensitive is the data that each system handles?

      Organizational Scope and Boundaries

      • Will your ISMS cover all departments within your organization? For example, do certain departments (e.g. Operations) not need any security coverage?
      • Do you have the ability to make security decisions for each department?
      • Who are the key stakeholders/data owners for each department?

      Organizational scope considerations

      Many different groups will fall within the purview of the security strategy. Consider these two main points when deciding which departments will be in scope:

      1. If a group/user has access to data or systems that can impact the organization, then securing that group/user should be included within scope of the security strategy.
      2. If your organization provides some work direction to a group/user, they should be included within scope of the security strategy.
      1. Identify your departments and business groups
        • Start by identifying departments that provide some essential input or service to the organization or departments that interact with sensitive data.
      2. Break out different subsidiaries or divisions
        • Subsidiaries may or may not be responsible for securing themselves and protecting their data, but either way they are often heavily reliant on corporate for guidance and share IT resourcing support.
      3. Identify user groups
        • Many user groups exist, all requiring different levels of security. For example, from on-premises to remote access, from full-time employees to part-time or contractors.

      Physical scope considerations

      List physical locations by type

      Offices

      The primary location(s) where business operations are carried out. Usually leased or owned by the business.

      Regional Offices

      These are secondary offices that can be normal business offices or home offices. These locations will have a VPN connection and some sort of tenant.

      Co-Locations

      These are redundant data center sites set up for additional space, equipment, and bandwidth.

      Remote Access

      This includes all remaining instances of employees or contractors using a VPN to connect.

      Clients and Vendors

      Various vendors and clients have dedicated VPN connections that will have some control over infrastructure (whether owed/laaS/other).

      List physical locations by nature of the location

      Core areas within physical scope

      These are many physical locations that are directly managed. These are high-risk locations with many personal and services, resulting in many possible vulnerabilities and attack vectors.

      Locations on the edge of control

      These are on the edge of the physical scope, and thus, in scope of the security strategy. These include remote locations, remote access connections, etc.

      Third-party connections

      Networks of third-party users are within physical scope and need defined security requirements and definitions of how this varies per user.

      BYOD

      Mostly privately owned mobile devices with either on-network or remote access.

      It would be overkill and unhelpful to list every single location or device that is in scope. Rather, list by broad categories as suggested above or simply list exceptional cases that are in/out of scope.

      IT systems scope considerations

      Consider identifying your IT systems by your level of control or ownership.

      Fully owned systems

      These are systems that are wholly owned or managed by your organization.

      IT is almost always the admin of these systems. Generally they are hosted on premises. All securitization through methods such as patching or antivirus is done and managed by your IT department.

      Cloud/remote hosted (SaaS)

      These are systems with a lot of uncertainties because the vendor or service provided is either not known or what they are doing for security is not fully known.

      These systems need to be secured regardless, but supplier and vendor relationship management becomes a major component of how to manage these systems. Often, each system has varying levels of risk based on vendor practices.

      Hybrid owned (IaaS/PaaS)

      You likely have a good understanding of control for these systems, but they may not be fully managed by you (i.e. ownership of the infrastructure). These systems are often hosted by third parties that do some level of admin work.

      A main concern is the unclear definition of responsibility in maintaining these systems. These are managed to some degree by third parties; it is challenging for your security program to perform the full gamut of security or administrative functions.

      Unknown/unowned systems

      There are often systems that are unowned and even unknown and that very few people are using. These apps can be very small and my not fall under your IT management system framework. These systems create huge levels of risk due to limited visibility.

      For example, unapproved (shadow IT) file sharing or cloud storage applications would be unknown and unowned.

      1.1.4 Record your scope and boundaries

      Estimated Time: 30-60 minutes

      1. Divide into groups and give each group member a handful of sticky notes. Ask them to write down as many items as possible for the organization that could fall under one of the scope buckets.
      2. Collect each group’s responses and discuss the sticky notes and the rationale for including them. Discuss your security-related locations, data, people, and technologies, and define their scope and boundaries.
        • Careful attention should be paid to any elements of the strategy that are not in scope.
      3. Discuss and aggregate all responses as to what will be in scope of the security strategy and what will not be. Record these in the Information Security Requirements Gathering Tool.

      A screenshot of ‘Scope and Boundaries,’ part of the ‘Information Security Requirements Gathering Tool.’

      1.2 Conduct a risk assessment

      Estimated Time: 1-3 hours

      1. As a group, review the questions on the Risk Assessment tab of the Information Security Pressure Analysis Tool.
      2. Gather the required information from subject matter experts on the following risk elements:
        • Threats
        • Assets
        • Vulnerabilities (people, systems, supply chain)
        • Historical security incidents

      Input

      • List of organizational assets
      • Historical data on information security incidents

      Output

      • Completed risk assessment

      Materials

      • Information Security Pressure Analysis Tool

      Participants

      • Security Team
      • IT Leadership
      • Risk Management

      Download the Information Security Pressure Analysis Tool

      1.2.1 Complete the risk assessment questionnaire

      Estimated Time: 60-90 minutes

      1. Review each question in the questionnaire and provide the most appropriate response using the drop-down list.
        • If you are unsure of the answer, consult with subject matter experts to obtain the required data.
        • Otherwise, provide your best estimation
      2. When providing responses for the historical incident questions, only count incidents that had a sizeable impact on the business.

      A screenshot of the ‘Organizational Security Risk Assessment,’ part of the ‘Information Security Pressure Analysis Tool.’

      Info-Tech Insight

      Understanding your organization’s security risks is critical to identifying the most appropriate level of investment into your security program. Organizations with more security risks will need more a mature security program to mitigate those risks.

      1.2.2 Review the results of the risk assessment

      Estimated Time: 30 minutes

      1. Once you have completed the risk assessment, you can review the output on the Results tab.
      2. If required, the weightings of each of the risk elements can be customized on the Weightings tab.
      3. Once you have reviewed the results, copy your risk assessment diagram into the Information Security Strategy Communication Deck.

      A screenshot showing sample results of the ‘Organizational Risk Assessment,’ part of the ‘Information Security Pressure Analysis Tool.’

      It is important to remember that the assessment measures inherent risk, meaning the risk that exists prior to the implementation of security controls. Your security controls will be assessed later as part of the gap analysis.

      1.3 Conduct pressure analysis

      Estimated Time: 1-2 hours

      1. As a group, review the questions on the Pressure Analysis tab of the Information Security Pressure Analysis Tool.
      2. Gather the required information from subject matter experts on the following pressure elements:
        • Compliance and oversight
        • Customer expectations
        • Business expectations
        • IT expectations

      Input

      • Information on various pressure elements within the organization

      Output

      • Completed pressure analysis

      Materials

      • Information Security Pressure Analysis Tool

      Participants

      • Security Team
      • IT Leadership
      • Business Leaders
      • Compliance

      Download the Information Security Pressure Analysis Tool

      Risk tolerance considerations

      At this point, we want to frame risk tolerance in terms of business impact. Meaning, what kinds of impacts to the business would we be able to tolerate and how often? This will empower future risk decisions by allowing the impact of a potential event to be assessed, then compared against the formalized tolerance. We will consider impact from three perspectives:

      F

      Functional Impact

      The disruption or degradation of business/organizational processes.

      I

      Informational Impact

      The breach of confidentiality, privacy, or integrity of data/information.

      R

      Recoverability Impact

      The disruption or degradation of the ability to return to conditions prior to a security incident.

      Consider these questions:

      Questions to ask

      Description

      Is there a hard-dollar impact from downtime?

      This refers to when revenue or profits are directly impacted by a business disruption. For example, when an online ordering system is compromised and shut down, it affects sales, and therefore, revenue.

      Is regulatory compliance a factor?

      Depending on the circumstances of the vulnerabilities, it can be a violation of compliance obligations that would cause significant fines.

      Are any critical services dependent on this asset?

      Functional dependencies are sometimes not obvious, and assets that appear marginal can have huge impacts on critical services.

      Is there a health or safety risk?

      Some operations are critical to health and safety. For example, medical organizations have operations that are necessary to ensure uninterrupted critical health services. An exploited vulnerability that impacts these operations can have life and death consequences.

      ANALYST PERSPECTIVE

      It is crucial to keep in mind that you care about a risk scenario impact to the main business processes.

      For example, imagine a complete functional loss of the corporate printers. For most businesses, even the most catastrophic loss of printer function will have a small impact on their ability to carry out the main business functions.

      On the flip side, even a small interruption to email or servers could have a large functional impact on business processes.

      Risk tolerance descriptions

      High

      • Organizations with high risk tolerances are often found in industries with limited security risk, such as Construction, Agriculture and Fishing, or Mining.
      • A high risk tolerance may be appropriate for organizations that do not rely on highly sensitive data, have limited compliance obligations, and where their customers do not demand strong security controls. Organizations that are highly focused on innovation and rapid growth may also tend towards a higher risk tolerance.
      • However, many organizations adopt a high risk tolerance by default simply because they have not adequately assessed their risks.

      Moderate

      • Organizations with medium risk tolerances are often found in industries with moderate levels of security risk, such as Local Government, Education, or Retail and Wholesale
      • A medium risk tolerance may be appropriate for organizations that store and process some sensitive data, have a modest number of compliance obligations, and where customer expectations for security tend to be implicit rather than explicit.

      Low

      • Organizations with low risk tolerances are often found in industries with elevated security risk, such as Financial Services, Federal Governments, or Defense Contractors.
      • A low risk tolerance may be appropriate for organizations that store very sensitive data, process high-value financial transactions, are highly regulated, and where customers demand strong security controls.
      • Some organizations claim to have a low risk tolerance, but in practice will often allow business units or IT to accept more security risk than would otherwise be permissible. A strong information security program will be required to manage risks to an acceptable level.

      1.4.1 Complete the risk tolerance questionnaire

      Estimated Time: 30-60 minutes

      1. In a group discussion, review the low-, medium-, and high-impact scenarios and examples for each impact category. Ensure that everyone has a consistent understanding of the scenarios.
      2. For each impact type, use the frequency drop-down list to identify the maximum frequency that the organization could tolerate for the event scenarios, considering:
        • The current frequency with which the scenarios are occurring in your organization may be a good indication of your tolerance. However, keep in mind that you may be able to tolerate these incidents happening more frequently than they do.
        • Hoping is not the same as tolerating. While everyone hopes that high-impact incidents never occur, carefully consider whether you could tolerate them occurring more frequently.

      A screenshot showing the ‘Organizational Security Risk Tolerance Assessment,’ part of the ‘Information Security Pressure Analysis Tool.’

      1.4.2 Review the results of the risk tolerance analysis

      Estimated Time: 30 minutes

      1. Once you have completed the risk tolerance exercise, you can review the output on the Results tab.
      2. If required, the weightings of each of the impact types can be customized on the Weightings tab.
      3. Once you have reviewed the results, copy your risk tolerance diagram into the Information Security Strategy Communication Deck.

      A screenshot showing the results of the 'Information Security Risk Tolerance Assessment,' part of the ‘Information Security Pressure Analysis Tool.’

      A low risk tolerance will require a stronger information security program to ensure that operational security risk in the organization is minimized. If this tool reports that your risk tolerance is low, it is recommended that you review the results with your senior stakeholders to ensure agreement and support for the security program.

      1.5 Establish your target state

      Estimated Time: 30-60 minutes

      1. As a group, review the overall results of the requirements gathering exercise:
        • Business goals cascade
        • Compliance obligations
        • Scope
      2. Review the overall results of the risk assessment, pressure analysis, and risk tolerance exercises.
      3. Conduct a group discussion to arrive at a consensus of what the ideal target state for the information security program should look like.
        • Developing mission and vision statements for security may be useful for focusing the group.
        • This discussion should also consider the desired time frame for achieving the target state.

      Download the Information Security Pressure Analysis Tool

      Input

      • Information security requirements (goals cascade, compliance obligations, scope)
      • Risk assessment
      • Pressure analysis
      • Risk tolerance

      Output

      • Completed information security target state

      Materials

      Participants

      • Security Team
      • IT Leadership
      • Risk Management
      • Business Leaders
      • Compliance

      Understanding security target states

      Maturity models are very effective for determining information security target states. This table provides general descriptions for each maturity level. As a group, consider which description most accurately reflects the ideal target state for information security in your organization.

      1. AD HOC

        Initial/Ad hoc security programs are reactive. Lacking strategic vision, these programs are less effective and less responsive to the needs of the business.
      2. DEVELOPING

        Developing security programs can be effective at what they do but are not holistic. Governance is largely absent. These programs tend to rely on the talents of individuals rather than a cohesive plan.
      3. DEFINED

        A defined security program is holistic, documented, and proactive. At least some governance is in place, however, metrics are often rudimentary and operational in nature. These programs still often rely on best practices rather than strong risk management.
      4. MANAGED

        Managed security programs have robust governance and metrics processes. Management and board-level metrics for the overall program are produced. These are reviewed by business leaders and drive security decisions. More mature risk management practices take the place of best practices.
      5. OPTIMIZED

        An optimized security program is based on strong risk management practices, including the production of key risk indicators (KRIs). Individual security services are optimized using key performance indicators (KPIs) that continually measure service effectiveness and efficiency.

      1.5.1 Review the results of the target state recommendation

      Estimated Time: 30-60 minutes

      1. Based upon your risk assessment, pressure analysis, and risk tolerance, the Information Security Pressure Analysis Tool will provide a recommended information security target state.
      2. With your group, review the recommendation against your expectations.
      3. If required, the weightings of each of the factors can be customized on the Weightings tab.
      4. Once you have reviewed the results, copy your target state diagram into the Information Security Strategy Communication Deck.

      A screenshot showing the results of the ‘Information Security Target State,’ part of the ‘Information Security Pressure Analysis Tool.’

      Info-Tech Insight

      Higher target states require more investment to attain. It is critical to ensure that all key stakeholders agree on the security target state. If you set a target state that aims too high, you may struggle to gain support and funding for the strategy. Taking this opportunity to ensure alignment from the start will pay off dividends in future.

      1.5.2 Review and adjust risk and pressure weightings

      Estimated Time: 30 minutes

      1. If the results of your risk assessment, pressure analysis, risk tolerance, or target state do not match your expectations, you may need to review and adjust the weightings for the elements within one or more of these areas.
      2. On the Weightings tab, review each of the strategic categories and adjust the weights as required.
        • Each domain is weighted to contribute to your overall pressure score based on the perceived importance of the domain to the organization.
        • The sum of all weights for each category must add up to 100%.

      A screenshot showing the results of the weightings given to each factor in a category, part of the ‘Information Security Pressure Analysis Tool.’

      Case Study

      Credit Service Company

      Industry: Financial Services

      Source: Info-Tech Research group

      Below are some of the primary requirements that influenced CSC’s initial strategy development.

      External Pressure

      Pressure Level: High

      • Highly regulated industries, such as Finance, experience high external pressure.
      • Security pressure was anticipated to increase over the following three years due to an increase in customer requirement.

      Obligations

      Regulatory: Numerous regulations and compliance requirements as a financial institution (PCI, FFIEC guidance).

      Customer: Implicitly assumes personal, financial, and health information will be kept secure.

      Risk Tolerance

      Tolerance Level: Low

      1. Management: Are risk averse and have high visibility into information security.
      2. Multiple locations controlled by a central IT department decreased the organization’s risk tolerance.

      Summary of Security Requirements

      Define and implement dynamic information security program that understands and addresses the business’ inherent pressure, requirements (business, regulatory, and customer), and risk tolerance.

      Phase 2

      Build a Gap Initiative Strategy

        Phase 1

      • 1.1 Define goals & scope
      • 1.2 Assess risks
      • 1.3 Determine pressures
      • 1.4 Determine risk tolerance
      • 1.5 Establish target state

        Phase 2

      • 2.1 Review Info-Tech’s security framework
      • 2.2 Assess your current state
      • 2.3 Identify gap closure actions

        Phase 3

      • 3.1 Define tasks & initiatives
      • 3.2 Perform cost/benefit analysis
      • 3.3 Prioritize initiatives
      • 3.4 Build roadmap

        Phase 4

      • 4.1 Build communication deck
      • 4.2 Develop a security charter
      • 4.3 Execute on your roadmap

        This phase will walk you through the following activities:

      • 2.1 Review Info-Tech’s framework.
      • 2.2 Assess your current state of security against your target state.
      • 2.3 Identify actions required to close gaps.

      2.1 Review the Info-Tech framework

      Estimated Time: 30-60 minutes

      1. As a group, have the security team review the security framework within the Information Security Gap Analysis Tool.
      2. Customize the tool as required using the instructions on the following slides.

      Input

      • Information security requirements
      • Security target state

      Output

      • Customized security framework

      Materials

      • Information Security Gap Analysis Tool

      Participants

      • Security Team

      Download the Information Security Gap Analysis Tool

      Understand the Info-Tech framework

      Info-Tech’s security framework uses a best-of-breed approach to leverage and align with most major security standards, including:

      • ISO 27001/27002
      • COBIT
      • Center for Internet Security (CIS) Critical Controls
      • NIST Cybersecurity Framework
      • NIST SP 800-53
      • NIST SP 800-171

      A diagram depicting Info-Tech’s best-of-breed security framework.

      A best-of-breed approach ensures holistic coverage of your information security program while refraining from locking you in to a specific compliance standard.

      2.1.1 Configure the Information Security Gap Analysis Tool

      Estimated Time: 30 minutes

      Review the Setup tab of the Information Security Gap Analysis Tool. This tab contains several configurable settings that should be customized to your organization. For now, the three settings you will need to modify are:

      • The security target state. Enter the target state from your Information Security Pressure Analysis Tool. If you do not enter a target state, the tool will default to a target of 3 (Defined).
      • Your Security Alignment Goals (from your Information Security Requirements Gathering Tool).
      • The starting year for your security roadmap.

      A screenshot showing the ‘Setup’ tab of the ‘Information Security Gap Analysis Tool.’

      2.2 Assess current state of security

      Estimated Time: 8-16 hours

      1. Using the Information Security Gap Analysis Tool, review each of the controls in the Gap Analysis tab.
      2. Follow the instructions on the next slides to complete your current state and target state assessment.
      3. For most organizations, multiple internal subject matter experts will need to be consulted to complete the assessment.

      Input

      • Security target state
      • Information on current state of security controls, including sources such as audit findings, vulnerability and penetration test results, and risk registers

      Output

      • Gap analysis

      Materials

      • Information Security Gap Analysis Tool

      Participants

      • Security Team
      • Subject Matter Experts From IT, HR, Legal, Facilities, Compliance, Audit, Risk Management

      Download the Information Security Gap Analysis Tool

      Example maturity levels

      To help determine appropriate current and target maturity levels, refer to the example below for the control “Email communication is filtered for spam and potential malicious communications.”

      AD HOC 01

      There is no centrally managed spam filter. Spam may be filtered by endpoint email clients.

      DEVELOPING 02

      There is a secure email gateway. However, the processes for managing it are not documented. Administrator roles are not well defined. Minimal fine-tuning is performed, and only basic features are in use.

      DEFINED 03

      There is a policy and documented process for email security. Roles are assigned and administrators have adequate technical training. Most of the features of the solution are being used. Rudimentary reports are generated, and some fine-tuning is performed.

      MANAGED 04

      Metrics are produced to measure the effectiveness of the email security service. Advanced technical features of the solution have been implemented and are regularly fine-tuned based on the metrics.

      OPTIMIZED 05

      There is a dedicated email security administrator with advanced technical training. Custom filters are developed to further enhance security, based on relevant cyber threat intelligence. Email security metrics feed key risk indicators that are reported to senior management.

      2.2.1 Conduct current state assessment

      Estimated Time: 8-16 hours

      1. Carefully review each of the controls in the Gap Analysis tab. For each control, indicate the current maturity level using the drop-down list.
        • You should only use “N/A” if you are confident that the control is not required in your organization.
        • For example, if your organization does not perform any software development then you can select “N/A” for any controls related to secure coding practices.
      2. Provide comments to describe your current state. This step is optional but recommended as it may be important to record this information for future reference.
      3. Select the target maturity for the control. The tool will default to the target state for your security program, but this can be overridden using the drop-down list.

      2.2.1 Conduct current state assessment

      Estimated Time: 8-16 hours

      1. Carefully review each of the controls in the Gap Analysis tab. For each control, indicate the current maturity level using the drop-down list.
        • You should only use “N/A” if you are confident that the control is not required in your organization. For example, if your organization does not perform any software development then you can select “N/A” for any controls related to secure coding practices.
      2. Provide comments to describe your current state. This step is optional but recommended as it may be important to record this information for future reference.
      3. Select the target maturity for the control. The tool will default to the target state for your security program, but this can be overridden using the drop-down list.

      A screenshot showing the 'Gap Analysis' tab of the 'Information Security Gap Analysis Tool.'

      Review the Gap Analysis Dashboard

      Use the Gap Assessment Dashboard to map your progress. As you fill out the Gap Analysis Tool, check with the Dashboard to see the difference between your current and target state.

      Use the color-coded legend to see how large the gap between your current and target state is. The legend can be customized further if desired.

      Security domains that appear white have not yet been assessed or are rated as “N/A.”

      2.2.3 Identify actions required to close gaps

      Estimated Time: 4-8 hours

      1. Using the Information Security Gap Analysis Tool, review each of the controls in the Gap Analysis tab.
      2. Follow the instructions on the next slides to identify gap closure actions for each control that requires improvement.
      3. For most organizations, multiple internal subject matter experts will need to be consulted to complete the assessment.

      Input

      • Security control gap information

      Output

      • Gap closure action list

      Materials

      • Information Security Gap Analysis Tool

      Participants

      • Security Team
      • Subject Matter Experts From IT, HR, Legal, Facilities, Compliance, Audit, Risk Management

      Download the Information Security Gap Analysis Tool

      2.3.1 Identify gap closure actions

      Estimated Time: 4-8 hours

      1. For each of the controls where there is a gap between the current and target state, a gap closure action should be identified:
        • Review the example actions and copy one or more of them if appropriate. Otherwise, enter your own gap closure action.
      2. Identify whether the action should be managed as a task or as an initiative. Most actions should be categorized as an initiative. However, it may be more appropriate to categorize them as a task when:
        1. They have no costs associated with them
        2. They require a low amount of initial effort to implement and no ongoing effort to maintain
        3. They can be accomplished independently of other tasks

      A screenshot showing gap closure actions, part of the 'Gap Analysis' tab of the 'Information Security Gap Analysis Tool.'

      Considerations for gap closure actions

      • In small groups, have participants ask, “what would we have to do to achieve the target state?” Document these in the Gap Closure Actions column.
      • The example gap closure actions may be appropriate for your organization, but do not simply copy them without considering whether they are right for you.
      • Not all gaps will require their own action. You can enter one action that may address multiple gaps.
      • If you find that many of your actions are along the lines of “investigate and make recommendations,” you should consider using the estimated gap closure percentage column to track the fact that these gaps will not be fully closed by the actions.

      A screenshot showing considerations for gap closure actions, part of the 'Gap Analysis' tab of the 'Information Security Gap Analysis Tool.'

      2.3.2 Define gap closure action effectiveness

      Estimated Time: 1-2 hours

      For each of the gap closure actions, optionally enter an estimated gap closure percentage to indicate how effective the action will be in fully closing the gap.

      • For instance, an action to “investigate solutions and make recommendations” will not fully close the gap.
      • This is an optional step but will be helpful to understand how much progress towards your security target state you will make based on your roadmap.
      • If you do not fill in this column, the tool will assume that your actions will fully close all gaps.

      A screenshot showing considerations for estimated gap closure percentage, part of the 'Gap Analysis' tab of the 'Information Security Gap Analysis Tool.'

      Completing this step will populate the “Security Roadmap Progression” diagram in the Results tab, which will provide a graphic illustration of how close to your target state you will get based upon the roadmap.

      Phase 3

      Prioritize Initiatives and Build Roadmap

      Phase 1

      • 1.1 Define goals & scope
      • 1.2 Assess risks
      • 1.3 Determine pressures
      • 1.4 Determine risk tolerance
      • 1.5 Establish target state

      Phase 2

      • 2.1 Review Info-Tech’s security framework
      • 2.2 Assess your current state
      • 2.3 Identify gap closure actions

      Phase 3

      • 3.1 Define tasks & initiatives
      • 3.2 Perform cost/benefit analysis
      • 3.3 Prioritize initiatives
      • 3.4 Build roadmap

      Phase 4

      • 4.1 Build communication deck
      • 4.2 Develop a security charter
      • 4.3 Execute on your roadmap

      This phase will walk you through the following activities:

      • 3.1 Define tasks and initiatives.
      • 3.2 Define cost, effort, alignment, and security benefit of each initiative.
      • 3.3 Prioritize initiatives.
      • 3.4 Build the prioritized security roadmap

      3.1 Define tasks and initiatives

      Estimated Time: 2-4 hours

      1. As a group, review the gap actions identified in the Gap Analysis tab.
      2. Using the instructions on the following slides, finalize your task list.
      3. Using the instructions on the following slides, review and consolidate your initiative list.

      Input

      • Gap analysis

      Output

      • List of tasks and initiatives

      Materials

      • Information Security Gap Analysis Tool

      Participants

      • Security Team
      • Subject Matter Experts From IT, HR, Legal, Facilities, Compliance, Audit, Risk Management
      • Project Management Office

      Download the Information Security Gap Analysis Tool

      3.1.1 Finalize your task list

      Estimated Time: 1-2 hours

      1. Obtain a list of all your task actions by filtering on the Action Type column in the Gap Analysis tab.
      2. Paste the list into the table on the Task List tab.
        • Use Paste Values to retain the table formatting
      3. Enter a task owner and due date for each task. Without accountability, it is too easy to fall into complacency and neglect these tasks.

      A screenshot showing the 'Task List' tab of the 'Information Security Gap Analysis Tool.'

      Info-Tech Insight

      Tasks are not meant to be managed to the same degree that initiatives will be. However, they are still important. It is recommended that you develop a process for tracking these tasks to completion.

      3.1.2 Consolidate your gap closure actions into initiatives

      Estimated Time: 2-3 hours

      1. Once you have finalized your task list, you will need to consolidate your list of initiative actions. Obtain a list of all your initiative actions by filtering on the Action Type column in the Gap Analysis tab.
      2. Create initiatives on the Initiative List tab. While creating initiatives, consider the following:
        • As much as possible, it is recommended that you consolidate multiple actions into a single initiative. Reducing the total number of initiatives will allow for more efficient management of the overall roadmap.
        • Start by identifying areas of commonality between gap closure actions, for instance:
          • Group all actions within a security domain into a single initiative.
          • Group together similar actions, such as all actions that require updating policies.
          • Consider combining actions that have inter-dependencies.
        • While it is recommended that you consolidate actions as much as possible, some actions should become initiatives on their own. This will be appropriate when:
          • The action is time sensitive and consolidating it with other actions will cause scheduling issues.
          • Actions that could otherwise be consolidated have different business sponsors or owners and need to be kept separate for funding or accountability reasons.
      3. Link the initiative actions on the Gap Analysis tab using the drop-down list in the Initiative Name column.

      Initiative consolidation example

      In the example below, we see three gap closure actions within the Security Culture and Awareness domain being consolidated into a single initiative “Develop security awareness program.”

      We can also see one gap closure action within the same domain being grouped with two actions from the Security Policies domain into another initiative “Update security policies.”

      Info-Tech Insight

      As you go through this exercise, you may find that some actions that you previously categorized as tasks could be consolidated into an initiative.

      A screenshot showing how six sample gap closure actions can be distilled into two gap closure initiatives. Part of the 'Information Security Gap Analysis Tool.'

      3.1.3 Finalize your initiative list

      Estimated Time: 30 minutes

      1. Review your final list of initiatives and make any required updates.
      2. Optionally, add a description or paste in a list of the individual gap closure actions that are associated with the initiative. This will make it easier to perform the cost and benefit analysis.
      3. Use the drop-down list to indicate which of the security alignment goals most appropriately reflects the objectives of the initiative. If you are unsure, use the legend next to the table to find the primary security domain associated with the initiative and then select the recommended security alignment goal.
        • This step is important to understand how the initiative supports the business goals identified earlier.

       A screenshot showing the primary security alignment goal, part of the 'Initiative List' tab of the 'Information Security Gap Analysis Tool.'

      3.2 Conduct cost/ benefit analysis

      Estimated Time: 1-2 hours

      1. As a group, define the criteria to be used to conduct the cost/benefit analysis, following the instructions on the next slide.
      2. Assign costing and benefits information for each initiative.
      3. Define dependencies or business impacts if they will help with prioritization.

      Input

      • Gap analysis
      • Initiative list

      Output

      • Completed cost/benefit analysis for initiative list

      Materials

      • Information Security Gap Analysis Tool

      Participants

      • Security Team
      • Subject Matter Experts From IT, HR, Legal, Facilities, Compliance, Audit, Risk Management
      • Project Management Office

      Download the Information Security Gap Analysis Tool

      3.2.1 Define costing criteria

      Estimated Time: 30 minutes

      1. On the Setup tab of the Information Security Gap Analysis Tool, enter high, medium, and low ranges for initial and ongoing costs and efforts.
        1. Initial costs are one-time, upfront capital investments (e.g. hardware and software costs, project-based consulting fees, training).
        2. Ongoing cost is any annually recurring operating expenses that are new budgetary costs (e.g. licensing, maintenance, subscription fees).
        3. Initial staffing in hours is total time in person hours required to complete a project. It is not total elapsed time but dedicated time. Consider time required to gather requirements and to design, test, and implement the solution.
        4. Ongoing staffing in FTEs is the ongoing average effort required to support that initiative after implementation.
      2. In addition to ranges, provide an average for each. These will be used to calculate estimated total costs for the roadmap.

      A screenshot showing the initiative costs for estimation, part of the 'Setup' tab of the 'Information Security Gap Analysis Tool.' The range of costs is labeled with an arrow with number 1 on it, and the average cost per initiative is labeled with an arrow with number 2 on it.

      Make sure that your ranges allow for differentiation between initiatives to enable prioritization. For instance, if you set your ranges too low, all your initiatives will be assessed as high cost, providing no help when you must prioritize them.

      3.2.2 Define benefits criteria

      Estimated Time: 30 minutes

      1. On the Setup tab of the Information Security Gap Analysis Tool, enter high, medium, and low values for the Alignment with Business Benefit.
        • This variable is meant to capture how well each initiative aligns with organizational goals and objectives.
        • By default, this benefit is linked directly to business goals through the primary and secondary security alignment goals. This allows the tool to automatically calculate the benefit based on the security alignment goals associated with each initiative.
        • If you change these values, you may need to override the calculated values in the prioritization tab.
      2. Enter a high, medium, and low value for the Security Benefit.
        • This variable is meant to capture the relative security benefit or risk reduction being provided by the gap initiative.
        • By default, this benefit is linked to security risk reduction.

      A screenshot showing the initiative benefits for estimation, part of the 'Setup' tab of the 'Information Security Gap Analysis Tool.'

      Some organizations prefer to use the “Security Benefit” criteria to demonstrate how well each initiative supports specific compliance goals.

      3.2.3 Complete the cost/benefit analysis

      Estimated Time: 1-2 hours

      1. On the Prioritization tab, use the drop-down lists to enter the estimated costs and efforts for each initiative, using the criteria defined earlier.
        • If you have actual costs available, you can optionally enter them under the Detailed Cost Estimates columns.
      2. Enter the estimated benefits, also using the criteria defined earlier.
        • The Alignment with Business benefit will be automatically populated, but you can override this value using the drop-down list if desired.

      A screenshot showing the estimated cost, estimated effort, and estimated benefits section, part of the 'Prioritization' tab of the 'Information Security Gap Analysis Tool.' Estimated cost and estimated effort are labeled with an arrow with number 1 on it, and estimated benefits is labeled with an arrow with a number 2 on it.

      3.2.4 Optionally enter detailed cost estimates

      Estimated Time: 30 minutes

      1. For each initiative, the tool will automatically populate the Detailed Cost Estimates and Detailed Staffing Estimates columns using the averages that you provided in steps 3.2.1 and 3.2.2. However, if you have more detailed data about the costs and effort requirements for an initiative, you can override the calculated data by manually entering it into these columns. For example:
        • You are planning to subscribe to a security awareness vendor, and you have a quote from them specifying that the initial cost will be $75,000.
        • You have defined your “Medium” cost range as being “$10-100K”, so you select medium as your initial cost for this initiative in step 3.2.3. As you defined the average for medium costs as being $50,000, this is what the tool will put into the detailed cost estimate.
        • You can override this average by entering $75,000 as the initial cost in the detailed cost estimate column.

      A screenshot showing the detailed cost estimates and detailed staffing estimates columns, part of the 'Prioritization' tab of the 'Information Security Gap Analysis Tool.' These columns are labeled with an arrow with a number 1 on it.

      Case Study

      Credit Service Company

      Industry: Financial Services

      Source: Info-Tech Research Group

      A chart titled 'Framework Components,' displaying how the Credit Service Company profiled in the case study performed a current state assessment, created gap initiatives, and prioritized gap initiatives.

      3.3 Prioritize initiatives

      Estimated Time: 2-3 hours

      1. As a group, review the results of the cost/benefit analysis. Optionally, complete the Other Considerations columns in the Prioritization tab:
        • Dependencies can refer to other initiatives on the list or any other dependency that relates to activities or projects within the organization.
        • Business impacts can be helpful to document as they may require additional planning and communication that could impact initiative timelines.
      2. Follow step 3.3.1 to create an effort map with the results of the cost/benefit analysis.
      3. Follow step 3.3.2 to assign initiatives into execution waves.

      Input

      • Gap analysis
      • Initiative list
      • Cost/benefit analysis

      Output

      • Prioritized list of initiatives

      Materials

      • Information Security Gap Analysis Tool
      • Whiteboard

      Participants

      • Security Team
      • IT Leadership
      • Project Management Office

      Download the Information Security Gap Analysis Tool

      3.3.1 Create effort map

      Estimated Time: 30 minutes

      1. On a whiteboard, draw the quadrant diagram shown.
      2. Create sticky notes for each initiative on your initiative list.
      3. For each initiative, use the “Cost/Effort Rating” and the “Benefit Rating” calculated on the Prioritization tab to place the corresponding sticky note onto the diagram.

      An effort map is a tool used for the visualization of a cost/benefit analysis. It is a quadrant output that visually shows how your gap initiatives were prioritized. In this example, the initiative “Update Security Policies” was assessed as low cost/effort (3) and high benefit (10).

      An image showing how 'update security policies,' as ranked on a cost/effort and benefit quadrant, translates to a cost/effort and benefit rating on the 'Prioritization' tab of the 'Information Security Gap Analysis Tool.'

      3.3.2 Assign initiatives to execution waves

      Estimated Time: 60 minutes

      1. Using sticky flip chart sheets, create four sheets and label them according to the four execution waves:
        • MUST DO – These are initiatives that need to get moving right away. They may be quick wins, items with critical importance, or foundational projects upon which many other initiatives depend.
        • SHOULD DO – These are important initiatives that need to get done but cannot launch immediately due to budget constraints, dependencies, or business impacts that require preparation.
        • COULD DO – Initiatives that have merit but are not a priority.
        • WON’T DO – Initiatives where the costs outweigh the benefits.
      2. Using the further instructions on the following slides, move the initiative sticky notes from your effort map into the waves.

      Considerations for prioritization

      • Starting from the top right of the effort map, begin pulling stickies off and putting them in the appropriate roadmap category.
      • Keep dependencies in mind. If an important initiative depends on a low-priority one being completed first, then pull dependent initiatives up the list.
      • It may be helpful to think of each wave as representing a specific time frame (e.g. wave 1 = first year of your roadmap, wave 2 = year two, wave 3 = year three).

      Info-Tech Insight

      Use an iterative approach. Most organizations tend to put too many initiatives into wave 1. Be realistic about what you can accomplish and take several passes at the exercise to achieve a balance.

      An image showing how to map the sticky notes from a sample exercise, as placed on a cost/effort and benefit quadrant, into waves.

      3.3.3 Finalize prioritization

      Estimated Time: 30 minutes

      1. Once you have completed placing your initiative sticky notes into the waves, update the Prioritization tab with the Roadmap Wave column.
      2. Optionally, use the Roadmap Sub-Wave column to prioritize initiatives within a single wave.
        • This will allow you more granular control over the final prioritization, especially where dependencies require extra granularity.

      Any initiatives that are currently in progress should be assigned to Wave 0.

      An image showing the roadmap wave and roadmap sub-wave sections, part of the 'Prioritization' tab of the 'Information Security Gap Analysis Tool.' Roadmap wave is labeled with an arrow with a number 1 on it, and roadmap sub-wave is labeled with an arrow with a number 2 on it.

      3.4 Build roadmap

      Estimated Time: 1-3 hours

      1. As a group, follow step 3.4.1 to create your roadmap by scheduling initiatives into the Gantt chart within the Information Security Gap Analysis Tool.
      2. Review the roadmap for resourcing conflicts and adjust as required.
      3. Review the final cost and effort estimates for the roadmap.

      Input

      • Gap analysis
      • Cost/benefit analysis
      • Prioritized initiative list
      • (Optional) List of other non-security IT and business projects

      Output

      • Security strategic roadmap

      Materials

      • Information Security Gap Analysis Tool

      Participants

      • Security Team
      • IT Leadership
      • Project Management Office

      Download the Information Security Gap Analysis Tool

      3.4.1 Schedule initiatives using the Gantt chart

      Estimated Time: 1-2 Hours

      1. On the Gantt Chart tab for each initiative, enter an owner (the individual who will be primarily responsible for execution).
      2. Additionally, enter a start month and year for the initiative and the expected duration in months.
        • You can filter the Wave column to only see specific waves at any one time to assist with the scheduling.
        • You do not need to schedule Wave 4 initiatives as the expectation is that these initiatives will not be done.

      Info-Tech Insight

      Use the Owner column to help identify resourcing constraints. If a single individual is responsible for many different initiatives that are planned to start at the same time, consider staggering those initiatives.

      An image showing the owner and planned start sections, part of the 'Security Roadmap Gantt Chart' tab of the 'Information Security Gap Analysis Tool.' The owner column is labeled with an arrow with a 1 on it, and the planned start column is labeled with an arrow with a 2 on it.

      3.4.2 Review your roadmap

      Estimated Time: 30-60 minutes

      1. When you have completed the Gantt chart, as a group review the overall roadmap to ensure that it is reasonable for your organization. Consider the following:
        • Do you have other IT or business projects planned during this time frame that may impact your resourcing or scheduling?
        • Does your organization have regular change freezes throughout the year that will impact the schedule?
        • Do you have over-subscribed resources? You can filter the list on the Owner column to identify potential over-subscription of resources.
        • Have you considered any long vacations, sabbaticals, parental leaves, or other planned longer-term absences?
        • Are your initiatives adequately aligned to your budget cycle? For instance, if you have an initiative that is expected to make recommendations for capital expenditure, it must be completed prior to budget planning.

      A screenshot image showing parts of the 'Security Roadmap Gantt Chart' tab with sample data in it. Taken from the 'Information Security Gap Analysis Tool.'

      3.4.3 Review your expected roadmap progression

      Estimated Time: 30 minutes

      1. If you complete the optional exercise of filling in the Estimated Gap Closure Percentage column on the Gap Analysis tab, the tool will generate a diagram showing how close to your target state you can expect to get based on the tasks and initiatives in your roadmap. You can review this diagram on the Results tab.
        • Remember that this Expected Maturity at End of Roadmap score assumes that you will complete all tasks and initiatives (including all Wave 4 initiatives).
      2. Copy the diagram into the Information Security Strategy Communication Deck.

      Info-Tech Insight

      Often, internal stakeholders will ask the question “If we do everything on this roadmap, will we be at our target state?” This diagram will help answer that question.

      A screenshot image showing the 'Expected Security Roadmap Progression' with sample data in it. Part of the 'Results' tab of the 'Information Security Gap Analysis Tool.'

      3.4.4 Review your cost/effort estimates table

      Estimated Time: 30 minutes

      1. Once you have completed your roadmap, review the total cost/effort estimates. This can be found in a table on the Results tab. This table will provide initial and ongoing costs and staffing requirements for each wave. This also includes the total three-year investment. In your review consider:
        • Is this investment realistic? Will completion of your roadmap require adding more staff or funding than you otherwise expected?
        • If the investment seems unrealistic, you may need to revisit some of your assumptions, potentially reducing target levels or increasing the amount of time to complete the strategy.
        • This table provides you with the information to have important conversations with management and stakeholders
      2. When you have completed your review, copy the table into the Information Security Strategy Communication Deck.

      A screenshot image showing the 'Information Security Roadmap Cost/Effort Estimates,' part of the 'Results' tab of the 'Information Security Gap Analysis Tool.'

      Phase 4

      Execute and Maintain

      Phase 1

      • 1.1 Define goals & scope
      • 1.2 Assess risks
      • 1.3 Determine pressures
      • 1.4 Determine risk tolerance
      • 1.5 Establish target state

      Phase 2

      • 2.1 Review Info-Tech’s security framework
      • 2.2 Assess your current state
      • 2.3 Identify gap closure actions

      Phase 3

      • 3.1 Define tasks & initiatives
      • 3.2 Perform cost/benefit analysis
      • 3.3 Prioritize initiatives
      • 3.4 Build roadmap

      Phase 4

      • 4.1 Build communication deck
      • 4.2 Develop a security charter
      • 4.3 Execute on your roadmap

      This phase will walk you through the following activities:

      • 4.1 Build your security strategy communication deck.
      • 4.2 Develop a security charter.
      • 4.3 Execute on your roadmap.

      4.1 Build your communication deck

      Estimated Time: 1-3 hours

      1. As a group, review the Information Security Strategy Communication Deck.
      2. Follow the instructions within the template and on the next few slides to customize the template with the results of your strategic roadmap planning.

      Input

      • Completed Security Requirements Gathering Tool
      • Completed Security Pressure Analysis Tool
      • Completed Security Gap Analysis Tool

      Output

      • Information Security Strategy Communication Deck

      Materials

      • Information Security Strategy Communication Deck

      Participants

      • Security Team
      • IT Leadership

      Download the Information Security Gap Analysis Tool

      4.1.1 Customize the Communication Deck

      Estimated Time: 1-2 hours

      1. When reviewing the Information Security Strategy Communication Deck, you will find slides that contain instructions within green text boxes. Follow the instructions within the boxes, then delete the boxes.
        • Most slides only require that you copy and paste screenshots or tables from your tools into the slides.
        • However, some slides require that you customize or add text explanations that need to reflect your unique organization.
        • It is recommended that you pay attention to the Next Steps slide at the end of the deck. This will likely have a large impact on your audience.
      2. Once you have customized the existing slides, you may wish to add additional slides. For instance, you may wish to add more context to the risk assessment or pressure analysis diagrams or provide details on high-priority initiatives.

      An image showing the 'Business Goals Cascade,' part of the 'Information Security Strategy Communication Deck.' A green box on top of the screenshot instructs you to 'Paste your goals cascade from the Information Security Requirements Gathering Tool here.'

      Consider developing multiple versions of the deck for different audiences. Senior management may only want an executive summary, whereas the CIO may be more interested in the methodology used to develop the strategy.

      Communication considerations

      Developing an information security strategy is only half the job. For the strategy to be successful, you will need to garner support from key internal stakeholders. These may include the CIO, senior executives, and business leaders. Without their support, your strategy may never get the traction it needs. When building your communication deck and planning to present to these stakeholders, consider the following:

      • Gaining support from stakeholders requires understanding their needs. Before presenting to a new audience, carefully consider their priorities and tailor your presentation to address them.
      • Use the communication deck to clarify the business context and how your initiatives that will support business goals.
      • When presenting to senior stakeholders, anticipate what questions they might ask and be sure to prepare answers in advance. Always be prepared to speak to any data point within the deck.
      • If you are going to present your strategy to a group and you anticipate that one or more members of that group may be antagonistic, seek out an opportunity to speak to them before the meeting and address their concerns one on one.

      If you have already fully engaged your key stakeholders through the requirements gathering exercises, presenting the strategy will be significantly easier. The stakeholders will have already bought in to the business goals, allowing you to show how the security strategy supports those goals.

      Info-Tech Insight

      Reinforce the concept that a security strategy is an effort to enable the organization to achieve its core mission and goals and to protect the business only to the degree that the business demands. It is important that stakeholders understand this point.

      4.2 Develop a security charter

      Estimated Time: 1-3 hours

      1. As a group, review the Information Security Charter.
      2. Customize the template as required to reflect your information security program. It may include elements such as:
        • A mission and vision statement for information security in your organization
        • The objectives and scope of the security program
        • A description of the security principles upon which your program is built
        • High-level roles and responsibilities for information security within the organization

      Input

      • Completed Security Requirements Gathering Tool
      • Completed Security Pressure Analysis Tool
      • Completed Security Gap Analysis Tool

      Output

      • Information security charter

      Materials

      • Information Security Charter

      Participants

      • Security Team

      Download the Information Security Gap Analysis Tool

      4.2.1 Customize the Information Security Charter

      Estimated Time: 1-3 hours

      1. Involve the stakeholders that were present during Phase 1 activities to allow you to build a charter that is truly reflective of your organization.
      2. The purpose of the security charter is too:
        • Establish a mandate for information security within the organization.
        • Communicate executive commitment to risk and information security management.
        • Outline high-level responsibilities for information security within the organization.
        • Establish awareness of information security within the organization.

      A screenshot of the introduction of the 'Information Security Charter' template.

      A security charter is a formalized and defined way to document the scope and purpose of your security program. It will define security governance and allow it to operate efficiently through your mission and vision.

      4.3 Execute on your roadmap

      1. Executing on your information security roadmap will require coordinated effort by multiple teams within your organization. To ensure success, consider the following recommendations:
        1. If you have a project management office, leverage them to help apply formal project management methodologies to your initiatives.
        2. Develop a process to track the tasks on your strategy task list. Because these will not be managed as formal initiatives, it will be easy to lose track of them.
        3. Develop a schedule for regular reporting of progress on the roadmap to senior management. This will help hold yourself and others accountable for moving the project forward.
      2. Plan to review and update the strategy and roadmap on a regular basis. You may need to add, change, or remove initiatives as priorities shift.

      Input

      • Completed Security Gap Analysis Tool

      Output

      • Execution of your strategy and roadmap

      Materials

      • Information Security Gap Analysis Tool
      • Project management tools as required

      Participants

      • Security Team
      • Project Management Office
      • IT and Corporate Teams, as required

      Info-Tech Insight

      Info-Tech has many resources that can help you quickly and effectively implement most of your initiatives. Talk to your account manager to learn more about how we can help your strategy succeed.

      Summary of Accomplishment

      Knowledge Gained

      • Knowledge of organizational pressures and the drivers behind them
      • Insight into stakeholder goals and obligations
      • A defined security risk tolerance information and baseline
      • Comprehensive knowledge of security current state and summary initiatives required to achieve security objectives

      Deliverables Completed

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Contact your account representative for more information.

      workshops@infotech.com
      1-888-670-8889

      Additional Support

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.

      Info-Tech analysts will join you and your team at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      Information Security Program Gap Analysis Tool

      Use our best-of-breed security framework to perform a gap analysis between your current and target states.

      Information Security Requirements Gathering Tool

      Define the business, customer, and compliance alignment for your security program.

      Related Info-Tech Research

      Develop a Security Operations Strategy

      A unified security operations process actively transforms security events and threat information into actionable intelligence, driving security prevention, detection, analysis, and response processes, addressing the increasing sophistication of cyberthreats, and guiding continuous improvement.

      This blueprint will walk through the steps of developing a flexible and systematic security operations program relevant to your organization.

      Implement a Security Governance and Management Program

      Your security governance and management program needs to be aligned with business goals to be effective.

      This approach also helps to provide a starting point to develop a realistic governance and management program.

      This project will guide you through the process of implementing and monitoring a security governance and management program that prioritizes security while keeping costs to a minimum.

      Align Your Security Controls to Industry Frameworks for Compliance

      Don’t reinvent the wheel by reassessing your security program using a new framework.

      Instead, use the tools in this blueprint to align your current assessment outcomes to required standards.

      Bibliography

      “2015 Cost of Data Breach Study: United States.” Sponsored by IBM. Ponemon Institute, May 2015. Web.

      “2016 Cost of Cyber Crime Study & the Risk of Business Innovation.” Ponemon Institute, Oct. 2016. Web. 25 Oct. 2016.

      “2016 Cost of Data Breach Study: Global Analysis.” Ponemon Institute, June 2016. Web. 26 Oct. 2016.

      “2016 Data Breach Investigations Report.” Verizon, 2016. Web. 25 Oct. 2016.

      “2016 NowSecure Mobile Security Report.” NowSecure, 2016. Web. 5 Nov. 2016.

      “2017 Cost of Cyber Crime Study.” Ponemon Institute, Oct. 2017. Web.

      “2018 Cost of Data Breach Study: Global Overview.” Ponemon Institute, July 2018. Web.

      “2018 Data Breach Investigations Report.” Verizon, 2018. Web. Oct. 2019.

      “2018 Global State of Information Security Survey.” CSO, 2017. Web.

      “2018 Thales Data Threat Report.” Thales eSecurity, 2018. Web.

      “2019 Data Breach Investigations Report.” Verizon, 2020. Web. Feb. 2020.

      “2019 Global Cost of a Data Breach Study.” Ponemon Institute, Feb. 2020. Web.

      “2019 The Cost of Cyber Crime Study.” Accenture, 2019. Web Jan 2020.

      “2020 Thales Data Threat Report Global Edition.” Thales eSecurity, 2020. Web. Mar. 2020.

      Ben Salem, Malek. “The Cyber Security Leap: From Laggard to Leader.” Accenture, 2015. Web. 20 Oct. 2016.

      “Cisco 2017 Annual Cybersecurity Report.” Cisco, Jan. 2017. Web. 3 Jan. 2017.

      “Cyber Attack – How Much Will You Lose?” Hewlett Packard Enterprise, Oct. 2016. Web. 3 Jan. 2017.

      “Cyber Crime – A Risk You Can Manage.” Hewlett Packard Enterprise, 2016. Web. 3 Jan. 2017.

      “Global IT Security Risks Survey.” Kaspersky Lab, 2015. Web. 20 October 2016.

      “How Much Is the Data on Your Mobile Device Worth?” Ponemon Institute, Jan. 2016. Web. 25 Oct. 2016.

      “Insider Threat 2018 Report.” CA Technologies, 2018. Web.

      “Kaspersky Lab Announces the First 2016 Consumer Cybersecurity Index.” Press Release. Kaspersky Lab, 8 Sept. 2016. Web. 3 Jan. 2017.

      “Kaspersky Lab Survey Reveals: Cyberattacks Now Cost Large Businesses an Average of $861,000.” Press Release. Kaspersky Lab, 13 Sept. 2016. Web. 20 Oct. 2016.

      “Kaspersky Security Bulletin 2016.” Kaspersky Lab, 2016. Web. 25 Oct. 2016.

      “Managing Cyber Risks in an Interconnected World: Key Findings From the Global State of Information Security Survey 2015.” PwC, 30 Sept. 2014. Web.

      “Measuring Financial Impact of IT Security on Business.” Kaspersky Lab, 2016. Web. 25 Oct. 2016.

      “Ponemon Institute Releases New Study on How Organizations Can Leapfrog to a Stronger Cyber Security Posture.” Ponemon Institute, 10 Apr. 2015. Web. 20 Oct. 2016.

      “Predictions for 2017: ‘Indicators of Compromise’ Are Dead.” Kaspersky Lab, 2016. Web. 4 Jan. 2017.

      “Take a Security Leap Forward.” Accenture, 2015. Web. 20 Oct. 2016.

      “Trends 2016: (In)security Everywhere.” ESET Research Laboratories, 2016. Web. 25 Oct. 2016.

      Research Contributors

      • Peter Clay, Zeneth Tech Partners, Principal
      • Ken Towne, Zeneth Tech Partners, Security Architect
      • Luciano Siqueria, Road Track, IT Security Manager
      • David Rahbany, The Hain Celestial Group, Director IT Infrastructure
      • Rick Vadgama, Cimpress, Head of Information Privacy and Security
      • Doug Salah, Wabtec Corp, Manager of Information Security and IT Audit
      • Peter Odegard, Children’s Hospitals and Clinics, Information Security Officer
      • Trevor Butler, City of Lethbridge, Information Technology General Manager
      • Shane Callahan, Tractor Supply, Director of Information Security
      • Jeff Zalusky, Chrysalis, President/CEO
      • Candy Alexander, Independent Consultant, Cybersecurity and Information Security Executive
      • Dan Humbert, YMCA of Central Florida, Director of Information Technology
      • Ron Kirkland, Crawford & Co, Manager ICT Security & Customer Service
      • Jason Bevis – FireEye, Senior Director Orchestration Product Management - Office of the CTO
      • Joan Middleton, Village of Mount Prospect, IT Director
      • Jim Burns, Great America Financial Services, Vice President Information Technology
      • Ryan Breed, Hudson’s Bay, Information Security Analyst
      • James Fielder, Farm Credit Services – Central Illinois, Vice President of Information Systems

      Next-Generation InfraOps

      • Buy Link or Shortcode: {j2store}457|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Operations Management
      • Parent Category Link: /i-and-o-process-management
      • Traditional IT capabilities, activities, organizational structures, and culture need to adjust to leverage the value of cloud, optimize spend, and manage risk.
      • Different stakeholders across previously separate teams rely on one another more than ever, but rules of engagement do not yet exist.

      Our Advice

      Critical Insight

      • By defining your end goals and framing solutions based on the type of visibility and features you need, you can enable speed and reliability without losing control of the work.

      Impact and Result

      • Understand the xOps spectrum and what approaches benefit your organization.
      • Make sense of the architectural approaches and enablement tools available to you.
      • Evolve from just improving your current operations to a continuous virtuous cycle of development and deployment.

      Next-Generation InfraOps Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Next-Generation InfraOps Storyboard – A deck that will help you use Ops methodologies to build a virtuous cycle.

      This storyboard will help you understand the spectrum of different Agile xOps working modes and how best to leverage them and build an architecture and toolset that support rapid continuous IT operations

      • Next-Generation InfraOps Storyboard
      [infographic]

      Further reading

      Next-Generation InfraOps

      Embrace the spectrum of Ops methodologies to build a virtuous cycle.

      Executive summary

      Your Challenge

      IT Operations continue to be challenged by increasing needs for scale and speed, often in the face of constrained resources and time. For most, Agile methodologies have become a foundational part of tackling this problem. Since then, we've seen Agile evolve into DevOps, which started a trend into different categories of "xOps" that are too many to count. How does one make sense of the xOps spectrum? What is InfraOps and where does it fit in?

      Common Obstacles

      Ultimately, all these methodologies and approaches are there to serve the same purpose: increase effectiveness through automation and improve governance through visibility. The key is to understand what tools and methodologies will deliver actual benefits to your IT operation and to the organization as a whole.

      Info-Tech's Approach

      By defining your end goals and framing solutions based on the type of visibility and features you need, you can enable speed and reliability without losing control of the work.

      1. Understand the xOps spectrum and what approaches will benefit your organization.
      2. Make sense of the architectural approaches and enablement tools available to you.
      3. Evolve from just improving your current operations to a continuous virtuous cycle of development and deployment.

      Info-Tech Insight

      InfraOps, when applied well, should be the embodiment of the governance policies as expressed by standards in architecture and automation.

      Project overview

      Understand the xOps spectrum

      There are as many different types of "xOps" as there are business models and IT teams. To pick the approaches that deliver the best value to your organization and that align to your way of operating, it's important to understand the different major categories in the spectrum and how they do or don't apply to your IT approach.

      How to optimize the Ops in DevOps

      InfraOps is one of the major methodologies to address a key problem in IT at cloud scale: eliminating friction and error from your deliveries and outputs. The good news is there are architectures, tools, and frameworks you can easily leverage to make adopting this approach easier.

      Evolve to integration and build a virtuous cycle

      Ultimately your DevOps and InfraOps approaches should embody your governance needs via architecture and process. As time goes on, however, both your IT footprint and your business environment will shift. Build your tools, telemetry, and governance to anticipate and adapt to change and build a virtuous cycle between development needs and IT Operations tools and governance.

      The xOps spectrum

      This is an image of the xOps spectrum. The three main parts are: Code Acceleration (left), Governance(middle), and Infrastructure Acceleration (right)

      xOps categories

      There is no definitive list of x's in the xOps spectrum. Different organizations and teams will divide and define these in different ways. In many cases, the definitions and domains of various xOps will overlap.

      Some of the commonly adopted and defined xOps models are listed here.

      Shift left? Shift right?

      Cutting through the jargon

      • Shifting left is about focusing on the code and development aspects of a delivery cycle.
      • Shifting right is about remembering that infrastructure and tools still do matter.

      Info-Tech Insight

      Shifting left or right isn't an either/or choice. They're more like opposite sides of the same coin. Like the different xOps approaches, usually more than one shift approach will apply to your IT Operations.

      IT Operations in the left-right spectrum

      Shifting from executing and deploying to defining the guardrails and standards

      This is an image of the left-right spectrum for your XOps position

      Take a middle-out approach

      InfraOps and DevOps aren't enemies; they're opposite sides of the same coin.

      • InfraOps is about the automation and standardization of execution. It's an essential element in any fully automated CI/CD pipeline.
      • Like DevOps, InfraOps is built on similar values (the pillars of DevOps).
      • It builds on the principle of Lean to focus on removing friction, or turn-and-type activities, from the pipeline/process.
      • In InfraOps, one of the key methods for removing friction is through automation of the interstitia between different phases of a DevOps or CI/CD cycle.

      Optimize the Ops in DevOps

      Focus on eliminating friction

      This is an image of an approach to optimizing the ops in DevOps.

      With the shift from execution to governing and validating, the role of deployment falls downstream of IT Operations.

      IT Operations needs to move to a mindset that focuses on creating the guardrails, enforced standards, and compliance rules that need to be used downstream, then apply those standards using automation and tooling to remove friction and error from the interstitia (the white spaces between chevrons) of the various phases.

      InfraOps tools

      Four quadrants in the shape of a human head, in the boxes are the following: Hyperconverged Infrastructure; Composable Infrastructure; Infrastructure as code and; Automation and Orchestration

      Info-Tech Insight

      Your tools can be broken into two categories:

      • Infrastructure Architecture
        • HCI vs. CI
      • Automation Tooling
        • IaC and A&O

      Keep in mind that while your infrastructure architecture is usually an either/or choice, your automation approach should use any and all tooling that helps.

      Infrastructure approach

      • Hyperconverged

      • Composable

      Hyperconverged Infrastructure (HCI)

      Hyperconvergence is the next phase of convergence, virtualizing servers, networks, and storage on a single server/storage appliance. Capacity scales as more appliances are added to a cluster or stack.
      The disruptive departure:

      • Even though servers, networks, and storage were each on their own convergence paths, the three remained separate management domains (or silos). Even single-SKU converged infrastructures like VCE Vblocks are still composed of distinct server, network, and storage devices.
      • In hyperconvergence, the silos collapse into single-software managed devices. This has been disruptive for both the vendors of technology solutions (especially storage) and for infrastructure management.
      • Large storage array vendors are challenged by hyperconvergence alternatives. IT departments need to adapt IT skills and roles away from individual management silos and to more holistic service management.

      A comparison between converged and hyperconverged systems.

      Info-Tech Insight

      HCI follows convergence trends of the past ten years but is also a departure from how IT infrastructure has traditionally been provisioned and managed.

      HCI is at the same time a logical progression of infrastructure convergence and a disruptive departure.

      Hyperconverged (HCI) – SWOT

      HCI can be the foundation block for a fully software defined data center, a prerequisite for private cloud.

      Strengths

      • Potentially lower TCO through further infrastructure consolidation, reducing CapEx and OpEx expenditures through facilities optimization and cost consolidation.
      • Operations in particular can be streamlined, since storage, network connections, and processors/memory are all managed as abstractions via a single control pane.
      • HCI comes with built-in automation and analytics that lead to quicker issue resolution.

      Opportunities

      • Increased business agility by paving the way for a fully software defined infrastructure stack and cloud automation.
      • Shift IT human assets from hardware asset maintainers and controllers to service delivery managers.
      • Better able to compete with external IT service alternatives.
      • Move toward a hybrid cloud service offering where the service catalog contains both internal and external offerings.

      Key attributes of a cloud are automation, resource elasticity, and self-service. This kind of agility is impossible if physical infrastructure needs intervention.

      Info-Tech Insight

      Virtualization alone does not a private cloud make, but complete stack virtualization (software defined) running on a hands-off preconfigured HCI appliance (or group of appliances) provides a solid foundation for building cloud services.

      Hyperconverged (HCI) – SWOT

      Silo-busting and private cloud sound great, but are your people and processes able to manage the change?

      Weaknesses

      • HCI typically scales out linearly (CPU & storage). This does not suit traditional scale-up applications such as high-performance databases and large-capacity data warehouses.
      • Infrastructure stacks are perceived as more flexible for variable growth across segments. For example, if storage is growing but processing is not, storage can scale separately from processing.

      Threats

      • HCI will be disruptive to roles within IT. Internal pushback is a real threat if necessary changes in skills and roles are not addressed.
      • HCI is not a simple component replacement but an adoption of a different kind of infrastructure. Different places in the lifecycles for each of storage, network, and processing devices could make HCI a solution where there is no immediate problem.

      In traditional infrastructure, performance and capacity are managed as distinct though complementary jobs. An all-in-one approach may not work.

      Composable Infrastructure (CI)

      • Composable infrastructure in many ways represents the opposite of an HCI approach. Its focus is on further disaggregating resources and components used to build systems.
        • Unlike traditional cloud virtual systems, composable infrastructure provides virtual bare metal resources, allowing tightly coupled resources like CPU, RAM, and GPU – or any device/card/module – to be released back and forth into the resource pool as required by a given workload.
        • This is enabled by the use of high-speed, low-latency PCI Express (PCI-e) and Compute Express Link (CXL) fabrics that allow these resources to be decoupled.
        • It also supports the ability to present other fabric types critical for building out enterprise systems (e.g. Ethernet, InfiniBand).
      • Accordingly, CI systems are also based on next-generation network architecture that supports moving critical functions to the network layer, which enables more efficient use of the application-layer resources.

      Composable Infrastructure (CI)

      • CI may also leverage network-resident data/infrastructure processing units (DPUs/IPUs), which offload many network, security, and storage functions.
        • As new devices and functions become available, they can be added into the catalog of resources/functions available in a CI pool.

      Use Case Example: Composable AI flow

      Data Ingestion > Data Cleaning/Tagging > Training > Conclusion

      • At each phase of the process, resources, including specialized hardware like memory and GPU cores, can be dynamically allocated and reallocated to the workload on demand

      Composable Infrastructure (CI)

      Use cases and considerations

      Where it's useful

      • Enable even more efficient allocation/utilization of resources for workloads.
      • Very large memory or shared memory requirements can benefit greatly.
      • Decouple purchasing decisions for underlying resources.
      • Leverage the fabric to make it easier to incrementally upgrade underlying resources as required.
      • Build "the Impossible Server."

      Considerations

      • Requires significant footprint/scale to justify in many cases
      • Not necessarily good value for environments that aren't very volatile and heterogeneous in terms of deployment requirements
      • May not be best value for environments where resource-stranding is not a significant issue

      Info-Tech Insight

      Many organizations using a traditional approach report resource stranding as having an impact of 20% or more on efficiency. When focusing specifically on the stranding of memory in workloads, the number can often approach 40%.

      The CI ecosystem

      This is an image of the CI ecosystem.

      • The CI ecosystem has many players, large and small!
      • Note that the CI ecosystem is dependent on a large ecosystem of underlying enablers and component builders to support the required technologies.

      Understanding the differences

      This image shows the similarities and differences between traditional, cloud, hyperconverged, and composable.

      Automation approach

      • Infrastructure as Code
      • Automation & Orchestration
      • Metaorchestration

      Infrastructure as Code (IaC)

      Infrastructure as code (IaC) is the process of managing and provisioning computer data centers through machine-readable definition files rather than physical hardware configuration or interactive configuration tools.

      Before IaC, IT personnel would have to manually change configurations to manage their infrastructure. Maybe they would use throwaway scripts to automate some tasks, but that was the extent of it.

      With IaC, your infrastructure's configuration takes the form of a code file, making it easy to edit, copy, and distribute.

      Info-Tech Insight
      IaC is a critical tool in enabling key benefits!

      • Reduced costs
      • Increased scalability, flexibility, and speed
      • Better consistency and version control
      • Reduced deployment errors

      Infrastructure as Code (IaC)

      1. IaC uses a high-level descriptive coding language to automate the provisioning of IT infrastructure. This eliminates the need to manually provision and manage servers, OS, database connections, storage, and other elements every time we want to develop, test, or deploy an application.
      2. IaC allows us to define the computer systems on which code needs to run. Most commonly, we use a framework like Chef, Ansible, Puppet, etc., to define their infrastructure. These automation and orchestration tools focus on the provisioning and configuring of base compute infrastructure.
      3. IaC is also an essential DevOps practice. It enables teams to rapidly create and version infrastructure in the same way they version source code and to track these versions so as to avoid inconsistency among IT environments that can lead to serious issues during deployment.
      • Idempotence is a principle of IaC. This means a deployment command always sets the target environment into the same configuration, regardless of the environment's starting state.
        • Idempotency is achieved by either automatically configuring an existing target or discarding the existing target and recreating a fresh environment.

      Automation/Orchestration

      Orchestration describes the automated arrangement, coordination, and management of complex computer systems, middleware, and services.

      This usage of orchestration is often discussed in the context of service-oriented architecture, virtualization, provisioning, converged infrastructure, and dynamic data center topics. Orchestration in this sense is about aligning the business request with the applications, data, and infrastructure.

      It defines the policies and service levels through automated workflows,
      provisioning, and change management. This creates an application-aligned infrastructure that can be scaled up or down based on the needs of each application.

      As the requirement for more resources or a new application is triggered, automated tools now can perform tasks that previously could only be done by multiple administrators operating on their individual pieces of the physical stack.

      Orchestration also provides centralized management of the resource pool, including billing, metering, and chargeback for consumption. For example, orchestration reduces the time and effort for deploying multiple instances of a single application.

      Info-Tech Insight

      Automation and orchestration tools can be key components of an effective governance toolkit too! Remember to understand what data can be pulled from your various tools and leveraged for other purposes such as cost management and portfolio roadmapping.

      Automation/Orchestration

      There are a wide variety of orchestration and automation tools and technologies.

      Configuration Management

      Configuration Management

      The logos for companies which fall in each of the categories in the column to the left of the image.

      CI/CD
      Orchestration

      Container
      Orchestration

      Cloud-Specific
      Orchestration

      PaaS
      Orchestration

      Info-Tech Insight

      Automation and orchestration tools and software offerings are plentiful, and many of them have a different focus on where in the application delivery ecosystem they provide automation functionality.

      Often there are different tools for different deployment and service models as well as for different functional phases for each service model.

      Automation/Orchestration

      Every tool focuses on different aspects or functions of the deployment of resources and applications.

      • Resources
        • Compute
        • Storage
        • Network
      • Extended Services
        • Platforms
        • Infrastructure Services
        • Web Services
      • Application Assets
        • Images
        • Templates
        • Containers
        • Code

      Info-Tech Insight

      Let the large ecosystem of tools be your ally. Leverage the right tools where needed and then address the complexity of tools using a master orchestration scheme.

      Metaorchestration

      A Flow chart for the approach to metaorchestration.

      Additionally, most tools do not cover all aspects required for most automation implementations, especially in hybrid cloud scenarios.

      As such, often multiple tools must be deployed, which can lead to fragmentation and loss of unified controls.

      Many enterprises address this fragmentation using a cloud management platform approach.

      One method of achieving this is to establish a higher layer of orchestration – an "orchestrator of orchestrators," or metaorchestration.

      In complex scenarios, this can be a challenge that requires customization and development.

      InfraOps tools ecosystem

      Toolkit Pros Cons Tips
      HCI Easy scale out Shift in skills required Good for enabling automation and hybridization with current-gen public cloud services
      CI Maximal workload resource efficiency Investment in new fabrics and technologies Useful for very dynamic or highly scalable workloads like AI
      IaC Error reduction and standardization Managing drift in standards and requirements Leverage a standards and exception process to keep track of drift
      A&O Key enabler of DevOps automation within phases Usually requires multiple toolsets/frameworks Use the right tools and stitch together at the metaorchestration layer
      Metaorchestration Reduces the complexity of a diverse A&O and IaC toolkit Requires understanding of the entire ecosystems of tools used Key layer of visibility and control for governance

      Build a virtuous cycle

      Remember, the goal is to increase speed AND reliability. That's why we focus on removing friction from our delivery pipelines.

      • The first step is to identify the points of friction in your cycle and understand the intensity and frequency of these friction points.
      • Depending on your delivery and project management methodology, you'll have a different posture of the different tools that make sense for your pipeline.
      • For example, if you are focused on delivering raw resources for sysadmins and/or you're in a Waterfall methodology where the friction points are large but infrequent, hyperconverged is likely to delivery good value, whereas tools like IaC and orchestration may not be as necessary.

      Info-Tech Insight

      Remember that, especially in modern and rapid methodologies, your IT footprint can drift unexpectedly. This means you need a real feedback mechanism on where the friction moves to next.

      This is particularly important in more Agile methodologies.

      Activity: Map your IT operations delivery

      Identify your high-friction interstitial points

      • Using the table below, or a table modified to your delivery phases, map out the activities and tasks that are not standardized and automated.
      • For the incoming and outgoing sections, think about what resources and activities need to be (or could be) created, destroyed, or repurposed to efficiently manage each cycle and the spaces between cycles.
      Plan Code Test Deploy Monitor
      Incoming Friction
      In-Cycle Friction
      Outgoing Friction

      Info-Tech Insight

      Map your ops groups to the delivery cycles in your pipeline. How many delivery cycles do you have or need?

      Good InfraOps is a reflection of governance policies, expressed by standards in architecture and automation.

      Related Info-Tech Research

      Evaluate Hyperconverged Infrastructure for Your Infrastructure Roadmap

      • This Info-Tech note covers evaluation of HCI platforms.

      Design Your Cloud Operations

      • This Info-Tech blueprint covers organization of operations teams for various deployment and Agile modes.

      Bibliography

      Banks, Ethan, host. "Choosing Your Next Infrastructure." Datanauts, episode 094, Packet Pushers, 26 July 2017. Podcast.
      "Composable Infrastructure Solutions." Hewlett Packard Canada, n.d. Web.
      "Composable Infrastructure Technology." Liqid Inc., n.d. Web.
      "DataOps architecture design." Azure Architecture Center, Microsoft Learn, n.d. Web.
      Tan, Pei Send. "Differences: DevOps, ITOps, MLOps, DataOps, ModelOps, AIOps, SecOps, DevSecOps." Medium, 5 July 2021. Web.

      Create a Buyer Persona and Journey

      • Buy Link or Shortcode: {j2store}558|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Marketing Solutions
      • Parent Category Link: /marketing-solutions
      • Contacts fail to convert to leads because messaging fails to resonate with buyers.
      • Products fail to reach targets given shallow understanding of buyer needs.
      • Sellers' emails go unopened and attempts at discovery fail due to no understanding of buyer challenges, pain points, and needs.

      Our Advice

      Critical Insight

      • Marketing leaders in possession of well-researched and up-to-date buyer personas and journeys dramatically improve product market fit, lead gen, and sales results.
      • Success starts with product, marketing, and sales alignment on targeted personas.
      • Speed to deploy is enabled via initial buyer persona attribute discovery internally.
      • However, ultimate success requires buyer interviews, especially for the buyer journey.
      • Leading marketers update journey maps every six months as disruptive events such as COVID-19 and new media and tech platform advancements require continual innovation.

      Impact and Result

      • Reduce time and treasure wasted chasing the wrong prospects.
      • Improve product-market fit.
      • Increase open and click-through rates in your lead gen engine.
      • Perform more effective sales discovery and increase eventual win rates.

      Create a Buyer Persona and Journey Research & Tools

      Start here – read the Executive Brief

      Our Executive Brief summarizes the challenges faced when buyer persona and journeys are ill-defined. It describes the attributes of, and the benefits that accrue from, a well-defined persona and journey and the key steps to take to achieve success.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Drive an aligned initial draft of buyer persona

      Define and align your team on target persona, outline steps to capture and document a robust buyer persona and journey, and capture current team buyer knowledge.

      • Buyer Persona Creation Template
      • Buyer Persona and Journey Interview Guide and Data Capture Tool

      2. Interview buyers and validate persona and journey

      Hold initial buyer interviews, test initial results, and continue with interviews.

      3. Prepare communications and educate stakeholders

      Consolidate interview findings, present to product, marketing, and sales teams. Work with them to apply to product design, marketing launch/campaigning, and sales and customer success enablement.

      • Buyer Persona and Journey Summary Template
      [infographic]

      Workshop: Create a Buyer Persona and Journey

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Align Team, Identify Persona, and Document Current Knowledge

      The Purpose

      Organize, drive alignment on target persona, and capture initial views.

      Key Benefits Achieved

      Steering committee and project team roles and responsibilities clarified.

      Product, marketing, and sales aligned on target persona.

      Build initial team understanding of persona.

      Activities

      1.1 Outline a vision for buyer persona and journey creation and identify stakeholders.

      1.2 Identify buyer persona choices and settle on an initial target.

      1.3 Document team knowledge about buyer persona (and journey where possible).

      Outputs

      Documented steering committee and working team

      Executive Brief on personas and journey

      Personas and initial targets

      Documented team knowledge

      2 Validate Initial Work and Identify Buyer Interviewees

      The Purpose

      Build list of buyer interviewees, finalize interview guide, and validate current findings with analyst input.

      Key Benefits Achieved

      Interview efficiently using 75-question interview guide.

      Gain analyst help in persona validation, reducing workload.

      Activities

      2.1 Share initial insights with covering industry analyst.

      2.2 Hear from industry analyst their perspectives on the buyer persona attributes.

      2.3 Reconcile differences; update “current understanding.”

      2.4 Identify interviewee types by segment, region, etc.

      Outputs

      Analyst-validated initial findings

      Target interviewee types

      3 Schedule and Hold Buyer Interviews

      The Purpose

      Validate current persona hypothesis and flush out those attributes only derived from interviews.

      Key Benefits Achieved

      Get to a critical mass of persona and journey understanding quickly.

      Activities

      3.1 Identify actual list of 15-20 interviewees.

      3.2 Hold interviews and use interview guides over the course of weeks.

      3.3 Hold review session after initial 3-4 interviews to make adjustments.

      3.4 Complete interviews.

      Outputs

      List of interviewees; calls scheduled

      Initial review – “are you going in the right direction?”

      Completed interviews

      4 Summarize Findings and Provide Actionable Guidance to Colleagues

      The Purpose

      Summarize persona and journey attributes and provide activation guidance to team.

      Key Benefits Achieved

      Understanding of product market fit requirements, messaging, and marketing, and sales asset content.

      Activities

      4.1 Summarize findings.

      4.2 Create action items for supporting team, e.g. messaging, touch points, media spend, assets.

      4.3 Convene steering committee/executives and working team for final review.

      4.4 Schedule meetings with colleagues to action results.

      Outputs

      Complete findings

      Action items for team members

      Plan for activation

      5 Measure Impact and Results

      The Purpose

      Measure results, adjust, and improve.

      Key Benefits Achieved

      Activation of outcomes; measured results.

      Activities

      5.1 Review final copy, assets, launch/campaign plans, etc.

      5.2 Develop/review implementation plan.

      5.3 Reconvene team to review results.

      Outputs

      Activation review

      List of suggested next steps

      Further reading

      Create a Buyer Persona and Journey

      Make it easier to market, sell, and achieve product-market fit with deeper buyer understanding.

      EXECUTIVE BRIEF

      Executive Summary

      Your Challenge

      B2B marketers without documented personas and journeys often experience the following:

      • Contacts fail to convert to leads because messaging fails to resonate with buyers.
      • Products fail to reach targets given shallow understanding of buyer needs.
      • Sellers’ emails go unopened, and attempts at discovery fail due to no understanding of buyer challenges, pain points, and needs.

      Without a deeper understanding of buyer needs and how they buy, B2B marketers will waste time and precious resources targeting the incorrect personas.

      Common Obstacles

      Despite being critical elements, organizations struggle to build personas due to:

      • A lack of alignment and collaboration among marketing, product, and sales.
      • An internal focus; or a lack of true customer centricity.
      • A lack of tools and techniques for building personas and buyer journeys.

      In today’s Agile development environment, combined with the pressure to generate revenues quickly, high tech marketers often skip the steps necessary to go deeper to build buyer understanding.

      SoftwareReviews’ Approach

      With a common framework and target output, clients will:

      • Align marketing, sales, and product, and collaborate together to share current knowledge on buyer personas and journeys.
      • Target 12-15 customers and prospects to interview and validate insights. Share that with customer-facing staff.
      • Activate the insights for more customer-centric lead generation, product development, and selling.

      Clients who activate findings from buyer personas and journeys will see a 50% results improvement.

      SoftwareReviews Insight:
      Buyer personas and buyer journeys are essential ingredients in go-to-market success, as they inform for product, marketing, sales, and customer success who we are targeting and how to engage with them successfully.

      Buyer personas and journeys: A go-to-market critical success factor

      Marketers – large and small – will fail to optimize product-market fit, lead generation, and sales effectiveness without well-defined buyer personas and a buyer journey.

      Critical Success Factors of a Successful G2M Strategy:

      • Opportunity size and business case
      • Buyer personas and journey
      • Competitively differentiated product hypothesis
      • Buyer-validated commercial concept
      • Sales revenue plan and program cost budget
      • Consolidated communications to steering committee

      Jeff Golterman, Managing Director, SoftwareReviews Advisory

      “44% of B2B marketers have already discovered the power of Personas.”
      – Hasse Jansen, Boardview.io!, 2016

      Documenting buyer personas enables success beyond marketing

      Documenting buyer personas has several essential benefits to marketing, sales, and product teams:

      • Achieve a better understanding of your target buyer – by building a detailed buyer persona for each type of buyer and keeping it fresh, you take a giant step toward becoming a customer-centric organization.
      • Team alignment on a common definition – will happen when you build buyer personas collaboratively and among those teams that touch the customer.
      • Improved lead generation – increases dramatically when messaging and marketing assets across your lead generation engine better resonate with buyers because you have taken the time to understand them deeply.
      • More effective selling – is possible when sellers apply persona development output to their interactions with prospects and customers.
      • Better product-market fit – increases when product teams more deeply understand for whom they are designing products. Documenting buyer challenges, pain points, and unmet needs gives product teams what they need to optimize product adoption.

      “It’s easier buying gifts for your best friend or partner than it is for a stranger, right? You know their likes and dislikes, you know the kind of gifts they’ll have use for, or the kinds of gifts they’ll get a kick out of. Customer personas work the same way, by knowing what your customer wants and needs, you can present them with content targeted specifically to their wants and needs.”
      – Emma Bilardi, Product Marketing Alliance, 2020

      Buyer understanding activates just about everything

      Without the deep buyer insights that persona and journey capture enables, marketers are suboptimized.

      Buyer Persona and Journey

      • Product design
      • Customer targeting
      • Personalization
      • Messaging
      • Content marketing
      • Lead gen & scoring
      • Sales Effectiveness
      • Customer retention

      “Marketing eutopia is striking the all-critical sweet spot that adds real value and makes customers feel recognized and appreciated, while not going so far as to appear ‘big brother’. To do this, you need a deep understanding of your audience coming from a range of different data sets and the capability to extract meaning.”
      – Plexure, 2020

      Does your organization need buyer persona and journey updating?

      “Yes,” if experiencing one or more key challenges:

      • Sales time is wasted on unqualified leads
      • Website abandon rates are high
      • Lead gen engine click-through rates are low
      • Ideal customer profile is ill defined
      • Marketing asset downloads are low
      • Seller discovery with prospects is ineffective
      • Sales win/loss rates drop due to poor product-market fit
      • Higher than desired customer churn

      SoftwareReviews Advisory Insight:
      Marketers developing buyer personas and journeys that lack agreement among Marketing, Sales, and Product of personas to target will squander precious time and resources throughout the customer targeting and acquisition process.

      Outcomes and benefits

      Building your buyer persona and journey using our methodology will enable:

      • Greater stakeholder alignment – when marketing, product, and sales agree on personas, less time is wasted on targeting alternate personas.
      • Improved product-market fit – when buyers see both pain-relieving features and value-based pricing, “because you asked vs. guessed,” win rates increase.
      • Greater open and click-through rates – because you understood buyer pain points and motivations for solution seeking, you’ll see higher visits and engagement with your lead gen engine, and because you asked “what asset types do you find most helpful” your CTAs become ”lead-gen magnets” because you’ve offered the right asset types in your content marketing strategy.
      • More qualified leads – because you defined a more accurate ideal customer profile (ICP) and your lead scoring algorithm has improved, sellers see more qualified leads.
      • Increased sales cycle velocity – since you learned from personas their content and engagement preferences and what collateral types they need during the down-funnel sales discussions, sales calls are more productive and sales cycles shrink.

      Our methodology for buyer persona and journey creation

      1. Document Team Knowledge of Buyer Persona and Drive Alignment 2. Interview Target Buyer Prospects and Customers 3. Create Outputs and Apply to Marketing, Sales, and Product
      Phase Steps
      1. Outline a vision for buyer persona and journey creation and identify stakeholders.
      2. Pull stakeholders together, identify initial buyer persona, and begin to document team knowledge about buyer persona (and journey where possible).
      3. Validate with industry and marketing analyst’s initial buyer persona, and identify list of buyer interviewees.
      1. Hold interviews and document and share findings.
      2. Validate initial drafts of buyer persona and create initial documented buyer journey. Review findings among key stakeholders, steering committee, and supporting analysts.
      3. Complete remaining interviews.
      1. Summarize findings.
      2. Convene steering committee/exec. and working team for final review.
      3. Communicate to key stakeholders in product, marketing, sales, and customer success for activation.
      Phase Outcomes
      1. Steering committee and team selection
      2. Team insights about buyer persona documented
      3. Buyer persona validation with industry and marketing analysts
      4. Sales, marketing, and product alignment
      1. Interview guide
      2. Target interviewee list
      3. Buyer-validated buyer persona
      4. Buyer journey documented with asset types, channels, and “how buyers buy” fully documented
      1. Education deck on buyer persona and journey ready for use with all stakeholders: product, field marketing, sales, executives, customer success, partners
      2. Activation will update product-market fit, optimize lead gen, and improve sales effectiveness

      Our approach provides interview guides and templates to help rebuild buyer persona

      Our methodology will enable you to align your team on why it’s important to capture the most important attributes of buyer persona including:

      • Functional – helps you find and locate your target personas
      • Emotive – deepens team understanding of buyer initiatives, motivations for seeking alternatives, challenges they face, pain points for your offerings to address, and terminology that describes the “space”
      • Solution – enables greater product market fit
      • Behavioral – clarifies how to communicate with personas and understand their content preferences
      Functional – “to find them”
      Job Role Title Org. Chart Dynamics Buying Center Firmographics
      Emotive – “what they do and jobs to be done”
      Initiatives: What programs/projects the persona is tasked with and their feelings and aspirations about these initiatives. Motivations? Build credibility? Get promoted? Challenges: Identify the business issues, problems, and pain points that impede attainment of objectives. What are their fears, uncertainties, and doubts about these challenges? Buyer Need: They may have multiple needs; which need is most likely met with the offering? Terminology: What are the keywords/phrases they organically use to discuss the buyer need or business issue?
      Decision Criteria – “how they decide”
      Buyer Role: List decision-making criteria and power level. The five common buyer roles are champion, influencer, decision maker, user, and ratifier (purchaser/negotiator). Evaluation and Decision Criteria: Which lens – strategic, financial, or operational – does the persona evaluate the impact of purchase through?
      Solution Attributes – “what does the ideal solution look like”
      Steps in “Jobs to Be Done” Elements of the “Ideal Solution” Business outcomes from ideal solution Opportunity scope; other potential users Acceptable price for value delivered Alternatives that see consideration Solution sourcing: channel, where to buy
      Behavioral Attributes – “how to approach them successfully”
      Content Preferences: List the persona’s content preferences – blog, infographic, demo, video – vs. long-form assets (e.g. white paper, presentation, analyst report). Interaction Preferences: Which are preferred among in-person meetings, phone calls, emails, videoconferencing, conducting research via Web, mobile, and social? Watering Holes: Which physical or virtual places do they go to network or exchange info with peers (e.g. LinkedIn)?

      Buyer journeys are constantly shifting

      If you didn’t remap buyer journeys in 2021, you may be losing to competitors that did. Leaders remap buyer journey frequently.

      • The multi-channel buyer journey is constantly changing. Today’s B2B buyer uses industry research sites, vendor content marketing assets, software reviews sites, contacts with vendor salespeople, events participation, peer networking, consultants, emails, social media sites, and electronic media to research purchasing decisions.
      • COVID-19 has dramatically decreased face-to-face interaction. We estimate a B2B buyer spent 20-25% more time online in 2021 than pre-COVID-19 researching software buying decisions. This has diminished the importance of face-to-face selling and given dramatic rise to digital selling and outbound marketing.
      • Content marketing has exploded, but without mapping the buyer journey and knowing where – by channel –and when – by buyer journey step – to offer content marketing assets, we will fail to convert prospects into buyers.

      “~2/3 of [B2B] buyers prefer remote human interactions or digital self-service.” And during Aug. ‘20 to Feb. ‘21, use of digital self-service to interact with sales reps leapt by more than 10% for both researching and evaluating new suppliers.”
      – Liz Harrison, Dennis Spillecke, Jennifer Stanley, and Jenny Tsai McKinsey & Company, 2021

      SoftwareReviews Advisory Insight:
      Marketers are advised to update their buyer journey annually and with greater frequency when the human vs. digital mix is affected due to events such as COVID-19 and as emerging media such as AR shifts asset-type usage and engagement options.

      Our approach helps you define the buyer journey

      Because marketing leaders need to reach buyers through the right channel with the right message at the right time during their decision cycle, you’ll benefit by using questionnaires that enable you to build the below easily and quickly.

      You’ll be more successful by following our overall guidance

      Overarching insight

      Buyer personas and buyer journeys are essential ingredients in go-to-market success, as they inform for product, marketing, sales, and customer success who we are targeting and how to engage with them successfully.

      Align Your Team

      Marketers developing buyer personas and journeys that lack agreement among Marketing, Sales, and Product of personas to target will squander precious time and resources throughout the customer targeting and acquisition process.

      Jump-Start Persona Development

      Marketing leaders leverage the buyer persona knowledge not only from in-house experts in areas such as sales and executives but from analysts that speak with their buyers each and every day.

      Buyer Interviews Are a Must

      While leaders will get a fast start by interviewing sellers, executives, and analysts, you will fail to craft the right messages, build the right marketing assets, and design the best buyer journey if you skip buyer interviews.

      Watch for Disruption

      Leaders will update their buyer journey annually and with greater frequency when the human vs. digital mix is effected due to events such as COVID-19 and as emerging media such as AR and VR shifts the way buyers engage.

      Advanced Buyer Journey Discovery

      Digital marketers that ramp up lead gen engine capabilities to capture “wins” and measure engagement back through the lead gen and nurturing engines will build a more data-driven view of the buyer journey. Target to build this advanced capability in your initial design.

      Tools and templates to speed your success

      This blueprint is accompanied by supporting deliverables to help you gather team insights, interview customers and prospects, and summarize results for ease in communications.

      To support your buyer persona and journey creation, we’ve created the enclosed tools

      Buyer Persona Creation Template

      A PowerPoint template to aid the capture and summarizing of your team’s insights on the buyer persona.

      Buyer Persona and Journey Interview Guide and Data Capture Tool

      For interviewing customers and prospects, this tool is designed to help you interview personas and summarize results for up to 15 interviewees.

      Buyer Persona and Journey Summary Template

      A PowerPoint template into which you can drop your buyer persona and journey interviewees list and summary findings.

      SoftwareReviews offers two levels of support to best suit your needs

      DIY Toolkit

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      The "do-it-yourself" step-by-step instructions begin with Phase 1.

      Guided Implementation

      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track."

      A Guided Implementation is a series of analysts inquiries with you and your team.

      Diagnostics and consistent frameworks are used throughout each option.

      Guided Implementation

      A Guided Implementation (GI) is series of calls with a SoftwareReviews Advisory analyst to help implement our best practices in your organization.

      For guidance on marketing applications, we can arrange a discussion with an Info-Tech analyst.

      Your engagement managers will work with you to schedule analyst calls.

      What does our GI on buyer persona and journey mapping look like?

      Drive an Aligned Initial Draft of Buyer Persona

      • Call #1: Collaborate on vision for buyer persona and the buyer journey. Review templates and sample outputs. Identify your team.
      • Call #2: Review work in progress on capturing working team knowledge of buyer persona elements.
      • Call #3: (Optional) Review Info-Tech’s research-sourced persona insights.
      • Call #4: Validate the persona WIP with Info-Tech analysts. Review buyer interview approach and target list.

      Interview Buyers and Validate Persona and Journey

      • Call #5: Revise/review interview guide and final interviewee list; schedule interviews.
      • Call #6: Review interim interview finds; adjust interview guide.
      • Call #7: Use interview findings to validate/update persona and build journey map.
      • Call #8: Add supporting analysts to final stakeholder review.

      Prepare Communications and Educate Stakeholders

      • Call #9: Review output templates completed with final persona and journey findings.
      • Call #10: Add supporting analysts to stakeholder education meetings for support and help with addressing questions/issues.

      Workshop overview

      Contact your account representative for more information. workshops@infotech.com 1-888-670-8889

      Day1 Day 2 Day 3 Day 4 Day 5
      Align Team, Identify Persona, and Document Current Knowledge Validate Initial Work and Identify Buyer Interviewees Schedule and Hold Buyer interviews Summarize Findings and Provide Actionable Guidance to Colleagues Measure Impact and Results
      Activities

      1.1 Outline a vision for buyer persona and journey creation and identify stakeholders.

      1.2 Identify buyer persona choices and settle on an initial target.

      1.3 Document team knowledge about buyer persona (and journey where possible).

      2.1 Share initial insights with covering industry analyst.

      2.2 Hear from industry analyst their perspectives on the buyer persona attributes.

      2.3 Reconcile differences; update “current understanding.”

      2.4 Identify interviewee types by segment, region, etc.

      3.1 Identify actual list of 15-20 interviewees.

      A gap of up to a week for scheduling of interviews.

      3.2 Hold interviews and use interview guides (over the course of weeks).

      3.3 Hold review session after initial 3-4 interviews to make adjustments.

      3.4 Complete interviews.

      4.1 Summarize findings.

      4.2 Create action items for supporting team, e.g. messaging, touch points, media spend, assets.

      4.3 Convene steering committee/exec. and working team for final review.

      4.4 Schedule meetings with colleagues to action results.

      5.1 Review final copy, assets, launch/campaign plans, etc.

      5.2 Develop/review implementation plan.

      A period of weeks will likely intervene to execute and gather results.

      5.3 Reconvene team to review results.

      Deliverables
      1. Documented steering committee and working team
      2. Executive Brief on personas and journey
      3. Personas and initial targets
      4. Documented team knowledge
      1. Analyst-validated initial findings
      2. Target interviewee types
      1. List of interviewees; calls scheduled
      2. Initial review – “are we going in the right direction?”
      3. Completed interviews
      1. Complete findings
      2. Action items for team members
      3. Plan for activation
      1. Activation review
      2. List of suggested next steps

      Phase 1
      Drive an Aligned Initial Draft of Buyer Persona

      This Phase walks you through the following activities:

      • Develop an understanding of what comprises a buyer persona and journey, including their importance to overall go-to-market strategy and execution.
      • Sample outputs.

      This Phase involves the following stakeholders:

      • Program leadership
      • Product Marketing
      • Product Management
      • Representative(s) from Sales
      • Executive Leadership

      1.1 Establish the team and align on shared vision

      Input

      • Typically a joint recognition that buyer personas have not been fully documented.
      • Identify working team members/participants (see below), and an executive sponsor.

      Output

      • Communication of team members involved and the make-up of steering committee and working team
      • Alignment of team members on a shared vision of “Why Build Buyer Personas and Journey” and what key attributes define both.

      Materials

      • N/A

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • CMO/Sponsoring Executive Working Team – typically representatives in Product Marketing, Product Management, and Sales
      • SoftwareReviews marketing analyst

      60 minutes

      1. Schedule inquiry with working team members and walk the team through the Buyer Persona and Journey Executive Brief PowerPoint presentation.
      2. Optional: Have the (SoftwareReviews Advisory) SRA analyst walk the team through the Buyer Persona and Journey Executive Brief PowerPoint presentation as part of your session.

      Review the Create a Buyer Persona Executive Brief (Slides 3-14)

      1.2 Document team knowledge of buyer persona

      Input

      • Working team member knowledge

      Output

      • Initial draft of your buyer persona

      Materials

      • Buyer Persona Creation Template

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • CMO/Sponsoring Executive (optional)
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales

      2-3 sessions of 60 minutes each

      1. Schedule meeting with working team members and, using the Buyer Persona Template, lead the team in a discussion that documents current team knowledge of the target buyer persona.
      2. Lead the team to prioritize an initial, single, most important persona and to collaborate to complete the template (and later, the buyer journey). Once the team learns the process for working on the initial persona, the development of additional personas will become more efficient.
      3. Place the PowerPoint template in a shared drive for team collaboration. Expect to schedule several 60-minute meets. Quicken collaboration by encouraging team to “do their homework” by sharing persona knowledge within the shared drive version of the template. Your goal is to get to an initial agreed upon version that can be shared for additional validation with industry analyst(s) in the next step.

      Download the Buyer Persona Creation Template

      1.3 Validate with industry analysts

      Input

      • Identify gaps in persona from previous steps

      Output

      • Further validated buyer persona

      Materials

      • Bring your Buyer Persona Creation Template to the meeting to share with analysts

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • CMO/Sponsoring Executive (Optional)
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales
      • Info-Tech analyst covering your product category and SoftwareReviews marketing analyst

      30 minutes

      1. Schedule meeting with working team members and discuss which persona areas require further validation from an Info-Tech analyst who has worked closely with those buyers within your persona.

      60 minutes

      1. Schedule an inquiry with the appropriate Info-Tech analyst and SoftwareReviews Advisory analyst to share current findings and see:
        1. Info-Tech analyst provide content feedback given what they know about your target persona and product category.
        2. SoftwareReviews Advisory analyst provide feedback on persona approach and to coach any gaps or important omissions.
      2. Tabulate results and update your persona summary. At this point you will likely require additional validation through interviews with customers and prospects.

      1.4 Identify interviewees and prepare for interviews

      Input

      • Identify segments within which you require persona knowledge
      • Understand your persona insight gaps

      Output

      • List of interviewees

      Materials

      • Interviewee recording template on following slide
      • Interview guide questions found within the Buyer Persona and Journey Interview Guide and data Capture Tool

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales

      1-2 weeks

      1. Identify the types of customers and prospects that will best represent your target persona. Choose interviewees that when interviewed will inform key differences among key segments (geographies, company size, mix of customers and prospects, etc.).
      2. Recruit interviewees and schedule interviews for 45 minutes.
      3. Keep track of Interviewees using the slide following this one.
      4. In preparation for interviews, review the Buyer Persona and Journey Interview Guide and Data Capture Tool. Review the two sets of questions:
        1. Buyer Persona-Related – use to validate areas where you still have gaps in your persona, OR if you are starting with a blank persona and wish to build your personas entirely based on customer and prospect interviews.
        2. Buyer-Journey Related, which we will focus on in the next phase.

      Download the Buyer Persona and Journey Interview Guide and Data Capture Tool

      The image shows a table titled ‘Interviewee List.’ A note next to the title indicates: Here you will document your interviewee list and outreach plan. A note in the Segment column indicates: Ensure you are interviewing personas across segments that will give you the insights you need, e.g. by size, by region, mix of customers and prospects. A note in the Title column reads: Vary your title types up or down in the “buying center” if you are seeking to strengthen buying center dynamics understanding. A note in the Roles column reads: Vary your role types according to decision-making roles (decision maker, influencer, ratifier, coach, user) if you are seeking to strengthen decision-making dynamics understanding.

      Phase 2
      Interview Buyers and Validate Persona and Journey

      This Phase walks you through the following activities:

      • Developing final interview guide.
      • Interviewing buyers and customers.
      • Adjusting approach.
      • Validating buyer persona.
      • Crafting buyer journey
      • Gaining analyst feedback.

      This Phase involves the following stakeholders:

      • Program leadership
      • Product Marketing
      • Representative(s) from Sales

      2.1 Hold interviews

      Input

      • List of interviewees
      • Final list of questions

      Output

      • Buyer perspectives on their personas and buyer journeys

      Materials

      • Buyer Persona and Journey Interview Guide and data Capture Tool

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales

      1-2 weeks

      1. Hold interviews and adjust your interviewing approach as you go along. Uncover where you are not getting the right answers, check with working team and analysts, and adjust.

      Download the Buyer Persona and Journey Interview Guide and Data Capture Tool

      2.2 Use interview findings to validate what’s needed for activation

      Input

      • List of interviewees
      • Final list of questions

      Output

      • Buyer perspectives on their personas and buyer journeys
      • Stakeholder feedback that actionable insights are resulting from interviews

      Materials

      • Buyer Persona Creation Template
      • Buyer Persona and Journey Interview Guide and Data Capture Tool

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales
      • SoftwareReviews marketing analyst

      2 hours

      1. Convene your team, with marketing analysts, and test early findings: It’s wise to test initial interview results to check that you are getting the right insights to understand and validate key challenges, pain points, needs, and other vital areas pertaining to the buyer persona. Are the answers you are getting enabling you to complete the Summary slides for later communications and training for Sales?
      2. Check when doing buyer journey interviews that you are getting actionable answers that drive messaging, what asset types are needed, what the marketing channel mix is, and other vital insights to activate the results. Are the answers you are getting adequate to give guidance to campaigners, content marketers, and sales enablement?
      3. See the following slides for detailed questions that need to be answered satisfactorily by your team members that need to “activate” the results.

      Download the Buyer Persona and Journey Interview Guide and Data Capture Tool

      2.2.1 Are you getting what you need from interviews to inform the buyer persona?

      Test that you are on the right track:

      1. Are you getting the functional answers so you can guide sellers to the right roles? Can you guide marketers/campaigners to the right “Ideal Customer Profile” for lead scoring?
      2. Are you capturing the right emotive areas that will support message crafting? Solutioning? SEM/SEO?
      3. Are you capturing insights into “how they decide” so sellers are well informed on the decision-making dynamics?
      4. Are you getting a strong understanding of content, interaction preferences, and news and information sources so sellers can outreach more effectively, you can pinpoint media spend, and content marketing can create the right assets?
      Functional – “to find them”
      Job Role Title Org. Chart Dynamics Buying Center Firmographics
      Emotive – “what they do and jobs to be done”
      Initiatives: What programs/projects the persona is tasked with and their feelings and aspirations about these initiatives. Motivations? Build credibility? Get promoted? Challenges: Identify the business issues, problems, and pain points that impede attainment of objectives. What are their fears, uncertainties, and doubts about these challenges? Buyer Need: They may have multiple needs; which need is most likely met with the offering? Terminology: What are the keywords/phrases they organically use to discuss the buyer need or business issue?
      Decision Criteria – “how they decide”
      Buyer Role: List decision-making criteria and power level. The five common buyer roles are champion, influencer, decision maker, user, and ratifier (purchaser/negotiator). Evaluation and Decision Criteria: Which lens – strategic, financial, or operational – does the persona evaluate the impact of purchase through?
      Solution Attributes – “what does the ideal solution look like”
      Steps in “Jobs to Be Done” Elements of the “Ideal Solution” Business outcomes from ideal solution Opportunity scope; other potential users Acceptable price for value delivered Alternatives that see consideration Solution sourcing: channel, where to buy
      Behavioral Attributes – “how to approach them successfully”
      Content Preferences: List the persona’s content preferences – blog, infographic, demo, video – vs. long-form assets (e.g. white paper, presentation, analyst report). Interaction Preferences: Which are preferred among in-person meetings, phone calls, emails, videoconferencing, conducting research via Web, mobile, and social? Watering Holes: Which physical or virtual places do they go to network or exchange info with peers (e.g. LinkedIn)?

      2.2.2 Are you getting what you need from interviews to support the buyer journey?

      Our approach helps you define the buyer journey

      Because marketing leaders need to reach buyers through the right channel with the right message at the right time during their decision cycle, you’ll benefit by using questionnaires that enable you to build the below easily and quickly.

      2.3 Continue interviews

      Input

      • Final adjustments to list of interview questions

      Output

      • Final buyer perspectives on their personas and buyer journeys

      Materials

      • Buyer Persona Creation Template
      • Buyer Persona and Journey Interview Guide and data Capture Tool

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales

      1-2 weeks

      1. Continue customer and prospect interviews.
      2. Ensure you are gaining the segment perspectives needed.
      3. Complete the “Summary” columns within the Buyer Persona and Journey Interview Guide and Data Capture Tool.

      Download the Buyer Persona and Journey Interview Guide and Data Capture Tool

      Phase 3
      Prepare Communications and Educate Stakeholders

      This Phase walks you through the following activities:

      • Creating outputs for key stakeholders
      • Communicating final findings and supporting marketing, sales, and product activation.

      This Phase involves the following stakeholders:

      • Program leadership
      • Product Marketing
      • Product Management
      • Sales
      • Field Marketing/Campaign Management
      • Executive Leadership

      3.1 Summarize interview results and convene full working team and steering committee for final review

      Input

      • Buyer persona and journey interviews detail

      Output

      • Buyer perspectives on their personas and buyer journeys

      Materials

      • Buyer Persona and Journey Interview Guide and Data Capture Tool
      • Buyer Persona and Journey Summary Template

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • CMO/Sponsoring Executive (Optional)
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales
      • SoftwareReviews marketing analyst

      1-2 hours

      1. Summarize interview results within the Buyer Persona and Journey Summary Template.

      Download the Buyer Persona and Journey Interview Guide and Data Capture Tool

      Download the Buyer Persona and Journey Summary Template

      3.2 Convene executive steering committee and working team to review results

      Input

      • Buyer persona and journey interviews summary

      Output

      • Buyer perspectives on their personas and buyer journeys

      Materials

      • Buyer Persona and Journey Summary Template

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales

      1-2 hours

      1. Present final persona and journey results to the steering committee/executives and to working group using the summary slides interview results within the Buyer Persona and Journey Summary Template to finalize results.

      Download the Buyer Persona and Journey Summary Template

      3.3 Convene stakeholder meetings to activate results

      Input

      • Buyer persona and journey interviews summary

      Output

      Activation of key learnings to drive:

      • Better product –market fit
      • Lead gen
      • Sales effectiveness
      • Awareness

      Materials

      • Buyer Persona and Journey Summary Template

      Participants

      • Initiative Manager – individual leading the buyer persona and journey initiative
      • Working Team – typically representatives in Product Marketing, Product Management, and Sales
      • Stakeholder team members (see left)

      4-5 hours

      Present final persona and journey results to each stakeholder team. Key presentations include:

      1. Product team to validate product market fit.
      2. Content marketing to provide messaging direction for the creation of awareness and lead gen assets.
      3. Campaigners/Field Marketing for campaign-related messaging and to identify asset types required to be designed and delivered to support the buyer journey.
      4. Social media strategists for social post copy, and PR for other awareness-building copy.
      5. Sales enablement/training to enable updating of sales collateral, proposals, and sales training materials. Sellers to help with their targeting, prospecting, and crafting of outbound messaging and talk tracks.

      Download the Buyer Persona and Journey Summary Template

      Summary of Accomplishment

      Problem Solved

      With the help of this blueprint, you have deepened your and your colleagues’ buyer understanding at both the persona “who they are” level and the buyer journey “how do they buy” level. You are among the minority of marketing leaders that have fully documented a buyer persona and journey – congratulations!

      The benefits of having led your team through the process are significant and include the following:

      • Better alignment of customer/buyer-facing teams such as in product, marketing, sales, and customer success.
      • Messaging that can be used by marketing, sales, and social teams that will resonate with buyer initiatives, pain points, sought-after “pain relief,” and value.
      • Places in the digital and physical universe where your prospects “hang out” so you can optimize your media spend.
      • More effective use of marketing assets and sales collateral that align with the way your prospect needs to consume information throughout their buyer journey to make a decision in your solution area.

      And by capturing and documenting your buyer persona and journey even for a single buyer type, you have started to build the “institutional strength” to apply the process to other roles in the decision-making process or for when you go after new and different buyer types for new products. And finally, by bringing your team along with you in this process, you have also led your team in becoming a more customer-focused organization – a strategic shift that all organizations should pursue.

      If you would like additional support, contact us and we’ll make sure you get the professional expertise you need.

      Contact your account representative for more information.

      info@softwarereviews.com

      1-888-670-8889

      Related Software Reviews Research

      Optimize Lead Generation With Lead Scoring

      • Save time and money and improve your sales win rates when you apply our methodology to score contacts with your lead gen engine more accurately and pass better qualified leads over to your sellers.
      • Our methodology teaches marketers to develop your own lead scoring approach based upon lead/contact profile vs. your Ideal Customer Profile (ICP) and scores contact engagement. Applying the methodology to arrive at your own approach to scoring will mean reduced lead gen costs, higher conversion rates, and increased marketing-influenced wins.

      Bibliography

      Bilardi, Emma. “How to Create Buyer Personas.” Product Marketing Alliance, July 2020. Accessed Dec. 2021.

      Harrison, Liz, Dennis Spillecke, Jennifer Stanley, and Jenny Tsai. “Omnichannel in B2B sales: The new normal in a year that has been anything but.” McKinsey & Company, 15 March 2021. Accessed Dec. 2021.

      Jansen, Hasse. “Buyer Personas – 33 Mind Blowing Stats.” Boardview.io!, 19 Feb. 2016. Accessed Jan. 2022.

      Raynor, Lilah. “Understanding The Changing B2B Buyer Journey.” Forbes Agency Council, 18 July 2021. Accessed Dec. 2021.

      Simpson, Jon. “Finding Your Audience: The Importance of Developing a Buyer Persona.” Forbes Agency Council, 16 May 2017. Accessed Dec. 2021.

      “Successfully Executing Personalized Marketing Campaigns at Scale.” Plexure, 6 Jan. 2020. Accessed Dec 2020.

      Ulwick, Anthony W. JOBS TO BE DONE: Theory to Practice. E-book, Strategyn, 1 Jan. 2017. Accessed Jan. 2022.

      Effectively Acquire Infrastructure Services

      • Buy Link or Shortcode: {j2store}467|cart{/j2store}
      • member rating overall impact (scale of 10): 9.6/10 Overall Impact
      • member rating average dollars saved: $26,627 Average $ Saved
      • member rating average days saved: 12 Average Days Saved
      • Parent Category Name: Data Center & Facilities Optimization
      • Parent Category Link: /data-center-and-facilities-optimization
      • Most organizations are good at procuring IT products, but few are truly good at acquiring infrastructure services.
      • The lack of expertise in acquiring services is problematic – not only is the acquisition process for services more complex, but it also often has high stakes with large deal sizes, long-term contracts, and high switching costs.

      Our Advice

      Critical Insight

      • Don’t treat infrastructure service acquisitions lightly. Not only are failure rates high, but the stakes are high as well.
      • Make sure your RFP strategy aligns with your deal value. Large deals, characterized by high monthly spend, high criticality to the organization, and high switching costs, warrant a more thorough and lengthy planning period and RFP process.
      • Word your RFP carefully and do your due diligence when reviewing SLAs. Make sure your RFP will help you understand what the vendor’s standard offerings are and don’t treat your service level agreements like an open negotiation. The vendor’s standard offerings will be your most reliable options.

      Impact and Result

      • Follow this blueprint to avoid common pitfalls and navigate the tricky business of acquiring infrastructure services.
      • This blueprint will provide step-by-step guidance from assessing your acquisition goals to transitioning your service. Make sure you do the due diligence required to acquire the best service for your needs.

      Effectively Acquire Infrastructure Services Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should follow the blueprint to effectively acquire infrastructure services, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Develop the procurement strategy and process

      Kick off an acquisition by establishing acquisition goals, validating the decision to acquire a service, and structuring an acquisition approach. There are several RFP approaches and strategies – evaluate the options and develop one that aligns with the nature of the acquisition.

      • Effectively Acquire Infrastructure Services – Phase 1: Develop the Procurement Strategy and Process

      2. Assess requirements and build the RFP

      A solid RFP is critical to the success of this project. Assess the current and future requirements, examine the characteristics of an effective RFP, and develop an RFP.

      • Effectively Acquire Infrastructure Services – Phase 2: Assess Requirements and Build the RFP
      • Infrastructure Service RFP Template

      3. Manage vendor questions and select the vendor

      Manage the activities surrounding vendor questions and score the RFP responses to select the best-fit solution.

      • Effectively Acquire Infrastructure Services – Phase 3: Manage Vendor Questions and Select the Vendor
      • Vendor Question Organizer Template
      • Infrastructure Outsourcing RFP Scoring Tool

      4. Manage the contract, transition, and vendor

      Perform due diligence in reviewing the SLAs and contract before signing. Plan to transition the service into the environment and manage the vendor on an ongoing basis for a successful partnership.

      • Effectively Acquire Infrastructure Services – Phase 4: Manage the Contract, Transition, and Vendor
      • Service Acquisition Planning and Tracking Tool
      • Vendor Management Template
      [infographic]

      Workshop: Effectively Acquire Infrastructure Services

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Develop the Procurement Strategy and Process

      The Purpose

      Establish procurement goals and success metrics.

      Develop a projected acquisition timeline.

      Establish the RFP approach and strategy.

      Key Benefits Achieved

      Defined acquisition approach and timeline.

      Activities

      1.1 Establish your acquisition goals.

      1.2 Establish your success metrics.

      1.3 Develop a projected acquisition timeline.

      1.4 Establish your RFP process and refine your RFP timeline.

      Outputs

      Acquisition goals

      Success metrics

      Acquisition timeline

      RFP strategy and approach

      2 Gather Service Requirements

      The Purpose

      Gather requirements for services to build into the RFP.

      Key Benefits Achieved

      Gathered requirements.

      Activities

      2.1 Assess the current state.

      2.2 Evaluate service requirements and targets.

      2.3 Assess the gap and validate the service acquisition.

      2.4 Define requirements to input into the RFP.

      Outputs

      Current State Assessment

      Service requirements

      Validation of services being acquired and key processes that may need to change

      Requirements to input into the RFP

      3 Develop the RFP

      The Purpose

      Build the RFP.

      Key Benefits Achieved

      RFP development.

      Activities

      3.1 Build the RFP requirement section.

      3.2 Develop the rest of the RFP.

      Outputs

      Service requirements input into the RFP

      Completed RFP

      4 Review RFP Responses and Select a Vendor (Off-Site)

      The Purpose

      Review RFP responses to select the best solution for the acquisition.

      Key Benefits Achieved

      Vendor selected.

      Activities

      4.1 Manage vendor questions regarding the RFP.

      4.2 Review RFP responses and shortlist the vendors.

      4.3 Conduct additional due diligence on the vendors.

      4.4 Select a vendor.

      Outputs

      Managed RFP activities

      Imperceptive scoring of RFP responses and ranking of vendors

      Additional due diligence and further questions for the vendor

      Selected vendor

      Enterprise Network Design Considerations

      • Buy Link or Shortcode: {j2store}502|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Network Management
      • Parent Category Link: /network-management

      Security, risk, and trust models play into how networks are designed and deployed. If these models are not considered during network design, band-aids and workarounds will be deployed to achieve the needed goals, potentially bypassing network controls.

      Our Advice

      Critical Insight

      The cloud “gold rush” has made it attractive for many enterprises to migrate services off the traditional network and into the cloud. These services are now outside of the traditional network and associated controls. This shifts the split of east-west vs. north-south traffic patterns, as well as extending the network to encompass services outside of enterprise IT’s locus of control.

      Impact and Result

      Where users access enterprise data or services and from which devices dictate the connectivity needed. With the increasing shift of work that the business is completing remotely, not all devices and data paths will be under the control of IT. This shift does not allow IT to abdicate from the responsibility to provide a secure network.

      Enterprise Network Design Considerations Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Enterprise Network Design Considerations Deck – A brief deck that outlines key trusts and archetypes when considering enterprise network designs.

      This blueprint will help you:

      • Enterprise Network Design Considerations Storyboard

      2. Enterprise Network Roadmap Technology Assessment Tool – Build an infrastructure assessment in an hour.

      Dispense with detailed analysis and customizations to present a quick snapshot of the road ahead.

      • Enterprise Network Roadmap Technology Assessment Tool
      [infographic]

      Further reading

      Enterprise Network Design Considerations

      It is not just about connectivity.

      Executive Summary

      Info-Tech Insight

      Connectivity and security are tightly coupled

      Security, risk, and trust models play into how networks are designed and deployed. If these models are not considered during network design, band-aids and workarounds will be deployed to achieve the needed goals, potentially bypassing network controls.

      Many services are no longer within the network

      The cloud “gold rush” has made it attractive for many enterprises to migrate services off the traditional network and into the cloud. These services are now outside of the traditional network and associated controls. This shifts the split of east-west vs. north-south traffic patterns, as well as extending the network to encompass services outside of enterprise IT’s locus of control.

      Users are demanding an anywhere, any device access model

      Where users access enterprise data or services and from which devices dictate the connectivity needed. With the increasing shift of work that the business is completing remotely, not all devices and data paths will be under the control of IT. This shift does not allow IT to abdicate from the responsibility to provide a secure network.

      Enterprise networks are changing

      The new network reality

      The enterprise network of 2020 and beyond is changing:

      • Services are becoming more distributed.
      • The number of services provided “off network” is growing.
      • Users are more often remote.
      • Security threats are rapidly escalating.

      The above statements are all accurate for enterprise networks, though each potentially to differing levels depending on the business being supported by the network. Depending on how affected the network in question currently is and will be in the near future, there are different common network archetypes that are best able to address these concerns while delivering business value at an appropriate price point.

      High-Level Design Considerations

      1. Understand Business Needs
      2. Understand what the business needs are and where users and resources are located.

      3. Define Your Trust Model
      4. Trust is a spectrum and tied tightly to security.

      5. Align With an Archetype
      6. How will the network be deployed?

      7. Understand Available Tooling
      8. What tools are in the market to help achieve design principles?

      Understand business needs

      Mission

      Never ignore the basics. Start with revisiting the mission and vision of the business to address relevant needs.

      Users

      Identify where users will be accessing services from. Remote vs. “on net” is a design consideration now more than ever.

      Resources

      Identify required resources and their locations, on net vs. cloud.

      Controls

      Identify required controls in order to define control points and solutions.

      Define a trust model

      Trust is a spectrum

      • There is a spectrum of trust, from fully trusted to not trusted at all. Each organization must decide for their network (or each area thereof) the appropriate level of trust to assign.
      • The ease of network design and deployment is directly proportional to the trust spectrum.
      • When resources and users are outside of direct IT control, the level of appropriate trust should be examined closely.

      Implicit

      Trust everything within the network. Security is perimeter based and designed to stop external actors from entering the large trusted zone.

      Controlled

      Multiple zones of trust within the network. Segmentation is a standard practice to separate areas of higher and lower trust.

      Zero

      Verify trust. The network is set up to recognize and support the principle of least privilege where only required access is supported.

      Align with an archetype

      Archetypes are a good guide

      • Using a defined archetype as a guiding principle in network design can help clarify appropriate tools or network structures.
      • Different aspects of a network can have different archetypes where appropriate (e.g. IT vs. OT [operational technology] networks).

      Traditional

      Services are provided from within the traditional network boundaries and security is provided at the network edge.

      Hybrid

      Services are provided both externally and from within the traditional network boundaries, and security is primarily at the network edge.

      Inverted

      Services are provided primarily externally, and security is cloud centric.

      Traditional networks

      Resources within network boundaries

      Moat and castle security perimeter

      Abstract

      A traditional network is one in which there are clear boundaries defined by a security perimeter. Trust can be applied within the network boundaries as appropriate, and traffic is generally routed through internally deployed control points that may be centralized. Traditional networks commonly include large firewalls and other “big iron” security and control devices.

      Network Design Tenets

      • The full network path from resource to user is designed, deployed, and controlled by IT.
      • Users external to the network must first connect to the network to gain access to resources.
      • Security, risk, and trust controls will be implemented by internal enterprise hardware/software devices.

      Control

      In the traditional network, it is assumed that all required control points can be adequately deployed across hardware/software that is “on prem” and under the control of central IT.

      Info-Tech Insight

      With increased cloud services provided to end users, this network is now more commonly used in data centers or OT networks.

      Traditional networks

      The image contains an example of what traditional networks look like, as described in the text below.

      Defining Characteristics

      • Traffic flows in a defined path under the control of IT to and from central IT resources.
      • Due to visibility into, and the control of, the traffic between the end user and resources, IT can relatively simply implement the required security controls on owned hardware.

      Common Components

      • Traditional offices
      • Remote users/road warriors
      • Private data center/colocation space

      Hybrid networks

      Resources internal and external to network

      Network security perimeter combined with cloud protection

      Abstract

      A hybrid network is one that combines elements of a traditional network with cloud resources. As some of these resources are not fully under the control of IT and may be completely “offnet” or loosely coupled to the on-premises network, the security boundaries and control points are less likely to be centralized. Hybrid networks allow the flexibility and speed of cloud deployment without leaving behind traditional network constructs. This generally makes them expensive to secure and maintain.

      Network Design Tenets

      • The network path from resource to user may not be in IT’s locus of control.
      • Users external to the network must first connect to the network to gain access to internal resources but may directly access publicly hosted ones.
      • Security, risk, and trust controls may potentially be implemented by a mixture of internal enterprise hardware/software devices and external control points.

      Control

      The hallmark of a hybrid network is the blending of public and private resources. This blending tends to necessitate both public and private points of control that may not be homogenous.

      Info-Tech Insight

      With multiple control points to address, take care in simplifying designs while addressing all concerns to ease operational load.

      Hybrid networks

      The image contains an example of what hybrid networks look like, as described in the text below.

      Defining Characteristics

      • Traffic flows to central resources across a defined path under the control of IT.
      • Traffic to cloud assets may be partially under the control of IT.
      • For central resources, the traffic to and from the end user can have the required security controls relatively simply implemented on owned hardware.
      • For public cloud assets, IT may or may not have some control over part of the path.

      Common Components

      • Traditional offices
      • Remote users/road warriors
      • Private data center/colocation space
      • Public cloud assets (IaaS/PaaS/SaaS)

      Inverted perimeter

      Resources primarily external to the network

      Security control points are cloud centric

      Abstract

      An inverted perimeter network is one in which security and control points cover the entire workflow, on or off net, from the consumer of services through to the services themselves with zero trust. Since the control plane is designed to encompass the workflow in a secure manner, much of the underlying connectivity can be abstracted. In an extreme version of this deployment, IT would abstract end-user access, and any cloud-based or on-premises resources would be securely published through the control plane with context-aware precision access.

      Network Design Tenets

      • The network path from resource to user is abstracted and controlled by IT through services like secure access service edge (SASE).
      • Users only need internet access and appropriate credentials to gain access to resources.
      • Security, risk, and trust controls will be implemented through external cloud based services.

      Control

      An inverted network abstracts the lower-layer connectivity away and focuses on implementing a cloud-based zero trust control plane.

      Info-Tech Insight

      This model is extremely attractive for organizations that consume primarily cloud services and have a large remote work force.

      Inverted networks

      The image contains an example of what inverted networks look like, as described in the text below.

      Defining Characteristics

      • The end user does not have to be in a defined location.
      • All central resources that are to be accessed are hosted on cloud resources.
      • IT has little to no control of the path between the end user and central resources.

      Common Components

      • Traditional offices
      • Regent offices/shared workspaces
      • Remote users/road warriors
      • Public cloud assets (IaaS/PaaS/SaaS)

      Understand available tooling

      Don’t buy a hammer and go looking for nails

      • A network archetype must be defined in order to understand what tools (hardware or software) are appropriate for consideration in a network build or refresh.
      • Tools are purpose built and generally designed to solve specific problems if implemented and operated correctly. Choose the tools to align with the challenges that you are solving as opposed to choosing tools and then trying to use those purchases to overcome challenges.
      • The purchase of a tool does not allow for abdication of proper design. Tools must be chosen appropriately and integrated properly to orchestrate the best solutions. Purchasing a tool and expecting the tool to solve all your issues rarely succeeds.

      “It is essential to have good tools, but it is also essential that the tools should be used in the right way.” — Wallace D. Wattles

      Software-defined WAN (SD-WAN)

      Simplified branch office connectivity

      Archetype Value: Traditional Networks

      What It Is Not

      SD-WAN is generally not a way to slash spending by lowering WAN circuit costs. Though it is traditionally deployed across lower cost access, to minimize risk and realize the most benefits from the platform many organizations install multiple circuits with greater bandwidths at each endpoint when replacing the more costly traditional circuits. Though this maximizes the value of the technology investment, it will result in the end cost being similar to the traditional cost plus or minus a small percentage.

      What It Is

      SD-WAN is a subset of software-defined networking (SDN) designed specifically to deploy a secure, centrally managed, connectivity agnostic, overlay network connecting multiple office locations. This technology can be used to replace, work in concert with, or augment more traditional costly connectivity such as MPLS or private point to point (PtP) circuits. In addition to the secure overlay, SD-WAN usually also enables policy-based, intelligent controls, based on traffic and circuit intelligence.

      Why Use It

      You have multiple endpoint locations connected by expensive lower bandwidth traditional circuits. Your target is to increase visibility and control while controlling costs if and where possible. Ease of centralized management and the ability to more rapidly turn up new locations are attractive.

      Cloud access security broker (CASB)

      Inline policy enforcement placed between users and cloud services

      Archetype Value: Hybrid Networks

      What It Is Not

      CASBs do not provide network protection; they are designed to provide compliance and enforcement of rules. Though CASBs are designed to give visibility and control into cloud traffic, they have limits to the data that they generally ingest and utilize. A CASB does not gather or report on cloud usage details, licencing information, financial costing, or whether the cloud resource usage is aligned with the deployment purpose.

      What It Is

      A CASB is designed to establish security controls beyond a company’s environment. It is commonly deployed to augment traditional solutions to extend visibility and control into the cloud. To protect assets in the cloud, CASBs are designed to provide central policy control and apply services primarily in the areas of visibility, data security, threat protection, and compliance.

      Why Use It

      You a mixture of on-premises and cloud assets. In moving assets out to the cloud, you have lost the traditional controls that were implemented in the data center. You now need to have visibility and apply controls to the usage of these cloud assets.

      Secure access service edge (SASE)

      Convergence of security and service access in the cloud

      Archetype Value: Inverted Networks

      What It Is Not

      Though the service will consist of many service offerings, SASE is not multiple services strung together. To present the value proposed by this platform, all functionality proposed must be provided by a single platform under a “single pane of glass.” SASE is not a mature and well-established service. The market is still solidifying, and the full-service definition remains somewhat fluid.

      What It Is

      SASE exists at the intersection of network-as-a-service and network-security-as-a-service. It is a superset of many network and security cloud offerings such as CASB, secure web gateway, SD-WAN, and WAN optimization. Any services offered by a SASE provider will be cloud hosted, presented in a single stack, and controlled through a single pane of glass.

      Why Use It

      Your network is inverting, and services are provided primarily as cloud assets. In a full realization of this deployment’s value, you would abstract how and where users gain initial network access yet remain in control of the communications and data flow.

      Activity

      Understand your enterprise network options

      Activity: Network assessment in an hour

      • Learn about the Enterprise Network Roadmap Technology Assessment Tool
      • Complete the Enterprise Network Roadmap Technology Assessment Tool

      This activity involves the following participants:

      • IT strategic direction decision makers.
      • IT managers responsible for network.
      • Organizations evaluating platforms for mission critical applications.

      Outcomes of this step:

      • Completed Enterprise Network Roadmap Technology Assessment Tool

      Info-Tech Insight

      Review your design options with security and compliance in mind. Infrastructure is no longer a standalone entity and now tightly integrates with software-defined networks and security solutions.

      Build an assessment in an hour

      Learn about the Enterprise Network Roadmap Technology Assessment Tool.

      This workbook provides a high-level analysis of a technology’s readiness for adoption based on your organization’s needs.

      • The workbook then places the technology on a graph that measures both the readiness and fit for your organization. In addition, it provides warnings for specific issues and lets you know if you have considerable uncertainty in your answers.
      • At a glance you can now communicate what you are doing to help the company:
        • Grow
        • Save money
        • Reduce risk
      • Regardless of your specific audience, these are important stories to be able to tell.
      The image contains three screenshots from the Enterprise Network Roadmap Technology Assessment Tool.

      Build an assessment in an hour

      Complete the Enterprise Network Roadmap Technology Assessment Tool.

      Dispense with detailed analysis and customizations to present a quick snapshot of the road ahead.

      1. Weightings: Adjust the Weighting tab to meet organizational needs. The provided weightings for the overall solution areas are based on a generic firm; individual firms will have different needs.
      2. Data Entry: For each category, answer the questions for the technology you are considering. When you have completed the questionnaire, go to the next tab for the results.
      3. Results: The Enterprise Network Roadmap Technology Assessment Tool provides a value versus readiness assessment of your chosen technology customized to your organization.

      The image contains three screenshots from the Enterprise Network Roadmap Technology Assessment Tool. It has a screenshot for each step as described in the text above.

      Related Info-Tech Research

      Effectively Acquire Infrastructure Services

      Acquiring a service is like buying an experience. Don’t confuse the simplicity of buying hardware with buying an experience.

      Outsource IT Infrastructure to Improve System Availability, Reliability, and Recovery

      There are very few IT infrastructure components you should be housing internally – outsource everything else.

      Build Your Infrastructure Roadmap

      Move beyond alignment: Put yourself in the driver’s seat for true business value.

      Drive Successful Sourcing Outcomes With a Robust RFP Process

      Leverage your vendor sourcing process to get better results.

      Research Authors

      The image contains a photo of Scott Young.

      Scott Young, Principal Research Advisor, Info-Tech Research Group

      Scott Young is a Director of Infrastructure Research at Info-Tech Research Group. Scott has worked in the technology field for over 17 years, with a strong focus on telecommunications and enterprise infrastructure architecture. He brings extensive practical experience in these areas of specialization, including IP networks, server hardware and OS, storage, and virtualization.

      The image contains a photo of Troy Cheeseman.

      Troy Cheeseman, Practice Lead, Info-Tech Research Group

      Troy has over 24 years of experience and has championed large enterprise-wide technology transformation programs, remote/home office collaboration and remote work strategies, BCP, IT DRP, IT operations and expense management programs, international right placement initiatives, and large technology transformation initiatives (M&A). Additionally, he has deep experience working with IT solution providers and technology (cloud) startups.

      Bibliography

      Ahlgren, Bengt. “Design considerations for a network of information.” ACM Digital Library, 21 Dec. 2008.

      Cox Business. “Digital transformation is here. Is your business ready to upgrade your mobile work equation?” BizJournals, 1 April 2022. Accessed April 2022.

      Elmore, Ed. “Benefits of integrating security and networking with SASE.” Tech Radar, 1 April 2022. Web.

      Greenfield, Dave. “From SD-WAN to SASE: How the WAN Evolution is Progressing.” Cato Networks, 19 May 2020. Web

      Korolov, Maria. “What is SASE? A cloud service that marries SD-WAN with security.” Network World, 7 Sept. 2020. Web.

      Korzeniowski, Paul, “CASB tools evolve to meet broader set of cloud security needs.” TechTarget, 26 July 2019. Accessed March 2022.

      Applications Priorities 2022

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      • Parent Category Name: Architecture & Strategy
      • Parent Category Link: /architecture-and-strategy

      There is always more work than hours in the day. IT often feels understaffed and doesn’t know how to get it all done. Trying to satisfy all the requests results in everyone getting a small piece of the pie and in users being dissatisfied.

      Our Advice

      Critical Insight

      Focusing on one initiative will allow leaders to move the needle on what is important.

      Impact and Result

      Focus on the big picture, leveraging Info-Tech’s blueprints. By increasing maturity and efficiency, IT staff can spend more time on value-added activities.

      Applications Priorities 2022 Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Applications Priorities 2022 – A deck that discusses the five priorities we are seeing among Applications leaders.

      There is always more work than hours in the day. IT often feels understaffed and doesn’t know how to get it all done. Trying to satisfy all the requests results in everyone getting a small piece of the pie and in users being dissatisfied. Use Info-Tech's Applications Priorities 2022 to learn about the five initiatives that IT should prioritize for the coming year.

      • Applications Priorities Report for 2022
      [infographic]

      Build Your Enterprise Innovation Program

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      • Parent Category Name: Innovation
      • Parent Category Link: /innovation
      • You don’t know where to start when it comes to building an innovation program for your organization.
      • You need to create a culture of innovation in your business, department, or team.
      • Past innovation efforts have been met with resistance and cynicism.
      • You don’t know what processes you need to support business-led innovation.

      Our Advice

      Critical Insight

      Innovation is about people, not ideas or processes. Innovation does not require a formal process, a dedicated innovation team, or a large budget; the most important success factor for innovation is culture. Companies that facilitate innovative behaviors like growth mindset, collaboration, and taking smart risks are most likely to see the benefits of innovation.

      Impact and Result

      • Outperform your peers by 30% by adopting an innovative approach to your business.
      • Move quickly to launch your innovation practice and beat the competition.
      • Develop the skills and capabilities you need to sustain innovation over the long term.

      Build Your Enterprise Innovation Program Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build Your Enterprise Innovation Program Storyboard – A step-by-step process to create the innovation culture, processes, and tools you need for business-led innovation.

      This storyboard includes three phases and nine activities that will help you define your purpose, align your people, and build your practice.

      • Build Your Enterprise Innovation Program – Phases 1-3

      2. Innovation Program Template – An executive communication deck summarizing the outputs from this research.

      Use this template in conjunction with the activities in the main storyboard to create and communicate your innovation program. This template uses sample data from a fictional retailer, Acme Corp, to illustrate an ideal innovation program summary.

      • Innovation Program Template

      3. Job Description – Chief Innovation Officer

      This job description can be used to hire your Chief Innovation Officer. There are many other job descriptions available on the Info-Tech website and referenced within the storyboard.

      • Chief Innovation Officer

      4. Innovation Ideation Session Template – Use this template to facilitate innovation sessions with the business.

      Use this framework to facilitate an ideation session with members of the business. Instructions for how to customize the information and facilitate each section is included within the deck.

      • Innovation Ideation Session Template

      5. Initiative Prioritization Workbook – Use this spreadsheet template to easily and transparently prioritize initiatives for pilot.

      This spreadsheet provides an analytical and transparent method to prioritize initiatives based on weighted criteria relevant to your business.

      • Initiative Prioritization Workbook

      Infographic

      Workshop: Build Your Enterprise Innovation Program

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Define Your Ambitions

      The Purpose

      Define your innovation ambitions.

      Key Benefits Achieved

      Gain a better understanding of why you are innovating and what your organization will gain from an innovation program.

      Activities

      1.1 Understand your innovation mandate.

      1.2 Define your innovation ambitions.

      1.3 Determine value proposition & metrics.

      Outputs

      Complete the "Our purpose" section of the Innovation Program Template

      Complete "Vision and guiding principles" section

      Complete "Scope and value proposition" section

      Success metrics

      2 Align Your People

      The Purpose

      Build a culture, operating model, and team that support innovation.

      Key Benefits Achieved

      Develop a plan to address culture gaps and identify and implement your operating model.

      Activities

      2.1 Foster a culture of innovation.

      2.2 Define your operating model.

      Outputs

      Complete "Building an innovative culture" section

      Complete "Operating model" section

      3 Develop Your Capabilities

      The Purpose

      Create the capability to facilitate innovation.

      Key Benefits Achieved

      Create a resourcing plan and prioritization templates to make your innovation program successful.

      Activities

      3.1 Build core innovation capabilities.

      3.2 Develop prioritization criteria.

      Outputs

      Team structure and resourcing requirements

      Prioritization spreadsheet template

      4 Build Your Program

      The Purpose

      Finalize your program and complete the final deliverable.

      Key Benefits Achieved

      Walk away with a complete plan for your innovation program.

      Activities

      4.1 Define your methodology to pilot projects.

      4.2 Conduct a program retrospective.

      Outputs

      Complete "Operating model" section in the template

      Notable wins and goals

      Further reading

      Build Your Enterprise Innovation Program

      Transform your business by adopting the culture and practices that drive innovation.

      Analyst Perspective

      Innovation is not about ideas, it's about people.

      Many organizations stumble when implementing innovation programs. Innovation is challenging to get right, and even more challenging to sustain over the long term.

      One of the common stumbling blocks we see comes from organizations focusing more on the ideas and the process than on the culture and the people needed to make innovation a way of life. However, the most successful innovators are the ones which have adopted a culture of innovation and reinforce innovative behaviors across their organization. Organizational cultures which promote growth mindset, trust, collaboration, learning, and a willingness to fail are much more likely to produce successful innovators.

      This research is not just about culture, but culture is the starting point for innovation. My hope is that organizations will go beyond the processes and methodologies laid out here and use this research to dramatically improve their organization's performance.

      Kim Rodriguez

      Kim Osborne Rodriguez
      Research Director, CIO Advisory
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      As a leader in your organization, you need to:

      • Understand your organization's innovation goals.
      • Create an innovation program or structure.
      • Develop a culture of innovation across your team or organization.
      • Demonstrate an ability to innovate and grow the business.

      Common Obstacles

      In the past, you might have experienced one or more of the following:

      • Innovation initiatives lose momentum.
      • Cynicism and distrust hamper innovation.
      • Innovation efforts are unfocused or don't provide the anticipated value.
      • Bureaucracy has created a bottleneck that stifles innovation.

      Info-Tech's Approach

      This blueprint will help you:

      • Understand the different types of innovation.
      • Develop a clear vision, scope, and focus.
      • Create organizational culture and behaviors aligned with your innovation ambitions.
      • Adopt an operational model and methodologies best suited for your culture, goals, and budget.
      • Successfully run a pilot program.

      Info-Tech Insight

      There is no single right way to approach innovation. Begin with an understanding of your innovation ambitions, your existing culture, and the resources available to you, then adopt the innovation operating model that is best suited to your situation.

      Note: This research is written for the individual who is leading the development of the innovation. This role is referred to as the Chief Innovation Officer (CINO) throughout this research but could be the CIO, CTO, IT director, or another business leader.

      Why is innovation so challenging?

      Most organizations want to be innovative, but very few succeed.

      • Bureaucracy slows innovation: Innovation requires speed – it is important to fail fast and early so you can iterate to improve the final solution. Small, agile organizations like startups tend to be more risk tolerant and can move more quickly to iterate on new ideas compared to larger organizations.
      • Change is uncomfortable: Most people are profoundly uncomfortable with failure, risk, and unknowns – three critical components of innovation. Humans are wired to think efficiently rather than innovatively, which leads to confirmation bias and lack of ingenuity.
      • You will likely fail: Innovation initiatives rarely succeed on the first try – Harvard Business Review estimates between 70% and 90% of innovation efforts fail. Organizations which are more tolerant of failure tend to be significantly more innovative than those which are not (Review of Financial Studies, 2014).

      Based on a survey of global innovation trends and practices:

      75%

      Three-quarters of companies say innovation is a top-three priority.
      Source: BCG, 2021

      30%

      But only 30% of executives say their organizations are doing it well.
      Source: BCG, 2019

      The biggest obstacles to innovation are cultural

      The biggest obstacles to innovation in large companies

      Based on a survey of 270 business leaders.
      Source: Harvard Business Review, 2018

      A bar graph from the Harvard Business Review

      The most common challenges business leaders experience relate to people and culture. Success is based on people, not ideas.

      Politics, turf wars, and a lack of alignment: territorial departments, competition for resources, and unclear roles are holding back the innovation efforts of 55% of respondents.

      FIX IT
      Senior leadership needs to be clear on the innovation goals and how business units are expected to contribute to them.

      Cultural issues: many large companies have a culture that rewards operational excellence and disincentivizes risk. A history of failed innovation attempts may result in significant resistance to new change efforts.

      FIX IT
      Cultural change takes time. Ensure you are rewarding collaboration and risk-taking, and hire people with fresh new perspectives.

      Inability to act on signals crucial to the future of the business: only 18% of respondents indicated their organization was unaware of disruptions, but 42% said they struggled with acting on leading indicators of change.

      FIX IT
      Build the ability to quickly run pilots or partner with startups and incubators to test out new ideas without lengthy review and approval processes.
      Source: Harvard Business Review, 2018

      Build Your Enterprise Innovation Program

      Define your purpose, assess your culture, and build a practice that delivers true innovation.

      An image summarizing how to define your purpose, align your people, and Build your Practice.
      1 Source: Boston Consulting Group, 2021
      2 Source: Boston Consulting Group, 2019
      3 Source: Harvard Business Review, 2018

      Use this research to outperform your peers

      A seven-year review showed that the most innovative companies outperformed the market by upwards of 30%.

      A line graph showing the Normalized Market Capitalization for 2020.

      Innovators are defined as companies that were listed on Fast Company World's 50 Most Innovative Companies for 2+ years.

      Innovation is critical to business success.

      A 25-year study by Business Development Canada and Statistics Canada showed that innovation was more important to business success than management, human resources, marketing, or finance.

      Executive brief case study

      INDUSTRY: Healthcare
      SOURCE: Interview

      Culture is critical

      This Info-Tech member is a nonprofit, community-based mental health organization located in the US. It serves about 25,000 patients per year in community, school, and clinic settings.

      This organization takes its innovation culture very seriously and has developed methodologies to assess individual and team innovation readiness as well as innovation types, which it uses to determine everyone's role in the innovation process. These assessments look at knowledge of and trust in the organization, its innovation profile, and its openness to change. Innovation enthusiasts are involved early in the process when it's important to dream big, while more pragmatic perspectives are incorporated later to improve the final solution.

      Results

      The organization has developed many innovative approaches to delivering healthcare. Notably, they have reimagined patient scheduling and reduced wait times to the extent that some patients can be seen the same day. They are also working to improve access to mental health care despite a shortage of professionals.

      Developing an Innovative Culture

      • Innovation Readiness Assessment
      • Coaching Specific to Innovation Profile
      • Innovation Enthusiasts Involved Early
      • Innovation Pragmatists Involved Later
      • High Success Rate of Innovation

      Define innovation roles and responsibilities

      A table showing key innovation roles and responsibilities.

      Info-Tech's methodology for building your enterprise innovation program

      1. Define Your Purpose

      2. Align Your People

      3. Build Your Practice

      Phase Steps

      1. Understand your mandate
      2. Define your innovation ambitions
      3. Determine value proposition and metrics
      1. Foster a culture of innovation
      2. Define your operating model
      3. Build core innovation capabilities
      1. Build your ideation and prioritization methodologies
      2. Define your pilot project methodology
      3. Conduct a program retrospective

      Phase Outcomes

      Understand where the mandate for innovation comes from, and what the drivers are for pursuing innovation. Define what innovation means to your organization, and set the vision, mission, and guiding principles. Articulate the value proposition and key metrics for measuring success.

      Understand what it takes to build an innovative culture, and what types of innovation structure are most suited to your innovation goals. Define an innovation methodology and build your core innovation capabilities and team.

      Gather ideas and understand how to assess and prioritize initiatives based on standardized metrics. Develop criteria for tracking and measuring the success of pilot projects and conduct a program retrospective.

      Innovation program taxonomy

      This research uses the following common terms:

      Innovation Operating Model
      The operating model describes how the innovation program delivers value to the organization, including how the program is structured, the steps from idea generation to enterprise launch, and the methodologies used.
      Examples: Innovation Hub, Grassroots Innovation.

      Innovation Methodology
      Methodologies describe the ways the operating model is carried out, and the approaches used in the innovation practice.
      Examples: Design Thinking, Weighted Criteria Scoring

      Chief Innovation Officer
      This research is written for the person or team leading the innovation program – this might be a CINO, CIO, or other leader in the organization.

      Innovation Team
      The innovation team may vary depending on the operating model, but generally consists of the individuals involved in facilitating innovation across the organization. This may be, but does not have to be, a dedicated innovation department.

      Innovation Program
      The program for generating ideas, running pilot projects, and building a business case to implement across the enterprise.

      Pilot Project
      A way of testing and validating a specific concept in the real world through a minimum viable product or small-scale implementation. The pilot projects are part of the overall pilot program.

      Insight summary

      Innovation is about people, not ideas or processes
      Innovation does not require a formal process, a dedicated innovation team, or a large budget; the most important success factor for innovation is culture. Companies that facilitate innovative behaviors like growth mindset, collaboration, and the ability to take smart risk are most likely to see the benefits of innovation.

      Very few are doing innovation well
      Only 30% of companies consider themselves innovative, and there's a good reason: innovation involves unknowns, risk, and failure – three situations that people and organizations typically do their best to avoid. Counter this by removing the barriers to innovation.

      Culture is the greatest barrier to innovation
      In a survey of 270 business leaders, the top three most common obstacles were politics, turf wars, and alignment; culture issues; and inability to act on signals crucial to the business (Harvard Business Review, 2018). If you don't have a supportive culture, your ability to innovate will be significantly reduced.

      Innovation is a means to an end
      It is not the end itself. Don't get caught up in innovation for the sake of innovation – make sure you are getting the benefits from your investments. Measurable success factors are critical for maintaining the long-term success of your innovation engine.

      Tackle wicked problems
      Innovative approaches are better at solving complex problems than traditional practices. Organizations that prioritize innovation during a crisis tend to outperform their peers by over 30% and improve their market position (McKinsey, 2020).

      Innovate or die
      Innovation is critical to business growth. A 25-year study showed that innovation was more important to business success than management, human resources, marketing, or finance (Statistics Canada, 2006).

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Sample Job Descriptions and Organization Charts

      Determine the skills, knowledge, and structure you need to make innovation happen.

      Sample Job Descriptions and Organization Charts

      Ideation Session Template

      Facilitate an ideation session with your staff to identify areas for innovation.

      Ideation Session Template

      Initiative Prioritization Workbook

      Evaluate ideas to identify those which are most likely to provide value.

      Prioritization Workbook

      Key deliverable:

      Enterprise Innovation Program Summary

      Communicate how you plan to innovate with a report summarizing the outputs from this research.

      Enterprise Innovation Program Summary

      Measure the value of this research

      US businesses spend over half a trillion dollars on innovation annually. What are they getting for it?

      • The top innovators(1) typically spend 5-15% of their budgets on innovation (including R&D).
      • This research helps organizations develop a successful innovation program, which delivers value to the organization in the form of new products, services, and methods.
      • Leverage this research to:
        • Get your innovation program off the ground quickly.
        • Increase internal knowledge and expertise.
        • Generate buy-in and excitement about innovation.
        • Develop the skills and capabilities you need to drive innovation over the long term.
        • Validate your innovation concept.
        • Streamline and integrate innovation across the organization.

      (1) based on BCG's 50 Most Innovative Companies 2022

      30%

      The most innovative companies outperform the market by 30%.
      Source: McKinsey & Company, 2020

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Guided implementation

      What does a typical guided implementation (GI) on this topic look like?

      Phase 0 Phase 1 Phase 2 Phase 3 Finish

      Call #1: Scope requirements, objectives, and your specific challenges.

      Call #2: Understand your mandate.
      (Activity 1.1)

      Call #3: Innovation vision, guiding principles, value proposition, and scope.
      (Activities 1.2 and 1.3)

      Call #4: Foster a culture of innovation. (Activity 2.1)

      Call #5: Define your methodology. (Activity 2.2)

      Call #6: Build core innovation capabilities. (Activity 2.3)

      Call #7: Build your ideation and pilot programs. (Activities 3.1 and 3.2)

      Call #8: Identify success metrics and notable wins. (Activity 3.3)

      Call #9: Summarize results and plan next steps.

      A GI is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is 8 to 12 calls over the course of three to six months.

      Workshop overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Session 1 Session 2 Session 3 Session 4

      Wrap Up

      Activities

      Define Your Ambitions

      Align Your People

      Develop Your Capabilities

      Build Your Program

      Next Steps and
      Wrap Up (offsite)

      1. Understand your innovation mandate (complete activity prior to workshop)
      2. Define your innovation ambitions
      3. Determine value proposition and metrics
      1. Foster a culture of innovation
      2. Define your operating model
      1. Build core innovation capabilities
      2. Develop prioritization criteria
      1. Define your methodology to pilot projects
      2. Conduct a program retrospective
      1. Complete in-progress deliverables from previous four days
      2. Set up review time for workshop deliverables and to discuss next steps

      Deliverables

      1. Our purpose
      2. Message from the CEO
      3. Vision and guiding principles
      4. Scope and value proposition
      5. Success metrics
      1. Building an innovative culture
      2. Operating model
      1. Core capabilities and structure
      2. Idea evaluation prioritization criteria
      1. Program retrospective
      2. Notable wins
      3. Executive summary
      4. Next steps
      1. Completed enterprise innovation program
      2. An engaged and inspired team

      Phase 1: Define Your Purpose

      Develop a better understanding of the drivers for innovation and what success looks like.

      Purpose

      People

      Practice

      1. Understand your mandate
      2. Define your innovation ambitions
      3. Determine value proposition and metrics
      1. Foster a culture of innovation
      2. Define your operating model
      3. Build core innovation capabilities
      1. Build your ideation and prioritization methodologies
      2. Define your pilot project methodology
      3. Conduct a program retrospective

      This phase will walk you through the following activities:

      • Understand your innovation mandate, including its drivers, scope, and focus.
      • Define what innovation means to your organization.
      • Develop an innovation vision and guiding principles.
      • Articulate the value proposition and proposed metrics for evaluating program success.

      This phase involves the following participants:

      • CINO
      • Business executives

      Case study

      INDUSTRY: Transportation
      SOURCE: Interview

      ArcBest
      ArcBest is a multibillion-dollar shipping and logistics company which leverages innovative technologies to provide reliable and integrated services to its customers.

      An Innovative Culture Starts at the Top
      ArcBest's innovative culture has buy-in and support from the highest level of the company. Michael Newcity, ArcBest's CEO, is dedicated to finding better ways of serving their customers and supports innovation across the company by dedicating funding and resources toward piloting and scaling new initiatives.
      Having a clear purpose and mandate for innovation at all levels of the organization has resulted in extensive grassroots innovation and the development of a formalized innovation program.

      Results
      ArcBest has a legacy of innovation, going back to its early days when it developed a business intelligence solution before anything else existed on the market. It continues to innovate today and is now partnering with start-ups to further expand its innovation capabilities.

      "We don't micromanage or process-manage incremental innovation. We hire really smart people who are inspired to create new things and we let them run – let them create – and we celebrate it.
      Our dedication to innovation comes from the top – I am both the President and the Chief Innovation Officer, and innovation is one of my top priorities."

      Michael Newcity

      Michael Newcity
      President and Chief Innovation Officer ArcBest

      1.1 Understand your innovation mandate

      Before you can act, you need to understand the following:

      • Where is the drive for innovation coming from?
        The source of your mandate dictates the scope of your innovation practice – in general, innovating outside the scope of your mandate (i.e. trying to innovate on products when you don't have buy-in from the product team) will not be successful.
      • What is meant by "innovation"?
        There are many different definitions for innovation. Before pursuing innovation at your organization, you need to understand how it is defined. Use the definition in this section as a starting point, and craft your own definition of innovation.
      • What kind of innovation are you targeting?
        Innovation can be internal or external, emergent or deliberate, and incremental or radically transformative. Understanding what kind of innovation you want is the starting point for your innovation practice.

      The source of your mandate dictates the scope of your influence

      You can only influence what you can control.

      Unless your mandate comes from the CEO or Board of Directors, driving enterprise-wide innovation is very difficult. If you do not have buy-in from senior business leaders, use lighthouse projects and a smaller innovation practice to prove the value of innovation before taking on enterprise innovation.

      In order to execute on a mandate to build innovation, you don't just need buy-in. You need support in the form of resources and funding, as well as strong leadership who can influence culture and the authority to change policies and practices that inhibit innovation.

      For more resources on building relationships in your organization, refer to Info-Tech's Become a Transformational CIO blueprint.

      What is "innovation"?

      Innovation is often easier to recognize than define.

      Align on a useful definition of innovation for your organization before you embark on a journey of becoming more innovative.

      Innovation is the practice of developing new methods, products or services which provide value to an organization.

      Practice
      This does not have to be a formal process – innovation is a means to an end, not the end itself.

      New
      What does "new" mean to you?

      • New application of an existing method
      • Developing a completely original product
      • Adopting a service from another industry

      Value
      What does value mean to you? Look to your business strategy to understand what goals the organization is trying to achieve, then determine how "value" will be measured.

      Info-Tech Insight

      Some innovations are incremental, while some are radically transformative. Decide what kind of innovation you want to cultivate before developing your strategy.

      We can categorize innovation in three ways

      Evaluate your goals with respect to innovation: focus, strategy, and potential to transform.

      Focus: Where will you innovate?

      Focus

      Strategy: To what extent will you guide innovation efforts?

      Strategy

      Potential: How radical will your innovations be?

      Potential

      What are your ambitions?

      1. Develop a better understanding of what type of innovation you are trying to achieve by plotting out your goals on the categories on the left.
      2. All categories are independent of one another, so your goals may fall anywhere on the scales for each category.
      3. Understanding your innovation ambitions helps establish the operating model best suited for your innovation practice.
      4. In general, innovation which is more external, deliberate, and radical tends to be more centralized.

      Activity 1.1 Understand your innovation mandate

      1 hour

      1. Schedule a 30-minute discussion with the person (i.e. CEO) or group (i.e. Board of Directors) ultimately requesting the shift toward innovation. If there is no external party, then conduct this assessment yourself.
      2. Facilitate a discussion that addresses the following questions:
      • What is meant by "innovation"?
      • What are they hoping to achieve through innovation?
      • What is the innovation scope? Are any areas off-limits (i.e. org structure, new products, certain markets)?
      • What is the budget (i.e. people, money) they are willing to commit to innovation?
      • What type of innovation are they pursuing?
      1. Record this information and complete the "Our Purpose" section of the Innovation Program Template.

      Download the Innovation Program Template.

      Input

      • Knowledge of the key decision maker/sponsor for innovation

      Output

      • Understanding of the mandate for innovation, including definition, value, scope, budget, and type of innovation

      Materials

      • Innovation Program Template

      Participants

      • CINO
      • CEO, CTO, or Board of Directors (whoever is requesting/sponsoring the pursuit of innovation)

      1.2 Define your innovation ambitions

      Articulate your future state through a vision and guiding principles.

      • Vision and purpose make up the foundation on which all other design aspects will be based. These aspects should not be taken lightly, but rather they should be the force that aligns everyone to work toward a common outcome. It is incumbent on leaders to make them part of the DNA of the organization – to drive organization, structure, culture, and talent strategy.
      • Your vision statement is a future-focused statement that summarizes what you hope to achieve. It should be inspirational, ambitious, and concise.
      • Your guiding principles outline the guardrails for your innovation practice. What will your focus be? How will you approach innovation? What is off-limits?
      • Define the scope and focus for your innovation efforts. This includes what you can innovate on and what is off limits.

      Your vision statement is your North Star

      Articulate an ambitious, inspirational, and concise vision statement for your innovation efforts.

      A strong vision statement:

      • Is future-focused and outlines what you want to become and what you want to achieve.
      • Provides focus and direction.
      • Is ambitious, focused, and concise.
      • Answers: What problems are we solving? Who and what are we changing?

      Examples:

      • "We create radical new technologies to solve some of the world's hardest problems." – Google X, the Moonshot Factory
      • "To be the most innovative enterprise in the world." – 3M
      • "To use our imagination to bring happiness to millions of people." – Disney

      "Good business leaders create a vision, articulate the vision, passionately own the vision, and relentlessly drive it to completion." – Jack Welch, Former Chairman and CEO of GE

      Your guiding principles are the guardrails for creativity

      Strong guiding principles give your team the freedom and direction to innovate.

      Strong guiding principles:

      • Focus on the approach, i.e. how things are done, as opposed to what needs to be done.
      • Are specific to the organization.
      • Inform and direct decision making with actionable statements. Avoid truisms, general statements, and observations.
      • Are long-lasting and based on values, not solutions.
      • Are succinct and easily digestible.
      • Can be measured and verified.
      • Answers: How do we approach innovation? What are our core values

      Craft your guiding principles using these examples

      Encourage experimentation and risk-taking
      Innovation often requires trying new things, even if they might fail. We encourage experimentation and learn from failure, so that new ideas can be tested and refined.

      Foster collaboration and cross-functional teams
      Innovation often comes from the intersection of different perspectives and skill sets.

      Customer-centric
      Focus on creating value for the end user. This means understanding their needs and pain points, and using that knowledge to develop new methods, products, or services.

      Embrace diversity and inclusivity
      Innovation comes from a variety of perspectives, backgrounds, and experiences. We actively seek out and encourage diversity and inclusivity among our team members.

      Foster a culture of learning and continuous improvement
      Innovation requires continuous learning, development, and growth. We facilitate a culture that encourages learning and development, and that seeks feedback and uses it to improve.

      Flexible and adaptable
      We adapt to changes in the market, customer needs, and new technologies, so that it can continue to innovate and create value over time.

      Data-driven
      We use performance metrics and data to guide our innovation efforts.

      Transparency
      We are open and transparent in our processes and let the business needs guide our innovation efforts. We do not lead innovation, we facilitate it.

      Activity 1.2 Craft your vision statement and guiding principles

      1-2 hours

      1. Gather your innovation team and key program sponsors. Review the guidelines for creating vision statements and guiding principles, as well as your mandate and focus for innovation.
      2. As a group, discuss what you hope to achieve through your innovation efforts.
      3. Separately, have each person write down their ideas for a vision statement. Bring the group back together and share ideas. Group the concepts together and construct a single statement which outlines your aspirational vision.
      4. As a group, review the example guiding principles.
      5. Separately, have each person write down three to five guiding principles. Bring the group back together and share ideas. Group similar concepts together and consolidate duplicate ideas. From this list, construct six to eight guiding principles.
      6. Document your vision and guiding principles in the appropriate sections of the Innovation Program Template.

      Input

      • Understanding of your innovation mandate
      • Business vision, mission, and values
      • Sample vision statements and guiding principles

      Output

      • Vision statement
      • Guiding principles

      Materials

      • In person: Whiteboard/flip charts, sticky notes, pens, and notepads
      • Virtual: Consider using a shared document, virtual whiteboard, or online facilitation tool like MURAL
      • Innovation Program Template

      Participants

      • CINO
      • Innovation sponsors
      • Business leaders
      • Innovation team

      1.3 Determine your value proposition and metrics

      Justify the existence of the innovation program with a strong value proposition.

      • The value proposition for developing an innovation program will be different for each organization, depending on what the organization hopes to achieve. Consider your mandate for innovation as well as the type of innovation you are pursuing when crafting the value proposition.
      • Some of the reasons organizations may pursue innovation:
        • Business growth: Respond to market disruption; create new customers; take advantage of opportunities.
        • Branding: Create market differentiation; increase customer satisfaction and retention; adapt to customer needs.
        • Profitability: Improve products, services, or operations to increase competitiveness and profitability; develop more efficient processes.
        • Culture: Foster a culture of creativity and experimentation within the organization, encouraging employees to think outside the box.
        • Positive impact: Address social challenges such as poverty and climate change.

      Develop a strong value proposition for your innovation program

      Demonstrate the value to the business.

      A strong value proposition not only articulates the value that the business will derive from the innovation program but also provides a clear focus, helps to communicate the innovation goals, and ultimately drives the success of the program.

      Focus
      Prioritize and focus innovation efforts to create solutions that provide real value to the organization

      Communicate
      Communicate the mandate and benefits of innovation in a clear and compelling way and inspire people to think differently

      Measure Success
      Measure the success of your program by evaluating outcomes based on the value proposition

      Track appropriate success metrics for your innovation program

      Your success metrics should link back to your organizational goals and your innovation program's value proposition.

      Revenue Growth: Increase in revenue generated by new products or services.

      Market Share: Percentage of total market that the business captures as a result of innovation.

      Customer Satisfaction: Reviews, customer surveys, or willingness to recommend the company.

      Employee Engagement: Engagement surveys, performance, employee retention, or turnover.

      Innovation Output: The number of new products, services, or processes that have been developed.

      Return on Investment: Financial return on the resources invested in the innovation process.

      Social Impact: Number of people positively impacted, net reduction in emissions, etc.

      Time to Launch: The time it takes for a new product or service to go from idea to launch.

      Info-Tech Insight

      The total impact of innovation is often intangible and extremely difficult to capture in performance metrics. Focus on developing a few key metrics rather than trying to capture the full value of innovation.

      How much does innovation cost?

      Company Industry Revenue(2)
      (USD billions)
      R&D Spend
      (USD billions)
      R&D Spend
      (% of revenue)
      Apple Technology $394.30 $26.25 6.70%
      Microsoft Technology $203.10 $25.54 12.50%
      Amazon.com Retail $502.20 $67.71 13.40%
      Alphabet Technology $282.10 $37.94 13.40%
      Tesla Manufacturing $74.90 $3.01 4.00%
      Samsung Technology $244.39 (2021)(3) $19.0 (2021) 7.90%
      Moderna Pharmaceuticals $23.39 $2.73 11.70%
      Huawei Technology $99.9 (2021)4 Not reported -
      Sony Technology $83.80 Not reported -
      IBM Technology $60.50 $1.61 2.70%
      Meta Software $118.10 $32.61 27.60%
      Nike Commercial goods $49.10 Not reported -
      Walmart Retail $600.10 Not reported -
      Dell Technology $105.30 $2.60 2.50%
      Nvidia Technology $28.60 $6.85 23.90%


      The top innovators(1) in the world spend 5% to 15% of their revenue on innovation.

      Innovation requires a dedicated investment of time, money, and resources in order to be successful. The most innovative companies, based on Boston Consulting Group's ranking of the 50 most innovative companies in the world, spend significant portions of their revenue on research and development.

      Note: This data uses research and development as a proxy for innovation spending, which may overestimate the total spend on what this research considers true innovation.

      (1) Based on Boston Consulting Group's ranking of the 50 most innovative companies in the world, 2022
      (2) Macrotrends, based on the 12 months ending Sept 30, 2022
      (3) Statista
      (4) CNBC, 2022

      Activity 1.3 Develop your value proposition and performance metrics

      1 hour

      1. Review your mandate and vision statement. Write down your innovation goals and desired outcomes from pursuing innovation, prioritize the desired outcomes, and select the top five.
      2. For each desired outcome, develop one to two metrics which could be used to track its success. Some outcomes are difficult to track, so get creative when it comes to developing metrics. If you get stuck, think about what would differentiate a great outcome from an unsuccessful one.
      3. Once you have developed a list of three to five key metrics, read over the list and ensure that the metrics you have developed don't negatively influence your innovation. For example, a metric of the number of successful launches may drive people toward launching before a product is ready.
      4. For each metric, develop a goal. For example, you may target 1% revenue growth over the next fiscal year or 20% energy use reduction.
      5. Document your value proposition and key performance metrics in the appropriate sections of the Innovation Program Template.

      Input

      • Understanding of your innovation mandate
      • Vision statement

      Output

      • Value proposition
      • Performance metrics

      Materials

      • Innovation Program Template

      Participants

      • CINO

      Phase 2: Align Your People

      Create a culture that fosters innovative behaviors and puts processes in place to support them.

      Purpose

      People

      Practice

      1. Understand your mandate
      2. Define your innovation ambitions
      3. Determine value proposition and metrics
      1. Foster a culture of innovation
      2. Define your operating model
      3. Build core innovation capabilities
      1. Build your ideation and prioritization methodologies
      2. Define your pilot project methodology
      3. Conduct a program retrospective

      This phase will walk you through the following activities:

      • Understand the key aspects of innovative cultures, and the behaviors associated with innovation.
      • Assess your culture and identify gaps.
      • Define your innovation operating model based on your organizational culture and the focus for innovation.
      • Build your core innovation capabilities, including an innovation core team (if required based on your operating model).

      This phase involves the following participants:

      • CINO
      • Innovation team

      2.1 Foster a culture of innovation

      Culture is the most important driver of innovation – and the most challenging to get right.

      • Fostering a culture of innovation requires a broad approach which considers the perspectives of individuals, teams, leadership, and the overall organization.
      • If you do not have support from leadership, it is very difficult to change organizational culture. It may be more effective to start with an innovation pilot or lighthouse project in order to gain support before addressing your culture.
      • Rather than looking to change outcomes, focus on the behaviors which lead to innovation – such as growth mindset and willingness to fail. If these aren't in place, your ability to innovate will be limited.
      • This section focuses on the specific behaviors associated with increased innovation. For additional resources on implementing these changes, refer to Info-Tech's other research:

      Info-Tech's Fix Your IT Culture can help you promote innovative behaviors

      Refer to Improve IT Team Effectiveness to address team challenges

      Build a culture of innovation

      Focus on behaviors, not outcomes.

      The following behaviors and key indicators either stifle or foster innovation.

      Stifles Innovation Key Indicators Fosters Innovation Key Indicators
      Fixed mindset "It is what it is" Growth mindset "I wonder if there's a better way"
      Performance focused "It's working fine" Learning focused "What can we learn from this?"
      Fear of reprisal "I'll get in trouble" Psychological safety "I can disagree"
      Apathy "We've always done it this way" Curiosity "I wonder what would happen if…"
      Cynicism "It will never work" Trust "You have good judgement"
      Punishing failure "Who did this?" Willingness to fail "It's okay to make mistakes"
      Individualism "How does this benefit me?" Collaboration "How does this benefit us?"
      Homogeneity "We never disagree" Diversity and inclusion "We appreciate different views"
      Excessive bureaucracy "We need approval" Autonomy "I can do this"
      Risk avoidance "We can't try that" Appropriate risk-taking "How can we do this safely?"

      Ensure you are not inadvertently stifling innovation.
      Review the following to ensure that the desired behaviors are promoted:

      • Hiring practices
      • Performance evaluation metrics
      • Rewards and incentives
      • Corporate policies
      • Governance structures
      • Leadership behavior

      Case study

      INDUSTRY: Commercial Real Estate and Retail
      SOURCE: Interview

      How not to approach innovation.

      This anonymous national organization owned commercial properties across the country and had the goal of becoming the most innovative real estate and retail company in the market.

      The organization pursued innovation in the digital solutions space across its commercial and retail properties. Within this space, there were significant differences in risk tolerance across teams, which resulted in the more risk-tolerant teams excluding the risk-averse members from discussions in order to circumvent corporate policies on risk tolerance. This resulted in an adversarial and siloed culture where each group believed they knew better than the other, and the more risk-averse teams felt like they were policing the actions of the risk-tolerant group.

      Results

      Morale plummeted, and many of the organization's top people left. Unfortunately, one of the solutions did not meet regulatory requirements, and the company faced negative media coverage and legal action. There was significant reputational damage as a result.

      Lessons Learned

      Considering differences in risk tolerance and risk appetite is critical when pursuing innovation. While everyone doesn't have to agree, leadership needs to understand the different perspectives and ensure that no one party is dominating the conversation over the others. An understanding of corporate risk tolerance and risk appetite is necessary to drive innovation.

      All perspectives have a place in innovation. More risk tolerant perspectives should be involved early in the ideas-generation phase, and risk-averse perspectives should be considered later when ideas are being refined.

      Speed should not override safety or circumvent corporate policies.

      Understand your risk tolerance and risk appetite

      Evaluate and align the appetite for risk.

      • It is important to understand the organization's risk tolerance as well as the desire for risk. Consider the following risk categories when investigating the organization's views on risk:
        • Financial risk: the potential for financial or property loss.
        • Operational risk: the potential for disruptions to operations.
        • Reputational risk: the potential for negative impact to brand or reputation.
        • Compliance risk: the potential for loss due to non-compliance with laws and regulations.
      • Greater risk tolerance typically enables greater innovation. Understand the varying levels of risk tolerance across your organization, and how these differences might impact innovation efforts.

      An arrow showing the directions of risk tolerance.

      It is more important to match the level of risk tolerance to the degree of innovation required. Not all innovation needs to be (or can feasibly be) disruptive.
      Many factors impact risk tolerance including:

      • Regulation
      • Organization size
      • Country
      • Industry
      • Personal experience
      • Type of risk

      Use Info-Tech's Security Risk Management research to better understand risk tolerance

      Activity 2.1 Assess your innovation culture

      1-3 hours

      1. Review the behaviors which support and stifle innovation and give each behavior a score from 1 (stifling innovation) to 5 (fostering innovation). Any behaviors which fall below a 4 on this scale should be prioritized in your efforts to create an innovative culture.
      2. Review the following policies and practices to determine how they may be contributing to the behaviors you see in your organization:
        1. Hiring practices
        2. Performance evaluation metrics
        3. Rewards, recognition, and incentives
        4. Corporate policies
        5. Governance structures
        6. Leadership behavior
      3. Identify three concrete actions you can take to correct any behaviors which are stifling innovation. Examples might be revising a policy which punishes failure or changing performance incentives to reward appropriate risk taking.
      4. Summarize your findings in the appropriate section of the Innovation Program Template.

      Input

      • Innovation behaviors

      Output

      • Understanding of your organization's culture
      • Concrete actions you can take to promote innovation

      Materials

      • List of innovative behaviors
      • Relevant policies and documents to review
      • Innovation Program Template

      Participants

      • CINO

      2.2 Define your innovation model

      Set up your innovation practice for success using proven models and methodologies.

      • There are many ways to approach innovation, from highly distributed forms where it's just part of everyone's job to very centralized and arm's-length innovation hubs or even outsourced innovation via startups. You can combine different approaches to create your own approach.
      • You may or may not have a formal innovation team, but if you do, their role is to facilitate innovation – not lead it. Innovation is most effective when it is led by the business.
      • There are many tools and methodologies you can use to facilitate innovation. Choose the one (or combination) that best suits your needs.

      Select the right model

      There is no one right way to pursue innovation, but some methods are better than others for specific situations and goals. Consider your existing culture, your innovation goals, and your budget when selecting the right methodology for your innovation.

      Model Description Advantages Disadvantages Good when…
      Grassroots Innovation Innovation is the responsibility of everyone, and there is no centralized innovation team. Ideas are piloted and scaled by the person/team which produces it.
      • Can be used in any organization or team
      • Can support low or high degree of structure
      • Low funding requirement
      • Requires a strong innovation culture
      • Often does not produce results since people don't have time to focus on innovation
      • Innovation culture is strong
      • Funding is limited
      • Goal is internal, incremental innovation
      Community of Practice Innovation is led by a cross-divisional Community of Practice (CoP) which includes representation from across the business. Champions consult with their practice areas and bring ideas forward.
      • Bringing people together can help stimulate and share ideas
      • Low funding requirement
      • Able to support many types of innovation
      • Some people may feel left out if they can't be involved
      • May not produce results if people are too busy to dedicate time to innovate
      • Innovation culture is present
      • Funding is limited
      • Goal is incremental or disruptive innovation
      Innovation Enablement
      *Most often recommended*
      A dedicated innovation team with funding set aside to support pilots with a high degree of autonomy, with the role of facilitating business-led innovation.
      • Most flexible of all options
      • Supports business-led innovation
      • Can deliver results quickly
      • Can enable a higher degree of innovation
      • Requires dedicated staff and funding
      • Innovation culture is present
      • Funding is available
      • Goal is internal or external, incremental or radical innovation
      Center of Excellence Dedicated team responsible for leading innovation on behalf of the organization. Generally, has business relationship managers who gather ideas and liaise with the business.
      • Can deliver results quickly
      • Can offer a fresh perspective
      • Can enable a higher degree of innovation
      • Requires dedicated staff and funding
      • Is typically separate from the business
      • Results may not align with the business needs or have adequate input
      • Innovation culture is weak
      • Funding is significant
      • Goal is external, disruptive innovation
      Innovation Hub An arm's length innovation team is responsible for all or much of the innovation and may not interact much with the core business.
      • Can deliver results quickly
      • Can be extremely innovative
      • Expensive
      • Results may not align with the business needs or have adequate/any input
      • Innovation culture is weak
      • Funding is very significant
      • Goal is external, radical innovation
      Outsourced Innovation Innovation is outsourced to an external organization which is not linked to the primary organization. This can take the form of working with or investing in startups.
      • Can lead to more innovative ideas than internal innovation
      • Investments can become a diverse revenue stream if startups are successful
      • Innovation does not rely on culture
      • Higher risk of failure
      • Less control over goals or focus
      • Results may not align with the business needs or have any input from users
      • Innovation does not rely on culture
      • Funding is significant
      • Goal is external or internal, radical innovation

      Use the right methodologies to support different stages of your innovation process

      A chart showing methodologies to support different stages of the integration process.

      Adapted from Niklaus Gerber via Medium, 2022

      Methodologies are most useful when they are aligned with the goals of the innovation organization.

      For example, design thinking tends to be excellent for earlier innovation planning, while Agile can allow for faster implementation and launch of initiatives later in the process.

      Consider combining two or more methodologies to create a custom approach that best suits your organization's capabilities and goals.

      Sample methodologies

      A robust innovation methodology ensures that the process for developing, prioritizing, selecting, implementing, and measuring initiatives is aligned with the results you are hoping to achieve.

      Different types of problems (drivers for innovation) may necessitate different methodologies, or a combination of methodologies.

      Hackathon: An event which brings people together to solve a well-defined problem.

      Design Thinking: Creative approach that focuses on understanding the needs of users.

      Lean Startup: Emphasizes rapid experimentation in order to validate business hypotheses.

      Design Sprint: Five-day process for answering business questions via design, prototyping, and testing.

      Agile: Iterative design process that emphasizes project management and retrospectives.

      Three Horizons: Framework that looks at opportunities on three different time horizons.

      Innovation Ambition Matrix: Helps organizations categorize projects as part of the core offering, an adjacent offering, or completely new.

      Global Innovation Management: A process of identifying, developing and implementing new ideas, products, services, or processes using alternative thinking.

      Blue Ocean Strategy: A methodology that helps organizations identify untapped market space and create new markets via unique value propositions.

      Activity 2.2 Design your innovation model

      1-2 hours

      1. Think about the following factors which influence the design of your innovation practice:
        1. Existing organizational culture
        2. Available funding to support innovation
        3. Type of innovation you are targeting
      2. Review the innovation approaches, and identify which approach is most suitable for your situation. Note why this approach was selected.
      3. Review the innovation methodologies and research those of interest. Select two to five methodologies to use for your innovation practice.
      4. Document your decisions in the Innovation Program Template.

      Input

      • Understanding of your mandate and existing culture

      Output

      • Innovation approach
      • Selected methodologies

      Materials

      • Innovation Program Template

      Participants

      • CINO
      • Innovation team

      2.3 Build your core innovation capabilities

      Develop the skills, knowledge, and experience to facilitate successful innovation.

      • Depending on the approach you selected in step 2.2, you may or may not require a dedicated innovation team. If you do, use the job descriptions and sample organization charts to build it. If not, focus on developing key capabilities which are needed to facilitate innovation.
      • Diversity is key for successful innovation – ensure your team (formal or otherwise) includes diverse perspectives and backgrounds.
      • Use your guiding principles when hiring and training your team.
      • Focus on three core roles: evangelists, enablers, and experts.

      Focus on three key roles when building your innovation team

      Types of roles will depend on the purpose and size of the innovation team.

      You don't need to grow them all internally. Consider partnering with vendors and other organizations to build capabilities.

      Evangelists

      Visionaries who inspire, support, and facilitate innovation across the business. Their responsibilities are to drive the culture of innovation.

      Key skills and knowledge:

      • Strong communication skills
      • Relationship-building
      • Consensus-building
      • Collaboration
      • Growth mindset

      Sample titles:

      • CINO
      • Chief Transformation Officer
      • Chief Digital Officer
      • Innovation Lead
      • Business Relationship Manager

      Enablers

      Translate ideas into tangible business initiatives, including assisting with business cases and developing performance metrics.

      Key skills and knowledge:

      • Critical thinking skills
      • Business knowledge
      • Facilitation skills
      • Consensus-building
      • Relationship-building

      Sample titles:

      • Product Owner
      • Design Thinking Lead
      • Data Scientist
      • Business Analyst
      • Human Factors Engineer
      • Digital Marketing Specialist

      Experts

      Provide expertise in product design, delivery and management, and responsible for supporting and executing on pilot projects.

      Key skills and knowledge:

      • Project management skills
      • Technical expertise
      • Familiarity with emerging technologies
      • Analytical skills
      • Problem-solving skills

      Sample titles:

      • Product Manager
      • Scrum Master/Agile Coach
      • Product Engineer/DevOps
      • Product Designer
      • Emerging tech experts

      Sample innovation team structure (large enterprise)

      Visualize the whole value delivery process end-to-end to help identify the types of roles, resources, and capabilities required. These capabilities can be sourced internally (i.e. grow and hire internally) or through collaboration with centers of excellence, commercial partners, etc.

      A flow chart of a sample innovation team structure.

      Streamline your process by downloading Info-Tech's job description templates:

      Activity 2.3 Build your innovation team

      2-3 hours

      1. Review your work from the previous activities as well as the organizational structure and the job description templates.
      2. Start a list with two columns: currently have and needed. Start listing some of the key roles and capabilities from earlier in this step, categorizing them appropriately.
      3. If you are using an organizational structure for your innovation process, start to frame out the structure and roles for your team.
      4. Develop a list of roles you need to hire, and the key capabilities you need from candidates. Using the job descriptions, write job postings for each role.
      5. Record your work in the appropriate section of the Innovation Program Template.

      Input

      • Previous work
      • Info-Tech job description templates

      Output

      • List of capabilities required
      • Org chart
      • Job postings for required roles

      Materials

      • Note-taking capability
      • Innovation Program Template

      Participants

      • CINO

      Related Info-Tech Research

      Fix Your IT Culture

      • Promote psychological safety and growth mindset within your organization.
      • Develop the organizational behaviors that lead to innovation.

      Improve IT Team Effectiveness

      • Address behaviors, processes, and cultural factors which impact team effectiveness.
      • Grow the team's ability to address challenges and navigate volatile, uncertain, complex and ambiguous environments.

      Master Organizational Change Management Practices

      • Transformation and change are increasingly becoming the new normal. While this normality may help make people more open to change in general, specific changes still need to be planned, communicated, and managed. Agility and continuous improvement are good but can degenerate into volatility if change isn't managed properly.

      Phase 3: Build Your Practice

      Define your innovation process, streamline pilot projects, and scale for success.

      Purpose

      People

      Practice

      1. Understand your mandate
      2. Define your innovation ambitions
      3. Determine value proposition and metrics
      1. Foster a culture of innovation
      2. Define your operating model
      3. Build core innovation capabilities
      1. Build your ideation and prioritization methodologies
      2. Define your pilot project methodology
      3. Conduct a program retrospective

      This phase will walk you through the following activities:

      • Build the methodologies needed to elicit ideas from the business.
      • Develop criteria to evaluate and prioritize ideas for piloting.
      • Define your pilot program methodologies and processes, including criteria to assess and compare the success of pilot projects.
      • Conduct an end-of-year program retrospective to evaluate the success of your innovation program.

      This phase involves the following participants:

      • CINO
      • Innovation team

      Case study

      INDUSTRY: Government
      SOURCE: Interview

      Confidential US government agency

      The business applications group at this government agency strongly believes that innovation is key to progress and has instituted a formal innovation program as part of their agile operations. The group uses a Scaled Agile Framework (SAFe) with 2-week sprints and a 12-week program cycle.

      To support innovation across the business unit, the last sprint of each cycle is dedicated toward innovation and teams do not commit to any other during these two weeks. At the end of each innovation sprint, ideas are presented to leadership and the valuable ones were either implemented initially or were given time in the next cycle of sprints for further development. This has resulted in a more innovative culture across the practice.

      Results

      There have been several successful innovations since this process began. Notably, the agency had previously purchased a robotic process automation platform which was only being used for a few specific applications. One team used their innovation sprint to expand the use cases for this solution and save nearly 10,000 hours of effort.

      Standard 12-week Program Cycle
      An image of a standard 12-week program

      Design your innovation operating model to maximize value and learning opportunities

      Pilots are an iterative process which brings together innovators and business teams to test and evaluate ideas.

      Your operating model should include several steps including ideation, validation, evaluation and prioritization, piloting, and a retrospective which follows the pilot. Use the example on this slide when designing your own innovation operating model.

      An image of the design process for innovation operation model.

      3.1 Build your ideation and prioritization methodologies

      Engage the business to generate ideas, then prioritize based on value to the business.

      • There are many ways of generating ideas, from informal discussion to formal ideation sessions or submission forms. Whatever you decide to use, make sure that you're getting the right information to evaluate ideas for prioritization.
      • Use quantitative and qualitative metrics to evaluate ideas generated during the ideation process.
        • Quantitative metrics might include potential return on investment (ROI) or effort and resources required to implement.
        • Qualitative metrics might include alignment with the organizational strategy or the level of risk associated with the idea.

      Engage the business to generate ideas

      There are many ways of generating innovative ideas. Pick the methods that best suit your organization and goals.

      Design Thinking
      A structured approach that encourages participants to think creatively about the needs of the end user.

      An image including the following words: Empathize, Define; Ideate; Test.

      Ideation Workshop
      A formal session that is used to understand a problem then generate potential solutions. Workshops can incorporate the other methodologies (such as brainstorming, design thinking, or mind mapping) to generate ideas.

      • Define the problem
      • Generate ideas
      • Capture ideas
      • Evaluate and prioritize
      • Assign next steps

      Crowdsourcing
      An informal method of gathering ideas from a large group of people. This can be a great way to generate many ideas but may lack focus.

      Value Proposition Canvas
      A visual tool which helps to identify customer (or user) needs and design products and services that meet those needs.

      an image of the Value Proposition Canvas

      Evaluate ideas and focus on those with the greatest value

      Evaluation should be transparent and use both quantitative and qualitative metrics. The exact metrics used will depend on your organization and goals.

      It is important to include qualitative metrics as these dimensions are better suited to evaluating highly innovative ideas and can capture important criteria like alignment with overall strategy and feasibility.

      Develop 5 to 10 criteria that you can use to evaluate and prioritize ideas. Some criteria may be a pass/fail (for example, minimum ROI) and some may be comparative.

      Evaluate
      The first step is to evaluate ideas to determine if they meet the minimum criteria. This might include quantitative criteria like ROI as well as qualitative criteria like strategic alignment and feasibility.

      Prioritize
      Ideas that pass the initial evaluation should be prioritized based on additional criteria which might include quantitative criteria such as potential market size and cost to implement, and qualitative criteria such as risk, impact, and creativity.

      Quantitative Metrics

      Quantitative metrics are objective and easily comparable between initiatives, providing a transparent and data-driven process for evaluation and prioritization.
      Examples:

      • Potential market size
      • ROI
      • Net present value
      • Payback period
      • Number of users impacted
      • Customer acquisition cost
      • Customer lifetime value
      • Breakeven analysis
      • Effort required to implement
      • Cost to implement

      Qualitative Metrics

      Qualitative metrics are less easily comparable but are equally important when it comes to evaluating ideas. These should be developed based on your organization strategy and innovation goals.
      Examples:

      • Strategy alignment
      • Impact on users
      • Uncertainty and risk
      • Innovation potential
      • Culture impact
      • Feasibility
      • Creativity and originality
      • Type of innovation

      Activity 3.1 Develop prioritization metrics

      1-3 hours

      1. Review your mandate, purpose, innovation goals and the sample prioritization and evaluation metrics.
      2. Write down a list of your goals and their associated metrics, then prioritize which are the most important.
      3. Determine which metrics will be used to evaluate ideas before they move on to the prioritization stage, and which metrics will be used to compare initiatives in order to determine which will receive further investment.
      4. For each evaluation metric, determine the minimum threshold required for an idea to move forward. For each prioritization metric identify the definition and how it will be evaluated. Qualitative metrics may require more precise definitions than quantitative metrics.
      5. Enter your metrics into the Initiative Prioritization Template.

      Input

      • Innovation mandate
      • Innovation goals
      • Sample metrics

      Output

      • Evaluation and prioritization metrics for ideas

      Materials

      • Whiteboard/Flip charts
      • Innovation Program Template

      Participants

      • Innovation leader

      Download the Initiative Prioritization Template

      3.2 Build your program to pilot initiatives

      Test and refine ideas through real-world pilot projects.

      • The purpose of your pilot is to test and refine ideas in the real world. In order to compare pilot projects, it's important to track key performance indicators throughout the pilot. Measurements should be useful and comparable.
      • Innovation facilitators are responsible for supporting pilot projects, including designing the pilot, setting up metrics, tracking outcomes, and facilitating retrospectives.
      • Pilots generally follow an Agile methodology where ideas may be refined as the pilot proceeds, and the process iterates until either the idea is discarded or it has been refined into an initiative which can be scaled.
      • Expect that most pilots will fail the first time, and many will fail completely. This is not a loss; lessons learned from the retrospective can be used to improve the process and later pilots.

      Use pilot projects to test and refine initiatives before scaling to the rest of the organization

      "Learning is as powerful as the outcome." – Brett Trelfa, CIO, Arkansas Blue Cross

      1. Clearly define the goals and objectives of the pilot project. Goals and objectives ensure that the pilot stays on track and can be measured.
      2. Your pilot group should include a variety of participants with diverse perspectives and skill sets, in order to gather unique insights.
      3. Continuously track the progress of the pilot project. Regularly identify areas of improvement and implement changes as necessary to refine ideas.
      4. Regularly elicit feedback from participants and iterate in order to improve the final innovation. Not all pilots will be successful, but every failure can help refine future solutions.
      5. Consider scalability. If the pilot project is successful, it should be scalable and the lessons learned should be implemented in the larger organization.

      Sample pilot metrics

      Metrics are used to validate and test pilot projects to ensure they deliver value. This is an important step before scaling to the rest of the organization.

      Adoption: How many end users have adopted the pilot solution?

      Utilization: Is the solution getting utilized?

      Support Requests: How many support requests have there been since the pilot was initiated?

      Value: Is the pilot delivering on the value that it proposed? For example, time savings.

      Feasibility: Has the feasibility of the solution changed since it was first proposed?

      Satisfaction: Focus groups or surveys can provide feedback on user/customer satisfaction.

      A/B Testing: Compare different methods, products or services.

      Info-Tech Insight

      Ensure standard core metrics are used across all pilot projects so that outcomes can be compared. Additional metrics may be used to refine and test hypotheses through the pilot process.

      Activity 3.2 Build your program to pilot initiatives

      1-2 hours

      1. Gather the innovation team and review your mandate, purpose, goals, and the sample innovation operating model and metrics.
      2. As a group, brainstorm the steps needed from idea generation to business case. Use sticky notes if in person, or a collaboration tool if remote.
      3. Determine the metrics that will be used to evaluate ideas at each decision step (for example, prior to piloting). Outline what the different decisions might be (for example, proceed, refine or discard) and what happens as a result of each decision.
      4. Document your final steps and metrics in the Innovation Program Template.

      Input

      • Innovation mandate
      • Innovation goals
      • Sample metrics

      Output

      • Pilot project methodology
      • Pilot project metrics

      Materials

      • Innovation Program Template
      • Sticky notes (in person) or digital collaboration tool (if remote)

      Participants

      • Innovation leader
      • Innovation team

      3.3 Conduct a program retrospective

      Generate value from your successful pilots by scaling ideas across the organization.

      • The final step in the innovation process is to scale ideas to the enterprise in order to realize the full potential.
      • Keeping track of notable wins is important for showing the value of the innovation program. Track performance of initiatives that come out of the innovation program, including their financial, cultural, market, and brand impacts.
      • Track the success of the innovation program itself by evaluating the number of ideas generated, the number of pilots run and the success of the pilots. Keep in mind that many failed pilots is not a failure of the program if the lessons learned were valuable.
      • Complete an innovation program retrospective every 6 to 12 months in order to adjust and make any changes if necessary to improve your process.

      Retrospectives should be objective, constructive, and action-oriented

      A retrospective is a review of your innovation program with the aim of identifying lessons learned, areas for improvement, and opportunities for growth.

      During a retrospective, the team will reflect on past experiences and use that information to inform future decision making and improve outcomes.

      The goal of a retrospective is to learn from the past and use that knowledge to improve in the future.

      Objective

      Ensure that the retrospective is based on facts and objective data, rather than personal opinions or biases.

      Constructive

      Ensure that the retrospective is a positive and constructive experience, with a focus on finding solutions rather than dwelling on problems.

      Action-Oriented

      The retrospective should result in a clear action plan with specific steps to improve future initiatives.

      Activity 3.3 Conduct a program retrospective

      1-2 hours

      1. Post a large piece of paper on the wall with a timeline from the last year. Include dates and a few key events, but not much more. Have participants place sticky notes in the spots to describe notable wins or milestones that they were proud of. This can be done as part of a formal meeting or asynchronously outside of meetings.
      2. Bring the innovation team together and review the poster with notable wins. Do any themes emerge? How does the team feel the program is doing? Are there any changes needed?
      3. Consider the metrics you use to track your innovation program success. Did the scaled projects meet their targets? Is there anything that could be refined about the innovation process?
      4. Evaluate the outcomes of your innovation program. Did it meet the targets set for it? Did the goals and innovation ambitions come to fruition?
      5. Complete this step every 6 to 12 months to assess the success of your program.
      6. Complete the "Notable Wins" section of the Innovation Program Template.

      Input

      • Innovation mandate
      • Innovation goals
      • Sample metrics

      Output

      • Notable wins
      • Action items for refining the innovation process

      Materials

      • Innovation Program Template
      • Sticky notes (in person) or digital collaboration tool (if remote)

      Participants

      • CIO
      • Innovation team
      • Others who have participated in the innovation process

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      Summary of Accomplishment

      Congratulations on launching your innovation program!

      You have now completed your innovation strategy, covering the following topics:

      • Executive Summary
      • Our Purpose
      • Scope and Value Proposition
      • Guiding Principles
      • Building an Innovative Culture
      • Program Structure
      • Success Metrics
      • Notable Wins

      If you would like additional support, have our analysts guide you through an Info-Tech workshop or Guided Implementation.

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

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      Kim is a professional engineer and Registered Communications Distribution Designer with over a decade of experience in management and engineering consulting spanning healthcare, higher education, and commercial sectors. She has worked on some of the largest hospital construction projects in Canada, from early visioning and IT strategy through to design, specifications, and construction administration. She brings a practical and evidence-based approach, with a track record of supporting successful projects.
      Kim holds a Bachelor's degree in Mechatronics Engineering from University of Waterloo.

      Joanne Lee

      Joanne Lee
      Principal Research Director, CIO Advisory
      Info-Tech Research Group

      Joanne is an executive with over 25 years of experience in digital technology and management consulting across both public and private entities from solution delivery to organizational redesign across Canada and globally.
      Prior to joining Info-Tech Research Group, Joanne was a management consultant within KPMG's CIO management consulting services and the Western Canadas Digital Health Practice lead. She has held several executive roles in the industry with the most recent position as Chief Program Officer for a large $450M EHR implementation. Her expertise spans cloud strategy, organizational design, data and analytics, governance, process redesign, transformation, and PPM. She is passionate about connecting people, concepts, and capital.
      Joanne holds a Master's in Business and Health Policy from the University of Toronto and a Bachelor of Science (Nursing) from the University of British Columbia.

      Jack Hakimian

      Jack Hakimian
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      Jack has more than 25 years of technology and management consulting experience. He has served multi-billion-dollar organizations in multiple industries including Financial Services and Telecommunications. Jack also served a number of large public sector institutions.
      He is a frequent speaker and panelist at technology and innovation conferences and events and holds a Master's degree in Computer Engineering as well as an MBA from the ESCP-EAP European School of Management.

      Michael Tweedie

      Michael Tweedie
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      Mike Tweedie brings over 25 years as a technology executive. He's led several large transformation projects across core infrastructure, application, and IT services as the head of Technology at ADP Canada. He was also the Head of Engineering and Service Offerings for a large French IT services firm, focused on cloud adoption and complex ERP deployment and management.
      Mike holds a Bachelor's degree in Architecture from Ryerson University.

      Mike Schembri

      Mike Schembri
      Senior Executive Advisor
      Info-Tech Research Group

      Mike is the former CIO of Fuji Xerox Australia and has 20+ years' experience serving IT and wider business leadership roles. Mike has led technical and broader business service operations teams to value and growth successfully in organizations ranging from small tech startups through global IT vendors, professional service firms, and manufacturers.
      Mike has passion for strategy and leadership and loves working with individuals/teams and seeing them grow.

      John Leidl

      John Leidl
      Senior Director, Member Services
      Info-Tech Research Group

      With over 35 years of IT experience, including senior-level VP Technology and CTO leadership positions, John has a breadth of knowledge in technology innovation, business alignment, IT operations, and business transformation. John's experience extends from start-ups to corporate enterprise and spans higher education, financial services, digital marketing, and arts/entertainment.

      Joe Riley

      Joe Riley
      Senior Workshop Director
      Info-Tech Research Group

      Joe ensures our members get the most value out of their Info-Tech memberships by scoping client needs, current state and desired business outcomes, and then drawing upon his extensive experience, certifications, and degrees (MBA, MS Ops/Org Mgt, BS Eng/Sci, ITIL, PMP, Security+, etc.) to facilitate our client's achievement of desired and aspirational business outcomes. A true advocate of ITSM, Joe approaches technology and technology practices as a tool and enabler of people, core business, and competitive advantage activities.

      Denis Goulet

      Denis Goulet
      Senior Workshop Director
      Info-Tech Research Group

      Denis is a transformational leader and experienced strategist who has worked with 100+ organizations to develop their digital, technology, and governance strategies.
      He has held positions as CIO, Chief Administrative Office (City Manager), General Manager, Vice President of Engineering, and Management Consultant, specializing in enterprise and technology strategy.

      Cole Cioran

      Cole Cioran
      Managing Partner
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      I knew I wanted to build great applications that would delight their users. I did that over and over. Along the way I also discovered that it takes great teams to deliver great applications. Technology only solves problems when people, processes, and organizations change as well. This helped me go from writing software to advising some of the largest organizations in the world on how to how to build a digital delivery umbrella of Product, Agile, and DevOps and create exceptional products and services powered by technology.

      Carlene McCubbin

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      Research Lead, CIO Practice
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      Isabelle Hertanto

      Isabelle Hertanto
      Principal Research Director
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      Hans Eckman

      Hans Eckman
      Principal Research Director
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      Hans Eckman is a business transformation leader helping organizations connect business strategy and innovation to operational excellence. He supports Info-Tech members in SDLC optimization, Agile and DevOps implementation, CoE/CoP creation, innovation program development, application delivery, and leadership development. Hans is based out of Atlanta, Georgia.

      Valence Howden

      Valence Howden
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      Clayton Gillett

      Clayton Gillett
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      Clayton Gillett is a Managing Partner for Info-Tech, providing technology management advisory services to healthcare clients. Clayton joined Info-Tech with more than 28 years of experience in health care information technology. He has held senior IT leadership roles at Group Health Cooperative of Puget Sound and OCHIN, as well as advisory or consulting roles at ECG Management Consultants and Gartner.

      Donna Bales

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      Donna Bales is a Principal Research Director in the CIO Practice at Info-Tech Research Group specializing in research and advisory services in IT risk, governance, and compliance. She brings over 25 years of experience in strategic consulting and product development and has a history of success in leading complex, multi-stakeholder industry initiatives.

      Igor Ikonnikov

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      Igor Ikonnikov is a Research and Advisory Director in the Data and Analytics practice. Igor has extensive experience in strategy formation and execution in the information management domain, including master data management, data governance, knowledge management, enterprise content management, big data, and analytics.
      Igor has an MBA from the Ted Rogers School of Management (Toronto, Canada) with a specialization in Management of Technology and Innovation.

      Research Contributors and Experts

      Michael Newcity

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      Kevin Yoder

      Kevin Yoder
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      Gary Boyd

      Gary Boyd
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      Brett Trelfa

      Brett Trelfa
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      Kristen Wilson-Jones

      Kristen Wilson-Jones
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      Note: additional contributors did not wish to be identified

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      Weick, Karl and Kathleen Sutcliffe. Managing the Unexpected: Sustained Performance in a Complex World, Third Edition. John Wiley & Sons, 2015.
      Xuan Tian, Tracy Yue Wang, Tolerance for Failure and Corporate Innovation, The Review of Financial Studies, Volume 27, Issue 1, 2014, Pages 211–255, Accessed https://doi.org/10.1093/rfs/hhr130

      Enterprise Storage Solution Considerations

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      • Enterprise storage technology and options are challenging to understand.
      • There are so many options. How do you decide what the best solution is for your storage challenge??
      • Where do you start when trying to solve your enterprise storage challenge?

      Our Advice

      Critical Insight

      Take the time to understand the various data storage formats, disk types, and associated technology, as well as the cloud-based and on-premises options. This will help you select the right tool for your needs.

      Impact and Result

      Look to existing use cases based on actual Info-Tech analyst calls to help in your decision-making process.

      Enterprise Storage Solution Considerations Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Enterprise Storage Solution Considerations – Narrow your focus with the right product type and realize efficiencies.

      Explore the building blocks of enterprise storage so you can select the best solution, narrow your focus with the correct product type, explore the features that should be considered when evaluating enterprise storage offerings, and examine use cases based on actual Info-Tech analyst calls to find a storage solution for your situation.

      • Enterprise Storage Solution Considerations Storyboard

      2. Modernize Enterprise Storage Workbook – Understand your data requirements.

      The first step in solving your enterprise storage challenge is identifying your data sources, data volumes, and growth rates. This information will give you insight into what data sources could be stored on premises or in the cloud, how much storage you will require for the coming five to ten years, and what to consider when exploring enterprise storage solutions. This tool can be a valuable asset for determining your current storage drivers and future storage needs, structuring a plan for future storage purchases, and determining timelines and total cost of ownership.

      • Modernize Enterprise Storage Workbook
      [infographic]

      Further reading

      Enterprise Storage Solution Considerations

      Narrow your focus with the right product type and realize efficiencies.

      Analyst Perspective

      The vendor landscape is continually evolving, as are the solutions they offer. The options and features are increasing and appealing.

      The image contains a picture of P.J. Ryan.

      To say that the current enterprise storage landscape looks interesting would be an understatement. The solutions offered by vendors continue to grow and evolve. Flash and NVMe are increasing the speed of storage media and reducing latency. Software-defined storage is finding the most efficient use of media to store data where it is best served while managing a variety of vendor storage and older storage area networks and network-attached storage devices.

      Storage as a service is taking on a new meaning with creative solutions that let you keep the storage appliance on premises or in a colocated data center while administration, management, and support are performed by the vendor for a nominal monthly fee.

      We cannot discuss enterprise storage without mentioning the cloud. Bring a thermometer because you must understand the difference between hot, warm, and cold storage when discussing the cloud options. Very hot and very cold may also come into play.

      Storage hardware can assume a higher total cost of ownership with support options that replace the controllers on a regular basis. The options with this type of service are also varied, but the concept of not having to replace all disks and chassis nor go through a data migration is very appealing to many companies.

      The cloud is growing in popularity when it comes to enterprise storage, but on-premises solutions are still in demand, and whether you choose cloud or on premises, you can be guaranteed an array of features and options to add stability, security, and efficiency to your enterprise storage.

      P.J. Ryan
      Research Director, Infrastructure & Operations
      Info-Tech Research Group

      Executive Summary

      Info-Tech Insight

      The vendor landscape is continually evolving, as are the solutions they offer.

      Storage providers are getting acquired by bigger players, “outside the box” thinking is disrupting the storage support marketplace, “as a service” storage offerings are evolving, and what is a data lake and do I need one? The traditional storage vendors are not alone in the market, and the solutions they offer are no longer traditional either. Explore the landscape and understand your options before you make any enterprise storage solution purchases.

      Understand the building blocks of storage so you can select the best solution.

      There are multiple storage formats for data, along with multiple hardware form factors and disk types to hold those various data formats. Software plays a significant role in many of these storage solutions, and cloud offerings take advantage of all the various formats, form factors, and disks. The challenge is matching your data type with the correct storage format and solution.

      Look to existing use cases to help in your decision-making process.

      Explore previous experiences from others by reading use cases to determine what the best solution is for your challenge. You’re probably not the first to encounter the challenge you’re facing. Another organization may have previously reached out for assistance and found a viable solution that may be just what you also need.

      Enterprise storage has evolved, with more options than ever

      Data is growing, data security will always be a concern, and vendors are providing more and more options for enterprise storage.

      “By 2025, it’s estimated that 463 exabytes of data will be created each day globally – that’s the equivalent of 212,765,957 DVDs per day!” (Visual Capitalist)

      “Modern criminal groups target not only endpoints and servers, but also central storage systems and their backup infrastructure.” (Continuity Software)

      Cloud or on premises? Maybe a hybrid approach with both cloud and on premises is best for you. Do you want to remove the headaches of storage administration, management, and support with a fully managed storage-as-a-service solution? Would you like to upgrade your controllers every three or four years without a major service interruption? The options are increasing and appealing.

      High-Level Considerations

      1. Understand Your Data

      Understand how much data you have and where it is located. This will be crucial when evaluating enterprise storage solutions.

      2. Plan for Growth

      Your enterprise storage considerations should include your data needs now and in the future.

      3. Understand the Mechanics

      Take the time to understand the various data storage formats, disk types, and associated technology, as well as the cloud-based and on-premises options. This will help you select the right tool for your needs.

      Storage formats, disk drives, and technology

      Common data storage formats, technology, and drive types are outlined below. Understanding how data is stored as well as the core building blocks for larger systems will help you decide which solution is best for your storage needs.

      Format

      What it is

      Disk Drives and Technology

      File Storage

      File storage is hierarchical storage that uses files, folders, subfolders, and directories. You enter a specific filename and path to access the file, such as P:\users\johndoe\strategy\cloud.doc. If you ever saved a file on a server, you used file storage. File storage is usually managed by some type of file manager, such as File Explorer in Windows. Network-attached storage (NAS) devices use file storage.

      Hard Disk Drives (HDD)

      HDD use a platter of spinning disks to magnetically store data. The disks are thick enough to make them rigid and are referred to as hard disks.

      HDD is older technology but is still in demand and offered by vendors.

      Object Storage

      Object storage is when data is broken into distinct units, called objects. These objects are stored in a flat, non-hierarchical structure in a single location or repository. Each object is identified by its associated ID and metadata. Objects are accessed by an application programming interface (API).

      Flash

      Flash storage uses flash memory chips to store data. The flash memory chips are written with electricity and contain no moving parts. Flash storage is very fast, which is how the technology got its name (“Flash vs. SSD Storage,” Enterprise Storage Forum, 2018).

      Block Storage

      Block storage is when data is divided up into fixed-size blocks and stored with a unique identifier. Blocks can be stored in different environments, such as Windows or Linux. Storage area networks (SANs) use block storage.

      Solid-State Drive (SSD)

      SSD is a storage mechanism that also does not use any moving parts. Most SSD drives use flash storage, but other options are available for SSD.

      Nonvolatile Memory Express (NVMe)

      NVMe is a communications standard developed specially for SSDs by a consortium of vendors including Intel, Samsung, SanDisk, Dell, and Seagate. It operates across the PCIe bus (hence the “Express” in the name), which allows the drives to act more like the fast memory that they are rather than the hard disks they imitate (PCWorld).

      Narrow your focus with the right product type

      On-premises enterprise storage solutions fit into a few distinct product types.

      Network-Attached Storage

      Storage Area Network

      Software-Defined Storage

      Hyperconverged Infrastructure

      NAS refers to a storage device that is connected directly to your network. Any user or device with access to your network can access the available storage provided by the NAS. NAS storage is easily scalable and can add data redundancy through RAID technology. NAS uses the file storage format.

      NAS storage may or may not be the first choice in terms of enterprise storage, but it does have a solid market appeal as an on-premises primary backup storage solution.

      A SAN is a dedicated network of pooled storage devices. The dedicated network, separate from the regular network, provides high speed and scalability without concern for the regular network traffic. SANs use block storage format and can be divided into logical units that can be shared between servers or segregated from other servers. SANs can be accessed by multiple servers and systems at the same time. SANs are scalable and offer high availability and redundancy through RAID technology.

      SANs can use a variety of disk types and sizes and are quite common among on-premises storage solutions.

      “Software-defined storage (SDS) is a storage architecture that separates storage software from its hardware. Unlike traditional network-attached storage (NAS) or storage area network (SAN) systems, SDS is generally designed to perform on any industry-standard or x86 system, removing the software’s dependence on proprietary hardware.” (RedHat)

      SDS uses software-based policies and rules to grow and protect storage attached to applications.

      SDS allows you to use server-based storage products to add management, protection, and better usage.

      Hyperconverged storage uses virtualization and software-defined storage to combine the storage, compute, and network resources along with a hypervisor into one appliance.

      Hyperconverged storage can scale out by adding more nodes or appliances, but scaling up, or adding more resources to each appliance, can have limitations. There is flexibility as hyperconverged storage can work with most network and compute manufacturers.

      Cloud storage

      • Cloud storage is online storage offered by a cloud provider. Cloud storage is available almost anywhere and is set up with high availability features such as data duplication, redundancy, backup, and power failure protection.
      • Cloud storage is very scalable and typically is offered as object storage, block storage, or file storage. Cloud storage vendors may have their own naming scheme for object, block, or file storage.
      • Cloud-hosted data is marketed according to the frequency of access and length of time in storage. There are typically three main levels of storage: hot, warm, or cold. Vendors may have their own naming convention for hot, warm, and cold storage. Some may also add more layers such as very hot or very cold.
        • Hot storage is for data that is frequently accessed and modified. It is available on demand and is the most costly of the storage levels.
        • Cold storage is for data that will sit for a long period of time and not need to be accessed. Cold storage is usually only available after several hours or days. Cold storage is very low cost and, in some cases, even free, but retrieval or restoration for the free services can be costly.
        • Warm storage sits in between hot and cold storage. It is for data that is infrequently needed. The cost of warm storage is also in between hot and cold storage costs, and access times are measured in terms of minutes or hours.
        • It is not uncommon for data to start in hot storage and, as it ages, move to warm and eventually cold storage.

      “Enterprise cloud storage offers nearly unlimited scalability. Enterprises can add storage quickly and easily as it is needed, eliminating the risk and cost of over-provisioning.”

      – Spectrum Enterprise

      “Hot data will operate on fresh data. Cold data will operate on less frequent data and [is] used mainly for reporting and planning. Warm data is a balance between the two.”

      – TechBlost

      Enterprise storage features

      The features listed below, while not intended to cover all features offered by all vendors, should be considered and could act as a baseline for discussions with storage providers when evaluating enterprise storage offerings.

      • Scalability
        • What are the options to expand, and how easy or difficult it is to expand capacity in the future?
      • Security
        • Does the solution offer data encryption options as well as ransomware protections?
      • Integration options
        • Can the solution support seamless connectivity with other solutions and applications, such as cloud-based storage or backup software?
      • Storage reduction
        • Does the solution offer space-reduction options such as deduplication or data compression?
      • Replication
        • Does the solution offer replication options such as device to device on premises, device to device when geographically separated, device to cloud, or a combination of these scenarios?
      • Performance
        • “Enterprise storage systems have two main ‘speed’ measurements: throughput and IOPS. Throughput is the data transfer rate to and from storage media, measured in bytes per second; IOPS measures the number of reads and writes – input/output (I/O) operations – per second.” (Computer Weekly)
      • Protocol support
        • Does the solution support object-based, block-based, and file-based storage protocols?
      • Storage Efficiency
        • How efficient is the solution? Can they prove it?
        • Storage efficiencies must be available and baselined.
      • Management platform
        • A management/reporting platform should be a component included in the system.
      • Multi-parity
        • Does the solution offer multi-level block “parity” for RAID 6 protection equivalency, which would allow for the simultaneous failure of two disks?
      • Proactive support
        • Features such as call home, dial in, or remote support must be available on the system.
      • Financial considerations
        • The cost is always a concern, but are there subscription-based or “as-a-service” options?
        • Internally, is it better for this expenditure to be a capital expenditure or an ongoing operating expense?

      What’s new in enterprise storage

      • Data warehouses are not a new concept, but the data storage evolution and growth of data means that data lakes and data lakehouses are growing in popularity.
        • “A data lake is a centralized repository that allows you to store all your structured and unstructured data at any scale. You can store your data as-is, without having to first structure the data” (Amazon Web Services).
        • Analytics with a data lake is possible, but manipulation of the data is hindered due to the nature of the data. A data lakehouse adds data management and analytics to a data lake, similar to the data warehouse functionality added to databases.
      • Options for on-premises hardware support is changing.
        • Pure Storage was the first to shake up the SAN support model with its Evergreen support option. Evergreen//Forever support allows for storage controller upgrades without having to migrate data or replace your disks or chassis (Pure Storage).
        • In response to the Pure Storage Evergreen offering, Dell, HPE, NetApp, and others have come out with similar programs that offer controller upgrades while maintaining the data, disks, and chassis.
      • “As a service” is available as a hybrid solution.
        • Storage as a service (STaaS) originally referred to hosted, fully cloud-based offerings without the need for any on-premises hardware.
        • The latest STaaS offerings provide on-premises or colocated hardware with pay-as-you-go subscription pricing for data consumption. Administration, management, and support are included. The vendor will supply support and manage everything on your behalf.
        • Most of the major storage vendors offer a variation of storage as a service.

      “Because data lakes mostly consist of raw unprocessed data, a data scientist with specialized expertise is typically needed to manipulate and translate the data.”

      – DevIQ

      “A Lakehouse is also a type of centralized data repository, integrated from heterogeneous sources. As can be expected from its name, It shares features with both datawarehouses and data lakes.”

      – Cesare

      “Storage as a service (STaaS) eliminates Capex, simplifies management and offers extensive flexibility.”

      – TechTarget

      Major vendors

      The current vendor landscape for enterprise storage solutions represents a range of industry veterans and the brands they’ve aggregated along the way, as well as some relative newcomers who have come to the forefront within the past ten years.

      Vendors like Dell EMC and HPE are longstanding veterans of storage appliances with established offerings and a back catalogue of acquisitions fueling their growth. Others such as Pure Storage offer creative solutions like all-flash arrays, which are becoming more and more appealing as flash storage becomes more commoditized.

      Cloud-based vendors have become popular options in recent years. Cloud storage provides many options and has attracted many other vendors to provide a cloud option in addition to their on-premises solutions. Some software and hardware vendors also partner with cloud vendors to offer a complete solution that includes storage.

      Info-Tech Insight

      Explore your current vendor’s solutions as a starting point, then use that understanding as a reference point to dive into other players in the market

      Key Players

      • Amazon
      • Cisco
      • Dell EMC
      • Google
      • Hewlett Packard Enterprise
      • Hitachi Vantara
      • IBM
      • Microsoft
      • NetApp
      • Nutanix
      • Pure Storage

      Enterprise Storage Use Cases

      Block, object, or file storage? NAS, SAN, SDS, or HCI? Cloud or on prem? Hot, warm, or cold?
      Which one do you choose?
      The following use cases based on actual Info-Tech analyst calls may help you decide.

      1. Offsite backup solution
      2. Infrastructure consolidation
      3. DR/BCP datacenter duplication
      4. Expansion of existing storage
      5. Complete backup solution
      6. Existing storage solution going out of support soon
      7. Video storage
      8. Classify and offload storage

      Offsite backup solution

      “Offsite” may make you think of geographical separation or even cloud-based storage, but what is the best option and why?

      Use Case: How a manufacturing company dealt with retired applications

      • A leading manufacturing company had to preserve older applications no longer in use.
      • The company had completed several acquisitions and ended up with multiple legacy applications that had been merged or migrated into replacement solutions. These legacy applications were very important to the original companies, and although the data they held had been migrated to a replacement solution, executives felt they should hold on to these applications for a period of time, just in case.
      • A modern archiving solution was considered, but a research advisor from Info-Tech Research joined a call with the manufacturing company and helped the client realize that the solution was a modified backup. The application data had already been preserved through the migration, so data could be accessed in the production environment.
      • The data could be exported from the legacy application into a nonsequential database, compressed, and stored in cloud-based cold storage for less than $5 per terabyte per month. The manufacturing company staff realized that they could apply this same approach to several of their legacy applications and save tens of thousands of dollars in the process.
      • Cold storage is inexpensive until you start retrieving that data frequently. The manufacturing company knew they did not have a requirement to retrieve the application and data for a very long time, so cloud-based cold storage was ideal.

      “Data retrieval from cold storage is harder and slower than it is from hot storage. … Because of the longer retrieval time, online cold storage plans are often much cheaper. … The downside is that you’d incur additional costs when retrieving the data.”

      – Ben Stockton, Cloudwards

      Infrastructure consolidation

      Hyperconverged infrastructure combines storage, virtual infrastructure, and associated management into one piece of equipment.

      Use Case: How one company dealt with equipment and storage needs

      • One Info-Tech client had recently started in the role of IT director and realized he had inherited aging infrastructure along with a serious data challenge. The storage appliances were old and out of support. The appliances were performing inadequately, and the client was in need of more data due to ongoing growth, but he also realized that the virtual environment was running on very old servers that were no longer supported. The IT director reached out to Info-Tech to find solutions to the virtualization challenge, but the storage problem also came up throughout the course of the conversation with an analyst.
      • The analyst quickly realized that the IT director was an ideal candidate for a hyperconverged infrastructure (HCI) storage solution, which would also provide the necessary virtual environment.
      • The analyst explained the benefits of having a single appliance that would provide virtualization needs as well as storage needs. The built-in management features would ease the burden of administration, and the software-defined nature of the HCI would allow for the migration of data as well as future expansion options.
      • Hyperconverged infrastructure is offered by many vendors under a variety of names. Most are similar but some may have a better interface or other features. The expansion process is simple, and HCI is a good fit for many organizations looking to consolidate virtual infrastructure and storage.

      “HCI environments use a hypervisor, usually running on a server that uses direct-attached storage (DAS), to create a data center pool of systems and resources.”

      – Samuel Greengard, Datamation

      Datacenter duplication

      SAN providers offer a varied range of options for their products, and those options are constantly evolving.

      Use Case: Independent school district provides better data access using SAN technology

      • An independent school district was expanding by adding a second data center in a new school. This new data center would be approximately 20 miles away from the original data center used by the district. The intent was not to replace the original data center but to use both centers to store data and provide services concurrently. The district’s ideal scenario would be that users would not know or care which data center they were reaching, and there would be no difference in the service received from each data center. The school district reached out to Info-Tech when planning discussions reached the topic of data duplication and replication software.
      • An Info-Tech analyst joined a call with the school district and guided the conversation toward the existing environment to understand what options might be available. The analyst quickly discovered that all the district’s servers were virtual, and all associated data was stored on a single SAN.
      • The analyst informed the school district staff about SAN options, including SAN-to-SAN replication. If the school district had a sufficient link between the two data centers, SAN-to-SAN replication would work for them and provide the two identical copies of data at two locations.
      • The analyst continued to offer explanations of other features that some vendors offer with their SANs, such as the ability to turn on or off deduplication and compression, as well as disk options such as flash or NVMe.
      • The school district was moving to the request for proposal (RFP) stage but hoped to have SAN-to-SAN replication implemented before the next academic year started.

      “SAN-to-SAN replication is a low-cost, highly efficient way to manage mounting quantities of stored data.”

      – Secure Infrastructure & Services

      Expansion of existing storage

      That old storage area network may still have some useful life left in it.

      Use Case: Municipality solves data storage aging and growth challenge

      • A municipality in the United States reached out to Info-Tech for guidance on its storage challenge. The municipality had accumulated multiple SANs from different vendors over the years. These SANs were running out of storage, and more data storage was needed. The municipality’s data was growing at a rapid pace, thanks to municipal growth and expansion of services. The IT team was also concerned with modernizing their storage and not hindering their long-term growth by making the wrong purchase decision for their current storage needs.
      • An analyst from Info-Tech discussed several options with the municipality but in the end advised that software-defined storage may be the best solution.
      • Software-defined storage (SDS) would allow the municipality to gain better visibility into existing storage while making more efficient use of existing and new storage. SDS could take over the management of the existing storage from multiple vendors and add additional storage as required. SDS would also be able to integrate cloud-based storage if that was the direction taken by the municipality in the future.
      • The municipality moved forward with an SDS solution and added some additional storage capacity. They used some of their existing SANs but retired the more troublesome ones. The SDS system managed all the storage instances and data management. The administration of the storage environment was easier for the storage admins, and long-term savings were achieved through better storage management.

      “Often enterprises have added storage on an ad hoc basis as they needed it for various applications. That can result in a mishmash of heterogenous storage hardware from a wide variety of vendors. SDS offers the ability to unify management of these different storage devices, allowing IT to be more efficient.”

      – Cynthia Harvey, Enterprise Storage Forum (“What Is Software Defined Storage?”, 2018)

      Complete backup solution

      Many backup software solutions can provide backups to multiple locations, making two-location backups simple.

      Use Case: How an oil refinery modernized its backup solution

      • A large oil refinery needed a better solution for the storage of backups. The refinery was replacing its backup software solution but also wanted to improve the backup storage situation and move away from tape-based storage. All other infrastructure was reasonably modern and not in need of replacement at this time.
      • A research analyst from Info-Tech helped the client realize that the solution was a modified backup. The general guidance for backups is have a least one copy offsite, so the cloud was the obvious focal point. The analyst also explained that it would be beneficial to have a recent copy of the backup available on site for common restoration requests in addition to having the offsite copy for disaster recovery (DR) purposes.
      • The refinery staff conducted a data analysis to determine how much data was being backed up on a daily basis. The solution proposed by the analyst included network-attached storage (NAS) with adequate storage to hold 30 days' worth of on-premises data. The backup software would also simultaneously copy each backup to a cloud-based storage repository. The backup software was smart enough to only back up and transfer data that had changed since the previous backup, so transfer time and capacity was not a factor.
      • The NAS would allow for the restoration of any local, on-premises data while the cloud storage would provide a safe location offsite for backup data. It could also serve as the backup location for other cloud-based services that required a backup.

      “Data protection demands that enterprises have multiple methods of keeping data safe and replicating it in case of disaster or loss.”

      – Drew Robb, Enterprise Storage Forum, 2021

      Storage going out of support

      SAN solutions have come a long way with improvements in how data is stored and what is used to store the data.

      Use Case: How one organization replaced its old storage with a similar solution

      • A government organization was looking for a solution for its aging storage area network appliances. The SANs were old and would be no longer supported by the manufacturer within four months. The SANs had slower spinning disks and their individual capacity was at its limit through the addition of extra shelves and disks over the years.
      • The organization reached out to Info-Tech for guidance. An analyst arranged a call with them, and they discussed the storage situation in detail, including desired benefits from a storage solution and growth requirements. They also discussed cloud storage, but the government organization was not in a position to move its data to the cloud for a variety of reasons.
      • Although the individual SANs were at their storage capacity limit, the total amount of data was well within the limits of many modern on-premises storage solutions. SSD and flash or NVMe storage can store large amounts of data in small footprints and form factors.
      • The analyst reviewed several vendors with the client and discussed some advantages and disadvantages of each. They explored the features offered as well as scalability options.
      • SANs have been around for a long time but the features and capabilities that come with them has evolved. They are still a very viable solution for many organizations in a variety of scenarios.

      “A rapidly growing portion of SAN deployments leverages all-flash storage to gain its high performance, consistent low latency, and lower total cost when compared to spinning disk.”

      – NetApp

      Video storage

      Cloud storage would not be sufficient if you were using a dial up connection, just as on-premises storage solutions would not suffice if they were using floppy disks.

      Use Case: Body cams and public cameras in municipalities are driving storage growth

      • Municipal law enforcement agencies are wearing body cameras more frequently, for their own protection as well as for the protection of the public. Camera footage can be useful in legal situations as well. Municipalities are also installing more and more public cameras for the purposes of public safety. The recorded video footage from these cameras can result in large data files, which in turn drive data storage requirements.
      • Info-Tech analysts are joining calls about video data storage with increasing frequency. The concerns are repetitive, and the guidance is similar on most of these calls.
      • The “object” storage format is ideal for video and media data. Most cloud-based storage solutions use object storage, but it is also available with on-premises solutions such as NAS or SAN. The challenges clients are expressing are typically related to inadequate bandwidth for cloud-based storage or other storage formats instead of “object” storage. Cloud-based storage can also grow beyond the budgeted numbers, causing an increase in the monthly cloud cost. Older, slower on-premises hardware sometimes reveals itself as the latency culprit.
      • Object storage is well suited for the unstructured data that is video footage. It uses metadata to tag the video file for future retrieval and is easily expandable, which also makes it cost effective.
      • Video data stored in a cloud-based repository will work fine as long as the bandwidth is adequate. On-premises storage of video data is also quite adequate on the right storage format, with fast disks and a reasonably up-to-date network infrastructure.

      “The captured video is stored for days, weeks, months and sometimes years and consumes a lot of space. Data storage plays a new and important role in these systems. Object storage is ideal to store the video data.”

      – Object-Storage.Info

      Classify and offload primary storage

      Some software products have storage options available as a result of agreements with other storage vendors. Several backup and archive software products fall into this category.

      Use Case: Enterprise storage can help reduce data sprawl

      • A large engineering firm was trying to manage its data sprawl. The team sampled a small percentage of their data and quickly realized that when they applied their findings on the 1% of data to their entire data estate, the sheer volume of personal files, older files, and unclassified data was going to be a challenge.
      • They found a solution in archiving software. The archiving software would tag data based on several factors. The software would move older files away from primary storage to an alternate storage platform but still leave a stub of the moved file in place and maintain limited access to those files. This would reduce primary storage requirements and allow the firm to eliminate multiple file servers
      • The engineering firm reached out to Info-Tech and participated in an analyst call. During that call, they laid out their plans, and the analyst made them aware of cloud storage. The positive and negative aspects of cloud storage were discussed, and the firm fully understood that the colder the storage tier, the slower the recovery. The firm's stance was if the files had not been accessed in the past six months, waiting a day or two for retrieval would not be a concern, and the firm was content with cold storage in the cloud.
      • The firm had not purchased the archiving software at the time of the analyst call, and the analyst also explained to them that the archiving software may have an existing agreement with a cloud provider for storage options, which could be more cost effective than purchasing cloud storage separately.
      • Cold cloud-based storage was the preferred solution for this firm, but this use case also highlights the option that some software products carry regarding storage. Several backup and archive products have a cloud storage option that should be investigated, as they may be cost-effective options.

      “Cold storage is perfect for archiving your data. Online backup providers offer low-cost, off-site data backups at the expense of fast speeds and easy access, even though data retrieval often comes at an added cost. If you need to keep your data long-term, but don’t need to access it often, this is the kind of storage you need.”

      – Ben Stockton, Cloudwards

      Understand your data requirements

      Activity

      The first step in solving your enterprise storage challenge is identifying your data sources or drivers, data volume size, and growth rates. This information will give you insight into what data sources could be stored on premises or in the cloud, how much storage you will require for the coming five to ten years, and what to consider when exploring enterprise storage solutions.

      • Info-Tech’s Modernize Enterprise Storage Workbook can be a valuable asset for determining your current storage drivers and future storage needs, structuring a plan for future storage purchases, and determining timelines and total cost of ownership.
      • An example of the Storage Capacity Calculator tab from that workbook is displayed on the right. Using the Storage Capacity Requirements Calculator requires minimal steps.
      1. Enter the current date and planning timeline (horizon) in months
      2. Identify the top sources of data within the business – the current data drivers. Areas of focus could include business applications, file shares, backup, and archives.
      3. For each of these data drivers, include your best estimate of:
      • Current data volume
      • Growth rate
    • Identify the top future data drivers, such as new applications or initiatives that will result from current business plans and priorities, and record the following details:
      • Initial data volumes
      • Projected growth rates
      • Planned implementation date
    • The spreadsheet will automatically calculate the data volume at the planning horizon based on the growth rate.
    • Download the Modernize Enterprise Storage Workbook and take the first step toward understanding your data requirements.

      The image contains a screenshot of the Modernize Enterprise Storage Workbook.

      Download the Modernize Enterprise Storage Workbook

      Related Info-Tech Research

      Modernize Enterprise Storage

      Current and emerging storage technologies are disrupting the status quo – prepare your infrastructure for the exponential rise in data and its storage requirements.

      Modernize Enterprise Storage Workbook

      This workbook will complement the discussions and activities found in the Modernize Enterprise Storage blueprint. Use this workbook in conjunction with the blueprint to develop a strategy for storage modernization.

      Bibliography

      Bakkianathan, Raghunathan. “What is the difference between Hot Warm and Cold data storage?” TechBlost, n.d.. Accessed 14 July 2022.
      Cesare. “Data warehouse vs Data lake vs Lakehouse… and DeltaLake?“ Medium, 14 June 2021. Accessed 26 July 2022.
      Davison, Shawn and Ryan Sappenfield. “Data Lake Vs Lakehouse Vs Data Mesh: The Evolution of Data Transformation.” DevIQ, May 2022. Accessed 23 July 2022.
      Desjardins, Jeff. “Infographic: How Much Data is Generated Each Day?” Visual Capitalist, 15 April 2019. Accessed 26 July 2022.
      Greengard, Samuel. “Top 10 Hyperconverged Infrastructure (HCI) Solutions.” Datamation, 22 December 2020. Accessed 23 July 2022.
      Harvey, Cynthia. “Flash vs. SSD Storage: Is there a Difference?” Enterprise Storage Forum, 10 July 2018. Accessed 23 July 2022.
      Harvey, Cynthia. “What Is Software Defined Storage? Features & Benefits.” Enterprise Storage Forum, 22 February 2018. Accessed 23 July 2022.
      Hecht, Gil. “4 Predictions for storage and backup security in 2022.” Continuity Software, 09 January 2022. Accessed 22 July 2022.
      Jacobi, Jonl. “NVMe SSDs: Everything you need to know about this insanely fast storage.” PCWorld, 10 March 2019. Accessed 22 July 2022
      Pritchard, Stephen. “Briefing: Cloud storage performance metrics.” Computer Weekly, 16 July 2021. Accessed 23 July 2022
      Robb, Drew. “Best Enterprise Backup Software & Solutions 2022.” Enterprise Storage Forum, 09 April 2021. Accessed 23 July 2022.
      Sheldon, Robert. “On-premises STaaS shifts storage buying to Opex model.” TechTarget, 10 August 2020. Accessed 22 July 2022.
      “Simplify Your Storage Ownership, Forever.” PureStorage. Accessed 20 July 2022.
      Stockton, Ben. “Hot Storage vs Cold Storage in 2022: Instant Access vs Long-Term Archives.” Cloudwards, 29 September 2021. Accessed 22 July 2022.
      “The Cost Savings of SAN-to-SAN Replication.” Secure Infrastructure and Services, 31 March 2016. Accessed 16 July 2022.
      “Video Surveillance.” Object-Storage.Info, 18 December 2019. Accessed 25 July 2022.
      “What is a Data Lake?” Amazon Web Services, n.d. Accessed 17 July 2022.
      “What is enterprise cloud storage?” Spectrum Enterprise, n.d. Accessed 28 July 2022.
      “What is SAN (Storage Area Network).” NetApp, n.d. Accessed 25 July 2022.
      “What is software-defined storage?” RedHat, 08 March 2018. Accessed 16 July 2022.

      Organizational Change Management

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      If you don't know who is responsible for organizational change, it's you.

      Build a Value Measurement Framework

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      • Rapid changes in today’s market require rapid, value-based decisions, and organizations that lack a shared definition of value fail to maintain their competitive advantage.
      • Different parts of an organization have different value drivers that must be given balanced consideration.
      • Focusing solely on revenue ignores the full extent of value creation in your organization and does not necessarily result in the right outcomes.

      Our Advice

      Critical Insight

      • Business is the authority on business value. While IT can identify some sources of value, business stakeholders must participate in the creation of a definition that is meaningful to the whole organization.
      • It’s about more than profit. Organizations must have a definition that encompasses all of the sources of value or they risk making short-term decisions with long-term negative impacts.
      • Technology creates business value. Treating IT as a cost center makes for short-sighted decisions in a world where every business process is enabled by technology.

      Impact and Result

      • Standardize your definition of business value. Work with your business partners to define the different sources of business value that are created through technology-enabled products and services.
      • Weigh your value drivers. Ensure that business and IT understand the relative weight and priority of the different sources of business value you have identified.
      • Use a balanced scorecard to understand value. Use the different value drivers to understand and prioritize different products, applications, projects, initiatives, and enhancements.

      Build a Value Measurement Framework Research & Tools

      Start here – read the Executive Brief

      Read this Executive Brief to understand why building a consistent and aligned framework to measure the value of your products and services is vital for setting priorities and getting the business on board.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Define your value drivers

      This phase will help you define and weigh value drivers based on overarching organizational priorities and goals.

      • Build a Value Measurement Framework – Phase 1: Define Your Value Drivers
      • Value Calculator

      2. Measure value

      This phase will help you analyze the value sources of your products and services and their alignment to value drivers to produce a value score that you can use for prioritization.

      • Build a Value Measurement Framework – Phase 2: Measure Value
      [infographic]

      Further reading

      Build a Value Measurement Framework

      Focus product delivery on business value–driven outcomes.

      ANALYST PERSPECTIVE

      "A meaningful measurable definition of value is the key to effectively managing the intake, prioritization, and delivery of technology-enabled products and services."

      Cole Cioran,

      Senior Director, Research – Application Development and Portfolio Management

      Info-Tech Research Group

      Our understanding of the problem

      This Research Is Designed For:

      • CIOs who need to understand the value IT creates
      • Application leaders who need to make good decisions on what work to prioritize and deliver
      • Application and project portfolio managers who need to ensure the portfolio creates business value
      • Product owners who are accountable for delivering value

      This Research Will Help You:

      • Define quality in your organization’s context from both business and IT perspectives.
      • Define a repeatable process to understand the value of a product, application, project, initiative, or enhancement.
      • Define value sources and metrics.
      • Create a tool to make it easier to balance different sources of value.

      This Research Will Also Assist:

      • Product and application delivery teams who want to make better decisions about what they deliver
      • Business analysts who need to make better decisions about how to prioritize their requirements

      This Research Will Help Them:

      • Create a meaningful relationship with business partners around what creates value for the organization.
      • Enable better understanding of your customers and their needs.

      Executive summary

      Situation

      • Measuring the business value provided by IT is critical for improving the relationship between business and IT.
      • Rapid changes in today’s market require rapid, value-based decisions.
      • Every organization has unique drivers that make it difficult to see the benefits based on time and impact approaches to prioritization.

      Complication

      • An organization’s lack of a shared definition of value leads to politics and decision making that does not have a firm, quantitative basis.
      • Different parts of an organization have different value drivers that must be given balanced consideration.
      • Focusing solely on revenue does not necessarily result in the right outcomes.

      Resolution

      • Standardize your definition of business value. Work with your business partners to define the different sources of business value that are created through technology-enabled products and services.
      • Weigh your value drivers. Ensure business and IT understand the relative weight and priority of the different sources of business value you have identified.
      • Use a balanced scorecard to understand value. Use the different value drivers to understand and prioritize different products, applications, projects, initiatives, and enhancements.

      Info-Tech Insight

      1. Business is the authority on business value. While IT can identify some sources of value, business stakeholders must participate in the creation of a definition that is meaningful to the whole organization.
      2. It’s about more than profit. Organizations must have a definition that encompasses all of the sources of value, or they risk making short-term decisions with long-term negative impacts.
      3. Technology creates business value. Treating IT as a cost center makes for short-sighted decisions in a world where every business process is enabled by technology.

      Software is not currently creating the right outcomes

      Software products are taking more and more out of IT budgets.

      38% of spend on IT employees goes to software roles.

      Source: Info-Tech’s Staffing Survey

      18% of opex is spent on software licenses.

      Source: SoftwareReviews.com

      33% of capex is spent on new software.

      However, the reception and value of software products do not justify the money invested.

      Only 34% of software is rated as both important and effective by users.

      Source: Info-Tech’s CIO Business Vision

      IT benchmarks do not help or matter to the business. Focus on the metrics that represent business outcomes.

      A pie chart is shown as an example to show how benchmarks do not help the business.

      IT departments have a tendency to measure only their own role-based activities and deliverables, which only prove useful for selling practice improvement services. Technology doesn’t exist for technology's sake. It’s in place to generate specific outcomes. IT and the business need to be aligned toward a common goal of enabling business outcomes, and that’s the important measurement.

      "In today’s connected world, IT and business must not speak different languages. "

      – Cognizant, 2017

      CxOs stress the importance of value as the most critical area for IT to improve reporting

      A bar graph is shown to demonstrate the CxOs importance of value. Business value metrics are 32% of significant improvement necessary, and 51% where some improvement is necessary.

      N=469 CxOs from Info-Tech’s CEO/CIO Alignment Diagnostic

      Key stakeholders want to know how you and your products or services help them realize their goals.

      While the basics of value are clear, few take the time to reach a common definition and means to measure and apply value

      Often, IT misses the opportunity to become a strategic partner because it doesn’t understand how to communicate and measure its value to the business.

      "Price is what you pay. Value is what you get."

      – Warren Buffett

      Being able to understand the value context will allow IT to articulate where IT spend supports business value and how it enables business goal achievement.

      Value is...

      Derived from business context

    • What is our business context?
    • Enabled through governance and strategy

    • Who sees the strategy through?
    • The underlying context for decision making

    • How is value applied to support decisions?
    • A measure of achievement

    • How do I measure?
    • Determine your business context by assessing the goals and defining the unique value drivers in your organization

      Competent organizations know that value cannot always be represented by revenue or reduced expenses. However, it is not always apparent how to envision the full spectrum of sources of value. Dissecting value by the benefit type and the value source’s orientation allows you to see the many ways in which a product or service brings value to the organization.

      A business value matrix is shown. It shows the relationship between reading customers, increase revenue, reduce costs, and enhance services.

      Financial Benefits vs. Improved Capabilities

      Financial Benefits refers to the degree to which the value source can be measured through monetary metrics and is often quite tangible. Human Benefits refers to how a product or service can deliver value through a user’s experience.

      Inward vs. Outward Orientation

      Inward refers to value sources that have an internal impact and improve your organization’s effectiveness and efficiency in performing its operations.Outward refers to value sources that come from your interaction with external factors, such as the market or your customers.

      Increase Revenue

      Reduce Costs

      Enhance Services

      Reach Customers

      Product or service functions that are specifically related to the impact on your organization’s ability to generate revenue.

      Reduction of overhead. They typically are less related to broad strategic vision or goals and more simply limit expenses that would occur had the product or service not been put in place.

      Functions that enable business capabilities that improve the organization’s ability to perform its internal operations.

      Application functions that enable and improve the interaction with customers or produce market information and insights.

      See your strategy through by involving both IT and the business

      Buy-in for your IT strategy comes from the ability to showcase value. IT needs to ensure it has an aligned understanding of what is valuable to the organization.

      Business value needs to first be established by the business. After that, IT can build a partnership with the business to determine what that value means in the context of IT products and services.

      The Business

      What the Business and IT have in common

      IT

      Keepers of the organization’s mission, vision, and value statements that define IT success. The business maintains the overall ownership and evaluation of the products along with those most familiar with the capabilities or processes enabled by technology.

      Business Value of Products and Services

      Technical subject matter experts of the products and services they deliver and maintain. Each IT function works together to ensure quality products and services are delivered up to stakeholder expectations.

      Measure your product or services with Info-Tech’s Value Measurement Framework (VMF) and value scores

      The VMF provides a consistent and less subjective approach to generating a value score for an application, product, service, or individual feature, by using business-defined value drivers and product-specific value metrics.

      Info-Tech's Value Measurement Framework is shown.

      A consistent set of established value drivers, sources, and metrics gives more accurate comparisons of relative value

      Value Drivers

      Value Sources

      Value Fulfillment Metrics

      Broad categories of values, weighed and prioritized based on overarching goals

      Instances of created value expressed as a “business outcome” of a particular function

      Units of measurement and estimated targets linked to a value source

      Reach Customers

      Customer Satisfaction

      Net Promoter Score

      Customer Loyalty

      # of Repeat Visits

      Create Revenue Streams

      Data Monetization

      Dollars Derived From Data Sales

      Leads Generation

      Leads Conversation Rate

      Operational Efficiency

      Operational Efficiency

      Number of Interactions

      Workflow Management

      Cycle Time

      Adhere to regulations & compliance

      Number of Policy Exceptions

      A balanced and weighted scorecard allows you to measure the various ways products generate value to the business

      The Info-Tech approach to measuring value applies the balanced value scorecard approach.

      Importance of value source

      X

      Impact of value source

      = Value Score

      Which is based on…

      Which is based on…

      Alignment to value driver

      Realistic targets for the KPI

      Which is weighed by…

      Which is estimated by…

      A 1-5 scale of the relative importance of the value driver to the organization

      A 1-5 scale of the application or feature’s ability to fulfill that value source

      +

      Importance of Value Source

      X

      Impact of Value Source

      +

      Importance of Value Source

      +

      Impact of Value Source

      +

      Importance of Value Source

      +

      Impact of Value Source

      +

      Importance of Value Source

      +

      Impact of Value Source

      =

      Balanced Business Value Score

      Value Score1 + VS2 + … + VSN = Overall Balance Value Score

      Value scores help support decisions. This blueprint looks specifically at four use cases for value scores.

      A value score is an input to the following activities:

      1. Prioritize Your Product Backlog
      2. Estimate the relative value of different product backlog items (i.e. epics, features, etc.) to ensure the highest value items are completed first.

        This blueprint can be used as an input into Info-Tech’s Build a Better Backlog.

      3. Prioritize Your Project Backlog
      4. Estimate the relative value of proposed new applications or major changes or enhancements to existing applications to ensure the right projects are selected and completed first.

        This blueprint can be used as an input into Info-Tech’s Optimize Project Intake, Approval, and Prioritization.

      5. Rationalize Your Applications
      6. Gauge the relative value from the current use of your applications to support strategic decision making such as retirement, consolidation, and further investments.

        This blueprint can be used as an input into Info-Tech’s Visualize Your Application Portfolio Strategy With a Business Value-Driven Roadmap.

      7. Categorize Application Tiers
      8. Gauge the relative value of your existing applications to distinguish your most to least important systems and build tailored support structures that limit the downtime of key value sources.

        This blueprint can be used as an input into Info-Tech’s Streamline Application Maintenance.

      The priorities, metrics, and a common understanding of value in your VMF carry over to many other Info-Tech blueprints

      Transition to Product Delivery

      Build a Product Roadmap

      Modernize Your SDLC

      Build a Strong Foundation for Quality

      Implement Agile Practices That Work

      Use Info-Tech’s Value Calculator

      The Value Calculator facilitates the activities surrounding defining and measuring the business value of your products and services.

      Use this tool to:

      • Weigh the importance of each Value Driver based on established organizational priorities.
      • Create a repository for Value Sources to provide consistency throughout each measurement.
      • Produce an Overall Balanced Value Score for a specific item.

      Info-Tech Deliverable

      A screenshot of Info-Tech's Value Calculator is shown.

      Populate the Value Calculator as you complete the activities and steps on the following slides.

      Limitations of the Value Measurement Framework

      "All models are wrong, but some are useful."

      – George E.P. Box, 1979

      Value is tricky: Value can be intangible, ambiguous, and cause all sorts of confusion, with the multiple, and often conflicting, priorities any organization is sure to have. You won’t likely come to a unified understanding of value or an agreement on whether one thing is more valuable than something else. However, this doesn’t mean you shouldn’t try. The VMF provides a means to organize various priorities in a meaningful way and to assess the relative value of a product or service to guide managers and decision makers on the right track and keep alignment with the rest of the organization.

      Relative value vs. ROI: This assessment produces a score to determine the value of a product or service relative to other products or services. Its primary function is to prioritize similar items (projects, epics, requirements, etc.) as opposed to producing a monetary value that can directly justify cost and make the case for a positive ROI.

      Apply caution with metrics: We live in a metric-crazed era, where everything is believed to be measurable. While there is little debate over recent advances in data, analytics, and our ability to trace business activity, some goals are still quite intangible, and managers stumble trying to link these goals to a quantifiable data source.

      In applying the VMF Info-Tech urges you to remember that metrics are not a magical solution. They should be treated as a tool in your toolbox and are sometimes no more than a rough gauge of performance. Carefully assign metrics to your products and services and do not disregard the informed subjective perspective when SMART metrics are unavailable.

      "One of the deadly diseases of management is running a company on visible figures alone."

      – William Edwards Deming, 1982

      Info-Tech’s Build a Value Measurement Framework glossary of terms

      This blueprint discusses value in a variety of ways. Use our glossary of terms to understand our specific focus.

      Value Measurement Framework (VMF)

      A method of measuring relative value for a product or service, or the various components within a product or service, through the use of metrics and weighted organizational priorities.

      Value Driver

      A board organizational goal that acts as a category for many value sources.

      Value Source

      A specific business goal or outcome that business and product or service capabilities are designed to fulfill.

      Value Fulfillment

      The degree to which a product or service impacts a business outcome, ideally linked to a metric.

      Value Score

      A measurement of the value fulfillment factored by the weight of the corresponding value driver.

      Overall Balanced Value Score

      The combined value scores of all value sources linked to a product or service.

      Relative Value

      A comparison of value between two similar items (i.e. applications to applications, projects to projects, feature to feature).

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Build a Value Measurement Framework – project overview

      1. Define Your Value Drivers

      2. Measure Value

      Best-Practice Toolkit

      1.1 Identify your business value authorities.

      2.1 Define your value drivers.

      2.2 Weigh your value drivers.

      • Identify your product or service SMEs.
      • List your products or services items and components.
      • Identify your value sources.
      • Align to a value driver.
      • Assign metrics and gauge value fulfillment.

      Guided Implementations

      Identify the stakeholders who should be the authority on business value.

      Identify, define, and weigh the value drivers that will be used in your VMF and all proceeding value measurements.

      Identify the stakeholders who are the subject matter experts for your products or services.

      Measure the value of your products and services with value sources, fulfillment, and drivers.

      Outcome:

      • Value drivers and weights

      Outcome:

      • An initial list of reusable value sources and metrics
      • Value scores for your products or services

      Phase 1

      Define Your Value Drivers

      First determine your value drivers and add them to your VMF

      One of the main aspects of the VMF is to apply consistent and business-aligned weights to the products or services you will evaluate.

      This is why we establish your value drivers first:

      • Get the right executive-level “value authorities” to establish the overarching weights.
      • Build these into the backbone of the VMF to consistently apply to all your future measurements.
      An image of the Value Measure Framework is shown.

      Step 1.1: Identify Value Authorities

      Phase 1

      1.1: Identify Value Authorities

      1.2: Define Value Drivers

      Phase 2

      2.1: Identify Product or Service SMEs

      2.2: Measure Value

      This step will walk you through the following activities:

      • Identify your authorities on business value.

      This step involves the following participants:

      • Owners of your value measurement framework

      Outcomes of this step

      • Your list of targeted individuals to include in Step 2.1

      Business value is best defined and measured by the combined effort and perspective of both IT and the business

      Buy-in for your IT strategy comes from the ability to showcase value. IT needs to ensure it has an aligned understanding of what is valuable to the organization. First, priorities need to be established by the business. Second, IT can build a partnership with the business to determine what that value means in the context of IT products and services.

      The Business

      What the Business and IT have in common

      IT

      Keepers of the organization’s mission, vision, and value statements that define IT success. The business maintains the overall ownership and evaluation of the products along with those most familiar with the capabilities or processes enabled by technology.

      Business Value of Products and Services

      Technical subject matter experts of the products and services they deliver and maintain. Each IT function works together to ensure quality products and services are delivered up to stakeholder expectations.

      Engage key stakeholders to reach a consensus on organizational priorities and value drivers

      Engage these key players to create your value drivers:

      CEO: Who better holds the vision or mandate of the organization than its leader? Ideally, they are front and center for this discussion.

      CIO: IT must ensure that technical/practical considerations are taken into account when determining value.

      CFO: The CFO or designated representative will ensure that estimated costs and benefits can be used to manage the budgets.

      VPs: Application delivery and mgmt. is designed to generate value for the business. Senior management from business units must help define what that value is.

      Evaluators (PMO, PO, APM, etc.): Those primarily responsible for applying the VMF should be present and active in identifying and carefully defining your organization’s value drivers.

      Steering Committee: This established body, responsible for the strategic direction of the organization, is really the primary audience.

      Identify your authorities of business value to identify, define, and weigh value drivers

      1.1 Estimated Time: 15 minutes

      The objective of this exercise is to identify key business stakeholders involved in strategic decision making at an organizational level.

      1. Review your organization’s governance structure and any related materials.
      2. Identify your key business stakeholders. These individuals are the critical business strategic partners.
        1. Target those who represent the business at an organizational level and often comprise the organization’s governing bodies.
        2. Prioritize a product backlog – include product owners and product managers who are in tune with the specific value drivers of the product in question.

      INFO-TECH TIP

      If your organization does not have a formal governance structure, your stakeholders would be the key players in devising business strategy. For example:

      • CEO
      • CFO
      • BRMs
      • VPs

      Leverage your organizational chart, governing charter, and senior management knowledge to better identify key stakeholders.

      INPUT

      • Key decision maker roles

      OUTPUT

      • Targeted individuals to define and weigh value drivers

      Materials

      • N/A

      Participants

      • Owner of the value measurement framework

      Step 1.2: Define Value Drivers

      Phase 1

      1.1: Identify Value Authorities

      1.2: Define Value Drivers

      Phase 2

      2.1: Identify Product or Service SMEs

      2.2: Measure Value

      This step will walk you through the following activities:

      • Define your value drivers.
      • Weigh your value drivers.

      This step involves the following participants:

      • Owners of your value measurement framework
      • Authorities of business value

      Outcomes of this step

      • A list of your defined and weighted value drivers

      Value is based on business needs and vision

      Value is subjective. It is defined through the organization’s past achievement and its future objectives.

      Purpose & Mission

      Past Achievement & Current State

      Vision & Future State

      Culture & Leadership

      There must be a consensus view of what is valuable within the organization, and these values need to be shared across the enterprise. Instead of maintaining siloed views and fighting for priorities, all departments must have the same value and purpose in mind. These factors – purpose and mission, past achievement and current state, vision and future state, and culture and leadership – impact what is valuable to the organization.

      Value derives from the mission and vision of an organization; therefore, value is unique to each organization

      Business value represents what the business needs to do to achieve its target state. Establishing the mission and vision helps identify that target state.

      Mission

      Vision

      Business Value

      Why does the company exist?

      • Specify the company’s purpose, or reason for being, and use it to guide each day’s activities and decisions.

      What does the organization see itself becoming?

      • Identify the desired future state of the organization. The vision articulates the role the organization strives to play and the way it wants to be perceived by the customer.
      • State the ends, rather than the means, to get to the future state.

      What critical factors fulfill the mission and vision?

      • Articulate the important capabilities the business should have in order to achieve its objectives. All business activities must enable business value.
      • Communicate the means to achieve the mission and vision.

      Understand the many types of value your products or services produce

      Competent organizations know that value cannot always be represented by revenue or reduced expenses. However, it is not always apparent how to envision the full spectrum of value sources. Dissecting value by the benefit type and the value source’s orientation allows you to see the many ways in which a product or service brings value to the organization.

      A business value matrix is shown. It shows the relationship between reading customers, increase revenue, reduce costs, and enhance services.

      Financial Benefits vs. Improved Capabilities

      Financial Benefits refers to the degree to which the value source can be measured through monetary metrics and is often quite tangible. Human Benefits refers to how a product or service can deliver value through a user’s experience.

      Inward vs. Outward Orientation

      Inward refers to value sources that have an internal impact and improve your organization’s effectiveness and efficiency in performing its operations. Outward refers to value sources that come from your interaction with external factors, such as the market or your customers.

      Increase Revenue

      Reduce Costs

      Enhance Services

      Reach Customers

      Product or service functions that are specifically related to the impact on your organization’s ability to generate revenue.

      Reduction of overhead. They typically are less related to broad strategic vision or goals and more simply limit expenses that would occur had the product or service not been put in place.

      Functions that enable business capabilities that improve the organization’s ability to perform its internal operations.

      Application functions that enable and improve the interaction with customers or produce market information and insights.

      Expand past Info-Tech’s high-level value quadrants and identify the value drivers specific to your organization

      Different industries have a wide range of value drivers. Consider the difference between public and private entities with respect to generating revenue or reaching their customers or other external stakeholders. Even organizations in the same industry may have different values. For example, a mature, well-established manufacturer may view reputation and innovation as its highest-priority values, whereas a struggling manufacturer will see revenue or market share growth as its main drivers.

      Value Drivers

      Increase Revenue

      Reduce Costs

      Enhance Services

      Reach Customers

      • Revenue growth
      • Data monetization
      • Cost optimization
      • Labor reduction
      • Collaboration
      • Risk and compliance
      • Customer experience
      • Trust and reputation

      You do not need to dissect each quadrant into an exhaustive list of value drivers. Info-Tech recommends defining distinct value drivers only for the areas you’ve identified as critical to your organization’s core goals and objectives.

      Understand value drivers that enable revenue growth

      Direct Revenue

      This value driver is the ability of a product or service to directly produce revenue through core revenue streams.

      Can be derived from:

      • Creating revenue
      • Improving the revenue generation of an existing service
      • Preventing the loss of a revenue stream

      Be aware of the differences between your products and services that enable a revenue source and those that facilitate the flow of capital.

      Funding

      This value driver is the ability of a product or service to enable other types of funding unrelated to core revenue streams.

      Can be derived from:

      • Tax revenue
      • Fees, fines, and ticketing programs
      • Participating in government subsidy or grant programs

      Be aware of the difference between your products and services that enable a revenue source and those that facilitate the flow of capital.

      Scale & Growth

      In essence, this driver can be viewed as the potential for growth in market share or new developing revenue sources.

      Does the product or service:

      • Increase your market share
      • Help you maintain your market share

      Be cautious of which items you identify here, as many innovative activities may have some potential to generate future revenue. Stick to those with a strong connection to future revenue and don’t qualify for other value driver categories.

      Monetization of Assets

      This value driver is the ability of your products and services to generate additional assets.

      Can be derived from:

      • Sale of data
      • Sale of market or customer reports or analysis
      • Sale of IP

      This value source is often overlooked. If given the right attention, it can lead to a big win for IT’s role in the business.

      Understand value drivers that reduce costs

      Cost Reduction

      A cost reduction is a “hard” cost saving that is reflected as a tangible decrease to the bottom line.

      This can be derived from reduction of expenses such as:

      • Salaries and wages
      • Hardware/software maintenance
      • Infrastructure

      Cost reduction plays a critical role in an application’s ability to increase efficiency.

      Cost Avoidance

      A cost avoidance is a “soft” cost saving, typically achieved by preventing a cost from occurring in the first place (i.e. risk mitigation). Cost avoidance indirectly impacts the bottom line.

      This can be derived from prevention of expenses by:

      • Mitigating a business outage
      • Mitigating another risk event
      • Delaying a price increase

      Understand the value drivers that enhance your services

      Enable Core Operations

      Some applications are in place to facilitate and support the structure of the organization. These vary depending on the capabilities of your organization but should be assessed in relation to the organization’s culture and structure.

      • Enables a foundational capability
      • Enables a niche capability

      This example is intentionally broad, as “core operations” should be further dissected to define different capabilities with ranging priority.

      Compliance

      A product or service may be required in order to meet a regulatory requirement. In these cases, you need to be aware of the organizational risk of NOT implementing or maintaining a service in relation to those risks.

      In this case, the product or service is required in order to:

      • Prevent fines
      • Allow the organization to operate within a specific jurisdiction
      • Remediate audit gaps
      • Provide information required to validate compliance

      Internal Improvement

      An application’s ability to create value outside of its core operations and facilitate the transfer of information, insights, and knowledge.

      Value can be derived by:

      • Data analytics
      • Collaboration
      • Knowledge transfer
      • Organizational learning

      Innovation

      Innovation is typically an ill-defined value driver, as it refers to the ability of your products and services to explore new value streams.

      Consider:

      • Exploration into new markets and products
      • New methods of organizing resources and processes

      Innovation is one of the more divisive value drivers, as some organizations will strive to be cutting edge and others will want no part in taking such risks.

      Understand business value drivers that connect the business to your customers

      Policy

      Products and services can also be assessed in relation to whether they enable and support policies of the organization. Policies identify and reinforce required processes, organizational culture, and core values.

      Policy value can be derived from:

      • The service or initiative will produce outcomes in line with our core organizational values.
      • Products that enable sustainability and corporate social responsibility

      Experience

      Applications are often designed to improve the interaction between customer and product. This value type is most closely linked to product quality and user experience. Customers, in this sense, can also include any stakeholders who consume core offerings.

      Customer experience value can be derived from:

      • Improving customer satisfaction
      • Ease of use
      • Resolving a customer issue or identified pain point
      • Providing a competitive advantage for your customers

      Customer Information

      Understanding demand and customer trends is a core driver for all organizations. Data provided through understanding the ways, times, and reasons that consumers use your services is a key driver for growth and stability.

      Customer information value can be achieved when an app:

      • Addresses strategic opportunities or threats identified through analyzing trends
      • Prevents failures due to lack of capacity to meet demand
      • Connects resources to external sources to enable learning and growth within the organization

      Trust & Reputation

      Products and services are designed to enable goals of digital ethics and are highly linked to your organization’s brand strategy.

      Trust and reputation can also be described as:

      • Customer loyalty and sustainability
      • Customer privacy and digital ethics

      Prioritizing this value source is critical, as traditional priorities can often come at the expense of trust and reputation.

      Define your value drivers

      1.2 Estimated Time: 1.5 hours

      The objective of this exercise is to establish a common understanding of the different values of the organization.

      1. Place your business value authorities at the center of this exercise.
      2. Collect all the documents your organization has on the mission and vision, strategy, governance, and target state, which may be defined by enterprise architecture.
      3. Identify the company mission and vision. Simply transfer the information from the mission and vision document into the appropriate spaces in the business value statement.
      4. Determine the organization’s business value drivers. Use the mission and vision, as well as the information from the collected documents, to formulate your own idea of business values.
      5. Use value driver template on the next slide to define the value driver, including:
      • Value Driver Name
      • Description
      • Related Business Capabilities – If available, review business architecture materials, such as business capability maps.
      • Established KPI and Targets – If available, include any organization-wide established KPIs related to your value driver. These KPIs will likely be used or influence the metrics eventually assigned to your applications.

      INPUT

      • Mission, vision, value statements

      OUTPUT

      • List and description of value drivers

      Materials

      • Whiteboard
      • Markers

      Participants

      • Business value authorities
      • Owner of value measurement framework

      Example Value Driver

      Value Driver Name

      Reach Customers

      Value Driver Description

      Our organization’s ability to provide quality products and experience to our core customers

      Value Driver Weight

      10/10

      Related Business Capabilities

      • Customer Services
      • Marketing
        • Customer Segmentation
        • Customer Journey Mapping
      • Product Delivery
        • User Experience Design
        • User Acceptance Testing

      Key Business Outcomes, KPIs, and Targets

      • Improved Customer Satisfaction
        • Net Promotor Score: 80%
      • Improved Loyalty
        • Repeat Sales: 30%
        • Customer Retention: 25%
        • Customer Lifetime Value: $2,500
      • Improved Interaction
        • Repeat Visits: 50%
        • Account Conversation Rates: 40%

      Weigh your value drivers

      1.3 Estimated Time: 30 minutes

      The objective of this exercise is to prioritize your value drivers based on their relative importance to the business.

      1. Again, place the business value authorities at the center of this exercise.
      2. In order to determine priority, divide 100% among your value drivers, allocating a percentage to each based on its relative importance to the organization.
      3. Normalize those percentages on to a scale of 1 to 10, which will act as the weights for your value drivers.

      INPUT

      • Mission, vision, value statements

      OUTPUT

      • Weights for value drivers

      Materials

      • Whiteboard
      • Markers

      Participants

      • Business value authorities
      • Owner of value measurement framework

      Weigh your value drivers

      1.3 Estimated Time: 30 minutes

      Value Driver

      Percentage Allocation

      1 to 10 Weight

      Revenue and other funding

      24%

      9

      Cost reduction

      8%

      3

      Compliance

      5%

      2

      Customer value

      30%

      10

      Operations

      13%

      7

      Innovation

      5%

      2

      Sustainability and social responsibility

      2%

      1

      Internal learning and development

      3%

      1

      Future growth

      10%

      5

      Total

      100%

      Carry results over to the Value Calculator

      1.3

      Document results of this activity in the “Value Drivers” tab of the Value Calculator.

      A screenshot of Info-Tech's Value Calculator is shown.

      List your value drivers.

      Define or describe your value drivers.

      Use this tool to create a repository for value sources to reuse and maintain consistency across your measurements.

      Enter the weight of each value driver in terms of importance to the organization.

      Phase 2

      Measure Value

      Step 2.1: Identify Product or Service SMEs

      Phase 1

      1.1: Identify Value Authorities

      1.2: Define Value Drivers

      Phase 2

      2.1: Identify Product or Service SMEs

      2.2: Measure Value

      This step will walk you through the following activities:

      • Identify your product or service SMEs.
      • List your product or services items and components.

      This step involves the following participants:

      • Owners of your value measurement framework
      • Product or service SMEs

      Outcomes of this step

      • Your list of targeted individuals to include in Step 2.2

      Identify the products and services you are evaluating and break down their various components for the VMF

      In order to get a full evaluation of a product or service you need to understand its multiple facets, functions, features capabilities, requirements, or any language you use to describe its various components.

      An image of the value measure framework is shown.

      Decompose a product or service:

      • Get the right subject matter experts in place who know the business and technical aspects of the product or service.
      • Decompose the product or service to capture all necessary components.

      Before beginning, consider how your use case will impact your value measurement approach

      This table looks at how the different use cases of the VMF call for variations of this analysis, is directed at different roles, and relies on participation from different subject matter experts to provide business context.

      Use Case (uses of the VMF applied in this blueprint)

      Value (current vs. future value)

      Item (the singular entity you are producing a value score for)

      Components (the various facets of that entity that need to be considered)

      Scope (# of systems undergoing analysis)

      Evaluator (typical role responsible for applying the VMF)

      Cadence (when and why do you apply the VMF)

      Information Sources (what documents, tools, etc., do you need to leverage)

      SMEs (who needs to participate to define and measure value)

      1. Prioritize Your Product Backlog

      You are estimating future value of proposed changes to an application.

      Product backlog items (epic, feature, etc.) in your product backlog

      • Features
      • User stories
      • Enablers

      A product

      Product owner

      Continuously apply the VMF to prioritize new and changing product backlog items.

      • Epic hypothesis, documentation
      • Lean business case

      Product manager

      ????

      2. Prioritize Your Project Backlog

      Proposed projects in your project backlog

      • Benefits
      • Outcomes
      • Requirements

      Multiple existing and/or new applications

      Project portfolio manager

      Apply the VMF during your project intake process as new projects are proposed.

      • Completed project request forms
      • Completed business case forms
      • Project charters
      • Business requirements documents

      Project manager

      Product owners

      Business analysts

      3. Application Rationalization

      You are measuring current value of existing applications and their features.

      An application in your portfolio

      The uses of the application (features, function, capabilities)

      A subset of applications or the full portfolio

      Application portfolio manager

      During an application rationalization initiative:

      • Iteratively collect information and perform value measurements.
      • Structure your iterations based on functional areas to target the specific SMEs who can speak to a particular subset of applications.
      • Business capability maps

      Business process owners

      Business unit representatives

      Business architects

      Application architects

      Application SMEs

      4. Application Categorization

      The full portfolio

      Application maintenance or operations manager

      • SLAs
      • Business capability maps

      Identify your product or service SMEs

      2.1 Estimated Time: 15 minutes

      The objective of this exercise is to identify specific business stakeholders who can speak to the business outcomes of your applications at a functional level.

      1. Review your related materials that reference the stakeholders for the scoped products and services (i.e. capability maps, org charts, stakeholder maps).
      2. Identify your specific business stakeholders and application SMEs. These individuals represent the business at a functional level and are in tune with the business outcomes of their operations and the applications that support their operations.
        1. Use Case 1 – Product Owner, Product Manager
        2. Use Case 2 – Project Portfolio Manager, Project Manager, Product Owners, Business Process Owners, Appropriate Business Unit Representatives
        3. Use Case 3 – Application Portfolio Manager, Product Owners, Business Analysts, Application SMEs, Business Process Owners, Appropriate Business Unit Representatives
        4. Use Case 4 – Application Maintenance Manager, Operations Managers, Application Portfolio Manager, Product Owners, Application SMEs, Business Process Owners, Appropriate Business Unit Representatives

      INPUT

      • Specific product or service knowledge

      OUTPUT

      • Targeted individuals to measure specific products or services

      Materials

      • Whiteboard
      • Markers

      Participants

      • Owner of value measurement framework

      Use Case 1: Collect and review all of the product backlog items

      Prioritizing your product backlog (epics, features, etc.) requires a consistent method of measuring the value of your product backlog items (PBIs) to continuously compare their value relative to one another. This should be treated as an ongoing initiative as new items are added and existing items change, but an initial introduction of the VMF will require you to collect and analyze all of the items in your backlog.

      Regardless of producing a value score for an epic, feature, or user story, your focus should be on identifying their various value sources. Review your product’s artifact documentation, toolsets, or other information sources to extract the business outcomes, impact, benefits, KPIs, or any other description of a value source.

      High

      Epics

      Carefully valuated with input from multiple stakeholders, using metrics and consistent scoring

      Level of valuation effort per PBI

      User Stories

      Collaboratively valuated by the product owner and teams based on alignment and traceability to corresponding epic or feature

      Low

      Raw Ideas

      Intuitively valuated by the product owner based on alignment to product vision and organization value drivers

      What’s in your backlog?

      You may need to create standards for defining and measuring your different PBIs. Traceability can be critical here, as defined business outcomes for features or user stories may be documented at an epic level.

      Additional Research

      Build a Better Backlog helps you define and organize your product backlog items.

      Use Case 2: Review the scope and requirements of the project to determine all of the business outcomes

      Depending on where your project is in your intake process, there should be some degree of stated business outcomes or benefits. This may be a less refined description in the form of a project request or business case document, or it could be more defined in a project charter, business requirements document/toolset, or work breakdown structure (WBS). Regardless of the information source, to make proper use of the VMF you need a clear understanding of the various business outcomes to establish the new or improved value sources for the proposed project.

      Project

      User Requirements

      Business Requirements

      System Requirements

      1

      1

      1

      2

      2

      2

      3

      3

      4

      Set Metrics Early

      Good project intake documentation begins the discussion of KPIs early on. This alerts teams to the intended value and gives your PMO the ability to integrate it into the workload of other proposed or approved projects.

      Additional Research

      Optimize Project Intake, Approval, and Prioritization provides templates to define proposed project benefits and outcomes.

      Use Cases 3 & 4: Ensure you’ve listed all of each application’s uses (functions, features, capabilities, etc.) and user groups

      An application can enable multiple capabilities, perform a variety of functions, and have a range of different user groups. Therefore, a single application can produce multiple value sources, which range in type, impact, and significance to the business’ overarching priorities. In order to effectively measure the overall value of an application you need to determine all of the ways in which that application is used and apply a business-downward view of your applications.

      Business Capability

      • Sub-capability
      • Process
      • Task

      Application

      • Module
      • Feature
      • Function

      Aim for Business Use

      Simply listing the business capabilities of an app can be too high level. Regardless of your organization’s terminology, you need to establish all of the different uses and users of an application to properly measure all of the facets of its value.

      Additional Research

      Discover Your Applications helps you identify and define the business use and features of your applications.

      List your product or services items and components

      2.2 Estimated Time: 15 minutes

      The objective of this exercise is to produce a list of the different items that you are scoring and ensure you have considered all relevant components.

      1. List each item you intend to produce a value score for:
        1. Use Case 1 – This may be the epics in your product backlog.
        2. Use Case 2 – This may be the projects in your project backlog.
        3. Use Cases 3 & 4 – This may be the applications in your portfolio. For this approach Info-Tech strongly recommends iteratively assessing the portfolio to produce a list of a subset of applications.
      2. For each item list its various components:
        1. Use Case 1 – This may be the features or user stories of an epic.
        2. Use Case 2 – This may be the business requirements of a project.
        3. Use Cases 3 & 4 – This may be the modules, features, functions, capabilities, or subsystems of an application.

      Item

      Components

      Add Customer Portal (Epic)

      User story #1: As a sales team member I need to process customer info.

      User story #2: As a customer I want access to…

      Transition to the Cloud (Project)

      Requirement #1: Build Checkout Cart

      NFR – Build integration with data store

      CRM (Application)

      Order Processing (module), Returns & Claims (module), Analytics & Reporting (Feature)

      INPUT

      • Product or service knowledge

      OUTPUT

      • Detailed list of items and components

      Materials

      • Whiteboard
      • Markers

      Participants

      • Owner of value measurement framework
      • Product or service SMEs

      Use Cases 3 & 4: Create a functional view of your applications (optional)

      2.3 Estimated Time: 1 hour

      The objective of this exercise is to establish the different use cases of an application.

      1. Recall the functional requirements and business capabilities for your applications.
      2. List the various actors who will be interacting with your applications and list the consumers who will be receiving the information from the applications.
      3. Based on your functional requirements, list the use cases that the actors will perform to deliver the necessary information to consumers. Each use case serves as a core function of the application. See the diagram below for an example.
      4. Sometimes several use cases are completed before information is sent to consumers. Use arrows to demonstrate the flow of information from one use case to another.

      Example: Ordering Products Online

      Actors

      Order Customer

      Order Online

      Search Products

      Consumers

      Submit Delivery Information

      Order Customer

      Pay Order

      Bank

      INPUT

      • Product or service knowledge

      OUTPUT

      • Product or service function

      Materials

      • Whiteboard
      • Markers

      Participants

      • Application architect
      • Enterprise architect
      • Business and IT stakeholders
      • Business analyst
      • Development teams

      Use Cases 3 & 4: Create a functional view of your applications (optional) (cont’d.)

      2.3 Estimated Time: 1 hour

      5. Align your application’s use cases to the appropriate business capabilities and stakeholder objectives.

      Example:

      Stakeholder Objective: Automate Client Creation Processes

      Business Capability: Account Management

      Function: Create Client Profile

      Function: Search Client Profiles

      Business Capability: Sales Transaction Management

      Function: Order Online

      Function: Search Products Function: Search Products

      Function: Submit Delivery Information

      Function: Pay Order

      Step 2.2: Measure Value

      Phase 1

      1.1: Identify Value Authorities

      1.2: Define Value Drivers

      Phase 2

      2.1: Identify Product or Service SMEs

      2.2: Measure Value

      This step will walk you through the following activities:

      • Identify your value sources.
      • Align to a value driver.
      • Assign metrics and gauge value fulfillment.

      This step involves the following participants:

      • Owners of your value measurement framework
      • Product or service SMEs

      Outcomes of this step

      • An initial list of reusable value sources and metrics
      • Value scores for your products or services

      Use your VMF and a repeatable process to produce value scores for all of your items

      With your products or services broken down, you can then determine a list of value sources, as well as their alignment to a value driver and a gauge of their value fulfillment, which in turn indicate the importance and impact of a value source respectively.

      A image of the value measure framework is shown.

      Lastly, we produce a value score for all items:

      • Determine business outcomes and value sources.
      • Align to the appropriate value driver.
      • Use metrics as the gauge of value fulfillment.
      • Collect your score.
      • Repeat.

      The business outcome is the impact the product or service has on the intended business activity

      Business outcomes are the business-oriented results produced by organization’s capabilities and the applications that support those capabilities. The value source is, in essence, “How does the application impact the outcome?” and this can be either qualitative or quantitative.

      Quantitative

      Qualitative

      Key Words

      Examples

      Key Words

      Examples

      Faster, cheaper

      Deliver faster

      Better

      Better user experience

      More, less

      More registrations per week

      Private

      Enhanced privacy

      Increase, decrease

      Decrease clerical errors

      Easier

      Easier to input data

      Can, cannot

      Can access their own records

      Improved

      Improved screen flow

      Do not have to

      Do not have to print form

      Enjoyable

      Enjoyable user experience

      Compliant

      Complies with regulation 12

      Transparent

      Transparent progress

      Consistent

      Standardized information gathered

      Richer

      Richer data availability

      Adapted from Agile Coach Journal.

      Measure value – Identify your value sources

      2.4 Estimated Time: 30 minutes

      The objective of this exercise is to establish the different value sources of a product or service.

      1. List the items you are producing an overall balance value score for. These can be products, services, projects, applications, product backlog items, epics, etc.
      2. For each item, list its various business outcomes in the form of a description that includes:
        1. The item being measured
        2. Business capability or activity
        3. How the item impacts said capability or activity

      Consider applying the user story format for future value sources or a variation for current value sources.

      As a (user), I want to (activity) so that I get (impact)

      INPUT

      • Product or service knowledge
      • Business process knowledge

      OUTPUT

      • List of value sources

      Materials

      • Whiteboard
      • Markers

      Participants

      • Owner of value measurement framework
      • Product or service SMEs

      Measure value – Align to a value driver

      2.5 Estimated Time: 30 minutes

      The objective of this exercise is to determine the value driver for each value source.

      1. Align each value source to a value driver. Choose between options A and B.
        1. Using a whiteboard, draw out a 2 x 2 business value matrix or an adapted version based on your own organizational value drivers. Place each value source in the appropriate quadrant.
          1. Increase Revenue
          2. Reduce Costs
          3. Enhance Services
          4. Reach Customers
        2. Using a whiteboard or large sticky pads, create a section for each value driver. Place each value source with the appropriate value driver.

      INPUT

      • Product or service knowledge
      • Business process knowledge

      OUTPUT

      • Value driver weight

      Materials

      • Whiteboard
      • Markers

      Participants

      • Owner of value measurement framework
      • Product or service SMEs

      Brainstorm the different sources of business value (cont’d.)

      2.5

      Example:

      An example of activity 2.5 is shown.

      Carry results over to the Value Calculator

      2.5

      Document results of this activity in the Value Calculator in the Item {#} tab.

      A screenshot of the Value Calculator is shown.

      List your Value Sources

      Your Value Driver weights will auto-populate

      Aim, but do not reach, for SMART metrics

      Creating meaningful metrics

      S pecific

      M easureable

      A chievable

      R ealisitic

      T ime-based

      Follow the SMART framework when adding metrics to the VMF.

      The intention of SMART goals and metrics is to make sure you have chosen a gauge that will:

      • Reflect the actual business outcome or value source you are measuring.
      • Ensure all relevant stakeholders understand the goals or value you are driving towards.
      • Ensure you actually have the means to capture the performance.

      Info-Tech Insight

      Metrics are NOT a magical solution. They should be treated as a tool in your toolbox and are sometimes no more than a rough gauge of performance. Carefully assign metrics to your products and services and do not disregard the informed subjective perspective when SMART metrics are unavailable.

      Info-Tech Best Practice

      One last critical consideration here is the degree of effort required to collect the metric compared to the value of the analysis you are performing. Assessing whether or not to invest in a project should apply the rigor of carefully selecting and measuring value. However, performing a rationalization of the full app portfolio will likely lead to analysis paralysis. Taking an informed subjective perspective may be the better route.

      Measure value – Assign metrics and gauge value fulfillment

      2.6 30-60 minutes

      The objective of this exercise is to determine an appropriate metric for each value source.

      1. For each value source assign a metric that will be the unit of measurement to gauge the value fulfilment of the application.
      2. Review the product or services performance with the metric
        1. Use case 1&2 (Proposed Applications and/or Features) - You will need to estimate the degree of impact the product or services will have on your selected metric.
        2. Use case 3&4 (Existing Applications and/or Features) – You can review historically how the product or service has performed with your selected metric
      3. Determine a value fulfillment on a scale of 1 – 10.
      4. 10 = The product or service far exceeds expectations and targets on the metric.

        5 = the product or service meets expectations on this metric.

        1 = the product or service underperforms on this metric.

      INPUT

      • Product or service knowledge
      • Business process knowledge

      OUTPUT

      • Value driver weight

      Materials

      • Whiteboard
      • Markers

      Participants

      • Owner of value measurement framework
      • Product or service SMEs

      Carry results over to the Value Calculator

      2.6

      Document results of this activity in the Value Calculator in the Item {#} tab.

      A screenshot of Info-Tech's Value Calculator is shown.

      Assign Metrics.

      Consider using current or estimated performance and targets.

      Assess the impact on the value source with the value fulfillment.

      Collect your Overall Balanced Value Score

      Appendix

      Bibliography

      Brown, Alex. “Calculating Business Value.” Agile 2014 Orlando – July 13, 2014. Scrum Inc. 2014. Web. 20 Nov. 2017.

      Brown, Roger. “Defining Business Value.” Scrum Gathering San Diego 2017. Agile Coach Journal. Web.

      Curtis, Bill. “The Business Value of Application Internal Quality.” CAST. 6 April 2009. Web. 20 Nov. 2017.

      Fleet, Neville, Joan Lasselle, and Paul Zimmerman. “Using a Balance Scorecard to Measure the Productivity and Value of Technical Documentation Organizations.” CIDM. April 2008. Web. 20 Nov. 2017.

      Harris, Michael. “Measuring the Business Value of IT.” David Consulting Group. 20 Nov. 2017.

      Intrafocus. “What is a Balanced Scorecard?” Intrafocus. Web. 20 Nov. 2017

      Kerzner, Harold. Project Management: A Systems Approach to Planning, Scheduling, and Controlling. 12th ed., Wiley, 2017.

      Lankhorst, Marc., et al. “Architecture-Based IT Valuation.” Via Nova Architectura. 31 March 2010. Web. 20 Nov. 2017.

      Rachlin, Sue, and John Marshall. “Value Measuring Methodology.” Federal CIO Council, Best Practices Committee. October 2002. Web. April 2019.

      Thiagarajan, Srinivasan. “Bridging the Gap: Enabling IT to Deliver Better Business Outcomes.” Cognizant. July 2017. Web. April 2019.

      Optimize IT Project Intake, Approval, and Prioritization

      • Buy Link or Shortcode: {j2store}433|cart{/j2store}
      • member rating overall impact (scale of 10): 9.5/10 Overall Impact
      • member rating average dollars saved: $124,419 Average $ Saved
      • member rating average days saved: 31 Average Days Saved
      • Parent Category Name: Portfolio Management
      • Parent Category Link: /portfolio-management
      • Companies are approving more projects than they can deliver. Most organizations say they have too many projects on the go and an unmanageable and ever-growing backlog of things to get to.
      • While organizations want to achieve a high throughput of approved projects, many are unable or unwilling to allocate an appropriate level of IT resourcing to adequately match the number of approved initiatives.
      • Portfolio management practices must find a way to accommodate stakeholder needs without sacrificing the portfolio to low-value initiatives that do not align with business goals.

      Our Advice

      Critical Insight

      • Approve only the right projects that you have capacity to deliver. Failure to align projects with strategic goals and resource capacity are the most common causes of portfolio waste across organizations.
      • More time spent with stakeholders during the ideation phase to help set realistic expectations for stakeholders and enhance visibility into IT’s capacity and processes is key to both project and organizational success.
      • Too much intake red tape will lead to an underground economy of projects that escape portfolio oversight, while too little intake formality will lead to a wild west of approvals that could overwhelm the PMO. Finding the right balance of intake formality for your organization is the key to establishing a PMO that has the ability to focus on the right things.

      Impact and Result

      • Establish an effective scorecard to create transparency into IT’s capacity and processes. This will help set realistic expectations for stakeholders, eliminate “squeaky wheel” prioritization, and give primacy to the highest value requests.
      • Build a centralized process that funnels requests into a single intake channel to eliminate confusion and doubt for stakeholders and staff while also reducing off-the-grid initiatives.
      • Clearly define a series of project approval steps, and communicate requirements for passing them.
      • Develop practices that incorporate the constraint of resource capacity to cap the amount of project approvals to that which is realistic to help improve the throughput of projects through the portfolio.

      Optimize IT Project Intake, Approval, and Prioritization Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should optimize project intake, approval, and prioritization process, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Set realistic goals for optimizing project intake, approval, and prioritization process

      Get value early by piloting a scorecard for objectively determining project value, and then examine your current state of project intake to set realistic goals for optimizing the process.

      • Optimize Project Intake, Approval, and Prioritization – Phase 1: Set Realistic Goals for Optimizing Process
      • Project Value Scorecard Development Tool
      • Project Intake Workflow Template - Visio
      • Project Intake Workflow Template - PDF
      • Project Intake, Approval, and Prioritization SOP

      2. Build an optimized project intake, approval, and prioritization process

      Take a deeper dive into each of the three processes – intake, approval, and prioritization – to ensure that the portfolio of projects is best aligned to stakeholder needs, strategic objectives, and resource capacity.

      • Optimize Project Intake, Approval, and Prioritization – Phase 2: Build New Optimized Processes
      • Light Project Request Form
      • Detailed Project Request Form
      • Project Intake Classification Matrix
      • Benefits Commitment Form Template
      • Proposed Project Technology Assessment Tool
      • Fast Track Business Case Template
      • Comprehensive Business Case Template
      • Project Intake and Prioritization Tool

      3. Integrate the new optimized processes into practice

      Plan a course of action to pilot, refine, and communicate the new optimized process using Info-Tech’s expertise in organizational change management.

      • Optimize Project Intake, Approval, and Prioritization – Phase 3: Integrate the New Processes into Practice
      • Intake Process Pilot Plan Template
      • Project Backlog Manager
      • Intake and Prioritization Impact Analysis Tool
      [infographic]

      Workshop: Optimize IT Project Intake, Approval, and Prioritization

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Refocus on Project Value to Set Realistic Goals

      The Purpose

      Set the course of action for optimizing project intake, approval, and prioritization by examining the current state of the process, the team, the stakeholders, and the organization as a whole.

      Key Benefits Achieved

      The overarching goal of optimizing project intake, approval, and prioritization process is to maximize the throughput of the best projects. To achieve this goal, one must have a clear way to determine what are “the best” projects.

      Activities

      1.1 Define the criteria with which to determine project value.

      1.2 Envision your target state for your optimized project intake, approval, and prioritization process.

      Outputs

      Draft project valuation criteria

      Examination of current process, definition of process success criteria

      2 Examine, Optimize, and Document the New Process

      The Purpose

      Drill down into, and optimize, each of the project intake, approval, and prioritization process.

      Key Benefits Achieved

      Info-Tech’s methodology systemically fits the project portfolio into its triple constraint of stakeholder needs, strategic objectives, and resource capacity, to effectively address the challenges of establishing organizational discipline for project intake.

      Activities

      2.1 Conduct retrospectives of each process against Info-Tech’s best practice methodology for project intake, approval, and prioritization process.

      2.2 Pilot and customize a toolbox of deliverables that effectively captures the right amount of data developed for informing the appropriate decision makers for approval.

      Outputs

      Documentation of new project intake, approval, and prioritization process

      Tools and templates to aid the process

      3 Pilot, Plan, and Communicate the New Process

      The Purpose

      Reduce the risks of prematurely implementing an untested process.

      Methodically manage the risks associated with organizational change and maximize the likelihood of adoption for the new process.

      Key Benefits Achieved

      Engagement paves the way for smoother adoption. An “engagement” approach (rather than simply “communication”) turns stakeholders into advocates who can help boost your message, sustain the change, and realize benefits without constant intervention or process command-and-control.

      Activities

      3.1 Create a plan to pilot your intake, approval, and prioritization process to refine it before rollout.

      3.2 Analyze the impact of organizational change through the eyes of PPM stakeholders to gain their buy-in.

      Outputs

      Process pilot plan

      Organizational change communication plan

      Further reading

      Optimize IT Project Intake, Approval, and Prioritization

      Decide which IT projects to approve and when to start them.

      ANALYST PERSPECTIVE

      Capacity-constrained intake is the only sustainable path forward.

      "For years, the goal of project intake was to select the best projects. It makes sense and most people take it on faith without argument. But if you end up with too many projects, it’s a bad strategy. Don’t be afraid to say NO or NOT YET if you don’t have the capacity to deliver. People might give you a hard time in the near term, but you’re not helping by saying YES to things you can’t deliver."

      Barry Cousins,

      Senior Director, PMO Practice

      Info-Tech Research Group

      Our understanding of the problem

      This Research Is Designed For:

      • PMO Directors who have trouble with project throughput
      • CIOs who want to improve IT’s responsive-ness to changing needs of the business
      • CIOs who want to maximize the overall business value of IT’s project portfolio

      This Research Will Help You:

      • Align project intake and prioritization with resource capacity and strategic objectives
      • Balance proactive and reactive demand
      • Reduce portfolio waste on low-value projects
      • Manage project delivery expectations and satisfaction of business stakeholders
      • Get optimized project intake processes off the ground with low-cost, high-impact tools and templates

      This Research Will Also Assist:

      • C-suite executives and steering committee members who want to ensure IT’s successful delivery of projects with high business impact
      • Project sponsors and product owners who seek visibility and transparency toward proposed projects

      This Research Will Help Them:

      • Ensure that high-impact projects are approved and delivered in a timely manner
      • Gain clarity and visibility in IT’s project approval process
      • Improve your understanding of IT’s capacity to set more realistic expectations on what gets done

      Executive summary

      Situation

      • As a portfolio manager, you do not have the authority to decline or defer new projects – but you also lack the capacity to realistically say yes to more project work.
      • Stakeholders have unrealistic expectations of what IT can deliver. Too many projects are approved, and it may be unclear why their project is delayed or in a state of suspended animation.

      Complication

      • The cycle of competition is making it increasingly difficult to follow a longer-term strategy during project intake, making it unproductive to approve projects for any horizon longer than one to two years.
      • As project portfolios become more aligned to “transformative” projects, resourcing for smaller, department-level projects becomes increasingly opaque.

      Resolution

      • Establish an effective scorecard to create transparency into IT’s capacity and processes. This will help set realistic expectations for stakeholders, eliminate “squeaky wheel” prioritization, and give primacy to the highest value requests.
      • Build a centralized process that funnels requests into a single intake channel to eliminate confusion and doubt for stakeholders and staff while also reducing off-the-grid initiatives.
      • Clearly define a series of project approval steps, and communicate requirements for passing them.
      • Developing practices that incorporate the constraint of resource capacity to cap the amount of project approvals to that which is realistic will help improve the throughput of projects through the portfolio.

      Info-Tech Insight

      1. Approve only the right projects… Counterbalance stakeholder needs with strategic objectives of the business and that of IT, in order to maintain the value of your project portfolio at a high level.
      2. …that you have capacity to deliver. Resource capacity-informed project approval process enables you to avoid biting off more than you can chew and, over time, build a track record of fulfilling promises to deliver on projects.

      Most organizations are good at approving projects, but bad at starting them – and even worse at finishing them

      Establishing project intake discipline should be a top priority from a long-term strategy and near-term tactical perspective.

      Most organizations approve more projects than they can finish. In fact, many approve more than they can even start, leading to an ever-growing backlog where project ideas – often good ones – are never heard from again.

      The appetite to approve more runs directly counter to the shortage of resources that plagues most IT departments. This tension of wanting more from less suggests that IT departments need to be more disciplined in choosing what to take on.

      Info-Tech’s data shows that most IT organizations struggle with their project backlog (Source: N=397 organizations, Info-Tech Research Group PPM Current State Scorecard, 2017).

      “There is a minimal list of pending projects”

      A bar graph is depicted. It has 5 bars to show that when it comes to minimal lists of pending projects, 34% strongly disagree, 35% disagree, and 21% are ambivalent. Only 7% agree and 3% strongly agree.

      “Last year we delivered the number of projects we anticipated at the start of the year”

      A bar graph is depicted. It has 5 bars to show that when it comes to the number of projects anticipated at the start of the year, they were delivered. Surveyors strongly disagreed at 24%, disagreed at 31%, and were ambivalent at 30%. Only 13% agreed and 2% strongly agreed.

      The concept of fiduciary duty demonstrates the need for better discipline in choosing what projects to take on

      Unless someone is accountable for making the right investment of resource capacity for the right projects, project intake discipline cannot be established effectively.

      What is fiduciary duty?

      Officers and directors owe their corporation the duty of acting in the corporation’s best interests over their own. They may delegate the responsibility of implementing the actions, but accountability can't be delegated; that is, they have the authority to make choices and are ultimately answerable for them.

      No question is more important to the organization’s bottom line. Projects directly impact the bottom line because they require investment of resource time and money for the purposes of realizing benefits. The scarcity of resources requires that choices be made by those who have the right authority.

      Who approves your projects?

      Historically, the answer would have been the executive layer of the organization. However, in the 1990s management largely abdicated its obligation to control resources and expenditures via “employee empowerment.”

      Controls on approvals became less rigid, and accountability for choosing what to do (and not do) shifted onto the shoulders of the individual worker. This creates a current paradigm where no one is accountable for the malinvestment…

      …of resources that comes from approving too many projects. Instead, it’s up to individual workers to sink or swim as they attempt to reconcile, day after day, seemingly infinite organizational demand with their finite supply of working hours.

      Ad hoc project selection schemes do not work

      Without active management, reconciling the imbalance between demand with available work hours is a struggle that results largely in one of these two scenarios:

      “Squeaky wheel”: Projects with the most vocal stakeholders behind them are worked on first.

      • IT is seen to favor certain lines of business, leading to disenfranchisement of other stakeholders.
      • Everything becomes the highest priority, which reinforces IT’s image as a firefighter, rather than a business value contributor
      • High-value projects without vocal support never get resourced; opportunities are missed.

      “First in, first out”: Projects are approved and executed in the order they are requested.

      • Urgent or important projects for the business languish in the project backlog; opportunities are missed.
      • Low-value projects dominate the project portfolio.
      • Stakeholders leave IT out of the loop and resort to “underground economy” for getting their needs addressed.

      80% of organizations feel that their portfolios are dominated by low-value initiatives that do not deliver value to the business (Source: Cooper).

      Approve the right projects that you have capacity to deliver by actively managing the intake of projects

      Project intake, approval, and prioritization (collectively “project intake”) reconciles the appetite for new projects with available resource capacity and strategic goals.

      Project intake is a key process of project portfolio management (PPM). The Project Management Institute (PMI) describes PPM as:

      "Interrelated organizational processes by which an organization evaluates, selects, prioritizes, and allocates its limited internal resources to best accomplish organizational strategies consistent with its vision, mission, and values."

      (PMI, Standard for Portfolio Management, 3rd ed.)

      Triple Constraint Model of the Project Portfolio

      Project Intake:

      • Stakeholder Need
      • Strategic Objectives
      • Resource Capacity

      All three components are required for the Project Portfolio

      Organizations practicing PPM recognize available resource capacity as a constraint and aim to select projects – and commit the said capacity – to projects that:

      1. Best satisfy the stakeholder needs that constantly change with the market
      2. Best align to the strategic objectives and contribute the most to business
      3. Have sufficient resource capacity available to best ensure consistent project throughput

      92% vs. 74%: 92% of high-performing organizations in PPM report that projects are well aligned to strategic initiatives vs. 74% of low performers (PMI, 2015).

      82% vs. 55%: 82% of high-performing organizations in PPM report that resources are effectively reallocated across projects vs. 55% of low performers (PMI, 2015)

      Info-Tech’s data demonstrates that optimizing project intake can also improve business leaders’ satisfaction of IT

      CEOs today perceive IT to be poorly aligned to business’ strategic goals:

      43% of CEOs believe that business goals are going unsupported by IT (Source: Info-Tech’s CEO-CIO Alignment Survey (N=124)).

      60% of CEOs believe that improvement is required around IT’s understanding of business goals (Source: Info-Tech’s CEO-CIO Alignment Survey (N=124)).

      Business leaders today are generally dissatisfied with IT:

      30% of business stakeholders are supporters of their IT departments (Source: Info-Tech’s CIO Business Vision Survey (N=21,367)).

      The key to improving business satisfaction with IT is to deliver on projects that help the business achieve its strategic goals:

      A chart is depicted to show a list of reported important projects, and then reordering the projects based on actual importance.
      Source: Info-Tech’s CIO Business Vision Survey (N=21,367)

      Optimized project intake not only improves the project portfolio’s alignment to business goals, but provides the most effective way to improve relationships with IT’s key stakeholders.

      Benchmark your own current state with overall & industry-specific data using Info-Tech’s Diagnostic Program.

      However, establishing organizational discipline for project intake, approval, and prioritization is difficult

      Capacity awareness

      Many IT departments struggle to realistically estimate available project capacity in a credible way. Stakeholders question the validity of your endeavor to install capacity-constrained intake process, and mistake it for unwillingness to cooperate instead.

      Many moving parts

      Project intake, approval, and prioritization involve the coordination of various departments. Therefore, they require a great deal of buy-in and compliance from multiple stakeholders and senior executives.

      Lack of authority

      Many PMOs and IT departments simply lack the ability to decline or defer new projects.

      Unclear definition of value

      Defining the project value is difficult because there are so many different and conflicting ways that are all valid in their own right. However, without it, it's impossible to fairly compare among projects to select what's "best."

      Establishing intake discipline requires a great degree of cooperation and conformity among stakeholders that can be cultivated through strong processes.

      Info-Tech’s intake, approval, and prioritization methodology systemically fits the project portfolio to its triple constraint

      Info-Tech’s Methodology

      Info-Tech’s Methodology
      Project Intake Project Approval Project Prioritization
      Project requests are submitted, received, triaged, and scoped in preparation for approval and prioritization. Business cases are developed, evaluated, and selected (or declined) for investment, based on estimated value and feasibility. Work is scheduled to begin, based on relative value, urgency, and availability of resources.
      Stakeholder Needs Strategic Objectives Resource Capacity
      Project Portfolio Triple Constraint

      Info-Tech’s methodology for optimizing project intake delivers extraordinary value, fast

      In the first step of the blueprint, you will prototype a set of scorecard criteria for determining project value.

      Our methodology is designed to tackle your hardest challenge first to deliver the highest-value part of the deliverable. Since the overarching goal of optimizing project intake, approval, and prioritization process is to maximize the throughput of the best projects, one must define how “the best projects” are determined.

      In nearly all instances…a key challenge for the PPM team is reaching agreement over how projects should rank.

      – Merkhofer

      A Project Value Scorecard will help you:

      • Evolve the discussions on project and portfolio value beyond a theoretical concept
      • Enable apples-to-apples comparisons amongst many different kinds of projects

      The Project Value Scorecard Development Tool is designed to help you develop the project valuation scheme iteratively. Download the pre-filled tool with content that represents a common case, and then, customize it with your data.

      A screenshot of Info-Tech's Project Value Scorecard Development Tool

      This blueprint provides a clear path to maximizing your chance of success in optimizing project intake

      Info-Tech’s practical, tactical research is accompanied by a suite of tools and templates to accelerate your process optimization efforts.

      Organizational change and stakeholder management are critical elements of optimizing project intake, approval, and prioritization processes because they require a great degree of cooperation and conformity among stakeholders, and the list of key stakeholders are long and far-reaching.

      This blueprint will provide a clear path to not only optimize the processes themselves, but also for the optimization effort itself. This research is organized into three phases, each requiring a few weeks of work at your team’s own pace – or all in one week, through a workshop facilitated by Info-Tech analysts.

      Set Realistic Goals for Optimizing Project Intake, Approval, and Prioritization

      Tools and Templates:

      • Project Value Scorecard Development Tool (.xlsx)
      • PPM Assessment Report (Info-Tech Diagnostics)
      • Standard Operating Procedure Template (.docx)

      Build Optimized Project Intake, Approval, and Prioritization Processes

      Tools and Templates:

      • Project Request Forms (.docx)
      • Project Classification Matrix (.xlsx)
      • Benefits Commitment Form (.xlsx)
      • Proposed Project Technology Assessment Tool (.xlsx)
      • Business Case Templates (.docx)
      • Intake and Prioritization Tool (.xlsx)

      Integrate the Newly Optimized Processes into Practice

      Tools and Templates:

      • Process Pilot Plan Template (.docx)
      • Impact Assessment and Communication Planning Tool (.xlsx)

      Info-Tech’s approach to PPM is informed by industry best practices and rooted in practical insider research

      Info-Tech uses PMI and ISACA frameworks for areas of this research.

      The logo for PMI is in the picture.

      PMI’s Standard for Portfolio Management, 3rd ed. is the leading industry framework, proving project portfolio management best practices and process guidelines.

      The logo for COBIT 5 is in the picture.

      COBIT 5 is the leading framework for the governance and management of enterprise IT.

      In addition to industry-leading frameworks, our best-practice approach is enhanced by the insights and guidance from our analysts, industry experts, and our clients.

      Info-Tech's logo is shown.

      33,000+

      Our peer network of over 33,000 happy clients proves the effectiveness of our research.

      1,000+

      Our team conducts 1,000+ hours of primary and secondary research to ensure that our approach is enhanced by best practices.

      Deliver measurable project intake success for your organization with this blueprint

      Measure the value of your effort to track your success quantitatively and demonstrate the proposed benefits, as you aim to do so with other projects through improved PPM.

      Optimized project intake, approval, and prioritization processes lead to a high PPM maturity, which will improve the successful delivery and throughput of your projects, resource utilization, business alignment, and stakeholder satisfaction ((Source: BCG/PMI).

      A double bar graph is depicted to show high PPM maturity yields measurable benefits. It covers 4 categories: Management for individual projects, financial performance, strategy implementation, and organizational agility.

      Measure your success through the following metrics:

      • Reduced turnaround time between project requests and initial scoping
      • Number of project proposals with articulated benefits
      • Reduction in “off-the-grid” projects
      • Team satisfaction and workplace engagement
      • PPM stakeholder satisfaction score from business stakeholders: see Info-Tech’s PPM Customer Satisfaction Diagnostics

      $44,700: In the past 12 months, Info-Tech clients have reported an average measured value of $44,700 from undertaking a guided implementation of this research.

      Add your own organization-specific goals, success criteria, and metrics by following the steps in the blueprint.

      Case Study: Financial Services PMO prepares annual planning process with Project Value Scorecard Development Tool

      CASE STUDY

      Industry: Financial Services

      Source: Info-Tech Client

      Challenge

      PMO plays a diverse set of roles, including project management for enterprise projects (i.e. PMI’s “Directive” PMO), standards management for department-level projects (i.e. PMI’s “Supportive” PMO), process governance of strategic projects (i.e. PMI’s “Controlling” PMO), and facilitation / planning / reporting for the corporate business strategy efforts (i.e. Enterprise PMO).

      To facilitate the annual planning process, the PMO needed to develop a more data-driven and objective project intake process that implicitly aligned with the corporate strategy.

      Solution

      Info-Tech’s Project Value Scorecard tool was incorporated into the strategic planning process.

      Results

      The scorecard provided a simple way to list the competing strategic initiatives, objectively score them, and re-sort the results on demand as the leadership chooses to switch between ranking by overall score, project value, ability to execute, strategic alignment, operational alignment, and feasibility.

      The Project Value Scorecard provided early value with multiple options for prioritized rankings.

      A screenshot of the Project Value Scorecard is shown in the image.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Optimize Project Intake, Approval, and Prioritization – project overview

      1. Set Realistic Goals for Optimizing Process 2. Build New Optimized Processes 3. Integrate the New Processes into Practice
      Best-Practice Toolkit

      1.1 Define the criteria with which to determine project value.


      2.1 Streamline intake to manage stakeholder expectations.

      2.2 Set up steps of project approval to maximize strategic alignment while right-sizing the required effort.

      2.3 Prioritize projects to maximize the value of the project portfolio within the constraint of resource capacity.

      3.1 Pilot your intake, approval, and prioritization process to refine it before rollout.

      3.2 Analyze the impact of organizational change through the eyes of PPM stakeholders to gain their buy-in.

      Guided Implementations
      • Introduce Project Value Scorecard Development Tool and pilot Info-Tech’s example scorecard on your own backlog.
      • Map current project intake, approval, and prioritization process and key stakeholders.
      • Set realistic goals for process optimization.
      • Improve the management of stakeholder expectations with an optimized intake process.
      • Improve the alignment of the project portfolio to strategic objectives with an optimized approval process.
      • Enable resource capacity-constrained greenlighting of projects with an optimized prioritization process.
      • Create a process pilot strategy with supportive stakeholders.
      • Conduct a change impact analysis for your PPM stakeholders to create an effective communication strategy.
      • Roll out the new process and measure success.
      Onsite Workshop

      Module 1:

      Refocus on Project Value to Set Realistic Goals for Optimizing Project Intake, Approval, and Prioritization Process

      Module 2:

      Examine, Optimize, and Document the New Project Intake, Approval, and Prioritization Process

      Module 3:

      Pilot, Plan, and Communicate the New Process and Its Required Organizational Changes

      Phase 1 Outcome:
      • Draft project valuation criteria
      • Examination of current process
      • Definition of process success criteria
      Phase 2 Outcome:
      • Documentation of new project intake, approval, and prioritization process
      • Tools and templates to aid the process
      Phase 3 Outcome:
      • Process pilot plan
      • Organizational change communication plan

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Workshop Day 1 Workshop Day 2 Workshop Day 3 Workshop Day 4 Workshop Day 5
      Activities

      Benefits of optimizing project intake and project value definition

      1.1 Complete and review PPM Current State Scorecard Assessment

      1.2 Define project value for the organization

      1.3 Engage key PPM stakeholders to iterate on the scorecard prototype

      Set realistic goals for process optimization

      2.1 Map current intake, approval, and prioritization workflow

      2.2 Enumerate and prioritize process stakeholders

      2.3 Determine the current and target capability levels

      2.4 Define the process success criteria and KPIs

      Optimize project intake and approval processes

      3.1 Conduct focused retrospectives for project intake and approval

      3.2 Define project levels

      3.3 Optimize project intake processes

      3.4 Optimize project approval processes

      3.5 Compose SOP for intake and approval

      3.6 Document the new intake and approval workflow

      Optimize project prioritization process plan for a process pilot

      4.1 Conduct focused retrospective for project prioritization

      4.2 Estimate available resource capacity

      4.3 Pilot Project Intake and Prioritization Tool with your project backlog

      4.4 Compose SOP for prioritization

      4.5 Document the new prioritization workflow

      4.6 Discuss process pilot

      Analyze stakeholder impact and create communication strategy

      5.1 Analyze stakeholder impact and responses to impending organization change

      5.2 Create message canvas for at-risk change impacts and stakeholders

      5.3 Set course of action for communicating change

      Deliverables
      1. PPM Current State Scorecard
      2. Project Value Scorecard prototype
      1. Current intake, approval, and prioritization workflow
      2. Stakeholder register
      3. Intake process success criteria
      1. Project request form
      2. Project level classification matrix
      3. Proposed project deliverables toolkit
      4. Customized intake and approval SOP
      5. Flowchart for the new intake and approval workflow
      1. Estimated resource capacity for projects
      2. Customized Project Intake and Prioritization Tool
      3. Customized prioritization SOP
      4. Flowchart for the new prioritization workflow
      5. Process pilot plan
      1. Completed Intake and Prioritization Impact Analysis Tool
      2. Communication strategy and plan

      Phase 1

      Set Realistic Goals for Optimizing Project Intake, Approval, and Prioritization Process

      Phase 1 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Set Realistic Goals for Project Intake, Approval, and Prioritization Process Proposed Time to Completion: 1-2 weeks

      Step 1.1: Define the project valuation criteria

      Start with an analyst kick-off call:

      • Discuss how a project value is currently determined
      • Introduce Info-Tech’s scorecard-driven project valuation approach

      Then complete these activities…

      • Create a first-draft version of a project value-driven prioritized list of projects
      • Review and iterate on the scorecard criteria

      With these tools & templates:

      Project Value Scorecard Development Tool

      Step 1.2: Envision your process target state

      Start with an analyst kick-off call:

      • Introduce Info-Tech’s project intake process maturity model
      • Discuss the use of Info-Tech’s Diagnostic Program for an initial assessment of your current PPM processes

      Then complete these activities…

      • Map your current process workflow
      • Enumerate and prioritize your key stakeholders
      • Define process success criteria

      With these tools & templates:

      Project Intake Workflow Template

      Project Intake, Approval, and Prioritization SOP Template

      Phase 1 Results & Insights:
      • The overarching goal of optimizing project intake, approval, and prioritization process is to maximize the throughput of the best projects. To achieve this goal, one must have a clear way to determine what are “the best” projects.

      Get to value early with Step 1.1 of this blueprint

      Define how to determine a project’s value and set the stage for maximizing the value of your project portfolio using Info-Tech’s Project Value Scorecard Development Tool.

      Where traditional models of consulting can take considerable amounts of time before delivering value to clients, Info-Tech’s methodology for optimizing project intake, approval, and prioritization process gets you to value fast.

      The overarching goal of optimizing project intake, approval, and prioritization process is to maximize the throughput of the best projects. To achieve this goal, one must have a clear way to determine what are “the best” projects.

      In the first step of this blueprint, you will pilot a multiple-criteria scorecard for determining project value that will help answer that question. Info-Tech’s Project Value Scorecard Development Tool is pre-populated with a ready-to-use, real-life example that you can leverage as a starting point for tailoring it to your organization – or adopt as is.

      Introduce objectivity and clarity to your discussion of maximizing the value of your project portfolio with Info-Tech’s practical IT research that drives measurable results.

      Download Info-Tech’s Project Value Scorecard Development Tool.

      A screenshot of Info-Tech's Project Value Scorecard Development Tool

      Step 1.1: Define the criteria with which to determine project value

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Learn how to use the Project Value Scorecard Development Tool
      • Create a first-draft version of a project value-driven prioritized list of projects

      This step involves the following participants:

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • CIO (optional)

      Outcomes of this step

      • Understand the importance of devising a consensus criteria for project valuation.
      • Try a project value scorecard-driven prioritization process with your currently proposed.
      • Set the stage for optimizing project intake, approval, and prioritization processes.

      Intake, Approval, and Prioritization is a core process in Info-Tech’s project portfolio management (PPM) framework

      PPM is an infrastructure around projects that aims to ensure that the best projects are worked on at the right time with the right people.

      PPM’s goal is to maximize the throughput of projects that provide strategic and operational value to the organization. To do this, a PPM strategy must help to:

      Info-Tech's Project Portfolio Management Process Model
      3. Status & Progress Reporting
      1. Intake, Approval & Prioritization 2. Resource Management 3. Project Management 4. Project Closure 5. Benefits Tracking
      Intake Execution Closure
      1. Select the best projects
      2. Pick the right time and people to execute the projects
      3. Make sure the projects are okay
      4. Make sure the projects get done
      5. Make sure they were worth doing

      If you don’t yet have a PPM strategy in place, or would like to revisit your existing PPM strategy before optimizing your project intake, approval, and prioritization practices, see Info-Tech’s blueprint, Develop a Project Portfolio Management Strategy.

      A screenshot of Info-Tech's blueprint Develop a Project Portfolio Management Strategy is shown.

      “Too many projects, not enough resources” is the reality of most IT environments

      A profound imbalance between demand (i.e. approved project work and service delivery commitments) and supply (i.e. people’s time) is the top challenge IT departments face today.

      In today’s organizations, the desires of business units for new products and enhancements, and the appetites of senior leadership to approve more and more projects for those products and services, far outstrip IT’s ability to realistically deliver on everything.

      The vast majority of IT departments lack the resourcing to meet project demand – especially given the fact that day-to-day operational demands frequently trump project work.

      As a result, project throughput suffers – and with it, IT’s reputation within the organization.

      An image is depicted that has several projects laid out near a scale filling one side of it and off of it. On the other part of the scale which is higher, has an image of people in it to help show the relationship between resource supply and project demand.

      Info-Tech Insight

      Where does the time go? The portfolio manager (or equivalent) should function as the accounting department for time, showing what’s available in IT’s human resources budget for projects and providing ongoing visibility into how that budget of time is being spent.

      Don’t weigh your portfolio down by starting more than you can finish

      Focus on what will deliver value to the organization and what you can realistically deliver.

      Most of the problems that arise during the lifecycle of a project can be traced back to issues that could have been mitigated during the initiation phase.

      More than simply a means of early problem detection at the project level, optimizing your initiation processes is also the best way to ensure the success of your portfolio. With optimized intake processes you can better guarantee:

      • The projects you are working on are of high value
      • Your project list aligns with available resource capacity
      • Stakeholder needs are addressed, but stakeholders do not determine the direction of the portfolio

      80% of organizations feel their portfolios are dominated by low-value initiatives that do not deliver value to the business (Source: Cooper).

      "(S)uccessful organizations select projects on the basis of desirability and their capability to deliver them, not just desirability" (Source: John Ward, Delivering Value from Information Systems and Technology Investments).

      Establishing project value is the first – and difficult – step for optimizing project intake, approval, and prioritization

      What is the best way to “deliver value to the organization”?

      Every organization needs to explicitly define how to determine project value that will fairly represent all projects and provide a basis of comparison among them during approval and prioritization. Without it, any discussions on reducing “low-value initiatives” from the previous slide cannot yield any actionable plan.

      However, defining the project value is difficult, because there are so many different and conflicting ways that are all valid in their own right and worth considering. For example:

      • Strategic growth vs. operational stability
      • Important work vs. urgent work
      • Return on investment vs. cost containment
      • Needs of a specific line of business vs. business-wide needs
      • Financial vs. intangible benefits

      This challenge is further complicated by the difficulty of identifying the right criteria for determining project value:

      Managers fail to identify around 50% of the important criteria when making decisions (Source: Transparent Choice).

      Info-Tech Insight

      Sometimes it can be challenging to show the value of IT-centric, operational-type projects that maintain critical infrastructure since they don’t yield net-new benefits. Remember that benefits are only half the equation; you must also consider the costs of not undertaking the said project.

      Find the right mix of criteria for project valuation with Info-Tech’s Project Value Scorecard Development Tool

      Scorecard-driven approach is an easy-to-understand, time-tested solution to a multiple-criteria decision-making problem, such as project valuation.

      This approach is effective for capturing benefits and costs that are not directly quantifiable in financial terms. Projects are evaluated on multiple specific questions, or criteria, that each yield a score on a point scale. The overall score is calculated as a weighted sum of the scores.

      Info-Tech’s Project Value Scorecard is pre-populated with a best-practice example of eight criteria, two for each category (see box at bottom right). This example helps your effort to develop your own project scorecard by providing a solid starting point:

      60%: On their own, decision makers could only identify around 6 of their 10 most important criteria for making decisions (Source: Transparent Choice).

      Finally, in addition, the overall scores of approved projects can be used as a metric on which success of the process can be measured over time.

      Download Info-Tech’s Project Value Scorecard Development Tool.

      A screenshot of Info-Tech's Project Value Scorecard Development Tool

      Categories of project valuation criteria

      • Strategic alignment: projects must be aligned with the strategic goals of the business and IT.
      • Operational alignment: projects must be aligned with the operational goals of the business and IT.
      • Feasibility: practical considerations for projects must be taken into account in selecting projects.
      • Financial: projects must realize monetary benefits, in increased revenue or decreased costs, while posing as little risk of cost overrun as possible.

      Review the example criteria and score description in the Project Value Scorecard Development Tool

      1.1.1 Project Value Scorecard Development Tool, Tab 2: Evaluation Criteria

      This tab lists eight criteria that cover strategic alignment, operational alignment, feasibility, and financial benefits/risks. Each criteria is accompanied by a qualitative score description to standardize the analysis across all projects and analysts. While this tool supports up to 15 different criteria, it’s better to minimize the number of criteria and introduce additional ones as the organization grows in PPM maturity.

      A screenshot of Info-Tech's Project Value Scorecard Development Tool, Tab 2: Evaluation Criteria

      Type: It is useful to break down projects with similar overall scores by their proposed values versus ease of execution.

      Scale: Five-point scale is not required for this tool. Use more or less granularity of description as appropriate for each criteria.

      Blank Criteria: Rows with blank criteria are greyed out. Enter a new criteria to turn on the row.

      Score projects and search for the right mix of criteria weighting using the scorecard tab

      1.1.1 Project Value Scorecard Development Tool, Tab 3: Project Scorecard

      In this tab, you can see how projects are prioritized when they are scored according to the criteria from the previous tab. You can enter the scores of up to 30 projects in the scorecard table (see screenshot to the right).

      A screenshot of Info-Tech's Project Value Scorecard Development Tool, Tab 3: Project Scorecard is shown.

      Value (V) or Execution (E) & Relative Weight: Change the relative weights of each criteria and review any changes to the prioritized list of projects change, whose rankings are updated automatically. This helps you iterate on the weights to find the right mix.

      Feasibility: Custom criteria category labels will be automatically updated.

      A screenshot of Info-Tech's Project Value Scorecard Development Tool, Tab 3: Project Scorecard is shown.

      Overall: Choose the groupings of criteria by which you want to see the prioritized list. Available groupings are:

      • Overall score
      • By value or by execution
      • By category

      Ranks and weighted scores for each project is shown.

      For example, click on the drop-down and choose “Execution.”

      A screenshot of Info-Tech's Project Value Scorecard Development Tool, Tab 3: Project Scorecard is shown.

      Project ranks are based only on execution criteria.

      Create a first-draft version of a project value-driven prioritized list of projects

      1.1.1 Estimated Time: 60 minutes

      Follow the steps below to test Info-Tech’s example Project Value Scorecard and examine the prioritized list of projects.

      1. Using your list of proposed, ongoing, and completed projects, identify a representative sample of projects in your project portfolio, varying in size, scope, and perceived value – about 10-20 of them.
      2. Arrange these projects in the order of priority using any processes or prioritization paradigm currently in place in your organization.
      • In the absence of formal process, use your intuition, as well as knowledge of organizational priorities, and your stakeholders.
    • Use the example criteria and score description in Tab 2 of Info-Tech’s Project Value Scorecard Development Tool to score the same list of projects:
      • Avoid spending too much time at this step. Prioritization criteria will be refined in the subsequent parts of the blueprint.
      • If multiple scorers are involved, allow some overlap to benchmark for consistency.
    • Enter the scores in Tab 3 of the tool to obtain the first-draft version of a project value-driven prioritized project list. Compare it with your list from Step 2.
    • INPUT

      • Knowledge of proposed, ongoing, and completed projects in your project portfolio

      OUTPUT

      • Prioritized project lists

      Materials

      • Project Value Scorecard Development Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • CIO (optional)

      Iterate on the scorecard to set the stage for optimizing project intake, approval, and prioritization

      1.1.2 Estimated Time: 60 minutes

      Conduct a retrospective of the previous activity by asking these questions:

      • How smooth was the overall scoring experience (Step 3 of Activity 1.1.1)?
      • Did you experience challenges in interpreting and applying the example project valuation criteria? Why? (e.g. lack of information, absence of formalized business strategic goals, too much room for interpretation in scoring description)
      • Did the prioritized project list agree with your intuition?

      Iterate on the project valuation criteria:

      • Manipulate the relatives weights of valuation criteria to fine-tune them.
      • Revise the scoring descriptions to provide clarity or customize them to better fit your organization’s needs, then update the project scores accordingly.
      • For projects that did not score well, will this cause concern from any stakeholders? Are the concerns legitimate? If so, this may indicate the need for inclusion of new criteria.
      • For projects that score too well, this may indicate a bias toward a specific type of project or group of stakeholders. Try adjusting the relative weights of existing criteria.

      INPUT

      • Activity 1.1.1

      OUTPUT

      • Retrospective on project valuation
      • Review of project valuation criteria

      Materials

      • Project Value Scorecard Development Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • CIO (optional)

      Next steps: engage key PPM stakeholders to reach a consensus when establishing how to determine project value

      Engage these key players to create the evaluation criteria that all stakeholders will support:

      • Business units: Projects are undertaken to provide value to the business. Senior management from business units must help define how project will be valued.
      • IT: IT must ensure that technical/practical considerations are taken into account when determining project value.
      • Finance: The CFO or designated representative will ensure that estimated project costs and benefits can be used to manage the budget.
      • PMO: PMO is the administrator of the project portfolio. PMO must provide coordination and support to ensure the process operates smoothly and its goals are realized.
      • Business analysts: BAs carry out the evaluation of project value. Therefore, their understanding of the evaluation criteria and the process as a whole are critical to the success of the process.
      • Project sponsors: Project sponsors are accountable for the realization of benefits for which projects are undertaken.

      Optimize the process with the new project value definition to focus your discussion with stakeholders

      This blueprint will help you not only optimize the process, but also help you work with your stakeholders to realize the benefits of the optimized process.

      In this step, you’ve begun improving the definition of project value. Getting it right will require several more iterations and will require a series of discussions with your key stakeholders.

      The optimized intake process built around the new definition of project value will help evolve a conceptual discussion about project value into a more practical one. The new process will paint a picture of what the future state will look like for your stakeholders’ requested projects getting approved and prioritized for execution, so that they can provide feedback that’s concrete and actionable. To help you with that process, you will be taken through a series of activities to analyze the impact of change on your stakeholders and create a communication plan in the last phase of the blueprint.

      For now, in the next step of this blueprint, you will undergo a series of activities to assess your current state to identify the specific areas for process optimization.

      "To find the right intersection of someone’s personal interest with the company’s interest on projects isn’t always easy. I always try to look for the basic premise that you can get everybody to agree on it and build from there… But it’s sometimes hard to make sure that things stick. You may have to go back three or four times to the core agreement."

      -Eric Newcomer

      Step 1.2: Envision your target state for your optimized project intake, approval, and prioritization process

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Map your current project intake, approval, and prioritization workflow, and document it in a flowchart
      • Enumerate and prioritize your key process stakeholders
      • Determine your process capability level within Info-Tech’s Framework
      • Establish your current and target states for project intake, approval, and prioritization process

      This step involves the following participants:

      • CIO
      • PMO Director/Portfolio Manager
      • Project Managers
      • Business Analysts
      • Other PPM stakeholders

      Outcomes of this step

      • Current project intake, approval, and prioritization process is mapped out and documented in a flowchart
      • Key process stakeholders are enumerated and prioritized to inform future discussion on optimizing processes
      • Current and target organizational process capability levels are determined
      • Success criteria and key performance indicators for process optimization are defined

      Use Info-Tech’s Diagnostic Program for an initial assessment of your current PPM processes

      This step is highly recommended but not required. Call 1-888-670-8889 to inquire about or request the PPM Diagnostics.

      Info-Tech's Project Portfolio Management Assessmentprovides you with a data-driven view of the current state of your portfolio, including your intake processes. Our PPM Assessment measures and communicates success in terms of Info-Tech’s best practices for PPM.

      A screenshot of Info-Tech's Project Portfolio Management Assessment blueprint is shown.

      Use the diagnostic program to:

      • Assess resource utilization across the portfolio.
      • Determine project portfolio reporting completeness.
      • Solicit feedback from your customers on the clarity of your portfolio’s business goals.
      • Rate the overall quality of your project management practices and benchmark your rating over time.
      A screenshot of Info-Tech's Project Portfolio Management Assessment blueprint is shown.

      Scope your process optimization efforts with Info-Tech’s high-level intake, approval, and prioritization workflow

      Info-Tech recommends the following workflow at a high level for a capacity-constrained intake process that aligns to strategic goals and stakeholder need.

      • Intake (Step 2.1)*
        • Receive project requests
        • Triage project requests and assign a liaison
        • High-level scoping & set stakeholder expectations
      • Approval (Step 2.2)*
        • Concept approval by project sponsor
        • High-level technical solution approval by IT
        • Business case approval by business
        • Resource allocation & greenlight projects
      • Prioritization (Step 2.3)*
        • Update project priority scores & available project capacity
        • Identify high-scoring and “on-the-bubble” projects
        • Recommend projects to greenlight or deliberate

      * Steps denote the place in the blueprint where the steps are discussed in more detail.

      Use this workflow as a baseline to examine your current state of the process in the next slide.

      Map your current project intake, approval, and prioritization workflow

      1.2.1 Estimated Time: 60-90 minutes

      Conduct a table-top planning exercise to map out the processes currently in place for project intake, approval, and prioritization.

      1. Use white 4”x6” recipe cards / large sticky notes to write out unique steps of a process. Use the high-level process workflow from the previous slides as a guide.
      2. Arrange the steps into chronological order. Benchmark the arrangement through a group discussion.
      3. Use green cards to identify artifacts or deliverables that result from a step.
      4. Use yellow cards to identify who does the work (i.e. responsible parties), and who makes the decisions (i.e. accountable party). Keep in mind that while multiple parties may be responsible, accountability cannot be shared and only a single party can be accountable for a process.
      5. Use red cards to identify issues, problems, or risks. These are opportunities for optimization.

      INPUT

      • Documentation describing the current process (e.g. standard operating procedures)
      • Info-Tech’s high-level intake workflow

      OUTPUT

      • Current process, mapped out

      Materials

      • 4x6” recipe cards
      • Whiteboard

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • Other PPM stakeholders

      Document the current project intake, approval, and prioritization workflow in a flowchart

      1.2.2 Estimated Time: 60 minutes

      Document the results of the previous table-top exercise (Activity 1.1.1) into a flow chart. Flowcharts provide a bird’s-eye view of process steps that highlight the decision points and deliverables. In addition, swim lanes can be used to indicate process stages, task ownership, or responsibilities (example below).

      An example is shown for activity 1.2.2

      Review and customize section 1.2, “Overall Process Workflow” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      "Flowcharts are more effective when you have to explain status and next steps to upper management."

      – Assistant Director-IT Operations, Healthcare Industry

      Browser-based flowchart tool examples

      INPUT

      • Mapped-out project intake process (Activity 1.2.1)

      OUTPUT

      • Flowchart representation of current project intake workflow

      Materials

      • Microsoft Visio, flowchart software, or Microsoft PowerPoint

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Example of a project intake, approval, and prioritization flow chart – without swim lanes

      An example project intake, approval, and prioritization flow chart without swim lanes is shown.

      Example of a project intake, approval, and prioritization flow chart – with swim lanes

      An example project intake, approval, and prioritization flow chart with swim lanes is shown.

      Download Info-Tech’s Project Intake Workflow Template (Visio and PDF)

      Enumerate your key stakeholders for optimizing intake, approval, and prioritization process

      1.2.3 30-45 minutes

      In the previous activity, accountable and responsible stakeholders for each of the steps in the current intake, approval, and prioritization process were identified.

      1. Based on your knowledge and insight of your organization, ensure that all key stakeholders with accountable and responsible stakeholders are accounted for in the mapped-out process. Note any omissions: it may indicate a missing step, or that the stakeholder ought to be, but are not currently, involved.
      2. For each step, identify any stakeholders that are currently consulted or informed. Then, examine the whole map and identify any other stakeholders that ought to be consulted or informed.
      3. Compile a list of stakeholders from steps 1-2, and write each of their names in two sticky notes.
      4. Put both sets of sticky notes on a wall. Use the wisdom-of-the-crowd approach to arrange one set in a descending order of influence. Record their ranked influence from 1 (least) to 10 (most).
      5. Rearrange the other set in a descending order of interest in seeing the project intake process optimized. Record their ranked interest from 1 (least) to 10 (most).

      INPUT

      • Mapped-out project intake process (Activity 1.2.1)
      • Insight on organizational culture

      OUTPUT

      • List of stakeholders in project intake
      • Ranked list in their influence and interest

      Materials

      • Sticky notes
      • Walls

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • Other PPM stakeholders

      Prioritize your stakeholders for project intake, approval, and prioritization process

      There are three dimensions for stakeholder prioritization: influence, interest, and support.

      1. Map your stakeholders in a 2D stakeholder power map (top right) according to their relative influence and interest.
      2. Rate their level of support by asking the following question: how likely is it that your stakeholder would welcome an improved process for project intake?

      These parameters will inform how to prioritize your stakeholders according to the stakeholder priority heatmap (bottom right). This priority should inform how to focus your attention during the subsequent optimization efforts.

      A flowchart is shown to show the relationship between influence and interest.

      Level of Support
      Stakeholder Category Supporter Evangelist Neutral Blocker
      Engage Critical High High Critical
      High Medium Low Low Medium
      Low High Medium Medium High
      Passive Low Irrelevant Irrelevant Low

      Info-Tech Insight

      There may be too many stakeholders to be able to achieve complete satisfaction. Focus your attention on the stakeholders that matter the most.

      Most organizations have low to medium capabilities around intake, approval, and prioritization

      1.2.4 Estimated Time: 15 minutes

      Use Info-Tech’s Intake Capability Framework to help define your current and target states for intake, approval, and prioritization.

      Capability Level Capability Level Description
      Capability Level 5: Optimized Our department has effective intake processes with right-sized administrative overhead. Work is continuously prioritized to keep up with emerging challenges and opportunities.
      Capability Level 4: Aligned Our department has very strong intake processes. Project approvals are based on business cases and aligned with future resource capacity.
      Capability Level 3: Engaged Our department has processes in place to track project requests and follow up on them. Priorities are periodically re-evaluated, based largely on the best judgment of one or several executives.
      Capability Level 2: Defined Our department has some processes in place but no capacity to say no to new projects. There is a formal backlog, but little or no method for grooming it.
      Capability Level 1: Unmanaged Our department has no formal intake processes in place. Most work is done reactively, with little ability to prioritize proactive project work.

      Refer to the subsequent slides for more detail on these capability levels.

      Level 1: Unmanaged

      Use these descriptions to place your organization at the appropriate level of intake capability.

      Intake Projects are requested through personal conversations and emails, with minimal documentation and oversight.
      Approval Projects are approved by default and rarely (if ever) declined. There is no definitive list of projects in the pipeline or backlog.
      Prioritization Most work is done reactively, with little ability to prioritize proactive project work.

      Symptoms

      • Poorly defined – or a complete absence of – PPM processes.
      • No formal approval committee.
      • No processes in place to balance proactive and reactive demands.

      Long Term

      PMOs at this level should work to have all requests funneled through a proper request form within six months. Decision rights for approval should be defined, and a scorecard should be in place within the year.

      Quick Win

      To get a handle on your backlog, start tracking all project requests using the “Project Data” tab in Info-Tech’s Project Intake and Prioritization Tool.

      Level 2: Defined

      Use these descriptions to place your organization at the appropriate level of intake capability.

      Intake Requests are formally documented in a request form before they’re assigned, elaborated, and executed as projects.
      Approval Projects are approved by default and rarely (if ever) declined. There is a formal backlog, but little or no method for grooming it.
      Prioritization There is a list of priorities but no process for updating it more than annually or quarterly.

      Symptoms

      • Organization does not have clear concept of project capacity.
      • There is a lack of discipline enforced on stakeholders.
      • Immature PPM processes in general.

      Long Term

      PMOs at this level should strive for greater visibility into the portfolio to help make the case for declining (or at least deferring) requests. Within the year, have a formal PPM strategy up and running.

      Quick Win

      Something PMOs at this level can accomplish quickly without any formal approval is to spend more time with stakeholders during the ideation phase to better define scope and requirements.

      Level 3: Engaged

      Use these descriptions to place your organization at the appropriate level of intake capability.

      Intake Processes and skills are in place to follow up on requests to clarify project scope before going forward with approval and prioritization.
      Approval Projects are occasionally declined based on exceptionally low feasibility or value.
      Prioritization Priorities are periodically re-evaluated based largely on the best judgment of one or several executives.

      Challenges

      • Senior executives’ “best judgement” is frequently fallible or influenced. Pet projects still enter the portfolio and deplete resources.
      • While approval processes “occasionally” filter out some low-value projects, many still get approved.

      Long Term

      PMOs at this level should advocate for a more formal cadence for prioritization and, within the year, establish a formal steering committee that will be responsible for prioritizing and re-prioritizing quarterly or monthly.

      Quick Win

      At the PMO level, employ Info-Tech’s Project Intake and Prioritization Tool to start re-evaluating projects in the backlog. Make this data available to senior executives when prioritization occurs.

      Level 4: Aligned

      Use these descriptions to place your organization at the appropriate level of intake capability.

      Intake Occurs through a centralized process. Processes and skills are in place for follow-up.
      Approval Project approvals are based on business cases and aligned with future resource capacity.
      Prioritization Project prioritization is visibly aligned with business goals.

      Challenges

      • The process of developing business cases can be too cumbersome, distracting resources from actual project work.
      • “Future” resource capacity predictions are unreliable. Reactive support work and other factors frequently change actual resource availability.

      Long Term

      PMOs at this level can strive for more accurate and frequent resource forecasting, establishing a more accurate picture of project vs. non-project work within the year.

      Quick Win

      PMOs at this level can start using Info-Tech’s Business Case Template (Comprehensive or Fast Track) to help simplify the business case process.

      Level 5: Optimizing

      Use these descriptions to place your organization at the appropriate level of intake capability.

      Intake Occurs through a centralized portal. Processes and skills are in place for thorough follow-up.
      Approval Project approvals are based on business cases and aligned with future resource capacity.
      Prioritization Work is continuously prioritized to keep up with emerging challenges and opportunities.

      Challenges

      • Establishing a reliable forecast for resource capacity remains a concern at this level as well.
      • Organizations at this level may experience an increasing clash between Agile practices and traditional Waterfall methodologies.

      A screenshot of Info-Tech's Manage an Agile Portfolio Blueprint

      PMOs at this level should look at Info-Tech’s Manage an Agile Portfolio for comprehensive tools and guidance on maintaining greater visibility at the portfolio level into work in progress and committed work.

      Establish your current and target states for process intake, approval, and prioritization

      1.2.5 Estimated Time: 20 minutes

      • Having reviewed the intake capability framework, you should be able to quickly identify where you currently reside in the model. Document this in the “Current State” box below.
      • Next, spend some time as a group discussing your target state. Make sure to set a realistic target as well as a realistic timeframe for meeting this target. Level 1s will not be able to become Level 5s overnight and certainly not without passing through the other levels on the way.
        • A realistic goal for a Level 1 to become a Level 2 is within six to eight months.
      Current State:
      Target State:
      Timeline for meeting target

      INPUT

      • Intake, approval, and prioritization capability framework (Activity 1.2.4)

      OUTPUT

      • Current and target state, with stated time goals

      Materials

      • Whiteboard

      Participants

      • CIO
      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Align your intake success with the strategic expectations of overall project portfolio management

      A successful project intake, approval, and prioritization process puts your leadership in a position to best steer the portfolio, like a conductor of an orchestra.

      To frame the discussion on deciding what intake success will look like, review Info-Tech’s PPM strategic expectations:

      • Project Throughput: Maximize throughput of the best projects.
      • Portfolio Visibility: Ensure visibility of current and pending projects.
      • Portfolio Responsiveness: Make the portfolio responsive to executive steering when new projects and changing priorities need rapid action.
      • Resource Utilization: Minimize resource waste and optimize the alignment of skills to assignments.
      • Benefits Realization: Clarify accountability for post-project benefits attainment for each project, and facilitate the process of tracking/reporting those benefits.
      A screenshot of Info-Tech's Develop a Project Portfolio Management Strategy blueprint.

      For a more detailed discussion and insight on PPM strategic expectations see Info-Tech’s blueprint, Develop a Project Portfolio Management Strategy.

      Decide what successful project intake, approval, prioritization process will look like

      1.2.6 Estimated Time: 60 minutes

      While assessing your current state, it is important to discuss and determine as a team how success will be defined.

      • During this process, it is important to consider tentative timelines for success milestones and to ask the question: what will success look like and when should it occur by?
      • Use the below table to help document success factors and timeliness. Follow the lead of our example in row 1.
      Optimization Benefit Objective Timeline Success Factor
      Facilitate project intake, prioritization, and communication with stakeholders to maximize time spent on the most valuable or critical projects. Look at pipeline as part of project intake approach and adjust priorities as required. July 1st Consistently updated portfolio data. Dashboards to show back capacity to customers. SharePoint development resources.

      Review and customize section 1.5, “Process Success Criteria” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      Info-Tech Insight

      Establish realistic short-term goals. Even with optimized intake procedures, you may not be able to eliminate underground project economies immediately. Make your initial goals realistic, leaving room for those walk-up requests that may still appear via informal channels.

      Prepare to optimize project intake and capture the results in the Intake, Approval, and Prioritization SOP

      Standard Operating Procedure (SOP) is the reference document to get all PPM stakeholders on the same page with the new optimized process.

      The current state explored and documented in this step will serve as a starting point for each step of the next phase of the blueprint. The next phase will take a deeper dive into each of the three components of Info-Tech’s project intake methodology, so that they can achieve the success criteria you’ve defined in the previous activity.

      Info-Tech’s Project Intake, Approval, and Prioritization SOP Template is intended to capture the outcome of your process optimization efforts. This blueprint guides you through numerous activities designed for your core project portfolio management team to customize each section.

      To maximize the chances of success, it is important that the team makes a concerted effort to participate. Schedule a series of working sessions over the course of several weeks for your team to work through it – or get through it in one week, with onsite Info-Tech analyst-facilitated workshops.

      Download Info-Tech’s Project Intake, Approval, and Prioritization SOP.

      A screenshot of Info-Tech's Project Intake, Approval, and Prioritization SOP.

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Case study: PMO develops mature intake and prioritization processes by slowly evolving its capability level

      CASE STUDY

      Industry: Not-for-Profit

      Source: Info-Tech Interview

      Challenge

      • A PMO for a large not-for-profit benefits provider had relatively high project management maturity, but the enterprise had low PPM maturity.
      • There were strong intake processes in place for following up on requests. For small projects, project managers would assist as liaisons to help control scope. For corporate initiates, PMs were assigned to work with a sponsor to define scope and write a charter.

      Solution

      Prioritization was a challenge. Initially, the organization had ad hoc prioritization practices, but they had developed a scoring criteria to give more formality and direction to the portfolio. However, the activity of formally prioritizing proved to be too time consuming.

      Off-the-grid projects were a common problem, with initiatives consuming resources with no portfolio oversight.

      Results

      After trying “heavy” prioritization, the PMO loosened up the process. PMO staff now go through and quickly rank projects, with two senior managers making the final decisions. They re-prioritize quarterly to have discussions around resource availability and to make sure stakeholders are in tune to what IT is doing on a daily basis. IT has a monthly meeting to go over projects consuming resources and to catch anything that has fallen between the cracks.

      "Everything isn't a number one, which is what we were dealing with initially. We went through a formal prioritization period, where we painstakingly scored everything. Now we have evolved: a couple of senior managers have stepped up to make decisions, which was a natural evolution from us being able to assign a formal ranking. Now we are able to prioritize more easily and effectively without having to painstakingly score everything."

      – PMO Director, Benefits Provider

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      A photo of an Info-Tech analyst is shown.
      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      1.1.1-2

      A screenshot of activities 1.1.1 and 1.1.2 are shown.

      Pilot Info-Tech’s Project Value Scorecard-driven prioritization method

      Use Info-Tech’s example to prioritize your current project backlog to pilot a project value-driven prioritization, which will be used to guide the entire optimization process.

      1.2.1-3

      A screenshot of activities 1.2.1 and 1.2.3 are shown.

      Map out and document current project intake, approval, and prioritization process, and the involved key stakeholders

      A table-top planning exercise helps you visualize the current process in place and identify opportunities for optimization.

      Phase 2

      Build an Optimized Project Intake, Approval, and Prioritization Process

      Phase 2 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Build an Optimized Project Intake, Approval, and Prioritization Process Proposed Time to Completion: 3-6 weeks

      Step 2.1: Streamline Intake

      Start with an analyst kick-off call:

      • Challenges of project intake
      • Opportunities for improving the management of stakeholder expectations by optimizing intake

      Then complete these activities…

      • Perform a process retrospective
      • Optimize your process to receive, triage, and follow up on project requests

      With these tools & templates:

      • Project Request Form.
      • Project Intake Classification Matrix

      Step 2.2: Right-Size Approval

      Start with an analyst call:

      • Challenges of project approval
      • Opportunities for improving strategic alignment of the project portfolio by optimizing project approval

      Then complete these activities…

      • Perform a process retrospective
      • Clarify accountability at each step
      • Decide on deliverables to support decision makers at each step

      With these tools & templates:

      • Benefits Commitment Form
      • Technology Assessment Tool
      • Business Case Templates

      Step 3.3: Prioritize Realistically

      Start with an analyst call:

      • Challenges in project prioritization
    • Opportunities for installing a resource capacity-constrained intake by optimizing prioritization
    • Then complete these activities…

      • Perform a process retrospective
      • Pilot the Intake and Prioritization Tool for prioritization within estimated resource capacity

      With these tools & templates:

      • Project Intake and Prioritization Tool

      Phase 2 Results & Insights:

      • Info-Tech’s methodology systemically fits the project portfolio into its triple constraint of stakeholder needs, strategic objectives, and resource capacity, to effectively address the challenges of establishing organizational discipline for project intake.

      Step 2.1: Streamline intake to manage stakeholder expectations

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Perform a deeper retrospective on current project intake process
      • Optimize your process to receive project requests
      • Revisit the definition of a project for triaging requests
      • Optimize your process to triage project requests
      • Optimize your process to follow up on project requests

      This step involves the following participants:

      • PMO Director / Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Administrative Staff

      Outcomes of this Step

      • Retrospective of the current project intake process: to continue doing, to start doing, and to stop doing
      • A streamlined, single-funnel intake channel with the right procedural friction to receive project requests
      • A refined definition of what constitutes a project, and project levels that will determine the necessary standard of rigor with which project requests should be scoped and developed into a proposal throughout the process
      • An optimized process for triaging and following up on project requests to prepare them for the steps of project approval
      • Documentation of the optimized process in the SOP document

      Understand the risks of poor intake practices

      Too much red tape could result in your portfolio falling victim to underground economies. Too little intake formality could lead to the Wild West.

      Off-the-grid projects, i.e. projects that circumvent formal intake processes, lead to underground economies that can deplete resource capacity and hijack your portfolio.

      These underground economies are typically the result of too much intake red tape. When the request process is made too complex or cumbersome, project sponsors may unsurprisingly seek alternative means to get their projects done.

      While the most obvious line of defence against the appearance of underground economies is an easy-to-use and access request form, one must be cautious. Too little intake formality could lead to a Wild West of project intake where everyone gets their initiatives approved regardless of their business merit and feasibility.

      Benefits of optimized intake Risks of poor intake
      Alignment of portfolio with business goals Portfolio overrun by off-the-grid projects
      Resources assigned to high-value projects Resources assigned to low-value projects
      Better throughput of projects in the portfolio Ever-growing project backlog
      Strong stakeholder relations Stakeholders lose faith in value of PMO

      Info-Tech Insight

      Intake is intimately bound to stakeholder management. Finding the right balance of friction for your team is the key to successfully walking the line between asking for too much and not asking for enough. If your intake process is strong, stakeholders will no longer have any reason to circumvent formal process.

      An excess number of intake channels is the telltale sign of a low capability level for intake

      Excess intake channels are also a symptom of a portfolio in turmoil.

      If you relate to the graphic below in any way, your first priority needs to be limiting the means by which projects get requested. A single, centralized channel with review and approval done in batches is the goal. Otherwise, with IT’s limited capacity, most requests will simply get added to the backlog.

      A graphic is shown to demonstrate how one may receive project requests. The following icons are in a circle: Phone, Intranet Request Form, In person, anywhere, anytime, SharePoint Request Form, Weekly Scrum, Document, and Email.

      Info-Tech Insight

      The PMO needs to have the authority – and needs to exercise the authority – to enforce discipline on stakeholders. Organizations that solicit in verbal requests (by phone, in person, or during scrum) lack the orderliness required for PPM success. In these cases, it needs to be the mission of the PMO to demand proper documentation and accountability from stakeholders before proceeding with requests.

      "The golden rule for the project documentation is that if anything during the project life cycle is not documented, it is the same as if it does not exist or never happened…since management or clients will never remember their undocumented requests or their consent to do something."

      – Dan Epstein, “Project Initiation Process: Part Two”

      Develop an intake workflow

      Info-Tech recommends following a four-step process for managing intake.

      1. Requestor fills out form and submits the request.

      Project Request Form Templates

      2. Requests are triaged into the proper queue.

      1. Divert non-project request
      2. Quickly assess value and urgency
      3. Assign specialist to follow up on request
      4. Inform the requestor

      Project Intake Classification Matrix

      3. BA or PM prepares to develop requests into a project proposal.

      1. Follow up with requestor and SMEs to refine project scope, benefits, and risks
      2. Estimate size of project and determine the required level of detail for proposal
      3. Prepare for concept approval

      Benefits Commitment Form Template

      4. Requestor is given realistic expectations for approval process.

      Perform a start-stop-continue exercise to help determine what is working and what is not working

      2.1.1 Estimated Time: 45 minutes

      Optimizing project intake may not require a complete overhaul of your existing processes. You may only need to tweak certain templates or policies. Perhaps you started out with a strong process and simply lost resolve over time – in which case you will need to focus on establishing motivation and discipline, rather than rework your entire process.

      Perform a start-stop-continue exercise with your team to help determine what should be salvaged, what should be abandoned, and what should be introduced:

      1. On a whiteboard or equivalent, write “Start,” “Stop,” and “Continue” in three separate columns. 3. As a group, discuss the responses and come to an agreement as to which are most valid.
      2. Equip your team with sticky notes or markers and have them populate the columns with ideas and suggestions surrounding your current processes. 4. Document the responses to help structure your game plan for intake optimization.
      Start Stop Continue
      • Explicitly manage follow-up expectations with project requestor
      • Receiving informal project requests
      • Take too long in proposal development
      • Quarterly approval meetings
      • Approve resources for proposal development

      INPUT

      • Current project intake workflow (Activity 1.2.2)
      • Project intake success criteria (Activity 1.2.6)

      OUTPUT

      • Retrospective review of current intake process

      Materials

      • Whiteboard
      • Sticky notes/markers

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Streamline project requests into a single funnel

      It is important to identify all of the ways through which projects currently get requested and initiated, especially if you have various streams of intake competing with each other for resources and a place in the portfolio. Directing multiple channels into a single, centralized funnel is step number one in optimizing intake.

      To help you identify project sources within your organization, we’ve broken project requests into three archetypes: the good, the bad, and the ugly.

      1. The Good – Proper Requests: written formal requests that come in through one appropriate channel.

      The Bad – Walk-Ups: requests that do not follow the appropriate intake channel(s), but nevertheless make an effort to get into the proper queue. The most common instance of this is a portfolio manager or CIO filling out the proper project request form on behalf of, and under direction from, a senior executive.

      The Ugly – Guerilla Tactics: initiatives that make their way into the portfolio through informal methods or that consume portfolio resources without formal approval, authority, or oversight. This typically involves a key resource getting ambushed to work on a stakeholder’s “side project” without any formal approval from, or knowledge of, the PMO.

      Funnel requests through a single portal to streamline intake

      Decide how you would funnel project requests on a single portal for submitting project requests. Determining the right portal for your organization will depend on your current infrastructure options, as well as your current and target state capability levels.

      Below are examples of a platform for your project request portal.

      Platform Template document, saved in a repository or shared drive Email-based form (Outlook forms) Intranet form (SharePoint, internal CMS) Dedicated intake solution (PPM tool, idea/innovation tool)
      Pros Can be deployed very easily Consolidates requests into a single receiver Users have one place to go from any device All-in-one solution that includes scoring and prioritization
      Cons Manual submission and intake process consumes extra effort Can pose problems in managing requests across multiple people and platforms Requires existing intranet infrastructure and some development effort Solution is costly; requires adoption across all lines of business

      Increasing intake capability and infrastructure availability

      Introduce the right amount of friction into your intake process

      The key to an effective intake process is determining the right amount of friction to include for your organization. In this context, friction comes from the level of granularity within your project request form and the demands or level of accountability your intake processes place on requestors. You will want to have more or less friction on your intake form, depending on your current intake pain points.

      If you are inundated with a high volume of requests:

      • Make your intake form more detailed to deter “half-baked” requests.
      • Have more managerial oversight into the process. Require approval for each request.

      If you want to encourage the use of a formal channel:

      • Make your intake form more concise and lightweight.
      • Have less managerial oversight into the process. Inform managers of each request rather than requiring approval.

      Download Info-Tech’s Detailed Project Request Form.

      Download Info-Tech’s Light Project Request Form.

      A screenshot of Info-Tech's Project Request Form is shown.

      Info-Tech Insight

      Optimizing a process should not automatically mean reducing friction. Blindly reducing friction could generate a tidal wave of poorly thought-out requests, which only drives up unrealistic expectations. Mitigate the risk of unrealistic stakeholder expectations by carefully managing the message: optimize friction.

      Document your process to receive project requests

      2.1.2 Estimated Time: 30-60 minutes

      Review and customize section 2.2, “Receive project requests” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of optimizing this process is to consolidate multiple intake channels into a single funnel with the right amount of friction to improve visibility and manageability of incoming project requests.

      The important decisions to document for this step include:

      1. What data will be collected, and from whom? For example, Info-Tech’s Light Project Request Form Template will be used to collect project requests from everyone.
      2. How will requests be collected, and from where? For example, the template will be available as a fillable form on a SharePoint site.
      3. Who will be informed of the requests? For example, the PMO Director and the BA team will be notified with a hyperlink to the completed request form.
      4. Who will handle exceptions? For example, PMO will maintain this process and will handle any questions or issues that pertain to this part of the process.

      INPUT

      • Retrospective of current process (Activity 2.1.1)

      OUTPUT

      • Customized Project Request Form
      • Method of implementation

      Materials

      • Project Request Form Templates

      Participants

      • PMO Director/ Portfolio Manager
      • Business Analysts

      Info-Tech Best Practice

      Whatever method of request collection you choose, ensure there is no doubt about how requesters can access the intake form.

      Establish a triage process to improve portfolio success

      Once a request has been submitted, it will need to be triaged. Triage begins as soon as the request is received. The end goal of the triage process is to set appropriate expectations for stakeholders and to ensure that all requests going forward for approval are valid requests.

      PPM Triage Process

      1. Divert non-project requests by validating that what is described on the request form qualifies as a “project.” Make sure requests are in the appropriate queue – for example, service desk request queue, change and release management queue, etc.
      2. Quickly assess value and urgency to determine whether the request requires fast-tracking or any other special consideration.
      3. Assign a specialist to follow up on the request. Match the request to the most suitable BA, PM, or equivalent. This person will become the Request Liaison (“RL”) for the request and will work with the requestor to define preliminary requirements.
      4. Inform the requestor that the request has been received and provide clear direction on what will happen with the request next, such as who will follow up on it and when. See the next slide for some examples of this follow-up.

      The PMO Triage Team

      • Portfolio Manager, or equivalent
      • Request Liaisons (business analysts, project managers, or equivalent)

      “Request Liaison” Role

      The BAs and PMs who follow up on requests play an especially important role in the triage process. They serve as the main point of contact to the requestor as the request evolves into a business case. In this capacity they perform a valuable stakeholder management function, helping to increase confidence and enhance trust in IT.

      To properly triage project requests, define exactly what a project is

      Bring color to the grey area that can exist in IT between those initiatives that fall somewhere in between “clearly a service ticket” and “clearly a project.”

      What constitutes a project?

      Another way of asking this question that gets more to the point for this blueprint – for what types of initiatives is project intake, approval, and prioritization rigor required?

      This is especially true in IT where, for some smaller initiatives, there can be uncertainty in many organizations during the intake and initiation phase about what should be included on the formal project list and what should go to help desk’s queue.

      As the definitions in the table below show, formal project management frameworks each have similar definitions of “a project.”

      Source Definition
      PMI A temporary endeavor undertaken to create a unique product, service, or result.” (553)
      COBIT A structured set of activities concerned with delivering a defined capability (that is necessary but not sufficient to achieve a required business outcome) to the enterprise based on an agreed‐on schedule and budget.” (74)
      PRINCE2 A temporary organization that is created for the purpose of delivering one or more business products according to an agreed business case.

      For each, a project is a temporary endeavor planned around producing a specific organizational/business outcome. The challenge of those small initiatives in IT is knowing when those endeavors require a business case, formal resource tracking, and project management rigor, and when they don’t.

      Separating small projects from non-projects requires a consideration of approval rights

      While conventional wisdom says to base your project definition on an estimation of cost, risk, etc., you also need to ask, “does this initiative require formal approval?”

      In the next step, we will define a suggested minimum threshold for a small “level 1” project. While these level thresholds are good and necessary for a number of reasons – including triaging your project requests – you may still often need to exercise some critical judgment in separating the tickets from the projects. In addition to the level criteria that we will develop in this step, use the checklist below to help with your differentiating.

      Service Desk Ticket Small Project
      • Approval seems implicit given the scope of the task.
      • No expectations of needing to report on status.
      • No indications that management will require visibility during execution.
      • The scope of the task suggests formal approval may be required.
      • You may have to report on status.
      • Possibility that management may require visibility during execution.

      Info-Tech Insight

      Guard the value of the portfolio. Because tickets carry with them an implicit approval, you need to be wary at the portfolio level of those that might possess a larger scope than their status of ticket implies. Sponsors that, for whatever reason, resist the formal intake process may use the ticketing process to sneak projects in through the backdoor. When assessing tickets and small projects at the portfolio level, you need to ask: is it possible that someone at an executive level might want to get updates on this because of its duration, scope, risk, cost, etc.? Could someone at the management level get upset that the initiative came in as a ticket and is burning up time and driving costs without any visibility?

      Sample Project/Non-Project Separation Criteria

      Non-Project Small Project
      e.g. Time required e.g. < 40 hours e.g. 40 > hours
      e.g. Complexity e.g. Very low e.g. Moderate – Low Difficulty: Does not require highly developed or specialized skill sets
      e.g. Collaboration e.g. None required e.g. Limited coordination and collaboration between resources and departments
      e.g. Repeatability of work e.g. Fully repeatable e.g. Less predictable
      e.g. Frequency of request type e.g. Hourly to daily e.g. Weekly to monthly

      "If you worked for the help desk, over time you would begin to master your job since there is a certain rhythm and pattern to the work…On the other hand, projects are unique. This characteristic makes them hard to estimate and hard to manage. Even if the project is similar to one you have done before, new events and circumstances will occur. Each project typically holds its own challenges and opportunities"

      – Jeffrey and Thomas Mochal

      Define the minimum-threshold criteria for small projects

      2.1.3 Estimated Time: 30 minutes

      Follow the steps below to define the specifics of a “level 1” project for your organization.

      1. Using your project list and/or ticketing system, identify a handful of small projects, large service desk tickets, and especially those items that fall somewhere in the grey area in between (anywhere between 10 to 20 of each). Then, determine the organizationally appropriate considerations for defining your project levels. Options include:
      • Duration
      • Budget/Cost
      • Technology requirements
      • Customer involvement
      • Integration
      • Organizational impact
      • Complexity
      • Number of cross-functional workgroups and teams involved
    • Using the list of projects established in the previous step, determine the organizationally appropriate considerations for defining your project levels –anywhere from four to six considerations is a good number.
    • Using these criteria and your list of small projects, define the minimum threshold for your level one projects across each of these categories. Record these thresholds in the table on the next slide.
    • INPUT

      • Data concerning small projects and service desk tickets, including size, duration, etc.

      OUTPUT

      • Clarity around how to define your level 1 projects

      Materials

      • Whiteboard

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Remove room for stakeholder doubt and confusion by informing requests forward in a timely manner

      During triaging, requestors should be notified as quickly as possible (a) that their request has been received and (b) what to expect next for the request. Make this forum as productive and informative as possible, providing clear direction and structure for the future of the request. Be sure to include the following:

      • A request ID or ticket number.
      • Some direction on who will be following up on the request –provide an individual’s name when possible.
      • An estimated timeframe of when they can expect to hear from the individual following up.

      The logistic of this follow-up will depend on a number of different factors.

      • The number of requests you receive.
      • Your ability to automate the responses.
      • The amount of detail you would like to, or need to, provide stakeholders with.

      Info-Tech Best Practice

      Assign an official request number or project ID to all requests during this initial response. An official request number anchors the request to a specific and traceable dataset that will accompany the project throughout its lifecycle.

      Sample “request received” emails

      If you receive a high volume of requests or need a quick win for improving stakeholder relations:

      Sample #1: Less detailed, automatic response

      Hello Emma,

      Thank you. Your project request has been received. Requests are reviewed and assigned every Monday. A business analyst will follow up with you in the next 5-10 business days. Should you have any questions in the meantime, please reply to this email.

      Best regards,

      Information Technology Services

      If stakeholder management is a priority, and you want to emphasize the customer-facing focus:

      Sample #2: More detailed, tailored response

      Hi Darren,

      Your project request has been received and reviewed. Your project ID number is #556. Business analyst Alpertti Attar has been assigned to follow up on your request. You can expect to hear from him in the next 5-10 business days to set up a meeting for preliminary requirements gathering.

      If you have any questions in the meantime, please contact Alpertti at aattar@projectco.com. Please include the Project ID provided in this email in all future correspondences regarding this request.

      Thank you for your request. We look forward to helping you bring this initiative to fruition.

      Sincerely,

      Jim Fraser

      PMO Director, Information Technology Services

      Info-Tech Insight

      A simple request response will go a long way in terms of stakeholder management. It will not only help assure stakeholders that their requests are in progress but the request confirmation will also help to set expectations and take some of the mystery out of IT’s processes.

      Document your process to triage project requests

      2.1.4 Estimated Time: 30-60 minutes

      Review and customize section 2.3, “Triage project requests” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of optimizing this process is to divert non-project requests and set an appropriate initial set of stakeholder expectations for next steps. The important decisions to document for this step include:

      1. What defines a project? Record the outcomes of Activities 2.1.3 into the SOP.
      2. Who triages the requests and assign request liaisons? Who are they? For example, a lead BA can assign a set roster of BAs to project requests.
      3. What are the steps to follow for sending the initial response? See the previous slides on automated responses vs. detailed, tailored responses.
      4. How will you account for the consumption of resource capacity? For example, impose a maximum of four hours per week per analyst, and track the hours worked for each request to establish a pattern for capacity consumption.
      5. Who will handle exceptions? For example, PMO will maintain this process and will handle any questions or issues that pertain to this part of the process.

      INPUT

      • Results of activity 2.1.3

      OUTPUT

      • SOP for triaging project requests

      Materials

      • SOP Template

      Participants

      • PMO Director/ Portfolio Manager
      • Business Analysts

      Info-Tech Best Practice

      Whatever method of request collection you choose, ensure there is no doubt about how requesters can access the intake form.

      Follow up on requests to define project scope and set realistic expectations

      The purpose of this follow-up is to foster communication among the requestor, IT, and the sponsor to scope the project at a high level. The follow-up should:

      • Clarify the goals and value of the request.
      • Begin to manage expectations based on initial assessment of feasibility.
      • Ensure the right information is available for evaluating project proposals downstream. Every project should have the below key pieces of scope defined before any further commitments are made.

      Focus on Defining Key Pieces of Scope

      • Budget (funding, source)
      • Business outcome
      • Completion criteria
      • Timeframes (start date and duration)
      • Milestones/deliverables

      Structure the Follow-Up Process to Enhance Alignment Between IT and the Business

      Once a Request Liaison (RL) has been assigned to a request, it is their responsibility to schedule time (if necessary) with the requestor to perform a scoping exercise that will help define preliminary requirements. Ideally, this follow-up should occur no later than a week of the initial request.

      Structure the follow-up for each request based on your preliminary estimates of project size (next slide). Use the “Key Pieces of Scope” to the left as a guide.

      It may also be helpful for RLs and stakeholders to work together to produce a rough diagram or mock-up of the final deliverable. This will ensure that the stakeholder’s idea has been properly communicated, and it could also help refine or broaden this idea based on IT’s capabilities.

      After the scoping exercise, it is the RL’s responsibility to inform the requestor of next steps.

      Info-Tech Insight

      More time spent with stakeholders defining high-level requirements during the ideation phase is key to project success. It will not only improve the throughput of projects, but it will enhance the transparency of IT’s capacity and enable IT to more effectively support business processes.

      Perform a preliminary estimation of project size

      Project estimation is a common pain point felt by many organizations. At this stage, a range-of-magnitude (ROM) estimate is sufficient for the purposes of sizing the effort required for developing project proposals with appropriate detail.

      A way to structure ROM estimates is to define a set of standard project levels. It will help you estimate 80% of projects with sufficient accuracy over time with little effort. The remaining 20% of projects that don’t meet their standard target dates can be managed as exceptions.

      The increased consistency of most projects will enable you to focus more on managing the exceptions.

      Example of standard project sizes:

      Level Primary unit of estimation Target completion date*
      1 Weeks 3 weeks – 3 months
      2 Months 3 months – 6 months
      3 Quarters 2 – 4 quarters
      3+ Years 1 year or more

      * Target completion date is simply that – a target, not a service level agreement (SLA). Some exceptions will far exceed the target date, e.g. projects that depend heavily on external or uncontrollable factors.

      Info-Tech Best Practice

      Project levelling is useful for right-sizing many downstream processes; it sets appropriate levels of detail and scrutiny expected for project approval and prioritization steps, as well as the appropriate extent of requirements gathering, project management, and reporting requirements afterwards.

      Set your thresholds for level 2 and level 3 projects

      2.1.5 Estimated Time: 30 minutes

      Now that the minimum threshold for your smallest projects has been identified, it’s time to identify the maximum threshold in order to better apply project intake, approval, and prioritization rigor where it’s needed.

      1. Looking at your project list (e.g. Activity 1.1.1, or your current project backlog), isolate the medium and large projects. Examine the two categories in turn.
      2. Start with the medium projects. Using the criteria identified in Activity 2.1.3, identify where your level one category ends.
      • What are the commonly recurring thresholds that distinguish medium-sized projects from smaller initiatives?
      • Are there any criteria that would need to take on a greater importance when making the distinction? For instance, will cost or duration take on a greater weighting when determining level thresholds?
      • Once you have reached consensus, record these in the table on the next slide.
    • Now examine your largest projects. Once again relying on the criteria from Activity 2.1.3, determine where your medium-sized projects end and your large projects begin.
      • What are the commonly recurring thresholds that distinguish large and extra-large projects from medium-sized initiatives?
      • Once you have reached consensus, records these in the table on the next slide.

      INPUT

      • Leveling criteria from Activity 2.1.3
      • Project backlog, or list of projects from Activity 1.1.1

      OUTPUT

      • Clarity around how to define your level two and three projects

      Materials

      • Whiteboard
      • The project level table on the next slide

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Sample Project Levels Table

      Project Level Level 1 Level 2 Level 3
      Work Effort 40-100 hours 100-500 hours 500+ hours
      Budget $100,000 and under $100,000 to $500,000 $500,000 and over
      Technology In-house expertise Familiar New or requires system-wide change/training
      Complexity Well-defined solution; no problems expected Solution is known; some problems expected Solution is unknown or not clearly defined
      Cross-Functional Workgroups/Teams 1-2 3-5 > 6

      Apply a computation decision-making method for project levelling

      2.1.5 Project Intake Classification Matrix

      Capture the project levels in Info-Tech’s Project Intake Classification Matrix Tool to benchmark your levelling criteria and to determine project levels for proposed projects.

      Download Info-Tech’s Project Intake Classification Matrix tool.

      A screenshot of Info-Tech's Project Intake Classification Matrix Tool, tab 2 is shown.
      1. Pick a category to define project levels.
      2. Enter the descriptions for each project level.
      3. Assign a relative weight for each category.
      4. A screenshot of Info-Tech's Project Intake Classification Matrix Tool, tab 3 is shown.
      5. Enter a project name.
      6. Choose the description that best fits the project. If unknown, leave it blank.
      7. Suggested project levels are displayed.

      Get tentative buy-in and support from an executive sponsor for project requests

      In most organizations a project requires sponsorship from the executive layer, especially for strategic initiatives. The executive sponsor provides several vital factors for projects:

      • Funding and resources
      • Direct support and oversight of the project leadership
      • Accountability, acting as the ultimate decision maker for the project
      • Ownership of, and commitment to, project benefits

      Sometimes a project request may be made directly by a sponsor; in other times, the Request Liaison may need to connect the project request to a project sponsor.

      In either case, project request has a tentative buy-in and support of an executive sponsor before a project request is developed into a proposal and examined for approval – the subject of this blueprint’s next step.

      PMs and Sponsors: The Disconnect

      A study in project sponsorship revealed a large gap between the perception of the project managers and the perception of sponsors relative to the sponsor capability. The widest gaps appear in the areas of:

      • Motivation: 34% of PMs say sponsors frequently motivate the team, compared to 82% of executive sponsors who say they do so.
      • Active listening: 42% of PMs say that sponsors frequently listen actively, compared to 88% of executive sponsors who say they do so.
      • Effective communication: 47% of PMs say sponsors communicate effectively and frequently, compared to 92% of executive sponsors who say they do so.
      • Managing change: 37% of PMs say sponsors manage change, compared to 82% of executive sponsors who say they do so.

      Source: Boston Consulting Group/PMI, 2014

      Actively engaged executive sponsors continue to be the top driver of whether projects meet their original goals and business intent.

      – PMI Pulse of the Profession, 2017

      76% of respondents [organizations] agree that the role of the executive sponsor has grown in importance over the past five years.

      – Boston Consulting Group/PMI, 2014

      Document your process to follow up on project requests

      2.1.6 45 minutes

      Review and customize section 2.4, “Follow up on project requests” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of optimizing this process is to initiate communication among the requestor, IT, and the sponsor to scope the project requests at a high level. The important decisions to document for this step include:

      1. How will you perform a scoping exercise with the requestor? Leverage existing organizational processes (e.g. high-level requirements gathering). Look to the previous slides for suggested outcomes of the exercise.
      2. How will you determine project levels? Record the outcomes of activities 2.1.5 into the SOP.
      3. How will the RL follow up on the scoped project request with a project sponsor? For example, project requests scoped at a high level will be presented to senior leadership whose lines of business are affected by the proposed project to gauge their initial interest.
      4. How will you account for the consumption of resource capacity? For example, impose a maximum of 8 hours per week per analyst, and track the hours worked for each request to establish a pattern for capacity consumption.
      5. Who will handle exceptions? For example, PMO will maintain this process and will handle any questions or issues that pertain to this part of the process.

      INPUT

      • Activity 2.1.5
      • Existing processes for scoping exercises

      OUTPUT

      • SOP for following up on project requests

      Materials

      • SOP Template

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Examine the new project intake workflow as a whole and document it in a flow chart

      2.1.7 Estimated Time: 30-60 minutes

      Review and customize section 2.1, “Project Intake Workflow” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      In Step 1.2 of the blueprint, you mapped out the current project intake, approval, and prioritization workflow and documented it in a flow chart. In this step, take the time to examine the new project intake process as a whole, and document the new workflow in the form of a flow chart.

      1. Requestor fills out form and submits the request.
      2. Requests are triaged into the proper queue.
      3. BA or PM prepares to develop requests into a project proposal.
      4. Requestor is given realistic expectations for approval process.

      Consider the following points:

      1. Are the inputs and outputs of each step clear? Who’s doing the work? How long will each step take, on average?
      2. Is the ownership of each step clear? How will we ensure a smooth handoff between each step and prevent requests from falling through the cracks?

      INPUT

      • New process steps for project intake (Activities 2.1.2-6)

      OUTPUT

      • Flowchart representation of new project intake workflow

      Materials

      • Microsoft Visio, flowchart software, or Microsoft PowerPoint

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Case study: Portfolio manager achieves intake and project success through detailed request follow-up

      Case Study

      Industry: Municipal Government

      Source: Info-Tech Client

      Challenge

      • There is an IT department with a relatively high level of project management maturity.
      • They have approximately 30 projects on the go, ranging from small to large.
      • To help with intake, IT assembled a project initiation team. It was made up of managers from throughout the county. This group “owned the talent” and met once a month to assess requests. As a group, they were able to assemble project teams quickly.

      Solution

      • Project initiation processes kept failing. A lot of time was spent within IT getting estimations precise, only to have sponsors reject business cases because they did not align with what those sponsors had in mind.
      • Off-the-grid projects were a challenge. Directors did not follow intake process and IT talent was torn in multiple directions. There was nothing in place for protecting the talent and enforcing processes on stakeholders.

      Results

      • IT dedicated a group of PMs and BAs to follow up on requests.
      • Working with stakeholders, this group collects specific pieces of information that allows IT to get to work on requests faster. Through this process, requests reach the charter stage more quickly and with greater success.
      • An intake ticketing system was established to protect IT talent. Workers are now better equipped to redirect stakeholders through to the proper channels.

      Step 2.2: Set up steps of project approval to maximize strategic alignment while right-sizing the required effort

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Perform a deeper retrospective on current project approval process
      • Define the approval steps, their accountabilities, and the corresponding terminologies for approval
      • Right-size effort and documentation required for each project level through the approval steps

      This step involves the following participants:

      • PMO Director / Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Administrative Staff

      Outcomes of this step

      • Retrospective of the current project intake process: to continue doing, to start doing, and to stop doing
      • A series of approval steps are defined, in which their accountabilities, responsibilities, and the nomenclature for what is approved at each steps are clarified and documented
      • A toolbox of deliverables for proposed projects that captures key information developed to inform project approval decisions at each step of the approval process, and the organizational standard for what to use for which project level
      • Documentation of the optimized process in the SOP document

      Set up an incremental series of approval stage-gates to tackle common challenges in project approval

      This section will help you address key challenges IT leaders face around project approval.

      Challenges Info-Tech’s Advice
      Project sponsors receive funding from their business unit or other source (possibly external, such as a grant), and assume this means their project is “approved” without any regard to IT costs or resource constraints. Clearly define a series of approval steps, and communicate requirements for passing them.
      Business case documentation is rarely updated to reflect unforeseen costs, emerging opportunities, and changing priorities. As a result, time and money is spent finishing diminished priority projects while the value of more recent projects erodes in the backlog. Approve projects in smaller pieces, with early test/pilot phases focused on demonstrating the value of later phases.
      Project business cases often focus on implementation and overlook ongoing operating costs imposed on IT after the project is finished. These costs further diminish IT’s capacity for new projects, unless investment in more capacity (such as hiring) is included in business cases. Make ongoing support and maintenance costs a key element in business case templates and evaluations.
      Organizations approve new projects without regard to the availability of resource capacity (or lack thereof). Project lead times grow and stakeholders become more dissatisfied because IT is unable to show how the business is competing with itself for IT’s time. Increase visibility into what IT is already working on and committed to, and for whom.

      Develop a project approval workflow

      Clearly define a series of approval steps, and communicate requirements for passing them. “Approval” can be a dangerous word in project and portfolio management, so it is important to clarify what is required to pass each step, and how long the process will take.

      1 2 3 4
      Approval step Concept Approval Feasibility Approval Business Case Approval Resource Allocation (Prioritization)
      Alignment Focus Business need / Project sponsorship Technology Organization-wide business need Resource capacity
      Possible dispositions at each gate
      • Approve developing project proposal
      • Reject concept
      • Proceed to business case approval
      • Approve a test/pilot project for feasibility
      • Reject proposal
      • Approve project and funding in full
      • Approve a test/pilot project for viability
      • Reject proposal
      • Begin or continue project work
      • Hold project
      • Outsource project
      • Reject project
      Accountability e.g. Project Sponsor e.g. CIO e.g. Steering Committee e.g. CIO
      Deliverable Benefits Commitment Form Template Proposed Project Technology Assessment Tool Business Case (Fast Track, Comprehensive) Intake and Prioritization Tool

      Identify the decision-making paradigm at each step

      In general, there are three different, mutually exclusive decision-making paradigms for approving projects:

      Paradigm Description Benefits Challenges Recommendation
      Unilateral authority One individual makes decisions. Decisions tend to be made efficiently and unambiguously. Consistency of agenda is easier to preserve. Decisions are subject to one person’s biases and unseen areas. Decision maker should solicit and consider input from others and seek objective rigor.
      Ad hoc deliberation Stakeholders informally negotiate and communicate decisions between themselves. Deliberation helps ensure different perspectives are considered to counterbalance individual biases and unseen areas. Ad hoc decisions tend to lack documentation and objective rationale, which can perpetuate disagreement. Use where unilateral decisions are unfeasible (due to complexity, speed of change, culture, etc.), and stakeholders are very well aligned or highly skilled negotiators and communicators.
      Formal steering committee A select group that represent various parts of the organization is formally empowered to make decisions for the organization. Formal committees can ensure oversight into decisions, with levers available to help resolve uncertainty or disagreement. Formal committees introduce administrative overhead and effort that might not be warranted by the risks involved. Formal steering committees are best where formality is warranted by the risks and costs involved, and the organizational culture has an appetite for administrative oversight.

      Info-Tech Insight

      The individual or party who has the authority to make choices, and who is ultimately answerable for those decisions, is said to be accountable. Understanding the needs of the accountable party is critical to the success of the project approval process optimization efforts.

      Perform a start-stop-continue exercise to help determine what is working and what is not working

      2.2.1 Estimated Time: 45 minutes

      Optimizing project approval may not require a complete overhaul of your existing processes. You may only need to tweak certain templates or policies. Perhaps you started out with a strong process and simply lost resolve over time – in which case you will need to focus on establishing motivation and discipline, rather than rework your entire process.

      Perform a start-stop-continue exercise with your team to help determine what should be salvaged, what should be abandoned, and what should be introduced:

      1.On a whiteboard or equivalent, write “Start,” “Stop,” and “Continue” in three separate columns. 3.As a group, discuss the responses and come to an agreement as to which are most valid.
      2.Equip your team with sticky notes or markers and have them populate the columns with ideas and suggestions surrounding your current processes. 4.;Document the responses to help structure your game plan for intake optimization.
      StartStopContinue
      • Inject technical feasibility approval step as an input to final approval
      • Simplify business cases
      • Approve low-value projects
      • Take too long in proposal development
      • Quarterly approval meetings
      • Approve resources for proposal development

      INPUT

      • Current project approval workflow (Activity 1.2.2)
      • Project approval success criteria (Activity 1.2.6)

      OUTPUT

      • Retrospective review of current approval process

      Materials

      • Whiteboard
      • Sticky notes/markers

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Customize the approval steps and describe them at a high level

      2.2.2 Estimated Time: 30-60 minutes

      Review and customize section 3.2, “Project Approval Steps” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of this activity is to customize the definition of the approval steps for your organization, so that it makes sense for the existing organizational governance structure, culture, and need. Use the results of the start-stop-continue to inform what to customize. Consider the following factors:

      1. Order of steps: given the current decision-making paradigm, does it make sense to reorder the steps?
      2. Dispositions at each step: what are the possible dispositions, and who is accountable for making the dispositions?
      3. Project levels: do all projects require three-step approval before they’re up for prioritization? For example, IT steering committee may wish to be involved only for Level 3 projects and Level 2 projects with significant business impact, and not for Level 1 projects and IT-centric Level 2 projects.
      4. Accountability at each step: who makes the decisions?
      5. Who will handle exceptions? Aim to prevent the new process from being circumvented by vocal stakeholders, but also allow for very urgent requests. A quick win to strike this balance is to clarify who will exercise this discretion.

      INPUT

      • Retrospective of current process (Activity 2.2.1)
      • Project level definition
      • Approval steps in the previous slide

      OUTPUT

      • Customized project approval steps for each project level

      Materials

      • Whiteboard

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Specify what “approval” really means to manage expectations for what project work can be done and when

      2.2.3 Estimated Time: 15 minutes

      Review and customize section 3.2, “Project Approval Steps” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      In the old reality, projects were approved and never heard back from again, which effectively gave your stakeholders a blanket default expectation of “declined.” With the new approval process, manage your stakeholder expectations more explicitly by refining your vocabulary around approval.

      Within this, decision makers should view their role in approval as approving that which can and should be done. When a project is approved and slated to backlog, the intention should be to allocate resources to it within the current intake cycle.

      Customize the table to the right with organizationally appropriate definitions, and update your SOP.

      “No” Declined.
      “Not Now” “It’s a good idea, but the time isn’t right. Try resubmitting next intake cycle.”
      “Concept Approval” Approval to add the item to the backlog with the intention of starting it this intake cycle.
      “Preliminary Approval” Approval for consumption of PMO resources to develop a business case.
      “Full Approval” Project is greenlighted and project resources are being allocated to it.

      Info-Tech Insight

      Refine the nomenclature. Add context to “approved” and “declined.” Speak in terms of “not now” or “you can have it when these conditions are met.” With clear expectations of the resources required to support each request, you can place accountability for keeping the request alive back on the sponsors.

      Continuously work out a balance between disciplined decision making and “analysis paralysis"

      A graph is depicted to show the relationship between disciplined decision making and analysis paralysis. The sweet spot for disciplined decisions changes between situations and types of decisions.

      A double bar graph is depicted to show the relative effort spent on management practice. The first bar shows that 20% has a high success of portfolio management. 35% has a low success of portfolio management. A caption on the graph: Spending additional time assessing business cases doesn’t necessarily improve success.

      Info-Tech Insight

      Estimates that form the basis of business cases are often based on flawed assumptions. Use early project phases or sprints to build working prototypes to test the assumptions on which business cases are built, rather than investing time improving precision of estimates without improving accuracy.

      Right-size project approval process with Info-Tech’s toolbox of deliverables

      Don’t paint every project with the same brush. Choose the right set of information needed for each project level to maximize the throughput of project approval process.

      The next several slides will take you through a series of tools and templates that help guide the production of deliverables. Each deliverable wireframes the required analysis of the proposed project for one step of the approval process, and captures that information in a document. This breaks down the overall work for proposal development into digestible chunks.

      As previously discussed, aim to right-size the approval process rigor for project levels. Not all project levels may call for all steps of approval, or the extent of required analysis within an approval step may differ. This section will conclude by customizing the requirement for deliverables for each project level.

      Tools and Templates for the Project Approval Toolbox

      • Benefits Commitment Form Template (.xlsx) Document the project sponsor’s buy-in and commitment to proposed benefits in a lightweight fashion.
      • Proposed Technology Assessment Tool (.xlsx) Determine the proposed project’s readiness for adoption from a technological perspective.
      • Business Case Templates (.docx) Guide the analysis process for the overall project proposal development in varying levels of detail.

      Use Info-Tech’s lightweight Benefits Commitment Form Template to document the sponsor buy-in and support

      2.2.4 Benefits Commitment Form Template

      Project sponsors are accountable for the realization of project benefits. Therefore, for a project to be approved by a project sponsor, they must buy-in and commit to the proposed benefits.

      Defining project benefits and obtaining project sponsor commitment has been demonstrated to improve the project outcome by providing the focal point of the project up-front. This will help reduce wasted efforts to develop parts of the proposals that are not ultimately needed.

      A double bar graph titled: Benefits realization improves project outcome is shown.

      Download Info-Tech’s Benefits Commitment Form Template.

      Contents of a Benefits Commitment Form

      • One-sentence highlight of benefits and risks
      • Primary benefit, hard (quantitative) and soft (qualitative)
      • Proposed measurements for metrics
      • Responsible and accountable parties for benefits
      A screenshot of Info-Tech's Establish the Benefits Realization Process blueprint is shown.

      For further discussion on benefits realization, use Info-Tech’s blueprint, Establish the Benefits Realization Process.

      Use Info-Tech’s Proposed Project Technology Assessment Tool to analyze a technology’s readiness for adoption

      2.2.4 Proposed Project Technology Assessment Tool

      In some projects, there needs to be an initial idea of what the project might look like. Develop a high-level solution for projects that:

      • Are very different from previous projects.
      • Are fairly complex, or not business as usual.
      • Require adoption of new technology or skill set.

      IT should advise and provide subject matter expertise on the technology requirements to those that ultimately approve the proposed projects, so that they can take into account additional costs or risks that may be borne from it.

      Info-Tech’s Proposed Project Technology Assessment Tool has a series of questions to address eight categories of considerations to determine the project’s technological readiness for adoption. Use this tool to ensure that you cover all the bases, and help you devise alternate solutions if necessary – which will factor into the overall business case development.

      Download Info-Tech’s Proposed Project Technology Assessment Tool.

      A screenshot of Info-Tech's Proposed Project Technology Assessment Tool is shown.

      Enable project valuation beyond financial metrics with Info-Tech’s Business Case Templates

      2.2.4 Business Case Template (Comprehensive and Fast Track)

      Traditionally, a business case is centered around financial metrics. While monetary benefits and costs are matters of bottom line and important, financial metrics are only part of a project’s value. As the project approval decisions must be based on the holistic comparison of project value, the business case document must capture all the necessary – and only those that are necessary – information to enable it.

      However, completeness of information does not always require comprehensiveness. Allow for flexibility to speed up the process of developing business plan by making a “fast-track” business case template available. This enables the application of the project valuation criteria with all other projects, with right-sized effort.

      Alarming business case statistics

      • Only one-third of companies always prepare a business case for new projects.
      • Nearly 45% of project managers admit they are unclear on the business objectives of their IT projects.

      (Source: Wrike)

      Download Info-Tech’s Comprehensive Business Case Template.

      A screenshot of Info-Tech's Comprehensive Business Case Template is shown.

      Download Info-Tech’s Fast Track Business Case Template.

      A screenshot of Info-Tech's Fast Track Business Case Template is shown.

      Info-Tech Insight

      Pass on that which is known. Valuable information about projects is lost due to a disconnect between project intake and project initiation, as project managers are typically not brought on board until project is actually approved. This will be discussed more in Phase 3 of this blueprint.

      Document the right-sized effort and documentation required for each project level

      2.2.4 Estimated Time:60-90 minutes

      Review and customize section 3.3, “Project Proposal Deliverables” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of this activity is to customize the requirements for project proposal deliverables, so that it properly informs each of the approval steps discussed in the previous activity. The deliverables will also shape the work effort required for projects of various levels. Consider the following factors:

      1. Project levels: what deliverables should be required, recommended, or suggested for each of the project levels? How will exceptions be handled, and who will be accountable?
      2. Existing project proposal documents: what existing proposal documents, tools and templates can we leverage for the newly optimized approval steps?
      3. Skills availability: do these tools and templates represent a significant departure from the current state? If so, is there capacity (time and skill) to achieve the desired target state?
      4. How will you account for the consumption of resource capacity? Do a rough order of estimate for the resource capacity consumed the new deliverable standard.
      5. Who will handle exceptions? For example, PMO will maintain this process and will handle any questions or issues that pertain to this part of the process.

      INPUT

      • Process steps (Activity 2.2.2)
      • Current approval workflow(Activity 1.2.1)
      • Artifacts introduced in the previous slides

      OUTPUT

      • Requirement for artifacts and effort for each approval step

      Materials

      • Whiteboard

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Examine the new project approval workflow as a whole and document it in a flow chart

      2.2.5 Estimated Time: 30-60 minutes

      Review and customize section 3.1, “Project Approval Workflow” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      In Step 1.2 of the blueprint, you mapped out the current project intake, approval, and prioritization workflow and documented it in a flow chart. In this step, take the time to examine the new project intake process as a whole, and document the new workflow in the form of a flow chart.

      1 2 3 4
      Approval Step Concept Approval Feasibility Approval Business Case Approval Resource Allocation (Prioritization)
      Alignment Focus Business need/ Project Sponsorship Technology

      Organization-wide

      Business need

      Resource capacity

      Consider the following points:

      1. Are the inputs and outputs of each step clear? Who’s doing the work? How long will each step take, on average?
      2. Is the ownership of each step clear? How will we ensure a smooth hand-off between each step and prevent requests from falling through the cracks?

      INPUT

      • New process steps for project approval (Activities 2.2.2-4)

      OUTPUT

      • Flowchart representation of new project approval workflow

      Materials

      • Microsoft Visio, flowchart software, or Microsoft PowerPoint

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Step 2.3: Prioritize projects to maximize the value of the project portfolio within the constraint of resource capacity

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Perform a deeper retrospective on current project prioritization process
      • Optimize your process to maintain resource capacity supply and project demand data
      • Optimize your process to formally make disposition recommendations to appropriate decision makers

      This step involves the following participants:

      • PMO Director / Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Administrative Staff

      Outcomes of this step

      • Retrospective of the current project prioritization process: to continue doing, to start doing, and to stop doing
      • Realistic estimate of available resource capacity, in the absence of a resource management practice
      • Optimized process for presenting the decision makers with recommendations and facilitating capacity-constrained steering of the project portfolio
      • Project Intake and Prioritization Tool for facilitating the prioritization process
      • Documentation of the optimized process in the SOP document

      The availability of staff time is rarely factored into IT project and service delivery commitments

      A lot gets promised and worked on, and staff are always busy, but very little actually gets done – at least not within given timelines or to expected levels of quality.

      Organizations tend to bite off more than they can chew when it comes to project and service delivery commitments involving IT resources.

      While the need for businesses to make an excess of IT commitments is understandable, the impacts of systemically over-allocating IT are clearly negative:

      • Stakeholder relations suffer. Promises are made to the business that can’t be met by IT.
      • IT delivery suffers. Project timelines and quality frequently suffer, and service support regularly lags.
      • Employee engagement suffers. Anxiety and stress levels are consistently high among IT staff, while morale and engagement levels are low.

      76%: 76% of organizations say they have too many projects on the go and an unmanageable and ever-growing backlog of things to get to.

      – Cooper, 2014

      70%: Almost 70% of workers feel as though they have too much work on their plates and not enough time to do it.

      – Reynolds, 2016

      Unconstrained, unmanaged demand leads to prioritization of work based on consequences rather than value

      Problems caused by the organizational tendency to make unrealistic delivery commitments is further complicated by the reality of the matrix environment.

      Today, many IT departments use matrix organization. In this system, demands on a resource’s time come from many directions. While resources are expected to prioritize their work, they lack the authority to formally reject any demand. As a result, unconstrained, unmanaged demand frequently outstrips the supply of work-hours the resource can deliver.

      When this happens, the resource has three options:

      1. Work more hours, typically without compensation.
      2. Choose tasks not to do in a way that minimizes personal consequences.
      3. Diminish work quality to meet quantity demands.

      The result is an unsustainable system for all those involved:

      1. Individual workers cannot meet expectations, leading to frustration and disengagement.
      2. Managers cannot deliver on the projects or services they manage and struggle to retain skilled resources who are looking elsewhere for “greener pastures.”
      3. Executives cannot execute strategic plans as they lose decision-making power over their resources.

      Prioritize project demand by project value to get the most out of constrained project capacity – but practicing it is difficult

      The theory may be simple and intuitive, but the practice is extremely challenging. There are three practical challenges to making project prioritization effective.

      Project Prioritization

      Capacity awareness

      Many IT departments struggle to realistically estimate available project capacity in a credible way. Stakeholders question the validity of your endeavor to install capacity-constrained intake process, and mistake it for unwillingness to cooperate instead.

      Lack of authority

      Many PMOs and IT departments simply lack the ability to decline or defer new projects.

      Many moving parts

      Project intake, approval, and prioritization involve the coordination of various departments. Therefore, they require a great deal of buy-in and compliance from multiple stakeholders and senior executives.

      Project Approval

      Unclear definition of value

      Defining the project value is difficult, because there are so many different and conflicting ways that are all valid in their own right. However, without it, it's impossible to fairly compare among projects to select what's "best."

      Unclear definition of value

      In Step 1.1 of the blueprint, we took the first step toward resolving this challenge by prototyping a project valuation scorecard.

      A screenshot of Step 1.1 of this blueprint is shown.

      "Prioritization is a huge issue for us. We face the simultaneous challenges of not having enough resources but also not having a good way to say no. "

      – CIO, governmental health agency

      Address the challenges of capacity awareness and authority with a project prioritization workflow

      Info-Tech recommends following a four-step process for managing project prioritization.

      1. Collect and update supply and demand data
        1. Re-evaluate project value for all proposed, on-hold and ongoing projects
        2. Estimate available resource capacity for projects
      2. Prioritize project demand by value
        1. Identify highest-value, “slam-dunk” projects
        2. Identify medium-value, “on-the-bubble” projects
        3. Identify lower-value projects that lie beyond the available capacity
      3. Approve projects for initiation or continuation
        1. Submit recommendations for review
        2. Adjust prioritized list with business judgment
        3. Steering committee approves projects to work on
      4. Manage a realistically defined project portfolio
      • Stakeholder Need
      • Strategic Objectives
      • Resource Capacity

      Intake and Prioritization Tool

      Perform a start-stop-continue exercise to help determine what is working and what is not working

      2.3.1 Estimated Time: 60 minutes

      Optimizing project prioritization may not require a complete overhaul of your existing processes. You may only need to tweak certain templates or policies. Perhaps you started out with a strong process and simply lost resolve over time – in which case you will need to focus on establishing motivation and discipline, rather than rework your entire process.

      Perform a start-stop-continue exercise with your team to help determine what should be salvaged, what should be abandoned, and what should be introduced:

      1. On a whiteboard or equivalent, write “Start,” “Stop,” and “Continue” in three separate columns. 3. As a group, discuss the responses and come to an agreement as to which are most valid.
      2. Equip your team with sticky notes or markers and have them populate the columns with ideas and suggestions surrounding your current processes. 4. Document the responses to help structure your game plan for intake optimization.
      Start Stop Continue
      • Periodically review the project value scorecard with business stakeholders
      • “Loud Voices First” prioritization
      • Post-prioritization score changes
      • Updating project value scores for current projects

      INPUT

      • Current project prioritization workflow (Activity 1.2.2)
      • Project prioritization success criteria (Activity 1.2.6)

      OUTPUT

      • Retrospective review of current prioritization process

      Materials

      • Whiteboard
      • Sticky notes/markers

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Use Info-Tech’s lightweight Intake and Prioritization Tool to get started on capacity-constrained project prioritization

      Use Info-Tech’s Project Intake and Prioritization Tool to facilitate the scorecard-driven prioritization and ensure effective flow of data.

      This tool builds on the Project Valuation Scorecard Tool to address the challenges in project prioritization:

      1. Lack of capacity awareness: quickly estimate a realistic supply of available work hours for projects for a given prioritization period, in the absence of a reliable and well-maintained resource utilization and capacity data.
      2. Using standard project sizing, quickly estimate the size of the demand for proposed and ongoing projects and produce a report that recommends the list of projects to greenlight – and highlight the projects within that list that are at risk of being short-charged of resources – that will aim to help you tackle:

      3. Lack of authority to say “no” or “not yet” to projects: save time and effort in presenting the results of project prioritization analysis that will enable the decision makers to make well-informed, high-quality portfolio decisions.
      4. The next several slides will walk you through the tool and present activities to facilitate its use for your organization.

      Download Info-Tech’s Project Intake and Prioritization Tool.

      A screenshot of Info-Tech's Project Intake Prioritization Tool is shown.

      Create a high-level estimate of available project capacity to inform how many projects can be greenlighted

      2.3.2 Project Intake and Prioritization Tool, Tab 2: Project Capacity

      Estimate how many work-hours are at your disposal for projects using Info-Tech’s resource calculator.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool, Tab 2: Project Capacity

      1. Compile a list of each role within your department, the number of staff, and the hours in a typical work week.

      2. Enter the foreseeable out-of-office time (vacation, sick time, etc.). Typically, this value is 12-16% depending on the region.

      3. Enter how much working time is spent on non-projects for each role: administrative duties and “keep the lights on” work.

      4. Select a period of time for breaking down available resource capacity in hours.

      Project Work (%): Percentage of your working time that goes toward project work is calculated as what’s left after your non-project working time allocations have been subtracted.

      Project (h) Total Percentage: Take a note of this percentage as your project capacity. This number will put the estimated project demand in context for the rest of the tool.

      Example for a five-day work week:

      • 2 weeks (10 days) of statutory holidays
      • 3 weeks of vacation
      • 1.4 weeks (7 days) of sick days on average
      • 1 week (5 days) for company holidays

      Result: 7.4/52 weeks’ absence = 14%

      Estimate your available project capacity for the next quarter, half-year, or year

      2.3.2 Estimated Time: 30 minutes

      Discover how many work-hours are at your disposal for project work.

      1. Use the wisdom-of-the-crowd approach or resource utilization data to fill out Tab 2 of the tool. This is intended to be somewhat of a rough estimate; avoid the pitfall of being too granular in role or in time split.
      2. Choose a time period that corresponds to your project prioritization period: monthly, quarterly, 4 months, semi-annually (6 months), or annually.
      3. Examine the pie graph representation of your overall capacity breakdown, like the one shown below.

      Screenshot from Tab 2 of Project Intake and Prioritization Tool

      INPUT

      • Knowledge of organization’s personnel and their distribution of time

      OUTPUT

      • Estimate of available project capacity

      Materials

      • Project Intake and Prioritization Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      On average, only about half of the available project capacity results in productive project work

      Place realistic expectations on your resources’ productivity.

      Info-Tech’s PPM Current State Scorecard diagnostic provides a comprehensive view of your portfolio management strengths and weaknesses, including project portfolio management, project management, customer management, and resource utilization.

      A screenshot of Info-Tech's PPM Current State Scorecard diagnostic

      Use the wisdom of the crowd to estimate resource waste in:

      • Cancelled projects
      • Inefficiency
      • Suboptimal assignment of resources
      • Unassigned resources
      • Analyzing, fixing, and redeploying

      50% of PPM resource is wasted on average, effectively halving your available project capacity.

      Source: Info-Tech PPM Current State Scorecard

      Define project capacity and project t-shirt sizes

      2.3.3 Project Intake and Prioritization Tool, Tab 3: Settings

      The resource capacity calculator in the previous tab yields a likely optimistic estimate for how much project capacity is available. Based on this estimate as a guide, enter your optimistic (maximum) and pessimistic (minimum) estimates of project capacity as a percentage of total capacity:

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 3

      Info-Tech’s data shows that only about 50% of time spent on project work is wasted: cancelled projects, inefficiency, rework, etc. As a general rule, enter half of your maximum estimate of your project capacity.

      Capacity in work hours is shown here from the previous tab, to put the percentages in context. This example shows a quarterly breakdown (Step 4 from the previous slide; cell N5 in Tab 2.).

      Next, estimate the percentage of your maximum estimated project capacity that a single project would typically consume in the given period for prioritization.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 3

      These project sizes might not line up with the standard project levels from Step 2.1 of the blueprint: for example, an urgent mid-sized project that requires all hands on deck may need to consume almost 100% of maximum available project capacity.

      Estimate available project capacity and standard project demand sizes for prioritizing project demand

      2.3.3 Estimated Time: 30 minutes

      Refine your estimates of project capacity supply and demand as it applies to a prioritization period.

      1. The estimated project capacity from Activity 2.3.2 represents a theoretical limit. It is most likely an overestimation (see box below). As a group, discuss and decide on a more realistic available project capacity:
        1. Optimistic estimate, assuming sustained peak productivity from everyone in your organization;
        2. Pessimistic estimate, taking into account the necessary human downtime and the PPM resource waste (see previous slide).
      2. Refine the choices of standard project effort sizes, expressed as percentages of maximum project capacity. As a reminder, this sizing is for the chosen prioritization period, and is independent from the project levels set previously in Activity 2.1.4 and 2.1.5.

      Dedicated work needs dedicated break time

      In a study conducted by the Draugiem Group, the ideal work-to-break ratio for maximizing focus and productivity was 52 minutes of work, followed by 17 minutes of rest (Evans). This translates to 75% of resource capacity yielding productive work, which could inform your optimistic estimate of project capacity.

      INPUT

      • Project capacity (Activity 2.3.2)
      • PPM Current State Scorecard (optional)

      OUTPUT

      • Capacity and demand estimate data for tool use

      Materials

      • Project Intake and Prioritization Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Finish setting up the Project Intake and Prioritization Tool

      2.3.4 Project Intake and Prioritization Tool, Tab 3: Settings

      Enter the scoring criteria, which was worked out from Step 1.1 of the blueprint. This workbook supports up to ten scoring criteria; use of more than ten may make the prioritization step unwieldy.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 3

      Leave unused criteria rows blank.

      Choose “value” or “execution” from a drop-down.

      Score does not need to add up to 100.

      Finally, set up the rest of the drop-downs used in the next tab, Project Data. These can be customized to fit your unique project portfolio needs.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 3

      Enter project data into the Project Intake and Prioritization Tool

      2.3.4 Project Intake and Prioritization Tool, Tab 4: Project Data

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 4

      Ensure that each project has a unique name.

      Completed (or cancelled) projects will not be included in prioritization.

      Choose the standard project size defined in the previous tab.

      Change the heading when you customize the workbook.

      Days in Backlog is calculated from the Date Added column.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 4

      Overall weighted project prioritization score is calculated as a sum of value and execution scores.

      Weighted value and execution scores are calculated according to the scoring criteria table in the 2. Settings tab.

      Enter the raw scores. Weights will be taken into calculation behind the scenes.

      Spaces for unused intake scores will be greyed out. You can enter data, but they will not affect the calculated scores.

      Document your process to maintain resource capacity supply and project demand data

      2.3.4 Estimated Time: 30 minutes

      Review and customize section 4.2, “Maintain Supply and Demand Data” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of this activity is to document the process with which the supply and demand information will be updated for projects. Consider the following factors:

      1. Estimates of resource supply: how often will the resource supply be updated? How are you estimating the range (maximum vs. minimum, optimistic vs. pessimistic)? Leverage your existing organizational process assets for resource management.
      2. Updating project data for proposed projects: when and how often will the project valuation scores be updated? Do you have sufficient inputs? Examine the overall project approval process from Step 2.2 of the blueprint, and ensure that sufficient information is available for project valuation (Activity 2.2.3).
      3. Updating project data for ongoing projects: will you prioritize ongoing projects along with proposed projects? When and how often will the project valuation scores be updated? Do you have sufficient inputs?
      4. How will you account for the consumption of resource capacity? Do a rough order of estimate for the resource capacity consumed in this process.
      5. Who will handle exceptions? For example, PMO will maintain this process and will handle any questions or issues that pertain to this part of the process.

      INPUT

      • Organizational process assets for resource management, strategic planning, etc.
      • Activity 2.3.3
      • Activity 2.2.3

      OUTPUT

      • Process steps for refreshing supply and demand data

      Materials

      • SOP Template
      • Project Intake and Prioritization Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts
      • PMO Admin Staff

      Prioritized list of projects shows what fits under available project capacity for realizing maximum value

      2.3.5 Project Intake and Prioritization Tool, Tab 5: Results

      The output of the Project Intake and Prioritization Tool is a prioritized list of projects with indicators to show that their demand on project capacity will fit within the estimated available project capacity for the prioritization period.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 5

      Status indicates whether the project is proposed or ongoing; completed projects are excluded.

      Disposition indicates the course of recommended action based on prioritization.

      Proposed projects display how long they have been sitting in the backlog.

      Projects highlighted yellow are marked as “deliberate” for their dispositions. These projects pose risks of not getting properly resourced. One must proceed with caution if they are to be initiated or continued.

      Provide better support to decision makers with the prioritized list, and be prepared for their steering

      It is the portfolio manager’s responsibility to provide the project portfolio owners with reliable data and enable them to make well-informed decisions for the portfolio.

      The prioritized list of proposed and ongoing projects, and an approximate indication for how they fill out the estimated available resource capacity, provide a meaningful starting ground for discussion on which projects to continue or initiate, to hold, or to proceed with caution.

      However, it is important to recognize the limitation of the prioritization methodology. There may be legitimate reasons why some projects should be prioritized over another that the project valuation method does not successfully capture. At the end of the day, it’s the prerogative of the portfolio owners who carry on the accountabilities to steer the portfolio.

      The portfolio manager has a responsibility to be prepared for reconciling the said steering with the unchanged available resource capacity for project work. What comes off the list of projects to continue or initiate? Or, will we outsource capacity if we must meet irreconcilable demand? The next slide will show how Info-Tech’s tool helps you with this process.

      Info-Tech Best Practice

      Strive to become the best co-pilot. Constantly iterate on the scoring criteria to better adapt to the portfolio owners’ preference in steering the project portfolio.

      Manipulate the prioritized list with the Force Disposition list

      2.3.5 Project Intake and Prioritization Tool, Tab 5: Results

      The Force Disposition list enables you to inject subjective judgment in project prioritization. Force include and outsource override project prioritization scores and include the projects for approval:

      • Force include counts the project demand against capacity.
      • Outsource, on the other hand, does not count the project demand.
      • Force exclude removes a project from prioritized list altogether, without deleting the row and losing its data.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 5

      Choose a project name and a disposition using a drop-down.

      Use this list to test out various scenarios, useful for what-if analysis.

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 5

      Document your process to formally make disposition recommendations to appropriate decision-making party

      2.3.5 Estimated Time: 60 minutes

      Review and customize section 4.3, “Approve projects for initiation or continuation” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      The goal of this activity is to formalize the process of presenting the prioritized list of projects for review, modify the list based on steering decisions, and obtain the portfolio owners’ approval for projects to initiate or continue, hold, or terminate. Consider the following factors:

      1. Existing final approval process: what are the new injections to the current decision-making process for final approval?
      2. Meeting prep, agenda, and follow-up: what are the activities that must be carried out by PMO / portfolio manager to support the portfolio decision makers and obtain final approval?
      3. “Deliberate” projects: what additional information should portfolio owners be presented with, in order to deliberate on the projects at risk of being not properly resourced? For example, consider a value-execution plot (right).

      A screenshot of Info-Tech's Project Intake and Prioritization Tool Tab 5

      INPUT

      • Approval process steps (Activity 2.2.2)
      • Steering Committee process documentation

      OUTPUT

      • Activities for supporting the decision-making body

      Materials

      • SOP Template
      • Project Intake and Prioritization Tool

      Participants

      • CIO
      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Once a project is approved, pass that which is known on to those responsible for downstream processes

      Aim to be responsible stewards of important and costly information developed throughout project intake, approval, and prioritization processes.

      Once the proposed project is given a green light, the project enters an initiation phase.

      No matter what project management methodology is employed, it is absolutely vital to pass on the knowledge gained and insights developed through the intake, approval, and prioritization processes. This ensures that the project managers and team are informed of the project’s purpose, business benefits, rationale for the project approval, etc. and be able to focus their efforts in realizing the project’s business goals.

      Recognize that this does not aim to create any new artifacts. It is simply a procedural safeguard against the loss of important and costly information assets for your organization.

      A flowchart is shown as an example of business documents leading to the development of a project charter.

      Information from the intake process directly feeds into, for example, developing a project charter.

      Source: PMBOK, 6th edition

      "If the project manager can connect strategy to the project they are leading (and therefore the value that the organization desires by sanctioning the project), they can ensure that the project is appropriately planned and managed to realize those benefits."

      – Randall T. Black, P.Eng., PMP; source: PMI Today

      Examine the new project intake workflow as a whole and document it in a flow chart

      2.3.6 Estimated Time: 30-60 minutes

      Review and customize section 4.1, “Project Prioritization Workflow” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template.

      In Step 1.2 of the blueprint, you mapped out the current project intake, approval, and prioritization workflow and documented it in a flow chart. In this step, take the time to examine the new project intake process as a whole, and document the new workflow in the form of a flow chart.

      1. Collect and update supply and demand data
      2. Prioritize project demand by value
      3. Approve projects for initiation or continuation
      4. Manage a realistically defined project portfolio

      Consider the following points:

      1. Are the inputs and outputs of each step clear? Who’s doing the work? How long will each step take, on average?
      2. Is the ownership of each step clear? How will we ensure a smooth handoff between each step and prevent requests from falling through the cracks?

      INPUT

      • New process steps for project prioritization (Activities 2.3.x-y)

      OUTPUT

      • Flowchart representation of new project prioritization workflow

      Materials

      • Microsoft Visio, flowchart software, or Microsoft PowerPoint

      Participants

      • CIO
      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Leverage Info-Tech’s other blueprints to complement your project prioritization processes

      The project capacity estimates overlook a critical piece of the resourcing puzzle for the sake of simplicity: skills. You need the right skills at the right time for the right project.

      Use Info-Tech’s Balance Supply and Demand with Realistic Resource Management Practices blueprint to enhance the quality of information on your project supply.

      A screenshot of Info-Tech's Balance Supply and Demand with Realistic Resource Management Practices blueprint.

      There is more to organizing your project portfolio than a strict prioritization by project value. For example, as with a financial investment portfolio, project portfolio must achieve the right investment mix to balance your risks and leverage opportunities.

      Use Info-Tech’s Maintain an Organized Portfolio blueprint to refine the makeup of your project portfolio.

      A screenshot of Info-Tech's Maintain an Organized Portfolio blueprint.

      Continuous prioritization of projects allow organizations to achieve portfolio responsiveness.

      Use Info-Tech’s Manage an Agile Portfolio blueprint to take prioritization of your project portfolio to the next level.

      A screenshot of Info-Tech's Manage an Agile Portfolio blueprint

      46% of organizations use a homegrown PPM solution. Info-Tech’s Grow Your Own PPM Solution blueprint debuts a spreadsheet-based Portfolio Manager tool that provides key functionalities that integrates those of the Intake and Prioritization Tool with resource management, allocation and portfolio reporting capabilities.

      A screenshot of Info-Tech's Grow Your Own PPM Solution blueprint

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      A picture of an Info-Tech analyst is shown.

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      2.1.2-6

      A screenshot of activities 2.1.2-6 is shown.

      Optimize your process to receive, triage, and follow up on project requests

      Discussion on decision points and topics of consideration will be facilitated to leverage the diverse viewpoints amongst the workshop participants.

      2.3.2-5

      A screenshot of activities 2.3.2-5 is shown.

      Set up a capacity-informed project prioritization process using Info-Tech’s Project Intake and Prioritization Tool

      A table-top planning exercise helps you visualize the current process in place and identify opportunities for optimization.

      Phase 3

      Integrate the New Optimized Processes into Practice

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Integrate the New Optimized Processes into Practice

      Proposed Time to Completion: 6-12 weeks

      Step 3.1: Pilot your process to refine it prior to rollout

      Start with an analyst kick-off call:

      • Review the proposed intake, approval, and prioritization process

      Then complete these activities…

      • Select receptive stakeholders to work with
      • Define the scope of your pilot and determine logistics
      • Document lessons learned and create an action plan for any changes

      With these tools & templates:

      • Process Pilot Plan
      • Project Backlog Manager Job Description

      Step 3.2: Analyze the impact of organizational change

      Review findings with analyst:

      • Results of the process pilot and the finalized intake SOP
      • Key PPM stakeholders
      • Current organizational climate

      Then complete these activities…

      • Analyze the stakeholder impact and responses to impending organizational change
      • Create message canvases for at-risk change impacts and stakeholders to create an effective communication plan

      With these tools & templates:

      • Intake Process Implementation Impact Analysis Tool

      Phase 3 Results & Insights:

      • Engagement paves the way for smoother adoption. An “engagement” approach (rather than simply “communication”) turns stakeholders into advocates who can help boost your message, sustain the change, and realize benefits without constant intervention or process command-and-control.

      Step 3.1: Pilot your intake, approval, and prioritization process to refine it before rollout

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Select receptive managers to work with during your pilot
      • Define the scope of your pilot and determine logistics
      • Plan to obtain feedback, document lessons learned, and create an action plan for any changes
      • Finalize Project Intake, Approval, and Prioritization SOP

      This step involves the following participants:

      • PMO Director / Portfolio Manager
      • Project Managers
      • Business Analysts

      Outcomes of this step

      • A pilot team
      • A process pilot plan that defines the scope, logistics, and process for retrospection
      • Project Backlog Manager job description
      • Finalized Project Intake, Approval, and Prioritization SOP for rollout

      Pilot your new processes to test feasibility and address issues before a full deployment

      Adopting the right set of practices requires a significant degree of change that necessitates buy-in from varied stakeholders throughout IT and the business.

      Rome wasn’t built in a day. Similarly, benefits of optimized project intake, approval, and prioritization process will not be realized overnight.

      Resist the urge to deploy a big-bang roll out of your new intake practices. The approach is ill advised for two main reasons:

      • It will put more of a strain on the implementation team in the near term, with a larger pool of end users to train and collect data from.
      • Putting untested practices in a department-wide spotlight could lead to mass confusion in the near-term and color the new processes in a negative light, leading to a loss of stakeholder trust and engagement right out-of-the-gate.

      Start with a pilot phase. Identify receptive lines of business and IT resources to work with, and leverage their insights to help iron out the kinks in your process before unveiling your practices to IT and all business users at large.

      This step will help you to:

      • Plan and execute a pilot of the processes we developed in Phase 2.
      • Incorporate the lessons learned from that pilot to strengthen your SOP and ease the communication process.

      Info-Tech Insight

      Engagement paves the way for smoother adoption. An “engagement” approach (rather than simply “communication”) turns stakeholders into advocates who can help boost your message, sustain the change, and realize benefits without constant intervention or process command-and-control.

      Plan your pilot like you would any project to ensure it’s well defined and its goals are clearly articulated

      Use Info-Tech’s Intake Process Pilot Plan Template to help define the scope of your pilot and set appropriate goals for the test-run of your new processes.

      A process pilot is a limited scope of an implementation (constrained by time and resources involved) in order to test the viability and effectiveness of the process as it has been designed.

      • Investing time and energy into a pilot phase can help to lower implementation risk, enhance the details and steps within a process, and improve stakeholder relations prior to a full scale rollout.
      • More than a dry run, however, a pilot should be approached strategically, and planned out to limit the scope of it and achieve specific outcomes.
      • Leverage a planning document to ensure your process pilot is grounded in a common set of definitions, that the pilot is delivering value and insight, and that ultimately the pilot can serve as a starting point for a full-scale process implementation.

      Download Info-Tech’s Process Pilot Plan Template

      A screenshot of Info-Tech's Process Pilot Plan Template is shown.

      "The advantages to a pilot are several. First, risk is constrained. Pilots are closely monitored so if a problem does occur, it can be fixed immediately. Second, the people working in the pilot can become trainers as you roll the process out to the rest of the organization. Third, the pilot is another opportunity for skeptics to visit the pilot process and learn from those working in it. There’s nothing like seeing a new process working for people to change their minds."

      Daniel Madison

      Select receptive stakeholders to work with during your pilot

      3.1.1 Estimated Time: 20-60 minutes

      Info-Tech recommends selecting PPM stakeholders who are aware of your role and some of the challenges in project intake, approval, and prioritization to assist in the implementation process.

      1. If receptive PPM stakeholders are known, schedule a 15-minute meeting with them to inquire if they would be willing to be part of the pilot process.
      2. If receptive project managers are not known, use Info-Tech’s Stakeholder Engagement Workbook to conduct a formal selection process.
        1. Enter a list of potential participants for pilot in tab 3.
        2. Rate project managers in terms of influence, pilot interest, and potential deployment contribution within tab 4.
        3. Review tab 5 in the workbook. Receptive PPM stakeholders will appear in the top quadrants. Ideal PPM stakeholders for the pilot are located in the top right quadrant of the graph.

      A screenshot of Info-Tech's Stakeholder Engagement Workbook Tab 5 is shown.

      INPUT

      • Project portfolio management stakeholders (Activity 1.2.3)

      OUTPUT

      • Pilot project team

      Materials

      • Stakeholder Engagement Workbook
      • Process Pilot Plan Template

      Participants

      • PMO Director/ Portfolio Manager
      • CIO (optional)

      Document the PPM stakeholders involved in your pilot in Section 3 of Info-Tech’s Process Pilot Plan Template.

      Define the scope of your pilot and determine logistics

      3.1.2 Estimated Time: 60-90 minutes

      Use Info-Tech’s Process Pilot Plan Template to design the details of your pilot.

      Investing time into planning your pilot phase strategically will ensure a clear scope, better communications for those piloting the processes, and – overall – better, more actionable results for the pilot phase. The Pilot Plan Template is broken into five sections to assist in these goals:

      • Pilot Overview and Scope
      • Success and Risk Factors
      • Stakeholders Involved and Communications Plan
      • Pilot Retrospective and Feedback Protocol

      The duration of your pilot should go at least one prioritization period, e.g. one to two quarters.

      Estimates of time commitments should be captured for each stakeholder. During the retrospective at the end of the pilot you should capture actuals to help determine the time-cost of the process itself and measure its sustainability.

      Once the Plan Template is completed, schedule time to share and communicate it with the pilot team and executive sponsors of the process.

      While you should invest time in this planning document, continue to lean on the Intake, Approval, and Prioritization SOP throughout the pilot phase.

      INPUT

      • Sections 1 through 4 of the Process Pilot Plan Template

      OUTPUT

      • A process pilot plan

      Materials

      • Process Pilot Plan Template

      Participants

      • PMO Director / Portfolio Manager
      • Project Managers
      • Business Analysts
      • CIO (optional)

      Execute your pilot and prepare to make process revisions before the full rollout

      Hit play! Begin the process pilot and get familiar with the work routine and resource management solution.

      Some things to keep in mind during the pilot include:

      • Depending on the solution you are using, you will likely need to spend one day or less to populate the tool. During the pilot, measure the time and effort required to manage the data within the tool. Determine whether time and effort required is viable on an ongoing basis (i.e. can you do it every month or quarter) and has value.
      • Meet with the pilot team and other stakeholders regularly during the pilot, at least biweekly. Allow the team (and yourself) to speak honestly and openly about what isn’t working. The pilot is your chance to make things better.
      • Keep notes about what will need to change in the SOP. For major changes, you may have to tweak the process during the pilot itself. Update the process documents as needed and communicate the changes and why they’re being made. If required, update the scope of the pilot in the Pilot Plan Template.
      An example is shown on how to begin the process pilot and getting familiar with the work routine and resource management solution.

      Obtain feedback from the pilot group to improve your processes before a wider rollout

      3.1.3 Estimated Time: 30 minutes

      Pilot projects allow you to validate your assumptions and leverage lessons learned. During the planning of the pilot, you should have scheduled a retrospective meeting with the pilot team to formally assess strengths and weaknesses in the process you have drafted.

      • Schedule the retrospective shortly after the pilot is completed. Info-Tech recommends performing a Stop/Start/Continue meeting with pilot participants to obtain and capture feedback.
      • Have members of the meeting record any processes/activities on sticky notes that should:
        • Stop: because they are ineffective or not useful
        • Start: because they would be useful for the tool and have not been incorporated into current processes
        • Continue: because they are useful and positively contribute to intended process outcomes.

      An example of how to structure a Stop/Start/Continue activity on a whiteboard using sticky notes.

      An example of stop, start, and continue is activity is shown.

      INPUT

      • What’s working and what isn’t in the process

      OUTPUT

      • Ideas to improve process

      Materials

      • Whiteboard
      • Sticky notes
      • Process Pilot Plan Template

      Participants

      • Process owner (PMO director or portfolio owner)
      • Pilot team

      See the following slide for additional instructions.

      Document lessons learned and create an action plan for any changes to the processes

      3.1.4 Estimated Time: 30 minutes

      An example of stop, start, and continue is activity is shown.

      As a group, discuss everyone’s responses and organize according to top priority (mark with a 1) and lower priority/next steps (mark with a 2). At this point, you can also remove any sticky notes that are repetitive or no longer relevant.

      Once you have organized based on priority, be sure to come to a consensus with the group regarding which actions to take. For example, if the group agrees that they should “stop holding meetings weekly,” come to a consensus regarding how often meetings will be held, i.e. monthly.

      Priority Action Required Who is Responsible Implementation Date
      Stop: Holding meetings weekly Hold meetings monthly Jane Doe, PMO Next Meeting: August 1, 2017
      Start: Discussing backlog during meetings Ensure that backlog data is up to date for discussion on date of next meeting. John Doe, Portfolio Manager August 1, 2017

      Create an action plan for the top priority items that require changes (the Stops and Starts). Record in this slide, or your preferred medium. Be sure to include who is responsible for the action and the date that it will be implemented.

      Document the outcomes of the start/stop/continue and your action plan in Section 6 of Info-Tech’s Process Pilot Plan Template.

      Use Info-Tech’s Backlog Manager Job Description Template to help fill any staffing needs around data maintenance

      3.1 Project Backlog Manager Job Description

      You will need to determine responsibilities and accountabilities for portfolio management functions within your team.

      If you do not have a clearly identifiable portfolio manager at this time, you will need to clarify who will wear which hats in terms of facilitating intake and prioritization, high-level capacity awareness, and portfolio reporting.

      • Use Info-Tech’s Project Backlog Manager job description template to help clarify some of the required responsibilities to support your intake, approval, and prioritization strategy.
        • If you need to bring in an additional staff member to help support the strategy, you can customize the job description template to help advertise the position. Simply edit the text in grey within the template.
      • If you have other PPM tasks that you need to define responsibilities for, you can use the RASCI chart on the final tab of the PPM Strategy Development Tool.

      Download Info-Tech’s Project Backlog Manager job description template.

      A screenshot of Info-Tech's Project Backlog Manager template is shown.

      Finalize the Intake, Approval, and Prioritization SOP and prepare to communicate your processes

      Once you’ve completed the pilot process and made the necessary tweaks, you should finalize your Intake, Approval, and Prioritization SOP and prepare to communicate it.

      Update section 1.2, “Overall Process Workflow” in Info-Tech’s Project Intake, Approval, and Prioritization SOP Template with the new process flow.

      Revisit your SOP from Phase 2 and ensure it has been updated to reflect the process changes that were identified in activity 3.1.4.

      • If during the pilot process the data was too difficult or time consuming to maintain, revisit the dimensions you have chosen and choose dimensions that are easier to accurately maintain. Tweak your process steps in the SOP accordingly.
      • In the long term, if you are not observing any progress toward achieving your success criteria, revisit the impact analysis that we’ll prepare in step 3.2 and address some of these inhibitors to organizational change.

      Download Info-Tech’s Project Intake, Approval, and Prioritization SOP template.

      A screenshot of Info-Tech's Project Intake, Approval, and Prioritization SOP template.

      Info-Tech Best Practice

      Make your SOP high impact. SOPs are often at risk of being left unmaintained and languishing in disuse. Improve the SOP’s succinctness and usability by making it visual; consult Info-Tech’s blueprint, Create Visual SOP Documents that Drive Process Optimization, Not Just Peace of Mind.

      Step 3.2: Analyze the impact of organizational change through the eyes of PPM stakeholders to gain their buy-in

      PHASE 1 PHASE 2 PHASE 3

      1.1

      Define project valuation criteria

      1.2

      Envision process target state

      2.1

      Streamline intake

      2.2

      Right-size approval steps

      2.3

      Prioritize projects to fit resource capacity

      3.1

      Pilot your optimized process

      3.2

      Communicate organizational change

      This step will walk you through the following activities:

      • Analyze the stakeholder impact and responses to impending organizational change
      • Create message canvases for at-risk change impacts and stakeholders
      • Set the course of action for communicating changes to your stakeholders

      This step involves the following participants:

      • PMO Director / Portfolio Manager
      • Project Managers
      • Business Analysts

      Outcomes of this step

      • A thorough organizational change impact analysis, based on Info-Tech’s expertise in organizational change management
      • Message canvases and communication plan for your stakeholders
      • Go-live for the new intake, approval, and prioritization process

      Manage key PPM stakeholders and communicate changes

      • Business units: Projects are undertaken to provide value to the business. Senior management from business units must help define how project will be valued.
      • IT: IT must ensure that technical/practical considerations are taken into account when determining project value.
      • Finance: The CFO or designated representative will ensure that estimated project costs and benefits can be used to manage the budget.
      • PMO: PMO is the administrator of the project portfolio. PMO must provide coordination and support to ensure the process operates smoothly and its goals are realized.
      • Business analysts: BAs carry out the evaluation of project value. Therefore, their understanding of the evaluation criteria and the process as a whole are critical to the success of the process.
      • Project sponsors: Project sponsors are accountable for the realization of benefits for which projects are undertaken.

      Impacts will be felt differently by different stakeholders and stakeholder groups

      As you assess change impacts, keep in mind that no impact will be felt the same across the organization. Depth of impact can vary depending on the frequency (will the impact be felt daily, weekly, monthly?), the actions necessitated by it (e.g. will it change the way the job is done or is it simply a minor process tweak?), and the anticipated response of the stakeholder (support, resistance, indifference?).

      Use the Organizational Change Depth Scale below to help visualize various depths of impact. The deeper the impact, the tougher the job of managing change will be.

      Procedural Behavioral Interpersonal Vocational Cultural
      Procedural change involves changes to explicit procedures, rules, policies, processes, etc. Behavioral change is similar to procedural change, but goes deeper to involve the changing tacit or unconscious habits. Interpersonal change goes beyond behavioral change to involve changing relationships, teams, locations, reporting structures, and other social interactions. Vocational change requires acquiring new knowledge and skills, and accepting the loss or decline in the value or relevance of previously acquired knowledge and skills. Cultural change goes beyond interpersonal and vocational change to involve changing personal values, social norms, and assumptions about the meaning of good vs. bad or right vs. wrong.
      Example: providing sales reps with mobile access to the CRM application to let them update records from the field. Example: requiring sales reps to use tablets equipped with a custom mobile application for placing orders from the field. Example: migrating sales reps to work 100% remotely. Example: migrating technical support staff to field service and sales support roles. Example: changing the operating model to a more service-based value proposition or focus.

      Perform a change impact analysis to maximize the chances of adoption for the new intake process

      Invest time and effort to analyze the impact of change to create an actionable stakeholder communication plan that yields the desirable result: adoption.

      Info-Tech’s Drive Organizational Change from the PMO blueprint offers the OCM Impact Analysis Tool to helps document the change impact across multiple dimensions, enabling the project team to review the analysis with others to ensure that the most important impacts are captured.

      This tool has been customized for optimizing project intake, approval, and prioritization process to deliver the same result in a more streamlined way. The next several slides will take you through the activities to ultimately create an OCM message canvas and a communication plan for your key stakeholders.

      Download Info-Tech’s Intake and Prioritization Impact Analysis Tool.

      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool is shown.

      "As a general principle, project teams should always treat every stakeholder initially as a recipient of change. Every stakeholder management plan should have, as an end goal, to change recipients’ habits or behaviors."

      -PMI, 2015

      Set up the Intake Process and Prioritization Impact Analysis Tool

      3.2.1 Intake and Prioritization Impact Analysis Tool, Tab 2-3

      In Tab 2, enter your stakeholders’ names. Represent stakeholders as a group if you expect the impact of change on them to be reasonably uniform, as well as their anticipated responses. Otherwise, consider adding them as individuals or subgroups.

      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 2 is shown.

      In Tab 3, enter whether you agree or disagree with each statement that represents an element of organizational change that be introduced as the newly optimized intake process is implemented.

      As a result of the change initiative in question:

      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 3 is shown.

      Analyze the impact and the anticipated stakeholder responses of each change

      3.2.1 Intake and Prioritization Impact Analysis Tool, Tab 4: Impact Analysis Inputs

      Each change statement that you agreed with in Tab 3 are listed here in Tab 4 of the Intake and Prioritization Impact Analysis Tool. For each stakeholder, estimate and enter the following data:

      1. Frequency of the Impact: how often will the impact of the change be felt?
      2. Effort Associated with Impact: what is the demand on a stakeholder’s effort to implement the change?
      3. Anticipated Response: rate from enthusiastic response to active subversion. Honest and realistic estimates of anticipated responses are critical to the rest of the impact analysis.
      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 4 is shown.

      Analyze the stakeholder impact and responses to impending organizational change as a group

      3.2.1 Estimated Time: 60-90 minutes

      Divide and conquer. Leverage the group to get through the seemingly daunting amount of work involved with impact analysis.

      1. Divide the activity participants into subgroups and assign a section of the impact analysis. It may be helpful to do one section together as a group to make sure everyone is roughly on the same page for assessing impact.
      2. Suggested ways to divide up the impact analysis include:

      • By change impact. This would be suitable when the process owners (or would-be process owners) are available and participating.
      • By stakeholders. This would be suitable for large organizations where the activity participants know some stakeholders better than others.

      Tip: use a spreadsheet tool that supports multi-user editing (e.g. Google Sheets, Excel Online).

    • Aggregate the completed work and benchmark one another’s analysis by reviewing them with the entire group.
    • INPUT

      • Organizational and stakeholder knowledge
      • Optimized intake process

      OUTPUT

      • Estimates of stakeholder-specific impact and response

      Materials

      • Intake and Prioritization Impact Analysis Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Info-Tech Insight

      Beware of bias. Groups are just as susceptible to producing overly optimistic or pessimistic analysis as individuals, just in different ways. Unrealistic change impact analysis will compromise your chances of arriving at a reasonable, tactful stakeholder communication plan.

      Examine your impact analysis report

      3.2.2 Intake and Prioritization Impact Analysis Tool, Tab 5: Impact Analysis Outputs

      These outputs are based on the impacts you analyzed in Tab 4 of the tool (Activity 3.2.1). They are organized in seven sections:

      1. Top Five Highest Risk Impacts, based on the frequency and effort inputs across all impacts.
      2. Overall Process Adoption Rating (top right), showing the overall difficulty of this change given likelihood/risk that the stakeholders involved will absorb the anticipated change impacts.
      3. Top Five Most Impacted Stakeholders, based on the frequency and effort inputs across all impacts.
      4. Top Five Process Supporters and;
      5. Top Five Process Resistors, based on the anticipated response inputs across all impacts.
      6. Impact Register (bottom right): this list breaks down each change’s likelihood of adoption.
      7. Potential Impacts to Watch Out For: this list compiles all of the "Don't Know" responses from Tab 3.
      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 5 is shown. It shows Section 2. Overall process adoption rating. A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 5 is shown. It shows Section 6. Impact Register.

      Tailor messages for at-risk change impacts and stakeholders with Info-Tech’s Message Canvas

      3.2.2 Intake and Prioritization Impact Analysis Tool, Tab 6: Message Canvas

      Use Info-Tech’s Message Canvas on this tab to help rationalize and elaborate the change vision for each group.

      Elements of a Message Canvas

      • Why is there a need for this process change?
      • What will be new for this audience?
      • What will go away for this audience?
      • What will be meaningfully unchanged for this audience?
      • How will this change benefit this audience?
      • When and how will the benefits be realized for this audience?
      • What does this audience have to do for this change to succeed?
      • What does this audience have to stop doing for this change to succeed?
      • What should this audience continue doing?
      • What support will this audience receive to help manage the transition?
      • What should this audience expect to do/happen next?

      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 6 is shown.

      Info-Tech Insight

      Change thy language, change thyself.

      Jargon, acronyms, and technical terms represent deeply entrenched cultural habits and assumptions.

      Continuing to use jargon or acronyms after a transition tends to drag people back to old ways of thinking and working.

      You don’t need to invent a new batch of buzzwords for every change (nor should you), but every change is an opportunity to listen for words and phrases that have lost their meaning through overuse and abuse.

      Create message canvases for at-risk change impacts and stakeholders as a group

      3.2.2 Estimated Time: 90-120 minutes

      1. Decide on the number of message canvases to complete. This will be based on the number of at-risk change impacts and stakeholders.
      2. Divide the activity participants into subgroups and assign a section of the message canvas. It may be helpful to do one section together as a group to make sure everyone is roughly on the same page for assessing impact.
      3. Aggregate the completed work and benchmark the message canvases amongst subgroups.

      Remember these guidelines to help your messages resonate:

      • People are busy and easily distracted. Tell people what they really need to know first, before you lose their attention.
      • Repetition is good. Remember the Aristotelian triptych: “Tell them what you’re going to tell them, then tell them, then tell them what you told them.”
      • Don’t use technical terms, jargon, or acronyms. Different groups in organizations tend to develop specialized vocabularies. Everybody grows so accustomed to using acronyms and jargon every day that it becomes difficult to notice how strange it sounds to outsiders. This is especially important when IT communicates with non-technical audiences. Don’t alienate your audience by talking at them in a strange language.
      • Test your message. Run focus groups or deliver communications to a test audience (which could be as simple as asking 2–3 people to read a draft) before delivering messages more broadly.

      – Info-Tech Blueprint, Drive Organizational Change from the PMO

      INPUT

      • Impact Analysis Outputs
      • Organizational and stakeholder knowledge

      OUTPUT

      • Estimates of stakeholder-specific impact and response

      Materials

      • Intake and Prioritization Impact Analysis Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Distill the message canvases into a comprehensive communication plan

      3.2.3 Intake and Prioritization Impact Analysis Tool, Tab 7: Communication Plan

      The communication plan creates an action plan around the message canvases to coordinate the responsibilities of delivering them, so the risks of “dropping the ball” on your stakeholders are minimized.

      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 7: Communication is shown.

      1. Choose a change impact from a drop-down menu.

      2. Choose an intended audience...

      … and the message canvas to reference.

      3. Choose the method of delivery. It will influence how to craft the message for the stakeholder.

      4. Indicate who is responsible for creating and communicating the message.

      A screenshot of Info-Tech's Intake and Prioritization Impact Analysis Tool, Tab 7: Communication is shown.

      5. Briefly indicate goal of the communication and the likelihood of success.

      6. Record the dates to plan and track the communications that take place.

      Set the course of action for communicating changes to your stakeholders

      3.2.2 Estimated Time: 90-120 minutes

      1. Divide the activity participants into subgroups and assign communication topics to each group. There should be one communication topic for each change impact. Based on the message canvas, create a communication plan draft.
      2. Aggregate the completed work and benchmark the communication topic amongst subgroups.
      3. Share the finished communication plan with the rest of the working group. Do not share this file widely, but keep it private within the group.

      Identify critical points in the change curve:

      1. Honeymoon of “Uninformed Optimism”: There is usually tentative support and even enthusiasm for change before people have really felt or understood what it involves.
      2. Backlash of “Informed Pessimism” (leading to “Valley of Despair”): As change approaches or begins, people realize they’ve overestimated the benefits (or the speed at which benefits will be achieved) and underestimated the difficulty of change.
      3. Valley of Despair and beginning of “Hopeful Realism”: Eventually, sentiment bottoms out and people begin to accept the difficulty (or inevitability) of change.
      4. Bounce of “Informed Optimism”: People become more optimistic and supportive when they begin to see bright spots and early successes.
      5. Contentment of “Completion”: Change has been successfully adopted and benefits are being realized.

      Based on Don Kelley and Daryl Conner’s Emotional Cycle of Change.

      INPUT

      • Change impact analysis results
      • Message canvases
      • List of stakeholders

      OUTPUT

      • Communication Plan

      Materials

      • Intake and Prioritization Impact Analysis Tool

      Participants

      • PMO Director/ Portfolio Manager
      • Project Managers
      • Business Analysts

      Roll out the optimized intake, approval, and prioritization process, and continually monitor adoption and success

      As you implement your new project intake process, familiarize yourself with common barriers and challenges.

      There will be challenges to watch for in evaluating the effectiveness of your intake processes. These may include circumvention of process by key stakeholders, re-emergence of off-the-grid projects and low-value initiatives.

      As a quick and easy way to periodically assess your processes, consider the following questions:

      • Are you confident that all work in progress is being tracked via the project list?
      • Are your resources all currently working on high-value initiatives?
      • Since optimizing, have you been able to deliver (or are you on target to deliver) all that has been approved, with no initiatives in states of suspended animation for long periods of time?
      • Thanks to sufficient portfolio visibility and transparency into your capacity, have you been able to successfully decline requests that did not add value or that did not align with resourcing?

      If you answer “no” to any of these questions after a sufficient post-implementation period (approximately six to nine months, depending on the scope of your optimizing), you may need to tweak certain aspects of your processes or seek to align your optimization with a lower capability level in the short term.

      Small IT department struggles to optimize intake and to communicate new processes to stakeholders

      CASE STUDY

      Industry: Government

      Source: Info-Tech Client

      Challenge

      There is an IT department for a large municipal government. Possessing a relatively low level of PPM maturity, IT is in the process of establishing more formal intake practices in order to better track, and respond to, project requests. New processes include a minimalist request form (sent via email) coupled with more thorough follow-up from BAs and PMs to determine business value, ROI, and timeframes.

      Solution

      Even with new user-friendly processes in place, IT struggles to get stakeholders to adopt, especially with smaller initiatives. These smaller requests frequently continue to come in outside of the formal process and, because of this, are often executed outside of portfolio oversight. Without good, reliable data around where staff time is spent, IT lacks the authority to decline new requests.

      Results

      IT is seeking further optimization through better communication. They are enforcing discipline on stakeholders and reiterating that all initiatives, regardless of size, need to be directed through the process. IT is also training its staff to be more critical. “Don’t just start working on an initiative because a stakeholder asks.” With staff being more critical and directing requests through the proper queues, IT is getting better at tracking and prioritizing requests.

      "The biggest challenge when implementing the intake process was change management. We needed to shift our focus from responding to requests to strategically thinking about how requests should be managed. The intake process allows the IT Department to be transparent to customers and enables decision makers."

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      A picture of an Info-Tech analyst is shown.

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.1.1

      A screenshot of activity 3.1.1 is shown

      Select receptive stakeholders to work with during your pilot

      Identify the right team of supportive PPM stakeholders to carry out the process pilot. Strategies to recruit the right people outside the workshop will be discussed if appropriate.

      3.2.1

      A screenshot of activity 3.2.1 is shown.

      Analyze the stakeholder impact and responses to impending organizational change

      Carry out a thorough analysis of change impact in order to maximize the effectiveness of the communication strategy in support of the implementation of the optimized process.

      Insight breakdown

      Insight 1

      • The overarching goal of optimizing project intake, approval, and prioritization process is to maximize the throughput of the best projects. To achieve this goal, one must have a clear way to determine what are “the best” projects.

      Insight 2

      • Info-Tech’s methodology systemically fits the project portfolio into its triple constraint of stakeholder needs, strategic objectives, and resource capacity to effectively address the challenges of establishing organizational discipline for project intake.

      Insight 3

      • Engagement paves the way for smoother adoption. An “engagement” approach (rather than simply “communication”) turns stakeholders into advocates who can help boost your message, sustain the change, and realize benefits without constant intervention or process command-and-control.

      Summary of accomplishment

      Knowledge Gained

      • Triple constraint model of project portfolio: stakeholder needs, strategic objectives, and resource capacity
      • Benefits of optimizing project intake, approval, and prioritization for managing a well-behaved project portfolio
      • Challenges of installing well-run project intake
      • Importance of piloting the process and communicating impacts to stakeholders

      Processes Optimized

      • Project valuation process: scorecard, weights
      • Project intake process: reception, triaging, follow-up
      • Project approval process: steps, accountabilities, deliverables
      • Project prioritization process: estimation of resource capacity for projects, project demand
      • Communication for organizational change

      Deliverables Completed

      • Optimized Project Intake, Approval, and Prioritization Process
      • Documentation of the optimized process in the form of a Standard Operating Procedure
      • Project valuation criteria, developed with Project Value Scorecard Development Tool and implemented through the Project Intake and Prioritization Tool
      • Standardized project request form with right-sized procedural friction
      • Standard for project level classification, implemented through the Project Intake Classification Matrix
      • Toolbox of deliverables for capturing information developed to inform decision makers for approval: Benefits Commitment Form, Technology Assessment Tool, Business Case Templates
      • Process pilot plan
      • Communication plan for organizational change, driven by a thorough analysis of change impacts on key stakeholders using the Intake and Prioritization Impact Analysis Tool

      Research contributors and experts

      Picture of Kiron D. Bondale

      Kiron D. Bondale, PMP, PMI - RMP

      Senior Project Portfolio & Change Management Professional

      A placeholder photo is shown here.

      Scot Ganshert, Portfolio Group Manager

      Larimer County, CO

      Picture of Garrett McDaniel

      Garrett McDaniel, Business Analyst II – Information Technology

      City of Boulder, CO

      A placeholder photo is shown here.

      Joanne Pandya, IT Project Manager

      New York Property Insurance Underwriters

      Picture of Jim Tom.

      Jim Tom, CIO

      Public Health Ontario

      Related Info-Tech research

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      Project Portfolio Management Diagnostic Program

      The Project Portfolio Management Diagnostic Program is a low-effort, high-impact program designed to help project owners assess and improve their PPM practices. Gather and report on all aspects of your PPM environment to understand where you stand and how you can improve.

      Bibliography

      Boston Consulting Group. “Executive Sponsor Engagement: Top Driver of Project and Program Success.” PMI, 2014. Web.

      Boston Consulting Group. “Winning Through Project Portfolio Management: the Practitioners’ Perspective.” PMI, 2015. Web.

      Bradberry, Travis. “Why The 8-Hour workday Doesn’t Work.” Forbes, 7 Jun 2016. Web.

      Cook, Scott. Playbook: Best Practices. Business Week

      Cooper, Robert, G. “Effective Gating: Make product innovation more productive by using gates with teeth.” Stage-Gate International and Product Development Institute. March/April 2009. Web.

      Epstein, Dan. “Project Initiation Process: Part Two.” PM World Journal. Vol. IV, Issue III. March 2015. Web.

      Evans, Lisa. “The Exact Amount of Time You Should Work Every Day.” Fast Company, 15 Sep. 2014. Web.

      Madison, Daniel. “The Five Implementation Options to Manage the Risk in a New Process.” BPMInstitute.org. n.d. Web.

      Merkhofer, Lee. “Improve the Prioritization Process.” Priority Systems, n.d. Web.

      Miller, David, and Mike Oliver. “Engaging Stakeholder for Project Success.” PMI, 2015. Web.

      Mind Tools. “Kelley and Conner’s Emotional Cycle of Change.” Mind Tools, n.d. Web.

      Mochal, Jeffrey and Thomas Mochal. Lessons in Project Management. Appress: September 2011. Page 6.

      Newcomer, Eric. “Getting Decisions to Stick.” Standish Group PM2go, 20 Oct 2017. Web.

      “PMI Today.” Newtown Square, PA: PMI, Oct 2017. Web.

      Project Management Institute. “Standard for Portfolio Management, 3rd ed.” Newtown Square, PA: PMI, 2013.

      Project Management Institute. “Pulse of the Profession 2017: Success Rates Rise.” PMI, 2017. Web.

      Transparent Choice. “Criteria for Project Prioritization.” n.p., n.d. Web.

      University of New Hampshire (UNH) Project Management Office. “University of New Hampshire IT Intake and Selection Process Map.” UNH, n.d. Web.

      Ward, John. “Delivering Value from Information Systems and Technology Investments: Learning from Success.” Information Systems Research Centre. August 2006. Web.

      GDPR, Implemented!

      GDPR, Are You really ready?

      It is now 2020 and the GDPR has been in effect for almost 2 years. Many companies thought: been there, done that. And for a while the regulators let some time go by.

      The first warnings appeared quickly enough. Eg; in September 2018, the French regulator warned a company that they needed to get consent of their customers for getting geolocation based data.

      That same month, an airline was hacked and, on top of the reputational damage and costs to fix the IT systems, it faced the threat of a stiff fine.

      Even though we not have really noticed, fines started being imposed as early as January 2019.

      But these fines, that is when you have material breaches...

      Wrong! The fines are levied in a number of cases. And to make it difficult to estimate, there are guidelines that will shape the decision making process, but no hard and fast rules!

      The GDPR is very complex and consists of both articles and associated recitals that you need to be in compliance with. it is amuch about the letter as it is about the spirit.

      We have a clear view on what most of those cases are.
      And more importantly, when you follow our guidelines, you will be well placed to answer any questions by your clients and cooperate with the regulator in a proactive way.

      They will never come after me. I'm too small.

      And besides, I have my privacy policy and cookie notice in place

      Company size has nothing to do with it.

      While in the beginning, it seemed mostly a game for the big players (for names, you have to contact us) that is just perception.

      As early as March 2018 a €10M revenue company was fined around €120,000. 2 days later another company with operating revenues of  around €6.2M was fined close to €200.000 for failing to abide by the DSRR stipulatons.

      Don't know what these are?
      Fill out the form below and we'll let you in on the good stuff.

       

      Continue reading

      Recruit and Retain More Women in IT

      • Buy Link or Shortcode: {j2store}575|cart{/j2store}
      • member rating overall impact (scale of 10): 9.3/10 Overall Impact
      • member rating average dollars saved: $14,532 Average $ Saved
      • member rating average days saved: 4 Average Days Saved
      • Parent Category Name: Attract & Select
      • Parent Category Link: /attract-and-select
      • While the number of jobs in IT has increased dramatically, the percentage of women in IT has progressed disproportionately, with only 25% of IT jobs being held by women (CIO from IDG, 2021).
      • The challenge is not a lack of talented women with the competencies to excel within IT, but rather organizations lack an effective strategy to recruit and retain women in IT.

      Our Advice

      Critical Insight

      • Retaining and attracting top women is good business, not personal. As per McKinsey Global Institute, “$4.3 trillion of additional annual GDP in 2025 could be added to the U.S. by fully bridging the gender gap.”
      • In the war on talent, having a strategy around how you will recruit & retain of women in IT is Marketing 101. What influences whether women apply for roles and stay at organizations is different than men; traditional models won’t cut it.

      Impact and Result

      To stay competitive, IT leaders need to radically change the way they recruit and retain talent, and women in IT represent one of the largest untapped markets for IT talent. CIOs need a targeted strategy to attract and retain the best, and this requires a shift in how leaders currently manage the talent lifecycle. Info-Tech offers a targeted solution that will help IT leaders:

      1. Build a Recruitment Playbook: Leverage Info-Tech tools to effectively sell to, search for, and secure top talent.
      2. Build a Retention Strategy: Follow Info-Tech’s step-by-step process to identify initiatives and opportunities to retain your top talent.

      Recruit and Retain More Women in IT Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Recruit and Retain More Women in IT Deck – A step-by-step document that walks you through how to build a recruitment and retention plan for women in IT.

      Create a targeted recruitment and retention strategy for women. Increase the number of viable candidates by leveraging best practices to sell to, search for, and secure top women in IT. Take a data-driven approach to improving retention of women by using best practices to measure and improve employee engagement.

      • Recruit and Retain More Women in IT – Phases 1-2

      2. Employee Value Proposition Tools – Build and road-test your employee value proposition to ensure that it is aligned, clear, compelling, and differentiated.

      These tools tap into best practices to help you collect the information you need to build, assess, test, and adopt an employee value proposition.

      • Employee Value Proposition (EVP) Interview Guide
      • Employee Value Proposition (EVP) Scorecard
      • Employee Value Proposition (EVP) Internal Scorecard Handout

      3. IT Behavioral Interview Question Library – A complete list of sample questions aligned with core, leadership, and IT competencies.

      Don’t hire by intuition, consider leveraging behavioral interview questions to reduce bias and uncover candidates that will be able to execute on the job.

      • IT Behavioral Interview Question Library

      4. Stay Interview Guide – Use this tool to guide one-on-one conversations with your team members to monitor employee engagement between surveys.

      Stay interviews are an effective method for monitoring employee engagement. Have these informal conversations to gain insight into what your employees really think about their jobs, what causes them to stay, and what may lead them to leave.

      • Stay Interview Guide

      Infographic

      Workshop: Recruit and Retain More Women in IT

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Make the Case for Strategically Recruiting and Retaining Women in IT

      The Purpose

      Identify the need for a targeted strategy to recruit and retain women in IT and pinpoint your largest opportunities to drive diversity in your IT team.

      Key Benefits Achieved

      Establish goals and targets for the changes to be made to your IT recruitment and retention strategies.

      Activities

      1.1 Understand trends in IT staffing.

      1.2 Assess your talent lifecycle challenges and opportunities.

      1.3 Make the case for changes to recruitment and retention strategies.

      Outputs

      Recruitment & Retention Metrics Report

      Business Case for Recruitment and Retention Changes

      2 Develop Strategies to Sell Your Organization to Wider Candidate Pool

      The Purpose

      The way you position the organization impacts who is likely to apply to posted positions. Ensure you are putting a competitive foot forward by developing a unique, meaningful, and aspirational employee value proposition and clear job descriptions.

      Key Benefits Achieved

      Implement effective strategies to drive more applications to your job postings.

      Activities

      2.1 Develop an IT employee value proposition.

      2.2 Adopt your employee value proposition.

      2.3 Write meaningful job postings.

      Outputs

      Employee Value Proposition

      EVP Marketing Plan

      Revised Job Ads

      3 Expand Your Talent Sourcing Strategy

      The Purpose

      Sourcing shouldn’t start with an open position, it should start with identifying an anticipated need and then building and nurturing a talent pipeline.

      IT participation in this is critical to effectively promote the employee experience and foster relationships before candidates even apply.

      Key Benefits Achieved

      Develop a modern job requisition form though role analysis.

      Increase your candidate pool by expanding sourcing programs.

      Activities

      3.1 Build realistic job requisition forms.

      3.2 Identify new alternative sourcing approaches for talent.

      3.3 Build a sourcing strategy.

      Outputs

      Job requisition form for key roles

      Sourcing strategy for key roles

      4 Secure Top Talent

      The Purpose

      Work with your HR department to influence the recruitment process by taking a data-driven approach to understanding the root cause of applicant drop-off and success and take corrective actions.

      Key Benefits Achieved

      Optimize your selection process.

      Implement non-bias interview techniques in your selection process.

      Activities

      4.1 Assess key selection challenges.

      4.2 Implement behavioral interview techniques.

      Outputs

      Root-Cause Analysis of Section Challenges

      Behavioral Interview Guide

      5 Retain Top Women in IT

      The Purpose

      Employee engagement is one of the greatest predictors of intention to stay.

      To retain employees you need to understand not only engagement, but also your employee experience and the moments that matter, and actively work to create positive experience.

      Key Benefits Achieved

      Identify opportunities to drive engagement across your IT organization.

      Implement tactical programs to reduce turnover in IT.

      Activities

      5.1 Measure employee engagement and review results.

      5.2 Identify new alternative sourcing approaches for talent.

      5.3 Train managers to conduct stay interviews and drive employee engagement.

      Outputs

      Identified Employee Engagement Action Plan

      Action Plan to Execute Stay Interviews

      Further reading

      Recruit and Retain More Women in IT

      Gender diversity is directly correlated to IT performance.

      EXECUTIVE BRIEF

      Executive Summary

      Your Challenge

      Technology has never been more important to organizations, and as a result, recruiting and retaining quality IT employees is increasingly difficult.

      • IT unemployment rates continue to hover below 2% in the US.
      • The IT talent market has evolved into one where the employer is the seller and the employee is the buyer.

      Common Obstacles

      • While the number of jobs in IT has increased dramatically, the percentage of women in IT has progressed disproportionately, with only 25% of IT jobs being held by women.*
      • The challenge is not a lack of talented women with the competencies to excel within IT, but rather organizations lack an effective strategy to recruit and retain women in IT.

      Info-Tech’s Approach

      To stay competitive, IT leaders need to radically change the way they recruit and retain talent, and women in IT represent one of the largest untapped markets. CIOs need a targeted strategy to attract and retain the best, and this requires a shift in how leaders currently manage the talent lifecycle. Info-Tech offers a targeted solution to help:

      • Build a Recruitment Playbook: Leverage Info-Tech tools to effectively sell to, search for, and secure top talent.
      • Build a Retention Strategy: Follow Info-Tech’s step-by-step process to identify initiatives and opportunities to retain your top talent.

      Info-Tech Insight

      Retaining and attracting top women is good business, not personal. Companies with greater gender diversity on executive teams were 25% more likely to have above-average profitability.1 In the war on talent, having a strategy around how you will recruit and retain women in IT is Marketing 101. What influences whether women apply for roles and stay at organizations is different than men; traditional models won’t cut it.

      *– McKinsey & Company, 2020; 2 – CIO From IDG, 2021
      The image contains a screenshot of a thought model titled: Recruit and Retain More Women in IT. Its subheading is: Gender Diversity is Directly Correlated to IT Performance. The thought model lists critical methods to recruit and retain, and also a traditional method to compare.

      Diversity & inclusion – it’s good business, not personal

      Why should organizations care about diversity?

      1. The war for talent is real. Every CIO needs a plan of attack. Unemployment rates are dropping and 54% of CIOs report that the skills shortage is holding them up from meeting their strategic objectives.
      2. Source: Harvey Nash and KPMG, 2020
      3. Diversity has clear ROI – both in terms of recruitment and retention. Eighty percent of technology managers experienced increased turnover in 2021. Not only are employee tenures decreasing, the competition for talent is fierce and the average cost of turnover is 150% of an IT worker’s salary.
      4. Source: Robert Half, 2021
      5. Inability to recruit and retain talent will reduce business satisfaction. Organizations who are continuously losing talent will be unable to meet corporate objectives due to lost productivity, keeping them in firefighting mode. An engaged workforce is a requirement for driving innovation and project success.

      ISACA’s 2020 study shows a disconnect between what men and women think is being done to recruit and retain female employees

      Key findings from ISACA’s 2020 Tech Workforce survey

      65% of men think their employers have a program to encourage hiring women. But only 51% of women agree.

      71% of men believe their employers have a program to encourage the promotion or advancement of women. But only 59% of women agree.

      49% of women compared to 44% of men in the survey feel they must work harder than their peers.

      22% of women compared to 14% of men feel they are underpaid.

      66% of women compared to 72% of men feel they are receiving sufficient resources to sustain their career.

      30% of women compared to 23% of men feel they have unequal growth opportunities.

      74% of women compared to 64% of men feel they lack confidence to negotiate their salaries.

      To see ISACA’s full report click here.
      The image contains a screenshot of a multi bar graph to demonstrate the percentage of female employees in the workforce of major tech companies. The major tech companies include: Amazon, Facebook, Apple, Google, and Microsoft.
      Image: Statista, 2021, CC BY-ND 4.0

      The chart to the left, compiled by Statista, (based on self-reported company figures) shows that women held between 23% to 25% of the tech jobs at major tech companies.

      Women are also underrepresented in leadership positions: 34% at Facebook, 31% at Apple, 29% at Amazon, 28% at Google, and 26% at Microsoft.

      (Statista, 2021)

      To help support women in tech, 78% of women say companies should promote more women into leadership positions. Other solutions include:

      • Providing mentorship opportunities (72%)
      • Offering flexible scheduling (64%)
      • Conducting unconscious bias training (57%)
      • Offering equal maternity and paternity leave (55%)
      • (HRD America, 2021)

      Traditional retention initiatives target the majority – the drivers that impact the retention of women in IT are different

      Ranked correlation of impact of engagement drivers on retention

      The image contains a screenshot that demonstrates the differences in retaining men and women in IT.

      * Recent data stays consistent, but, the importance of compensation and recognition in retaining women in IT is increasing.

      Info-Tech Research Group Employee Engagement Diagnostic; N=1,856 IT employees

      The majority of organizations take a one-size-fits-all approach to retaining and engaging employees.

      However, studies show that women are leaving IT in significantly higher proportions than men and that the drivers impacting men’s and women’s retention are different. Knowing how men and women react differently to engagement drivers will help you create a targeted retention strategy.

      In particular, to increase the retention and engagement of women, organizations should develop targeted initiatives that focus on:

      • Organizational culture
      • Employee empowerment
      • Manager relationships

      Why organizations need to focus on the recruitment and retention of women in IT

      1. Women expand the talent pool. Women represent a vast, untapped talent pool that can bolster the technical workforce. Unfortunately, traditional IT recruitment processes are targeted toward a limited IT profile – the key to closing the IT skills gap is to look for agile learners and expand your search criteria to cast a larger net.
      2. Diversity increases innovation opportunities. Groups with greater diversity solve complex problems better and faster than homogenous groups, and the presence of women is more likely to increase the problem-solving and creative abilities of the group.
      3. Women increase your ROI. Research shows that companies with the highest representation of women in their management teams have a 34% higher return on investment than those with few or no women. Further, organizations who are unable to retain top women in their organization are at risk for not being able to deliver to SLAs or project expectations and lose the institutional knowledge needed for continuous improvement.
      4. Source: Bureau of Labour Statistics; Info-Tech Research Group/McLean & Company Analysis

      Improving the representation of women in your organization requires rethinking recruitment and retention strategies

      SIGNS YOU MAY NEED A TARGETED RECRUITMENT STRATEGY…

      SIGNS YOU MAY NEED A TARGETED RETENTION STRATEGY…

      • “It takes longer than 8 weeks to fill a posted IT position.”
      • “Less than 35% of applicants to posted positions are women.”
      • “In the last year the number of applicants to posted positions has decreased.”
      • “The number of female employees who have referred employees in the last year is significantly lower than men in the department.”
      • “Less than 35% of your IT workforce is made up of women.”
      • “Proportionally women decline IT roles in higher rates than men in IT.”
      • “Voluntary turnover of high performers and high potentials is above 5%.”
      • “Turnover of women in IT is disproportionate to the percentage of IT staff.”
      • “Employee rankings of the IT department on social networking sites (e.g. Glassdoor) are low.”
      • “Employees are frequently absent from their jobs.”
      • “Less than 25% of management roles in IT are filled by women.”
      • “Employee engagement scores are lower among women than men.”

      Info-Tech’s approach to improving gender diversity at your organization

      Info-Tech takes a practical, tactical approach to improving gender diversity at organizations, which starts with straightforward tactics that will help you improve the recruitment and retention of women in your organization.

      How we can help

      1. Leverage Info-Tech’s tools to define your current challenges and opportunities for gender diversity to improve your recruitment and retention issues.
      2. Employ straightforward and tested tactics to increase talent acquisition of women in IT by optimizing how you sell to, search for, and secure top female talent.
      3. Take a data-driven approach to measure and increase the retention and engagement of women within your IT organization, and know how and when to involve your staff for optimal results.

      Leverage Info-Tech’s customizable deliverables to improve the recruitment and retention of women in your organization

      RECRUIT Top Women in IT

      If you don’t have a targeted recruitment strategy for women, you are missing out on 50% of the candidate pool. Increase the number of viable candidates by leveraging best practices to sell to, search for, and secure top women in IT.

      Key metrics to track:

      • Average number of female candidates per posting
      • Average time to fill position
      • Percentage of new hires still at the organization one year later

      RETAIN Top Women in IT

      The drivers that impact the retention of men and women are different. Take a data-driven approach to improving retention of women in your organization by using best practices to measure and improve employee engagement.

      Key metrics to track:

      • Voluntary turnover rates of men and women
      • Average tenure of men and women
      • Percentage of internal promotions going to men and women
      • Employee engagement scores

      Info-Tech’s methodology for Recruit and Retain More Women in IT

      1. Enhance Your Recruitment Strategies

      2. Enhance Your Retention Strategies

      Phase Steps

      1. Sell:
      • Develop an attractive employee value proposition.
      • Understand the impact of language on applicants.
    • Search:
      • Define meaningful job requirements
      • Evaluate various sourcing pools.
    • Secure:
      • Improve the interview experience.
      • Leverage behavioral interview questions to limit bias.
      1. Drive engagement in key areas correlated with driving higher retention of women in IT.
      2. Train managers to understand key moments that matter in the employee experience.
      3. Understand what motivates key performers to stay at your organization.

      Phase Outcomes

      Recruitment Optimization Plan

      Retention Optimization Plan

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      Guided Implementation

      "Our teams knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track."

      Workshop

      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting

      "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      What does a typical GI on this topic look like?

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization. A typical GI is 6 calls over the course of 1 to 2 months.

      1. Tactics to Recruit More Women in IT

      Call #1: Develop a strategy to better sell your organization to diverse candidates.

      Call #2: Evaluate your candidate search practices to reach a wider audience.

      Call #3: Introduce best practices in your interviews to improve the candidate experience and limit bias.

      2. Tactics to Retain More Women in IT

      Call #4: Launch focus groups to improve performance of key retention drivers.

      Call #5: Measure the employee experience and identify key moments that matter to staff.

      Call #6: Conduct stay interviews and establish actions to improve retention.

      Workshop Overview

      Contact your account representative for more information.

      workshops@infotech.com 1-888-670-8889

      Day 1

      Day 2

      Day 3

      Day 4

      Day 5

      Make the Case

      Develop Strategies to Sell to a Wider Candidate Pool

      Expand Your Talent Sourcing Strategy

      Secure & Retain Top Talent

      Next Steps and Wrap-Up (offsite)

      Activities

      1.1 Understand trends in IT staffing.

      1.2 Assess your talent lifecycle.

      1.3 Make the case for changes to recruitment and retention strategies.

      2.1 Develop an IT employee value proposition (EVP).

      2.2 Adopt your employee value proposition.

      2.3 Write meaningful job postings.

      3.1 Build realistic job requisition forms.

      3.2 Identify new alternative sourcing approaches for talent.

      3.3 Build a sourcing strategy.

      4.1 Assess key selection challenges.

      4.2 Implement behavioral interview techniques.

      4.3 Measure employee engagement and review results.

      4.4 Develop programs to improve employee engagement.

      4.5 Train managers to conduct stay interviews and drive employee engagement.

      5.1 Complete in-progress deliverables from previous four days.

      5.2 Set up review time for workshop deliverables and to discuss next steps.

      Deliverables

      1. Recruitment & retention metrics report
      2. Business case for recruitment and retention changes
      1. Employee Value Proposition
      2. EVP marketing plan
      3. Revised job ads
      1. Job requisition form for key roles
      2. Sourcing strategy for key roles
      1. Root-cause analysis of section challenges
      2. Behavioral interview guide
      3. Identified employee engagement action plan
      4. Action plan to execute stay interviews
      1. Completed recruitment optimization plan
      2. Completed retention optimization plan

      Phase 1

      Enhance Your Recruitment Strategies

      Phase 1

      • 1.1 Sell
      • 1.2 Search
      • 1.3 Secure

      Phase 2

      • 2.1 Engagement
      • 2.2 Employee Experience
      • 2.3 Stay Interviews

      Consider key factors within the recruitment process

      Key Talent Pipeline Opportunities:

      • In today’s talent landscape IT leaders need to be highly strategic about how they recruit new talent to the organization.
      • IT professionals have a huge number of options to choose from when considering their next career.
      • IT leaders need to actively market and expand their search to attract top talent. The “where” and “how” to recruit men and women in IT are different and your strategy should reflect this.
      • Partnering with your HR department to help you improve the number of applicants, expand your search criteria, and optimize the interview experience will all directly impact your talent pipeline.
      1. Sell
      2. How do you position the value of working for your organization and roles in a meaningful way?

      3. Search
      4. How can you expand your key search criteria and sourcing strategies to reach more candidates?

      5. Secure
      6. How can you reduce bias in your interview process and create positive candidate experiences?

      Info-Tech’s Sell-Search-Secure recruitment model

      Follow these steps to increase your pool of female candidates.

      1. Sell Tactics:
      2. 1. Develop an employee value proposition that will attract female candidates.

        2. Understand how your job postings may be deterring female candidates.

      3. Search Tactics:
      4. 3. Identify opportunities to expand your role analysis for job requisitions.

        4. Increase your candidate pool by expanding sourcing programs.

      5. Secure Tactics:
      6. 5. Identify tactics to improve women’s interview experience.

        6. Leverage behavioral interview questions to limit bias in interviews.

      Please note, this section is not a replacement or a full talent strategy. Rather, this blueprint will highlight key tactics within talent acquisition practices that the IT leadership team can help to influence to drive greater diversity in recruitment.

      Understand where leaks exist in your talent pipeline

      Start your recruitment enhancement here.

      Work with your HR department to track critical metrics around where you need to make improvements and where you can partner with your recruitment team to improve your recruitment process and build a more diverse pipeline. Identify where you have significant drops or variation in diversity or overall need and select where you’d like to focus your recruitment improvement efforts.

      Selection Process Step

      Sample Metrics to Track

      Sell

      Average time to fill a vacant position

      Average number of applicants for posted positions

      Total # of Candidates; # of Male Candidates (% of total);

      # of Female Candidates (% of total); % Difference Male & Female

      Number of page visits vs. applications for posted positions

      Total # of Candidates

      # of Male Candidates

      % of total

      # of Female Candidates

      % of total

      % Difference Male & Female

      Search

      Number of applicants coming from your different sourcing channels (one line per sourcing channel: LinkedIn Group A, website, job boards, specific events, etc.)

      Number of applicants coming from referrals

      Secure

      Number of applicants meeting qualifications

      Number of applicants selected for second interview

      Number of applicants rejecting an offer

      Number of applicants accepting an offer

      Number of employees retained for one year

      Enhance your recruitment strategies

      The way you position the organization impacts who is likely to apply to posted positions. Ensure you are putting a competitive foot forward by developing a unique, meaningful, and aspirational employee value proposition and clear job descriptions.

      Sell the organization

      What is an employee value proposition?

      An employee value proposition (EVP) is a unique and clearly defined set of attributes and benefits that capture an employee’s overall work experience within an organization. An EVP is your opportunity to showcase the unique benefits and opportunities of working at your organization, allowing you to attract a wider pool of candidates.

      How is an employee value proposition used?

      Your EVP should be used internally and externally to promote the unique benefits of working within the department. As a recruiting tool, you can use it to attract candidates, highlighting the benefits of working for your organization. The EVP is often highlighted where you are most likely to reach your target audience, whether that is through social media, in-person events, or in other advertising activities.

      Why tailor this to multiple audiences?

      While your employee value proposition should remain constant in terms of the unique benefits of working for your organization, you want to ensure that the EVP appeals to multiple audiences and that it is backed up by relevant stories that support how your organization lives your EVP every day. Candidates need to be able to relate to the EVP and see it as desirable, so ensuring that it is relatable to a diverse audience is key.

      Develop a strong employee value proposition

      Three key steps

      The image contains a cycle to demonstrate the three key steps. The steps are: Build and Assess the EVP, Test the EVP, and Adopt the EVP.

      1. Build and Assess the EVP

      Assess your existing employee value proposition and/or build a forward-looking, meaningful, authentic, aspirational EVP.

      2. Test the EVP

      Gather feedback from staff to ensure the EVP is meaningful internally and externally.

      3. Adopt the EVP

      Identify how and where you will leverage the EVP internally and externally, and integrate the EVP into your candidate experience, job ads, and employee engagement initiatives.

      As you build your EVP, keep in mind that while it’s important to brand your IT organization as an inclusive workplace to help you attract diverse candidates, be honest about your current level of diversity and your intentions to improve. Otherwise, new recruits will be disappointed and leave.

      What is an employee value proposition?

      And what are the key components?

      The employee value proposition is your opportunity to showcase the unique benefits and opportunities of working at your organization, allowing you to attract a wider pool of candidates.

      AN EMPLOYEE VALUE PROPOSITION IS:

      AN EMPLOYEE VALUE PROPOSITION IS NOT:

      • An authentic representation of the employee experience
      • Aligned with organizational culture
      • Fundamental to all stages of the employee lifecycle
      • A guide to help investment in programs and policies
      • Short and succinct
      • What the employee can do for you
      • A list of programs and policies
      • An annual project

      THE FOUR KEY COMPONENTS OF AN EMPLOYEE VALUE PROPOSITION

      Rewards

      Organizational Elements

      Working Conditions

      Day-to-Day Job Elements

      • Compensation
      • Health Benefits
      • Retirement Benefits
      • Vacation
      • Culture
      • Customer Focus
      • Organization Potential
      • Department Relationships
      • Senior Management Relationships
      • Work/Life Balance
      • Working Environment
      • Employee Empowerment
      • Development
      • Rewards & Recognition
      • Co-Worker Relationships
      • Manager Relationships

      Creating a compelling EVP that presents a picture of your employee experience, with a focus on diversity, will attract females to your team. This can lead to many internal and external benefits for your organization.

      Collect relevant information

      Existing Employee Value Proposition: If your organization or IT department has an existing employee value proposition, rather than starting from scratch, we recommend leveraging that and moving to the testing phase to see if the EVP still resonates with staff and external parties.

      Employee Engagement Results: If your organization does an employee engagement survey, review the results to identify the areas in which the IT organization is performing well. Identify and document any key comment themes in the report around why employees enjoy working for the organization or what makes your IT department a great place to work.

      Social Media Sites. Prepare for the good, the bad, and the ugly. Social media websites like Glassdoor and Indeed make it easier for employees to share their experiences at an organization honestly and candidly. While postings on these sites won’t relate exclusively to the IT department, they do invite participants to identify their department in the organization. You can search these to identify any positive things people are saying about working for the organization and potentially opportunities for improvement (which you can use as a starting point in the retention section of this report).

      Step 1.1

      Sell – Assess the current state and develop your employee value proposition

      Activities

      1.1.1 Gather feedback on unique benefits

      1.1.2 Build key messages

      1.1.3 Test your EVP

      1.1.4 Adopt your EVP

      1.1.5 Review job postings for gender bias

      1.1.1 Gather feedback

      1. Hold a series of focus groups with employees to understand what about the organization attracted them to join and to stay at the organization.
      2. Start by identifying if you will interview all employees or a subset. If you are going to use a subset, ensure you have at least one male and one female participating from each team and representation of all levels within the department.
      3. Print the EVP Interview Guide to focus your conversation, and ask each individual to take 15 minutes and respond to questions 1-3 in the Guide:
      4. Draw a quadrant on the board and mark each quadrant with four categories: Day-to-Day Elements, Organizational Elements, Compensation & Benefits, and Working Conditions. Provide each participant with sticky notes and ask them to brainstorm the top five things they value most about working at the organization. Ask them to place each sticky in the appropriate category and identify any key themes.
      5. Ask participants to hand in their EVP Interview Guides and document all of the key findings.

      Input

      Output

      • Employee opinions
      • Employee responses to four EVP components
      • Content for EVP

      Materials

      Participants

      • EVP Interview Guide handout
      • Pen and paper for documenting responses
      • Male and female employees
      • Different departments
      • Different role levels

      Download the EVP Interview Guide

      1.1.2 Build key messages

      1. Collect all of the information from the various focus groups and begin to build out the employee value proposition statements.
      2. Identify the key elements that staff felt were unique and highly valued by employees and group these into common themes.
      3. Identify categories that related to one of the five key drivers* of women’s retention in IT and highlight any key elements related to these:
      • Culture: The degree to which an employee identifies with the beliefs, values, and attitudes of the organization.
      • Company Potential: An employee’s understanding, commitment, and excitement about the organization’s mission and future.
      • Employee Empowerment: The degree to which employees have accountability and control over their work within a supported environment.
      • Learning and Development: A cooperative and continuous effort to enhance an employee’s skill set and expertise and meet an employee’s career objectives.
      • Manager Relationships: The professional and personal relationship an employee has with their manager, including trust, support, and development.
    • Identify up to four key statements to focus on for the EVP, ensuring that your EVP speaks to at least one of the five categories above.
    • Integrate these into one overall statement.
    • *See Engagement Driver Handout slides for more details on these five drivers.

      Input

      Output

      • Feedback from focus groups
      • EVP and supporting statements

      Materials

      Participants

      • EVP Interview Guide handout
      • Pen and paper for documenting responses
      • IT leadership team

      Quality test your revised EVP

      Use Info-Tech’s EVP Scorecard.

      Internally and Externally

      Use the EVP Scorecard and EVP Scorecard Handout throughout this step to assess your EVP against:

      Internal Criteria:

      • Accuracy
      • Alignment
      • Aspirational
      • Differentiation

      External Criteria:

      • Clear
      • Compelling
      • Concise
      • Differentiation
      The image contains screenshots of Info-Tech's EVP Scorecard.

      Ensure your EVP resonates with employees and prospects

      Test your EVP with internal and external audiences.

      INTERNAL TEST REVOLVES AROUND THE 3A’s

      EXTERNAL TEST REVOLVES AROUND THE 3C’s

      ALIGNED: The EVP is in line with the organization’s purpose, vision, values, and processes. Ensure policies and programs are aligned with the organization’s EVP.

      CLEAR: The EVP is straightforward, simple, and easy to understand. Without a clear message in the market, even the best intentioned EVPs can be lost in confusion.

      ACCURATE: The EVP is clear and compelling, supported by proof points. It captures the true employee experience, which matches the organization’s communication and message in the market.

      COMPELLING: The EVP emphasizes the value created for employees and is a strong motivator to join this organization. A strong EVP will be effective in drawing in external candidates. The message will resonate with them and attract them to your organization.

      ASPIRATIONAL: The EVP inspires both individuals and the IT organization as a whole. Identify and invest in the areas that are sure to generate the highest returns for employees.

      COMPREHENSIVE: The EVP provides enough information for the potential employee to understand the true employee experience and to self-assess whether they are a good fit for your organization. If the EVP lacks depth, the potential employee may have a hard time understanding the benefits and rewards of working for your organization.

      1.1.3 Test your EVP

      1. Identify the internal and external individuals who you want to gather feedback from about the EVP.
      2. For internal candidates, send a copy of the EVP and ask them to complete the Internal Assessment (ensure that you have at least 50% representation of women).
      3. For external candidates, identify first how you will reach out to them; popular options are to have team members in key roles reach out to members of their LinkedIn network who are in similar roles to themselves. Request that they look for a diverse group to gather feedback from.
      4. Have the external candidates complete the External Assessment.
      5. Collect the feedback around the EVP and enter the findings into the EVP Scorecard Tool.
      6. If you are dissatisfied with the scorecard results, go back to the employees you interviewed to ask for additional feedback, focusing on the areas that scored low.
      7. Incorporate the feedback and present the revised EVP to see if the changes resonate with stakeholders.
      8. If you are satisfied with the results, present to the leadership and HR teams for agreement and proceed to adopting the EVP in your organization.

      Input

      Output

      • Internal assessment
      • External assessment
      • Finalized EVP

      Materials

      Participants

      • EVP Internal Assessmentt
      • EVP External Assessment
      • Internal staff members
      • External IT professionals

      1.1.4 Adopt your EVP

      Identify your target audience and marketing channels.

      1. Identify the internal and external individuals who you want to gather feedback from about the EVP.
      • The target audience for your employee value proposition
      • Internal and/or external
      • Local, national, international
      • Experience
      • Applicant pool (e.g. new graduates, professionals, internship)
    • For each target audience, identify where you want to reach them with your employee value proposition.
      • Internal: Town hall meetings, fireside chats
      • External: Social media, advertising, job postings
      • Global: Professional affiliations, head hunters
    • For each target audience, build the communication strategy and identify messaging, mediums, timeline, and task ownership.
    • Input

      Output

      • Employee value proposition
      • EVP plan

      Materials

      Participants

      • Pen and paper
      • EVP participants

      Case Study

      INDUSTRY: Restaurant

      SOURCE: McDonald’s Careers, Canadian Business via McLean & Company

      McDonald’s saw a divide between employee experience and its vision. McDonald’s set out to reinvent its employer image and create the reputation it wanted.

      Challenge

      • Historically, McDonald’s has had a challenging employer brand. Founded on the goal of cost effectiveness, a “McJob” was often associated with lower pay and a poor reputation.
      • McDonald’s reached out to employees using a global survey and asked, “What is it you love most about working at McDonald’s?”

      Solution

      • McDonald’s revaluated its employer brand by creating an EVP focused on the three F’s.
      1. Future – career growth and development opportunities
      2. Flexibility – flexible working hours and job variety
      3. Family & Friends – a people-centric work culture

      Results

      • As a result of developing and promoting its EVP internally, McDonald’s has experienced higher engagement and a steady decrease in turnover.
      • Externally, McDonald’s has been recognized numerous times by the Great Place to Work Institute and has been classified by Maclean’s magazine as one of Canada’s top 50 employers for 13 years running.

      Make your job descriptions more attractive to female applicants

      10 WAYS TO REMOVE GENDER BIAS FROM JOB DESCRIPTIONS – GLASSDOOR – AN EXCERPT

      1. USE GENDER-NEUTRAL TITLES: Male-oriented titles can inadvertently prevent women from clicking on your job in a list of search results. Avoid including words in your titles like “hacker,” “rockstar,” “superhero,” “guru,” and “ninja,” and use neutral, descriptive titles like “engineer,” “project manager,” or “developer.
      2. CHECK PRONOUNS: When describing the tasks of the ideal candidate, use “they” or “you.” Example: “As Product Manager for XYZ, you will be responsible for setting the product vision and strategy.
      3. AVOID (OR BALANCE) YOUR USE OF GENDER-CHARGED WORDS: Analysis from language tool Textio found that the gender language bias in your job posting predicts the gender of the person you’re going to hire. Use a tool like Textio tool or the free Gender Decoder to identify problem spots in your word choices. Examples: “Analyze” and “determine” are typically associated with male traits, while “collaborate” and “support” are considered female. Avoid aggressive language like “crush it.
      4. AVOID SUPERLATIVES: Excessive use of superlatives such as “expert,” “superior,” and “world class” can turn off female candidates who are more collaborative than competitive in nature. Research also shows that women are less likely than men to brag about their accomplishments. In addition, superlatives related to a candidate’s background can limit the pool of female applicants because there may be very few females currently in leading positions at “world-class” firms
      5. LIMIT THE NUMBER OF REQUIREMENTS: Identify which requirements are “nice to have” versus “must have,” and eliminate the “nice to haves.” Research shows that women are unlikely to apply for a position unless they meet 100 percent of the requirements, while men will apply if they meet 60 percent of the requirements.

      For the full article please click here.

      1.1.5 Review job postings

      To understand potential gender bias

      1. Select a job posting that you are looking to fill, review the descriptions, and identify if any of the following apply:
      • Are the titles gender neutral? This doesn’t mean you can’t be creative in your naming, but consider if the name really represents the role you are looking to fill.
      • Do you use pronouns? If there are instances where the posting says “he” OR “she” change this to “they” or “you.”
      • Are you overusing superlatives? Review the posting and ensure that when words like “expert” or “world class” are used that you genuinely need someone who is at that level.
      • Are all of the tasks/responsibilities listed the ones that are absolutely essential to the job? Women are less likely to apply if they don’t have direct experience with 100% of the criteria – if it’s a non-essential, consider whether it’s needed in the posting.
      • Is there any organization-specific jargon used? Where possible, avoid using organization-specific jargon in order to create an inclusive posting. Avoid using terms/acronyms that are only known to your organization.
    • Select four to six members of your staff, both male and female, and have them highlight within the job posting what elements appeal to them and what elements do not appeal to them or would concern them about the job.
    • Review the feedback from staff, and identify potential opportunities to reduce bias within the posting.
    • Input

      Output

      • Job posting
      • Updated job posting

      Materials

      Participants

      • Pen and paper
      • IT staff members

      Case Study

      INDUSTRY: Social Media

      SOURCE: Buffer Open blog

      When the social media platform Buffer replaced one word in a job posting, it noticed an increase in female candidates.

      Challenge

      For the social media platform Buffer, all employees were called “hackers.” It had front-end hackers, back-end hackers, Android hackers, iOS hackers, and traction hackers.

      As the company began to grow and ramp up hiring, the Chief Technology Officer, Sunil Sadasivan, noticed that Buffer was seeing a very low percentage of female candidates for these “hacker” jobs.

      In researching the challenge in lack of female candidates, the Buffer team discovered that the word “hacker” may be just the reason why.

      Solution

      Understanding that wording has a strong impact on the type of candidates applying to work for Buffer started a great and important conversation on the Buffer team.

      Buffer wanted to be as inviting as possible in job listings, especially because it hires for culture fit over technical skill.

      Buffer went through a number of wording choices that could replace “hacker,” and ended on the term “developer.” All external roles were updated to reflect this wording change.

      Results

      By making this slight change to the wording used in their jobs, Buffer went from seeing a less than 2% female representation of applicants for developer jobs to around 12% female representation for the same job.

      Step 1.2

      Search – Reach more candidates by expanding key search criteria and sourcing strategies

      Activities

      1.2.1 Complete role analysis

      1.2.2 Expand your sourcing pools

      Enhance your recruitment strategies

      Sourcing shouldn’t start with an open position; it should start with identifying an anticipated need and building and nurturing a talent pipeline. IT participation in this is critical to effectively promote the employee experience and foster relationships before candidates even apply.

      Expand your search

      What is a candidate sourcing program?

      A candidate sourcing program is one element of the overall HR sourcing approach, which consists of the overall process (steps to source talent), the people responsible for sourcing, and the programs (internal talent mobility, social media, employee referral, alumni network, campus recruitment, etc.).

      What is a sourcing role analysis?

      Part of the sourcing plan will outline how to identify talent for a role, which includes both the role analysis and the market assessment. The market assessment is normally completed by the HR department and consists of analyzing the market conditions as they relate to specific talent needs. The role analysis looks at what is necessary to be successful in a role, including competencies, education, background experience, etc.

      How will this enable you to attract female candidates?

      Expanding your sourcing programs and supporting deeper role analysis will allow your HR department to reach a larger candidate pool and better understand the type of talent that will be successful in roles within your organization. By expanding from traditional pools and criteria you will open the organization up to a wider variety of talent options.

      Minimize bias in sourcing to hire the right talent and protect against risk

      Failure to take an inclusive approach to sourcing will limit your talent pool by sidelining entire groups or discouraging applicants from diverse backgrounds. Address bias in sourcing so that diverse candidates are not excluded from the start. Solutions such as removing biographical data from CVs prior to interviews may reduce bias, but they may come too late to impact diversity.

      Potential areas of bias in sourcing:

      Modifications to reduce bias:

      Intake Session

      • Describing a specific employee when identifying what it takes to be successful in the role. This may include attributes that do not actually promote success (e.g. school or program) but will decrease diversity of thought.
      • Hiring managers display a “like me” bias where they describe a successful candidate as similar to themselves.
      • Focus on competencies for the role rather than attributes of current employees or skills. Technology is changing rapidly – look for people who have demonstrated a capability over a specific skill.

      Sourcing Pools

      • Blindly hunting or sourcing individuals from a few sources, assuming that these sources are always better than others (e.g. Ivy League schools always produce the best candidates).
      • Expand sources. Don’t exclude diverse sources because they’re not popular.
      • Objectively measure source effectiveness to address underlying assumptions.

      1.2.1 Role analysis

      Customize a sourcing plan for key roles to guide talent pipeline creation.

      1. Complete a role analysis to understand key role requirements. If you are hiring for an existing role, start by taking an inventory of who your top and low performers are within the role today.
      2. Consider your top performers and identify what a successful employee can do better than a less successful one. Start by considering their alignment with job requirements, and identify the education, designations/certifications, and experiences that are necessary for this job. Do not limit yourself; carefully consider if the requirements you are including are actually necessary or just nice to have.
      3. Required Entry Criteria

        Preferred Entry Criteria

        Education

        • University Degree – Bachelors
        • University Degree – Masters

        Experience

        • 5+) years design, or related, experience
        • Experience leading a team
        • External consulting experience
        • Healthcare industry experience

        Designations/Certifications

        • ITIL Foundations
      4. Review Info-Tech’s Job Competency Library in the Workforce Planning Workbook, identify the key competencies that are ideal for this anticipated role, and write a description of how this would manifest in your organization.
      5. Competency

        Level of Proficiency

        Behavioral Descriptions

        Business Analysis

        Level 2: Capable

        • Demonstrates a basic understanding of business roles, processes, planning, and requirements in the organization.
        • Demonstrates a basic understanding of how technologies assist in business processes.
        • Develop basic business cases using internal environment analysis for the business unit level.
      6. Hold a meeting with your HR team or recruiter to highlight the types of experience and competencies you are looking for in a hire to expand the search criteria.

      Target diverse talent pools through different sources

      When looking to diversify your workforce, it’s critical that you look to attract and recruit talent from a variety of different talent pools.

      SOURCING APPROACH

      INTERNAL MOBILITY PROGRAM

      Positioning the right talent in the right place, at the right time, for the right reasons, and supporting them appropriately. Often tied to succession or workforce planning, mentorship, and learning and development.

      SOCIAL MEDIA PROGRAM

      The widely accessible electronic tools that enable anyone to publish and access information, collaborate on common efforts, and build relationships. Think beyond the traditional and consider niche social media platforms.

      EMPLOYEE REFERRAL PROGRAM

      Employees recommend qualified candidates. If the referral is hired, the referring employee typically receives some sort of reward.

      ALUMNI PROGRAM

      An alumni referral program is a formalized way to maintain ongoing relationships with former employees of the organization.

      CAMPUS RECRUITING PROGRAM

      A formalized means of attracting and hiring individuals who are about to graduate from schools, colleges, or universities.

      EVENTS & ASSOCIATION PROGRAM

      A targeted approach for participation in non-profit associations and industry events to build brand awareness of your organization and create a forward-looking talent pipeline.

      1.2.2 Expand your sourcing pools

      Increase the number of female applicants.

      1. Identify where your employees are currently being sourced from and identify how many female candidates you have gotten from each channel as a percentage of applicants.
      2. # of Candidates From Approach

        % of Female Candidates From Approach

        Target # of Female Candidates

        Internal Talent Mobility

        Social Media Program

        Employee Referral Program

        Alumni Program

        Campus Recruiting Program

        Events & Non-Profit Affiliations

        Other (job databases, corporate website, etc.)

      3. Work with your HR partner or organization’s recruiter to identify three recruitment channels from the list that you will work on expanding.
      4. Review the following two slides and identify key success factors for the implementation. Identify what role IT will play and what role HR will play in implementing the approach.
      5. Following implementation, monitor the impact of the tactics on the number of women candidates and determine whether to add additional tactics.

      Different talent sources

      Benefits and success factors of using different talent sources

      Benefits

      Keys to Success

      Internal Mobility Program

      • Drives retention by providing opportunities to develop professionally
      • Provides a ready pipeline for rapid changes
      • Reduces time and cost of recruitment
      • Identify career pathing opportunities
      • Identify potential successors for succession planning
      • Build learning and development and mentorship

      Social Media Program

      • Access to candidates
      • Taps extended networks
      • Facilitates consistent communication with candidates and talent in pipelines
      • Personalizes the candidate experience
      • Identify platforms – common and niche
      • Talk to your top performers and IT network and identify which sites they use
      • Identify how people use that platform – nature of posts and engagement
      • Define what content to share and who from IT should be engaging
      • Be timely with participation and responses

      Employee Referral Program

      • Higher applicant-to-hire rate
      • Decreased time to fill positions
      • Decreased turner
      • Increased quality of hire
      • Expands your network – women in IT often know other qualified women in IT and in project delivery
      • Educate employees (particularly female employees) to participate
      • Send reminders, incorporate into onboarding, and ask leaders to share job openings
      • Make it easy to share jobs by providing templates and shortened URLs
      • Where possible, simplify the process by avoiding paper forms, reaching out quickly
      • Select metrics that will identify areas of strength and gaps in the referral program

      Alumni Program

      • A formalized way to maintain ongoing relationship with former employees
      • Positive branding as alumni are regarded as a credible source of information
      • Source of talent – boomerang employees are doubly as valuable as they understand the organization
      • Increased referral potential provides access to a larger network and alumni know what is required to be successful in the organization
      • Identify the purpose of the network and set clear goals
      • Identify what the network will do: Will the network be virtual or in person? Who will chair? Who should participate? etc.
      • Create a simple process for alumni to share information about vacancies and refer people
      • Measure progress

      Campus Recruiting Program

      • Increases employer brand awareness among talent entering the workforce
      • Provides the opportunity to interact with large groups of potential candidates at one time
      • Offers access to a highly diverse audience
      • Identify key competencies and select programs based on relevant curriculum for building those competencies
      • Select targeted schools keeping in mind programs and existing relationships
      • Work with HR to get involved

      Events & Non-Profit Affiliations

      • Create a strong talent pipeline for future positions
      • Build relationships based on shared values in a comfortable environment for participants
      • Ability to expand diversity by targeting different types of events or by leveraging women-focused, specifically women in technology, groups
      • Look for events that attract similar participants to the skills or roles you are looking to attract, e.g. Women Who Code if you’re looking for developers
      • Actively engage and participate in the event
      • Couple this with learning and development activities, and invite female top performers to participate

      Enhance your recruitment strategies

      Work with your HR department to influence the recruitment process by taking a data-driven approach to understand the root cause of applicant drop-off and success and take corrective actions.

      Secure top candidates

      Why does the candidate experience matter?

      Until recently it was an employer’s market, so recruiters and hiring managers were able to get good talent without courting top candidates. Today, that’s not the case. You need to treat your IT candidates like customers and be mindful that this is often one of the first experiences future staff will have with the organization. It will give them their first real sense of the culture of the organization and whether they want to work for the organization.

      What can IT leaders do if they have limited influence over the interview process?

      Work with your HR department to evaluate the existing recruitment process, share challenges you’ve experienced, and offer additional support in the process. Identify where you can influence the process and if there are opportunities to build service-level agreements around the candidate experience.

      Take a data-driven approach

      Understand opportunities to enhance the talent selection process.

      While your HR department likely owns the candidate experience and processes, if you have identified challenges in diversity we recommend partnering with your HR department or recruitment team to identify opportunities for improvement within the process. If you are attracting a good amount of candidates through your sell and search tactics but aren’t finding that this is translating into more women selected, it’s time to take a look at your selection processes.

      SIMPLIFIED CANDIDATE SELECTION PROCESS STEPS

      1. Application Received
      2. Candidate Selected for Interview
      3. Offer Extended
      4. Offer Accepted
      5. Onboarding of Staff

      To understand the challenges within your selection process, start by baselining your drop-off rates throughout selection and comparing the differences in male and female candidates. Use this to pin point the issues within the process and complete a root-cause analysis to identify where to improve.

      Step 1.3

      Secure – reduce bias in your interview process and create positive candidate experiences

      Activities

      1.3.1 Identify selection challenges

      1.3.1 Identify your selection challenges

      Review your candidate data.

      1. Hold a meeting with your HR partner to identify trends in your selection data. If you have an applicant tracking system, pull all relevant information for analysis.
      2. Start by identifying the total number of candidates that move forward in each stage of the process. Record the overall number of applicants for positions (should have this number from your sourcing analysis), overall number of candidates selected for interviews, overall number of offers extended, overall number of offers rejected, and overall number of employees still employed after one year.
      3. Identify the number of female and male candidates in each of those categories and as a percentage of the total number of applicants.
      4. Selection Process Step

        Total # of Candidates

        Male Candidates

        Female Candidates

        % Difference Male & Female

        #

        #

        % of total

        #

        % of total

        Applicants for Posted Position

        150

        115

        76.7%

        35

        23.3%

        70% fewer females

        Selected for Interview

        (Selected for Second Interview)

        (Selected for Final Interview)

        Offer Extended

        Offer Rejected

        Employees Retained for One Year

      5. Identify where there are differences in the percentages of male and female candidates and where there are significant drop-off rates between steps in the process.

      Note: For larger organizations, we highly recommend analyzing differences in specific teams/roles and/or at different seniority levels. If you have that data available, repeat the analysis, controlling for those factors.

      Root-cause analysis can be conducted in a variety of ways

      Align your root-cause analysis technique with the problem that needs to be solved and leverage the skills of the root-cause analysis team.

      Brainstorming/Process of Elimination

      After brainstorming, identify which possible causes are not the issue’s root cause by removing unlikely causes.

      The Five Whys

      Use reverse engineering to delve deeper into a recruitment issue to identify the root cause.

      Ishikawa/Fishbone Diagram

      Use an Ishikawa/fishbone diagram to identify and narrow down possible causes by categories.

      Process of elimination

      Leveraging root-cause analysis techniques.

      Using the process of elimination can be a powerful tool to determine root causes.

      • To use the process of elimination to determine root cause, gather the participants from within your hiring team together once you have identified where your issues are within the recruitment process and brainstorm a list of potential causes.
      • Like all brainstorming exercises, remember that the purpose is to gather the widest possible variety of perspectives, so be sure not to eliminate any suggested causes out of hand.
      • Once you have an exhaustive list of potential causes, you can begin the process of eliminating unlikely causes to arrive at a list of likely potential causes.

      Example

      Problem: Women candidates are rejecting job offers more consistently

      Potential Causes

      • The process took too long to complete
      • Lack of information about the team and culture
      • Candidates aren’t finding benefits/salary compelling
      • Lack of clarity on role expectations
      • Lack of fit between candidate and interviewers
      • Candidates offered other positions
      • Interview tactics were negatively perceived

      As you brainstorm, ensure that you are identifying differentiators between male and female candidate experiences and rationale. If you ask candidates their rationale for turning down roles, ensure that these are included in the discussion.

      The five whys

      Leveraging root-cause analysis techniques

      Repeatedly asking “why” might seem overly simplistic, but it has the potential to be useful.

      • It can be useful, when confronting a problem, to start with the end result and work backwards.
      • According to Olivier Serrat, a knowledge management specialist at the Asian Development Bank, there are three key components that define successful use of the five whys: “(i) accurate and complete statements of problems, (ii) complete honesty in answering the questions, and (iii) the determination to get to the bottom of problems and resolve them.”
      • As a group, develop a consensus around the problem statement. Go around the room and have each person suggest a potential reason for its occurrence. Repeat the process for each potential reason (ask “why?”) until there are no more potential causes to explore.
      • Note: The total number of “whys” may be more or less than five.

      Example

      The image contains an example of the five whys activity as described in the text above.

      Ishikawa/fishbone diagram

      Leveraging root-cause analysis techniques.

      Use this technique to sort potential causes by category and match them to the problem.

      • The first step in creating a fishbone diagram is agreeing on a problem statement and populating a box on the right side of a whiteboard or a piece of chart paper.
      • Draw a horizontal line left from the box and draw several ribs on either side that will represent the categories of causes you will explore.
      • Label each rib with relevant categories. In the recruitment context, consider cause categories like technology, interview, process, etc. Go around the room and ask, “What causes this problem to happen?” Every result produced should fit into one of the identified categories. Place it there, and continue to brainstorm sub-causes.

      The image contains a screenshot example of the Ishikawa/fishbone diagram.

      Info-Tech Best Practice

      Avoid naming individuals in the fishbone diagram. The goal of the root-cause exercise is not to lay blame or zero in on a guilty party but rather to identify how you can rectify any challenges.

      Leverage behavioral interviews

      Use Info-Tech’s Behavioral Interview Questions Library.

      Reduce bias in your interviews.

      In the past, companies were pushing the boundaries of the conventional interview, using unconventional questions to find top talent, e.g. “what color is your personality?” The logic was that the best people are the ones who don’t necessarily show perfectly on a resume, and they were intent on finding the best.

      However, many companies have stopped using these questions after extensive statistical analysis revealed there was no correlation between candidates’ ability to answer them and their future performance on the job. Hiring by intuition – or “gut” – is usually dependent on an interpersonal connection being developed over a very short period of time. This means that people who were naturally likeable would be given preferential treatment in hiring decisions whether they were capable of doing the job.

      Asking behavioral interview questions based on the competency needs of the role is the best way to uncover if the candidates will be able to execute on the job.

      For more information see Info-Tech’s Behavioral Interview Question Library.

      The image contains screenshots of Info-Tech's Behavioral Interview Questions Library.

      Improve the level of diversity in your organization by considering inclusive candidate selection practices

      Key action items to create inclusivity in your candidate selection practices:

      1. Managers must be aware of how bias can influence hiring. Encourage your HR department to provide diversity training for recruiters and hiring managers. Ensure those responsible for recruitment are using best practices, are aware of the impact of unconscious bias, and are making decisions in alignment with your DEI strategy.
      2. Use a variety of interviewers to leverage multiple/diverse perspectives. Hiring decisions made by a group can offer a more balanced perspective. Include interviewers from multiple levels in the organization and both men and women.
      3. Hire for distinguished excellence. Be careful not to simply choose the same kind of people over and over, in the name of cultural fit (Source: Recruiter.com, 2015).
      4. Broaden the notion of fit:

      • Hire for skill fit: you might still hire certain types for a specific job (e.g. analytical types for analysis positions), but these candidates can still be diverse.
      • Hire for fit with your organization’s DEI values, regardless of whether the candidate is from a diverse background or not.
      • It can be tempting for hiring managers to hire individuals who are similar to themselves. However, doing so limits the amount of diversity entering your organization, and as a result, limits your organization’s ability to innovate.
    • Deliberately hire for cognitive diversity. Diverse thought processes, perspectives, and problem-solving abilities are positively correlated with firm performance (Source: Journal of Diversity Management, 2014).
    • Leverage a third-party tool

      Ensure recruiting and onboarding programs are effective by surveying your new hires.

      For a deeper analysis of your new hire processes Info-Tech’s sister company, McLean & Company, is an HR research and advisory firm that offers powerful diagnostics to measure HR processes effectiveness. If you are finding diversity issues to be systemic within the organization, leveraging a diagnostic can greatly improve your processes.

      Use this diagnostic to get vital feedback on:

      • Recruiting efforts. Find out if your job marketing efforts are successful, which paths your candidates took to find you, and whether your company is maintaining an attractive profile.
      • Interviewing process. Ensure candidates experience an organized, professional, and ethical process that accurately sets their expectations for the job.
      • Onboarding process. Make sure your new hires are being trained and integrated into their team effectively.
      • Organizational culture. Is your culture welcoming and inclusive? You need to know if top talent enjoy the environment you have to offer.
      The image contains a screenshot of the New Hire Survey.

      For more information on the New Hire Survey click here. If you are interested in referring your HR partner please contact your account manager.

      Phase 2

      Enhance Your Retention Strategies

      Phase 1

      • 1.1 Sell
      • 1.2 Search
      • 1.3 Secure

      Phase 2

      • 2.1 Engagement
      • 2.2 Employee Experience
      • 2.3 Stay Interviews

      Actively engage female staff to retain them

      Employee engagement: the measurement of effective management practices that create a positive emotional connection between the employee and the organization.

      Engaged employees do what’s best for the organization: they come up with product/service improvements, provide exceptional service to customers, consistently exceed performance expectations, and make efficient use of their time and resources. The result is happy customers, better products/services, and saved costs.

      Today, what we find is that 54% of women in IT are not engaged,* but…

      …engaged employees are: 39% more likely to stay at an organization than employees who are not engaged.*

      Additionally, engaging your female staff also has the additional benefit of increasing willingness to innovate by 30% and performance by 28%. The good news is that increasing employee engagement is not difficult, it just requires dedication and an effective toolkit to monitor, analyze, and implement tactics.*

      * Info-Tech and McLean & Company Diagnostics; N=1,308 IT employees

      Don’t seek to satisfy; drive IT success through engagement

      The image contains a screenshot of a diagram that highlights the differences between satisfied and engaged employees.

      Engagement drivers that impact retention for men and women are different – tailor your strategy to your audience

      Ranked correlation of impact of engagement drivers on retention

      The image contains a screenshot that demonstrates the differences in retaining men and women in IT.

      * Recent data stays consistent, but the importance of compensation and recognition in retaining women in IT is increasing.

      Info-Tech Research Group Employee Engagement Diagnostic; N=1,856 IT employees.

      An analysis of the differences between men and women in IT’s drivers indicates that women in IT are significantly less likely than men in IT to agree with the following statements:

      Culture:

      • They identify well with the organization’s values.
      • The organization has a very friendly atmosphere.

      Employee Empowerment:

      • They are given the chance to fully leverage their talents through their job.

      Manager Relationships:

      • They can trust their manager.
      • Their manager cares about them as a person

      Working Environment:

      • They have not seen incidents of discrimination at their organization based on age, gender, sexual orientation, religion, or ethnicity.

      Enhance your retention strategies

      Employee engagement is one of the greatest predictors of intention to stay. To retain you need to understand not only engagement but also your employee experience – the moments that matter – and actively work to create a positive experience.

      Improve employee engagement

      What differentiates an engaged employee?

      Engaged employees do what’s best for the organization: they come up with product/service improvements, provide exceptional service to customers, consistently exceed performance expectations, and make efficient use of their time and resources. The result is happy customers, better products/services, and saved costs.

      Why measure engagement when looking at retention?

      Engaged employees report 39%1 higher intention to stay at the organization than disengaged employees. The cost of losing an employee is estimated to be 150% to 200% of their annual salary.2 Can you afford to not engage your staff?

      Why should IT leadership be responsible for their staff engagement?

      Engagement happens every day, through every interaction, and needs to be tailored to individual team members to be successful. When engagement is owned by IT leadership, engagement initiatives are incorporated into daily experiences and personalized to their employees based on what is happening in real time. It is this active, dynamic leadership that inspires ongoing employee engagement and differentiates those who talk about engagement from those who succeed in engaging their teams.

      Sources: 1 - McLean & Company Employee Engagement Survey, 2 - Gallup, 2019

      Step 2.1

      Improve employee engagement

      Activities

      2.1.1 Review employee engagement results and trends

      2.1.2 Focus on areas that impact retention of women

      Take a data-driven approach

      Info-Tech’s employee engagement diagnostics are low-effort, high-impact programs that will give you detailed report cards on the organization’s engagement levels. Use these insights to understand your employees’ engagement levels by a variety of core demographics.

      FULL ENGAGEMENT DIAGNOSTIC

      EMPLOYEE EXPERIENCE MONITOR

      The full engagement diagnostic provides a comprehensive view of your organization’s engagement levels, informing you of what motivates employees and providing a detailed view of what engagement drivers to focus on for optimal results.

      Info-Tech & McLean & Company’s Full Engagement Diagnostic Survey has 81 questions in total.

      The survey should be completed annually and typically takes 15-20 minutes to complete.

      The EXM Dashboard is designed to give organizations a real-time view of employee engagement while being minimally intrusive.

      This monthly one-question survey allows organizations to track the impact of events and initiatives on employee engagement as they happen, creating a culture of engagement.

      The survey takes less than 30 seconds to complete and is fully automated.

      For the purpose of improving retention of women in IT, we encourage you to leverage the EXM tool, which will allow you to track how this demographic group’s engagement changes as you implement new initiatives.

      Engagement survey

      For a detailed breakdown of staff overall engagement priorities.

      Overall Engagement Results

      • A clear breakdown of employee engagement results by demographic, gender, and team.
      • Detailed engagement breakdown and benchmarking.
      The image contains a screenshot of the overall engagement results.

      Priority Matrix and Driver Scores

      • A priority matrix specific to your organization.
      • A breakdown of question scores by priority matrix quadrant.
      • Know what not to focus your effort on – not all engagement drivers will have a high impact on engagement.
      The image contains a screenshot of the priority matrix and driver scores.

      EXM dashboard

      Reporting to track engagement in real time.

      EXM Dashboard

      • Leverage Info-Tech’s real-time Employee Experience Monitor dashboard to track your team’s engagement levels over time.
      • Track changes in the number of supporters and detractors and slice the data by roles, teams, and gender.
      The image contains a screenshot of the EXM dashboard.

      Time Series Trends

      • As you implement new initiatives to improve the engagement and retention of staff, track their impact and continuously course correct.
      • Empower your leaders to actively manage their team culture to drive innovation, retention, and productivity.
      The image contains a screenshot of the time series trends.

      Start your diagnostic now

      Leverage your Info-Tech membership to seamlessly launch your employee engagement survey.

      Info-Tech’s dedicated team of program managers will facilitate this diagnostic program remotely, providing you with a convenient, low-effort, high-impact experience.

      We will guide you through the process with your goals in mind to deliver deep insight into your successes and areas to improve.

      What You Need to Do:

      Info-Tech’s Program Manager Will:

      1. Contact Info-Tech to launch the program.
      2. Review the two survey options to select the right survey for your organization.
      3. Work with an Info-Tech analyst to set up your personal diagnostic.
      4. Identify who you would like to take the survey.
      5. Customize Info-Tech’s email templates.
      6. Participate in a one-hour results call with an Info-Tech executive advisor.
      1. Work with you to define your engagement strategy and goals.
      2. Launch, maintain, and support the diagnostic in the field.
      3. Provide you with response rates throughout the process.
      4. Explore your results in a one-hour call with an executive advisor to fully understand key insights from the data.
      5. Provide quarterly updates and training materials for your leadership team.

      Start Now

      2.1.1 Review employee engagement results

      Identify trends

      1. In a call with one of Info-Tech’s executive advisors, review the results of your employee engagement survey.
      2. Identify which departments are most and least engaged and brainstorm some high-level reasons.
      3. Review the demographic information and highlight any inconsistencies or areas with high levels of variance. Document which demographics have the most and least engaged, disengaged, and indifferent employees.
      4. With help from the Info-Tech executive advisor, identify and document any dramatic differences in the demographic data, particularly around gender.
      5. Identify if the majority of issues effecting engagement are at an organization or department level and which stakeholders you need to engage to support the process moving forward.
      6. Identify next steps.
      Input
      • Employee engagement results
      Participants
      • CIO
      • Info-Tech Advisor

      2.1.2 Focus on areas that impact retention of women

      Hold focus groups with IT staff and focus on the five areas with the greatest impact on women’s retention.

      1. Review the handout slides on the following pages to get a better understanding of the definition of each of the top five drivers impacting women’s retention. Depending on your team’s size, pick one to three drivers to focus on for your first focus group.
      2. Divide the participants into teams and on flip chart paper or using sticky notes have the teams brainstorm what you can stop/start/continue doing to help you improve on your assigned driver.
      • Continue: actions that work for the team related to this driver and should proceed.
      • Start: actions/initiatives that the team would like to begin.
      • Stop: actions/initiatives that the team would like to stop.
    • Prioritize the initiatives by considering: Is this initiative something you feel will make an impact on the engagement driver? Eliminate any initiatives that would not make an impact.
    • Have the groups present back and vote on two to three initiatives to implement to drive improvements within that area.
    • Culture

      Engagement driver handout

      Culture: The degree to which an employee identifies with the beliefs, values, and attitudes of the organization.

      Questions:

      • I identify well with the organization’s values.
      • This organization has a collaborative work environment.
      • This organization has a very friendly atmosphere.
      • I am a fit for the organizational culture.

      Ranked Correlation of Impact of Engagement Driver on Retention:

      • Women in IT: #1
      • Men in IT: #2

      Company Potential

      Engagement driver handout

      Company Potential: An employee’s understanding of and commitment to the organization’s mission, and the employee’s excitement about the organization’s mission and future.

      Questions:

      • This organization has a bright future.
      • I am impressed with the quality of people at this organization.
      • People in this organization are committed to doing high-quality work.
      • I believe in the organization’s overall business strategy.
      • This organization encourages innovation.

      Ranked Correlation of Impact of Engagement Driver on Retention:

      • Women in IT: #2
      • Men in IT: #1

      Employee Empowerment

      Engagement driver handout

      Employee Empowerment: The degree to which employees have accountability and control over their work within a supported environment.

      Questions:

      • I am not afraid of trying out new ideas in my job.
      • If I make a suggestion to improve something in my department I believe it will be taken seriously.
      • I am empowered to make decisions about how I do my work.
      • I clearly understand what is expected of me on the job.
      • I have all the tools I need to do a great job.
      • I am given the chance to fully leverage my talents through my job.

      Ranked Correlation of Impact of Engagement Driver on Retention:

      • Women in IT: #3
      • Men in IT: #6

      Learning and Development

      Engagement driver handout

      Learning and Development: A cooperative and continuous effort between an employee and the organization to enhance an employee’s skill set and expertise and meet an employee’s career objectives and the organization’s needs.

      Questions:

      • I can advance my career in this organization.
      • I am encouraged to pursue career development activities.
      • In the last year, I have received an adequate amount of training.
      • In the last year, the training I have received has helped me do my job better.

      Ranked Correlation of Impact of Engagement Driver on Retention:

      • Women in IT: #4
      • Men in IT: #5

      Manager Relationships

      Engagement driver handout

      Manager Relationships: The professional and personal relationship an employee has with their manager. Manager relationships depend on the trust that exists between these two individuals and the extent that a manager supports and develops the employee.

      Questions:

      • My manager inspires me to improve.
      • My manager provides me with high-quality feedback.
      • My manager helps me achieve better results.
      • I trust my manager.
      • My manager cares about me as a person.
      • My manager keeps me well informed about decisions that affect me.

      Ranked Correlation of Impact of Engagement Driver on Retention:

      • Women in IT: #5
      • Men in IT: #11

      Step 2.2

      Examine employee experience

      Activities

      2.2.1 Identify moments that matter

      Understand why and when employees plan to depart

      Leverage “psychology of quitting” expertise.

      Train your managers to provide them with the skills and expertise to recognize the warning signs of an employee’s departure and know how to re-engage and retain them.

      • The majority of resignations are not spur of the moment. They are the result of a compilation of events over a period of time. Normally, these instances are magnified by a stimulant. The final straw or the breaking point drives the employee to make a change. In fact, it has been estimated that a shock jumpstarts 65% of departures.*
        • These shocks could be a lack of promotion, loss of privilege or development opportunity, or a quarrel with a manager.
      • Employees rarely leave right away. Most wait until they have confirmed a new job opportunity before leaving. This creates a window in which you can reengage and retain them.
      • The majority of employees show signs that they are beginning to think of leaving. Whether that is leaving immediately, putting in the bare minimum of effort, or job searching online at work. Train your managers to know the signs and to keep an eye out for potentially dissatisfied and searching employees.*
      • It is easier and less costly to reengage an employee than to start the hiring process from the beginning.
      *Source: The Career Café, 2017

      Examine employee experience (EX)

      Look beyond engagement drivers to drive retention.

      Employee experience (EX) is the employee’s perception of their cumulative lived experiences with the organization. It is gauged by how well the employee’s expectations are met within the parameters of the workplace, especially by the “moments that matter” to them. Individual employee engagement is the outcome of a strong overall EX.

      The image contains a diagram as an example of examining employee experience.

      Drive a positive employee experience

      Identify moments that matter.

      Moments that matter are defining pieces or periods in an employee’s experience that create a critical turning point or memory that is of significant importance to them.

      These are moments that dramatically change the path of the emotional journey, influence the quality of the final outcome, or end the journey prematurely.

      To identify the moment that matters look for significant drops in the emotional journey that your organization needs to improve or significant bumps that your organization can capitalize on. Look for these drops or bumps in the journey and take stock of everything you have recorded at that point in the process. To improve the experience, analyze the hidden needs and how they are or aren’t being met.

      The image contains a screenshot of an example graph to demonstrate opportunities and issues to help drive a positive employee experience.

      Info-Tech Insight

      The moment that matters is key and it could be completely separate from organizational life, like the death of a family member. Leaders can more proactively address these moments that matter by identifying them and determining how to make the touchpoint at that moment more impactful.

      2.2.1 Identify moments that matter

      1. Review your Employee Experience Monitor weekly trends by logging into your dashboard and clicking on “Time Series Trends.”
      2. With your management team, identify any weekly trends where your Employee Experience Score has seen changes in the number of detractor, passive, or promoter responses.
      3. For each significant change identify:
      • Increase in promoters or decrease in detractors:
        • What can we do to duplicate positive moments that occurred this week?
        • What did I do as a leader to create positive employee experiences?
        • What happened in the organization that created a positive employee experience?
      • Increase in detractors or decrease in promoters:
        • What difficult change was delivered this week?
        • What about this change was negatively perceived?
        • During the difficult situation how did we as a leadership team support our staff?
        • Who did we engage and recognize during the difficult situation?
        • Was this situation a one-off issue or is this likely to occur again?
    • Consider your interactions with employees and identify how you made moments matter during those times related to four key engagement drivers impacting women in IT:
      • How did you promote a positive culture and friendly atmosphere?
      • How did you empower female staff to leverage their talents?
      • How did you interact with staff?
      • How did you promote a positive work environment? Where did you see bias in decisions?
    • Independently as manager, document three to five lessons learned from the changes in your detractors and promoters, and determine what action you will take.
    • Measured benefits of positive employee experience

      Positive employee experiences lead to engaged employees, and engaged employees are eight times more likely to recommend the organization (McLean & Company Employee Engagement Database, 2017; N=74,671).

      Retention

      Employees who indicate they are having a positive experience at work have a 52% higher level of intent to stay (Great Place To Work Institute, 2021)

      The bottom line

      Organizations that make employee experience a focus have: 23% higher profitability 10% higher customer loyalty (Achievers, 2021)

      Case Study

      INDUSTRY: Post-Secondary Education

      SOURCE: Adam Grant, “Impact and the Art of Motivation Maintenance: The Effects of Contact with Beneficiaries on Persistence Behavior”

      The future is here! Is your data architecture practice ready?

      Challenge

      A university call center, tasked with raising scholarship money from potential donors, had high employee turnover and low morale.

      Solution

      A study led by Grant arranged for a test group of employees to meet and interact with a scholarship recipient. In the five-minute meeting, employees learned what the student was studying.

      Results

      Demonstrating the purpose behind their work had significant returns. Employees who had met with the student demonstrated:

      More than two times longer “talk time” with potential donors.

      A productivity increase of 400%: the weekly average in donations went from $185.94 to $503.22 for test-group employees.

      Enhance your retention strategies

      Do not wait until employees leave to find out what they were unhappy with or why they liked the organization. Instead, perform stay interviews with top and core talent to create a holistic understanding of what they are perceiving and feeling.

      Conduct stay interviews

      What is a stay interview?

      A stay interview is a conversation with current employees. It should be performed on a yearly basis and is an informal discussion to generate deeper insight into the employee’s opinions, perspectives, concerns, and complaints. Stay interviews can have a multitude of uses. In this project they will be used to understand why top and core talent chose to stay with the organization to ensure that organizations understand and build upon their current strengths.

      When should you do stay interviews?

      We recommend completing stay interviews at least on an annual, if not quarterly, basis to truly understand how staff are feeling about the organization and their job, why they stay at the organization, and what would cause them to leave. Couple the outcomes of these interviews with employee engagement action planning to ensure that you are able to address talent needs.

      Step 2.3

      Conduct stay interviews and learn why employees stay

      Activities

      2.3.1 Conduct stay interviews

      Conduct regular “stay” or “retention” interviews

      Build stay interviews into the regular routine. By incorporating stay interviews into your schedule, they are more likely to stick. This regularity provides several advantages:

      1. Ensures that retention issues do not take you by surprise. With a finger on the pulse of the organization you will be aware of potential issues.
      2. Acts as a supplement to the engagement survey by providing additional information and context for the current level of emotion within the organization.
      3. Begins to build a wealth of information that can be analyzed to identify themes and trends. This can be used to track whether the reasons why individuals stay are consistent or if are they changing. This will ensure that the retention strategy remains up to date.

      Stay interview best practices:

      • Ideally is performed by managers, but can be performed by HR.
        • Ideally completed by managers as they are more familiar with their employees, have a greater reach, can hold meetings in a more informal setting, and will receive information first hand.
        • If conducted by managers, it’s a best practice to ensure that there is a central repository of themes so that you can identify if there are any trends in the responses, that consistent questions are asked, and that all of the information is in one place
      • Should be an informal conversation.
      • Should be conducted in a non-critical time in the business year.
      • Ask three types of questions:
        • What do you enjoy about working here?
        • What would you change about your working environment?
        • What would encourage or force you to leave the organization?
      • Interview a diverse employee base:
        • Demographics
        • Role
        • Performance level
        • Location
      Source: Talent Management & HT, 2013

      Leverage stay interviews

      Use Info-Tech’s Stay Interview Guide.

      Proactively identify opportunities to drive retention.

      The Stay Interview Guide helps managers conduct interviews with current employees, enabling the manager to understand:

      • The employee's current engagement level.
      • The employee's satisfaction with current role and responsibilities.
      • Suggestions for potential improvements.
      • An employee's intent to stay with the organization.

      Use this template to help you understand how you can best engage your employees and identify any challenges, in terms of moments that mattered, that negatively impacted their intention to stay at the organization.

      The image contains a screenshot of Info-Tech's Stay Interview Guide.

      2.3.1 Conduct stay interviews

      1. If you are using the Employee Experience Monitor, prepare for your stay interviews by reviewing your results and identifying if there have been any changes in the results over the previous six weeks. Identify which demographics have the highest and lowest engagement levels – and identify any changes in experience between different demographics.
      2. Identify a meeting schedule and cadence that seems appropriate for your stay interviews. For example, you likely will not do all staff at the same time and it may be beneficial to space out your meetings throughout the year. Select a candidate for your first stay interview and invite them for a one-on-one meeting. If it’s unusual for you to meet with this employee, we recommend providing some light context around the rationale, such as that you are looking for opportunities to strengthen the organizational culture and better understand how you can improve retention and engagement at the organization.
      3. Download the Stay Interview Template, review all of the questions beforehand, and identify the key questions that you want to ask in the meeting.
      • TIP: Even though this is called a “stay interview,” really it should be more of a conversation, and certainly not an interrogation. Know the questions you want to ask, and ask your staff member if it’s ok if you jot down some notes. It may even be beneficial to have the meeting outside of the office, over lunch, or out for coffee.
    • Hold your meeting with the employee and thank them for their time.
    • Following the meeting, send them a thank-you email to thank them for providing feedback, summarize your top three to five key takeaways from the meeting, verify with them that this aligns with their perspective, and see if they have anything else to add to the conversation. Identify any initiatives or changes that you will make as a result of the information – set a date for execution and follow-up.
    • If you are in the process of recruiting new employees to the organization, don’t forget to remind them of your referral program and ask if they might know of any candidates that would be a good fit for the organization.
    • Download the Stay Interview Guide

      Ten tips for best managing stay interviews

      Although stay interviews are meant to be informal, you should schedule them as you would any other meeting. Simply invite the employee for a chat.

      1. Step out of the office if possible. Opt for your local coffee shop, a casual lunch destination, or another public but informal location.
      2. Keep the conversation short, no more than 15 to 20 minutes. If there are any areas of concern that you think warrant action, ask the employee if they would like to discuss them another time. Suggest another meeting to delve deeper into specific issues.
      3. Be clear about the purpose of the conversation. Stay interviews are not performance reviews.
      4. Focus on what you can do for them. Ask about the employee’s preferences when it comes to feedback and communication (frequency, method, etc.) as well as development (preferences around methods, e.g. coaching or rotations, and personal goals).
      5. Be positive. Ask your employee what they like about their job and use positively framed questions.
      6. Ask about what they like doing. People enjoy talking about what they like to do. Ask employees about the talents and skills they would like to incorporate into their work duties.
      7. Show that you’re listening – paraphrase, ask for clarification, and use appropriate gestures.
      8. Refrain from taking notes during the meeting to preserve a conversational atmosphere.
      9. Pay attention to the employee’s body language and tone. If it appears that they are uncomfortable talking to you, stop the interview or pause to let them collect themselves.
      10. Be open to suggestions, but remember that you can’t control everything. If the employee brings up issues that are beyond your control, tell them that you will do all you can to improve the situation but can’t guarantee anything.

      Related Info-Tech Research

      Recruit and Retain People of Color in IT

      • To stay competitive, IT leaders need to be more involved and commit to a plan to recruit and retain people of color in their departments and organizations. A diverse team is an answer to innovation that can differentiate your company.
      • Treat recruiting and retaining a diverse team as a business challenge that requires full engagement. Info-Tech offers a targeted solution that will help IT leaders build a plan to attract, recruit, engage, and retain people of color.

      Recruit Top IT Talent

      • Changing workforce dynamics and increased transparency have shifted the power from employers to job seekers, stiffening the competition for talent.
      • Candidate expectations match high consumer expectations and affect the employer brand, the consumer brand, and overall organizational reputation. Delivering a positive candidate experience (CX2) is no longer optional.

      Acquire the Right Hires with Effective Interviewing

      • Talk is cheap. Hiring isn’t.
      • Gain insight into and understand the need for a strong interview process.
      • Strategize and plan your interview process.
      • Understand various hiring scenarios and how an interview process may be modified to reflect your organization’s scenario.

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      Build a Strong Technology Foundation for Customer Experience Management

      • Buy Link or Shortcode: {j2store}526|cart{/j2store}
      • member rating overall impact (scale of 10): 8.6/10 Overall Impact
      • member rating average dollars saved: $340,152 Average $ Saved
      • member rating average days saved: 26 Average Days Saved
      • Parent Category Name: Customer Relationship Management
      • Parent Category Link: /customer-relationship-management
      • Technology is a fundamental enabler of an organization’s customer experience management (CXM) strategy. However, many IT departments fail to take a systematic approach when building a portfolio of applications for supporting marketing, sales, and customer service functions.
      • The result is a costly, ineffective, and piecemeal approach to CXM application deployment (including high-profile applications like CRM).

      Our Advice

      Critical Insight

      • IT must work in lockstep with their counterparts in marketing, sales, and customer service to define a unified vision and strategic requirements for enabling a strong CXM program.
      • To deploy applications that specifically align with the needs of the organization’s customers, IT leaders must work with the business to define and understand customer personas and common interaction scenarios. CXM applications are mission critical and failing to link them to customer needs can have a detrimental effect on customer satisfaction and ultimately, revenue.
      • IT must act as a valued partner to the business in creating a portfolio of CXM applications that are cost effective.
      • Organizations should create a repeatable framework for CXM application deployment that addresses critical issues, including the integration ecosystem, customer data quality, dashboards and analytics, and end-user adoption.

      Impact and Result

      • Establish strong application alignment to strategic requirements for CXM that is based on concrete customer personas.
      • Improve underlying business metrics across marketing, sales, and service, including customer acquisition, retention, and satisfaction metrics.
      • Better align IT with customer experience needs.

      Build a Strong Technology Foundation for Customer Experience Management Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should build a strong technology foundation for CXM, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Drive value with CXM

      Understand the benefits of a robust CXM strategy.

      • Build a Strong Technology Foundation for Customer Experience Management – Phase 1: Drive Value with CXM
      • CXM Strategy Stakeholder Presentation Template
      • CXM Strategy Project Charter Template

      2. Create the framework

      Identify drivers and objectives for CXM using a persona-driven approach and deploy the right applications to meet those objectives.

      • Build a Strong Technology Foundation for Customer Experience Management – Phase 2: Create the Framework
      • CXM Business Process Shortlisting Tool
      • CXM Portfolio Designer

      3. Finalize the framework

      Complete the initiatives roadmap for CXM.

      • Build a Strong Technology Foundation for Customer Experience Management – Phase 3: Finalize the Framework
      [infographic]

      Workshop: Build a Strong Technology Foundation for Customer Experience Management

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Create the Vision for CXM Technology Enablement

      The Purpose

      Establish a consistent vision across IT, marketing, sales, and customer service for CXM technology enablement.

      Key Benefits Achieved

      A clear understanding of key business and technology drivers for CXM.

      Activities

      1.1 CXM fireside chat

      1.2 CXM business drivers

      1.3 CXM vision statement

      1.4 Project structure

      Outputs

      CXM vision statement

      CXM project charter

      2 Conduct the Environmental Scan and Internal Review

      The Purpose

      Create a set of strategic requirements for CXM based on a thorough external market scan and internal capabilities assessment.

      Key Benefits Achieved

      Well-defined technology requirements based on rigorous, multi-faceted analysis.

      Activities

      2.1 PEST analysis

      2.2 Competitive analysis

      2.3 Market and trend analysis

      2.4 SWOT analysis

      2.5 VRIO analysis

      2.6 Channel map

      Outputs

      Completed external analysis

      Strategic requirements (from external analysis)

      Completed internal review

      Channel interaction map

      3 Build Customer Personas and Scenarios

      The Purpose

      Augment strategic requirements through customer persona and scenario development.

      Key Benefits Achieved

      Functional requirements aligned to supporting steps in customer interaction scenarios.

      Activities

      3.1 Persona development

      3.2 Scenario development

      3.3 Requirements definition for CXM

      Outputs

      Personas and scenarios

      Strategic requirements (based on personas)

      4 Create the CXM Application Portfolio

      The Purpose

      Using the requirements identified in the preceding modules, build a future-state application inventory for CXM.

      Key Benefits Achieved

      A cohesive, rationalized portfolio of customer interaction applications that aligns with identified requirements and allows investment (or rationalization) decisions to be made.

      Activities

      4.1 Build business process maps

      4.2 Review application satisfaction

      4.3 Create the CXM application portfolio

      4.4 Prioritize applications

      Outputs

      Business process maps

      Application satisfaction diagnostic

      Prioritized CXM application portfolio

      5 Review Best Practices and Confirm Initiatives

      The Purpose

      Establish repeatable best practices for CXM applications in areas such as data management and end-user adoption.

      Key Benefits Achieved

      Best practices for rollout of new CXM applications.

      A prioritized initiatives roadmap.

      Activities

      5.1 Create data integration map

      5.2 Define adoption best practices

      5.3 Build initiatives roadmap

      5.4 Confirm initiatives roadmap

      Outputs

      Integration map for CXM

      End-user adoption plan

      Initiatives roadmap

      Further reading

      Build a Strong Technology Foundation for Customer Experience Management

      Design an end-to-end technology strategy to enhance marketing effectiveness, drive sales, and create compelling customer service experiences.

      ANALYST PERSPECTIVE

      Technology is the catalyst to create – and keep! – your customers.

      "Customers want to interact with your organization on their own terms, and in the channels of their choice (including social media, mobile applications, and connected devices). Regardless of your industry, your customers expect a frictionless experience across the customer lifecycle. They desire personalized and well-targeted marketing messages, straightforward transactions, and effortless service. Research shows that customers value – and will pay more for! – well-designed experiences.

      Strong technology enablement is critical for creating customer experiences that drive revenue. However, most organizations struggle with creating a cohesive technology strategy for customer experience management (CXM). IT leaders need to take a proactive approach to developing a strong portfolio of customer interaction applications that are in lockstep with the needs of their marketing, sales, and customer service teams. It is critical to incorporate the voice of the customer into this strategy.

      When developing a technology strategy for CXM, don’t just “pave the cow path,” but instead move the needle forward by providing capabilities for customer intelligence, omnichannel interactions, and predictive analytics. This blueprint will help you build an integrated CXM technology roadmap that drives top-line revenue while rationalizing application spend."

      Ben Dickie

      Research Director, Customer Experience Strategy

      Info-Tech Research Group

      Framing the CXM project

      This Research Is Designed For:

      • IT leaders who are responsible for crafting a technology strategy for customer experience management (CXM).
      • Applications managers who are involved with the selection and implementation of critical customer-centric applications, such as CRM platforms, marketing automation tools, customer intelligence suites, and customer service solutions.

      This Research Will Help You:

      • Clearly link your technology-enablement strategy for CXM to strategic business requirements and customer personas.
      • Build a rationalized portfolio of enterprise applications that will support customer interaction objectives.
      • Adopt standard operating procedures for CXM application deployment that address issues such as end-user adoption and data quality.

      This Research Will Also Assist:

      • Business leaders in marketing, sales, and customer service who want to deepen their understanding of CXM technologies, and apply best practices for using these technologies to drive competitive advantage.
      • Marketing, sales, and customer service managers involved with defining requirements and rolling out CXM applications.

      This Research Will Help Them:

      • Work hand-in-hand with counterparts in IT to deploy high-value business applications that will improve core customer-facing metrics.
      • Understand the changing CXM landscape and use the art of the possible to transform the internal technology ecosystem and drive meaningful customer experiences.

      Executive summary

      Situation

      • Customer expectations for personalization, channel preferences, and speed-to-resolution are at an all-time high.
      • Your customers are willing to pay more for high-value experiences, and having a strong customer CXM strategy is a proven path to creating sustainable value for the organization.

      Complication

      • Technology is a fundamental enabler of an organization’s CXM strategy. However, many IT departments fail to take a systematic approach to building a portfolio of applications to support Marketing, Sales, and Customer Service.
      • The result is a costly, ineffective, and piecemeal approach to CXM application deployment (including high profile applications like CRM).

      Resolution

      • IT must work in lockstep with their counterparts in marketing, sales, and customer service to define a unified vision, strategic requirements and roadmap for enabling strong customer experience capabilities.
      • In order to deploy applications that don’t simply follow previously established patterns but are aligned with the specific needs of the organization’s customers, IT leaders must work with the business to define and understand customer personas and common interaction scenarios. CXM applications are mission critical and failing to link them to customer needs can have a detrimental effect on customer satisfaction – and ultimately revenue.
      • IT must act as a valued partner to the business in creating a portfolio of CXM applications that are cost effective.
      • Organizations should create a repeatable framework for CXM application deployment that addresses critical issues, including the integration ecosystem, customer data quality, dashboards and analytics, and end-user adoption.

      Info-Tech Insight

      1. IT can’t hide behind the firewall. IT must understand the organization’s customers to properly support marketing, sales, and service efforts.
      2. IT – or Marketing – must not build the CXM strategy in a vacuum if they want to achieve a holistic, consistent, and seamless customer experience.
      3. IT must get ahead of shadow IT. To be seen as an innovator within the business, IT must be a leading enabler in building a rationalized and integrated CXM application portfolio.

      Guide to frequently used acronyms

      CXM - Customer Experience Management

      CX - Customer Experience

      CRM - Customer Relationship Management

      CSM - Customer Service Management

      MMS - Marketing Management System

      SMMP - Social Media Management Platform

      RFP - Request for Proposal

      SaaS - Software as a Service

      Customers’ expectations are on the rise: meet them!

      Today’s consumers expect speed, convenience, and tailored experiences at every stage of the customer lifecycle. Successful organizations strive to support these expectations.

      67% of end consumers will pay more for a world-class customer experience. 74% of business buyers will pay more for strong B2B experiences. (Salesforce, 2018)

      5 CORE CUSTOMER EXPECTATIONS

      1. More personalization
      2. More product options
      3. Constant contact
      4. Listen closely, respond quickly
      5. Give front-liners more control

      (Customer Experience Insight, 2016)

      Customers expect to interact with organizations through the channels of their choice. Now more than ever, you must enable your organization to provide tailored customer experiences.

      Realize measurable value by enabling CXM

      Providing a seamless customer experience increases the likelihood of cross-sell and up-sell opportunities and boosts customer loyalty and retention. IT can contribute to driving revenue and decreasing costs by providing the business with the right set of tools, applications, and technical support.

      Contribute to the bottom line

      Cross-sell, up-sell, and drive customer acquisition.

      67% of consumers are willing to pay more for an upgraded experience. (Salesforce, 2018)

      80%: The margin by which CX leaders outperformer laggards in the S&P 500.(Qualtrics, 2017)

      59% of customers say tailored engagement based on past interactions is very important to winning their business. (Salesforce, 2018)

      Enable cost savings

      Focus on customer retention as well as acquisition.

      It is 6-7x more costly to attract a new customer than it is to retain an existing customer. (Salesforce Blog, 2019)

      A 5% increase in customer retention has been found to increase profits by 25% to 95%. (Bain & Company, n.d.)

      Strategic CXM is gaining traction with your competition

      Organizations are prioritizing CXM capabilities (and associated technologies) as a strategic investment. Keep pace with the competition and gain a competitive advantage by creating a cohesive strategy that uses best practices to integrate marketing, sales, and customer support functions.

      87% of customers share great experiences they’ve had with a company. (Zendesk, n.d.)

      61% of organizations are investing in CXM. (CX Network, 2015)

      53% of organizations believe CXM provides a competitive advantage. (Harvard Business Review, 2014)

      Top Investment Priorities for Customer Experience

      1. Voice of the Customer
      2. Customer Insight Generation
      3. Customer Experience Governance
      4. Customer Journey Mapping
      5. Online Customer Experience
      6. Experience Personalization
      7. Emotional Engagement
      8. Multi-Channel Integration/Omnichannel
      9. Quality & Customer Satisfaction Management
      10. Customer/Channel Loyalty & Rewards Programs

      (CX Network 2015)

      Omnichannel is the way of the future: don’t be left behind

      Get ahead of the competition by doing omnichannel right. Devise a CXM strategy that allows you to create and maintain a consistent, seamless customer experience by optimizing operations within an omnichannel framework. Customers want to interact with you on their own terms, and it falls to IT to ensure that applications are in place to support and manage a wide range of interaction channels.

      Omnichannel is a “multi-channel approach to sales that seeks to provide the customer with a seamless transactional experience whether the customer is shopping online from a desktop or mobile device, by telephone, or in a bricks and mortar store.” (TechTarget, 2014)

      97% of companies say that they are investing in omnichannel. (Huffington Post, 2015)

      23% of companies are doing omnichannel well.

      CXM applications drive effective multi-channel customer interactions across marketing, sales, and customer service

      The success of your CXM strategy depends on the effective interaction of various marketing, sales, and customer support functions. To deliver on customer experience, organizations need to take a customer-centric approach to operations.

      From an application perspective, a CRM platform generally serves as the unifying repository of customer information, supported by adjacent solutions as warranted by your CXM objectives.

      CXM ECOSYSTEM

      Customer Relationship Management Platform

      • Web Experience Management Platform
      • E-Commerce & Point of Sale Solutions
      • Social Media Management Platform
      • Customer Intelligence Platform
      • Customer Service Management Tools
      • Marketing Management Suite

      Application spotlight: Customer experience platforms

      Description

      CXM solutions are a broad range of tools that provide comprehensive feature sets for supporting customer interaction processes. These suites supplant more basic applications for customer interaction management. Popular solutions that fall under the umbrella of CXM include CRM suites, marketing automation tools, and customer service applications.

      Features and Capabilities

      • Manage sales pipelines, provide quotes, and track client deliverables.
      • View all opportunities organized by their current stage in the sales process.
      • View all interactions that have occurred between employees and the customer, including purchase order history.
      • Manage outbound marketing campaigns via multiple channels (email, phone, social, mobile).
      • Build visual workflows with automated trigger points and business rules engine.
      • Generate in-depth customer insights, audience segmentation, predictive analytics, and contextual analytics.
      • Provide case management, ticketing, and escalation capabilities for customer service.

      Highlighted Vendors

      Microsoft Dynamics

      Adobe

      Marketo

      sprinklr

      Salesforce

      SugarCRM

      Application spotlight: Customer experience platforms

      Key Trends

      • CXM applications have decreased their focus on departmental silos to make it easier to share information across the organization as departments demand more data.
      • Vendors are developing deeper support of newer channels for customer interaction. This includes providing support for social media channels, native mobile applications, and SMS or text-based services like WhatsApp and Facebook Messenger.
      • Predictive campaigns and channel blending are becoming more feasible as vendors integrate machine learning and artificial intelligence into their applications.
      • Content blocks are being placed on top of scripting languages to allow for user-friendly interfaces. There is a focus on alleviating bottlenecks where content would have previously needed to go through a specialist.
      • Many vendors of CXM applications are placing increased emphasis on strong application integration both within and beyond their portfolios, with systems like ERP and order fulfillment.

      Link to Digital Strategy

      • For many organizations that are building out a digital strategy, improving customer experience is often a driving factor: CXM apps enable this goal.
      • As part of a digital strategy, create a comprehensive CXM application portfolio by leveraging both core CRM suites and point solutions.
      • Ensure that a point solution aligns with the digital strategy’s technology drivers and user personas.

      CXM KPIs

      Strong CXM applications can improve:

      • Lead Intake Volume
      • Lead Conversion Rate
      • Average Time to Resolution
      • First-Contact Resolution Rate
      • Customer Satisfaction Rate
      • Share-of-Mind
      • Share-of-Wallet
      • Customer Lifetime Value
      • Aggregate Reach/Impressions

      IT is critical to the success of your CXM strategy

      Technology is the key enabler of building strong customer experiences: IT must stand shoulder-to-shoulder with the business to develop a technology framework for CXM.

      Top 5 Challenges with CXM for Marketing

      1. Maximizing customer experience ROI
      2. Achieving a single view of the customer
      3. Building new customer experiences
      4. Cultivating a customer-focused culture
      5. Measuring CX investments to business outcomes

      Top 5 Obstacles to Enabling CXM for IT

      1. Systems integration
      2. Multichannel complexity
      3. Organizational structure
      4. Data-related issues
      5. Lack of strategy

      (Harvard Business Review, 2014)

      Only 19% of organizations have a customer experience team tasked with bridging gaps between departments. (Genesys, 2018)

      IT and Marketing can only tackle CXM with the full support of each other. The cooperation of the departments is crucial when trying to improve CXM technology capabilities and customer interaction and drive a strong revenue mandate.

      CXM failure: Blockbuster

      CASE STUDY

      Industry Entertainment

      Source Forbes, 2014

      Blockbuster

      As the leader of the video retail industry, Blockbuster had thousands of retail locations internationally and millions of customers. Blockbuster’s massive marketing budget and efficient operations allowed it to dominate the competition for years.

      Situation

      Trends in Blockbuster’s consumer market changed in terms of distribution channels and customer experience. As the digital age emerged and developed, consumers were looking for immediacy and convenience. This threatened Blockbuster’s traditional, brick-and-mortar B2C operating model.

      The Competition

      Netflix entered the video retail market, making itself accessible through non-traditional channels (direct mail, and eventually, the internet).

      Results

      Despite long-term relationships with customers and competitive standing in the market, Blockbuster’s inability to understand and respond to changing technology trends and customer demands led to its demise. The organization did not effectively leverage internal or external networks or technology to adapt to customer demands. Blockbuster went bankrupt in 2010.

      Customer Relationship Management

      • Web Experience Management Platform
      • E-Commerce & Point of Sale Solutions
      • Social Media Management
      • Customer Intelligence
      • Customer Service
      • Marketing Management

      Blockbuster did not leverage emerging technologies to effectively respond to trends in its consumer network. It did not optimize organizational effectiveness around customer experience.

      CXM success: Netflix

      CASE STUDY

      Industry Entertainment

      Source Forbes, 2014

      Netflix

      Beginning as a mail-out service, Netflix offered subscribers a catalog of videos to select from and have mailed to them directly. Customers no longer had to go to a retail store to rent a video. However, the lack of immediacy of direct mail as the distribution channel resulted in slow adoption.

      The Situation

      In response to the increasing presence of tech-savvy consumers on the internet, Netflix invested in developing its online platform as its primary distribution channel. The benefit of doing so was two-fold: passive brand advertising (by being present on the internet) and meeting customer demands for immediacy and convenience. Netflix also recognized the rising demand for personalized service and created an unprecedented, tailored customer experience.

      The Competition

      Blockbuster was the industry leader in video retail but was lagging in its response to industry, consumer, and technology trends around customer experience.

      Results

      Netflix’s disruptive innovation is built on the foundation of great CXM. Netflix is now a $28 billion company, which is tenfold what Blockbuster was worth.

      Customer Relationship Management Platform

      • Web Experience Management Platform
      • E-Commerce & Point of Sale Solutions
      • Social Media Management Platform
      • Customer Intelligence Platform
      • Customer Service Management Tools
      • Marketing Management Suite

      Netflix used disruptive technologies to innovatively build a customer experience that put it ahead of the long-time, video rental industry leader, Blockbuster.

      Leverage Info-Tech’s approach to succeed with CXM

      Creating an end-to-end technology-enablement strategy for CXM requires a concerted, dedicated effort: Info-Tech can help with our proven approach.

      Build the CXM Project Charter

      Conduct a Thorough Environmental Scan

      Build Customer Personas and Scenarios

      Draft Strategic CXM Requirements

      Build the CXM Application Portfolio

      Implement Operational Best Practices

      Why Info-Tech’s Approach?

      Info-Tech draws on best-practice research and the experiences of our global member base to develop a methodology for CXM that is driven by rigorous customer-centric analysis.

      Our approach uses a unique combination of techniques to ensure that your team has done its due diligence in crafting a forward-thinking technology-enablement strategy for CXM that creates measurable value.

      A global professional services firm drives measurable value for CXM by using persona design and scenario development

      CASE STUDY

      Industry Professionals Services

      Source Info-Tech Workshop

      The Situation

      A global professional services firm in the B2B space was experiencing a fragmented approach to customer engagement, particularly in the pre-sales funnel. Legacy applications weren’t keeping pace with an increased demand for lead evaluation and routing technology. Web experience management was also an area of significant concern, with a lack of ongoing customer engagement through the existing web portal.

      The Approach

      Working with a team of Info-Tech facilitators, the company was able to develop several internal and external customer personas. These personas formed the basis of strategic requirements for a new CXM application stack, which involved dedicated platforms for core CRM, lead automation, web content management, and site analytics.

      Results

      Customer “stickiness” metrics increased, and Sales reported significantly higher turnaround times in lead evaluations, resulting in improved rep productivity and faster cycle times.

      Components of a persona
      Name Name personas to reflect a key attribute such as the persona’s primary role or motivation.
      Demographic Include basic descriptors of the persona (e.g. age, geographic location, preferred language, education, job, employer, household income, etc.)
      Wants, needs, pain points Identify surface-level motivations for buying habits.
      Psychographic/behavioral traits Observe persona traits that are representative of the customers’ behaviors (e.g. attitudes, buying patterns, etc.).

      Follow Info-Tech’s approach to build your CXM foundation

      Create the Project Vision

      • Identify business and IT drivers
      • Outputs:
        • CXM Strategy Guiding Principles

      Structure the Project

      • Identify goals and objectives for CXM project
      • Form Project Team
      • Establish timeline
      • Obtain project sponsorship
      • Outputs:
        • CXM Strategy Project Charter

      Scan the External Environment

      • Create CXM operating model
      • Conduct external analysis
      • Create customer personas
      • Outputs:
        • CXM Operating Model
      • Conduct PEST analysis
      • Create persona scenarios
      • Outputs:
        • CXM Strategic Requirements

      Assess the Current State of CXM

      • Conduct SWOT analysis
      • Assess application usage and satisfaction
      • Conduct VRIO analysis
      • Outputs:
        • CXM Strategic Requirements

      Create an Application Portfolio

      • Map current processes
      • Assign business process owners
      • Create channel map
      • Build CXM application portfolio
      • Outputs:
        • CXM Application Portfolio Map

      Develop Deployment Best Practices

      • Develop CXM integration map
      • Create mitigation plan for poor data quality
      • Outputs:
        • Data Quality Preservation Map

      Create an Initiative Rollout Plan

      • Create risk management plan
      • Identify work initiative dependencies
      • Create roadmap
      • Outputs:
        • CXM Initiative Roadmap

      Confirm and Finalize the CXM Blueprint

      • Identify success metrics
      • Create stakeholder communication plan
      • Present CXM strategy to stakeholders
      • Outputs:
        • Stakeholder Presentation

      Info-Tech offers various levels of support to suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Build a Strong Technology Foundation for CXM – project overview

      1. Drive Value With CXM 2. Create the Framework 3. Finalize the Framework
      Best-Practice Toolkit

      1.1 Create the Project Vision

      1.2 Structure the CXM Project

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Guided Implementations
      • Determine project vision for CXM.
      • Review CXM project charter.
      • Review environmental scan.
      • Review application portfolio for CXM.
      • Confirm deployment best practices.
      • Review initiatives rollout plan.
      • Confirm CXM roadmap.
      Onsite Workshop Module 1: Drive Measurable Value with a World-Class CXM Program Module 2: Create the Strategic Framework for CXM Module 3: Finalize the CXM Framework

      Phase 1 Outcome:

      • Completed drivers
      • Completed project charter

      Phase 2 Outcome:

      • Completed personas and scenarios
      • CXM application portfolio

      Phase 3 Outcome:

      • Strategic summary blueprint

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Workshop Day 1 Workshop Day 2 Workshop Day 3 Workshop Day 4 Workshop Day 5
      Activities

      Create the Vision for CXM Enablement

      1.1 CXM Fireside Chat

      1.2 CXM Business Drivers

      1.3 CXM Vision Statement

      1.4 Project Structure

      Conduct the Environmental Scan and Internal Review

      2.1 PEST Analysis

      2.2 Competitive Analysis

      2.3 Market and Trend Analysis

      2.4 SWOT Analysis

      2.5 VRIO Analysis

      2.6 Channel Mapping

      Build Personas and Scenarios

      3.1 Persona Development

      3.2 Scenario Development

      3.3 Requirements Definition for CXM

      Create the CXM Application Portfolio

      4.1 Build Business Process Maps

      4.2 Review Application Satisfaction

      4.3 Create the CXM Application Portfolio

      4.4 Prioritize Applications

      Review Best Practices and Confirm Initiatives

      5.1 Create Data Integration Map

      5.2 Define Adoption Best Practices

      5.3 Build Initiatives Roadmap

      5.4 Confirm Initiatives Roadmap

      Deliverables
      1. CXM Vision Statement
      2. CXM Project Charter
      1. Completed External Analysis
      2. Completed Internal Review
      3. Channel Interaction Map
      4. Strategic Requirements (from External Analysis)
      1. Personas and Scenarios
      2. Strategic Requirements (based on personas)
      1. Business Process Maps
      2. Application Satisfaction Diagnostic
      3. Prioritized CXM Application Portfolio
      1. Integration Map for CXM
      2. End-User Adoption Plan
      3. Initiatives Roadmap

      Phase 1

      Drive Measurable Value With a World-Class CXM Program

      Build a Strong Technology Foundation for Customer Experience Management

      Phase 1 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Drive Measurable Value With a World-Class CXM Program

      Proposed Time to Completion: 2 weeks

      Step 1.1: Create the Project Vision

      Start with an analyst kick-off call:

      • Review key drivers from a technology and business perspective for CXM
      • Discuss benefits of strong technology enablement for CXM

      Then complete these activities…

      • CXM Fireside Chat
      • CXM Business and Technology Driver Assessment
      • CXM Vision Statement

      With these tools & templates:

      • CXM Strategy Stakeholder Presentation Template

      Step 1.2: Structure the Project

      Review findings with analyst:

      • Assess the CXM vision statement for competitive differentiators
      • Determine current alignment disposition of IT with different business units

      Then complete these activities…

      • Team Composition and Responsibilities
      • Metrics Definition

      With these tools & templates:

      • CXM Strategy Project Charter Template

      Phase 1 Results & Insights:

      • Defined value of strong technology enablement for CXM
      • Completed CXM project charter

      Step 1.1: Create the Project Vision

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Fireside Chat: Discuss past challenges and successes with CXM
      • Identify business and IT drivers to establish guiding principles for CXM

      Outcomes:

      • Business benefits of a rationalized technology strategy to support CXM
      • Shared lessons learned
      • Guiding principles for providing technology enablement for CXM

      Building a technology strategy to support customer experience isn’t an option – it’s a mission-critical activity

      • Customer-facing departments supply the lifeblood of a company: revenue. In today’s fast-paced and interconnected world, it’s becoming increasingly imperative to enable customer experience processes with a wide range of technologies, from lead automation to social relationship management. CXM is the holistic management of customer interaction processes across marketing, sales, and customer service to create valuable, mutually beneficial customer experiences. Technology is a critical building block for enabling CXM.
      • The parallel progress of technology and process improvement is essential to an efficient and effective CXM program. While many executives prefer to remain at the status quo, new technologies have caused major shifts in the CXM environment. If you stay with the status quo, you will fall behind the competition.
      • However, many IT departments are struggling to keep up with the pace of change and find themselves more of a firefighter than a strategic partner to marketing, sales, and service teams. This not only hurts the business, but it also tarnishes IT’s reputation.

      An aligned, optimized CX strategy is:

      Rapid: to intentionally and strategically respond to quickly-changing opportunities and issues.

      Outcome-based: to make key decisions based on strong business cases, data, and analytics in addition to intuition and judgment.

      Rigorous: to bring discipline and science to bear; to improve operations and results.

      Collaborative: to conduct activities in a broader ecosystem of partners, suppliers, vendors, co-developers, and even competitors.

      (The Wall Street Journal, 2013)

      Info-Tech Insight

      If IT fails to adequately support marketing, sales, and customer service teams, the organization’s revenue will be in direct jeopardy. As a result, CIOs and Applications Directors must work with their counterparts in these departments to craft a cohesive and comprehensive strategy for using technology to create meaningful (and profitable) customer experiences.

      Fireside Chat, Part 1: When was technology an impediment to customer experience at your organization?

      1.1.1 30 minutes

      Input

      • Past experiences of the team

      Output

      • Lessons learned

      Materials

      • Whiteboard
      • Markers

      Participants

      • Core Team

      Instructions

      1. Think about a time when technology was an impediment to a positive customer experience at your organization. Reflect on the following:
        • What frustrations did the application or the technology cause to your customers? What was their reaction?
        • How did IT (and the business) identify the challenge in the first place?
        • What steps were taken to mitigate the impact of the problem? Were these steps successful?
        • What were the key lessons learned as part of the challenge?

      Fireside Chat, Part 2: What customer success stories has your organization created by using new technologies?

      1.1.2 30 minutes

      Input

      • Past experiences of the team

      Output

      • Lessons learned

      Materials

      • Whiteboard
      • Markers

      Participants

      • Core Team

      Instructions

      1. Think about a time when your organization successfully leveraged a new application or new technology to enhance the experience it provided to customers. Reflect on this experience and consider:
        • What were the organizational drivers for rolling out the new application or solution?
        • What obstacles had to be overcome in order to successfully deploy the solution?
        • How did the application positively impact the customer experience? What metrics improved?
        • What were the key lessons learned as part of the deployment? If you had to do it all over again, what would you do differently?

      Develop a cohesive, consistent, and forward-looking roadmap that supports each stage of the customer lifecycle

      When creating your roadmap, consider the pitfalls you’ll likely encounter in building the IT strategy to provide technology enablement for customer experience.

      There’s no silver bullet for developing a strategy. You can encounter pitfalls at a myriad of different points including not involving the right stakeholders from the business, not staying abreast of recent trends in the external environment, and not aligning sales, marketing, and support initiatives with a focus on the delivery of value to prospects and customers.

      Common Pitfalls When Creating a Technology-Enablement Strategy for CXM

      Senior management is not involved in strategy development.

      Not paying attention to the “art of the possible.”

      “Paving the cow path” rather than focusing on revising core processes.

      Misalignment between objectives and financial/personnel resources.

      Inexperienced team on either the business or IT side.

      Not paying attention to the actions of competitors.

      Entrenched management preferences for legacy systems.

      Sales culture that downplays the potential value of technology or new applications.

      IT is only one or two degrees of separation from the end customer: so take a customer-centric approach

      IT →Marketing, Sales, and Service →External Customers

      Internal-Facing Applications

      • IT enables, supports, and maintains the applications used by the organization to market to, sell to, and service customers. IT provides the infrastructural and technical foundation to operate the function.

      Customer-Facing Applications

      • IT supports customer-facing interfaces and channels for customer interaction.
      • Channel examples include web pages, mobile device applications and optimization, and interactive voice response for callers.

      Info-Tech Insight

      IT often overlooks direct customer considerations when devising a technology strategy for CXM. Instead, IT leaders rely on other business stakeholders to simply pass on requirements. By sitting down with their counterparts in marketing and sales, and fully understanding business drivers and customer personas, IT will be much better positioned to roll out supporting applications that drive customer engagement.

      A well-aligned CXM strategy recognizes a clear delineation of responsibilities between IT, sales, marketing, and service

      • When thinking about CXM, IT must recognize that it is responsible for being a trusted partner for technology enablement. This means that IT has a duty to:
        • Develop an in-depth understanding of strategic business requirements for CXM. Base your understanding of these business requirements on a clear conception of the internal and external environment, customer personas, and business processes in marketing, sales, and customer service.
        • Assist with shortlisting and supporting different channels for customer interaction (including email, telephony, web presence, and social media).
        • Create a rationalized, cohesive application portfolio for CXM that blends different enabling technologies together to support strategic business requirements.
        • Provide support for vendor shortlisting, selection, and implementation of CXM applications.
        • Assist with end-user adoption of CXM applications (i.e. training and ongoing support).
        • Provide initiatives that assist with technical excellence for CXM (such as data quality, integration, analytics, and application maintenance).
      • The business (marketing, sales, customer service) owns the business requirements and must be responsible for setting top-level objectives for customer interaction (e.g. product and pricing decisions, marketing collateral, territory management, etc.). IT should not take over decisions on customer experience strategy. However, IT should be working in lockstep with its counterparts in the business to assist with understanding business requirements through a customer-facing lens. For example, persona development is best done in cross-functional teams between IT and Marketing.

      Activity: Identify the business drivers for CXM to establish the strategy’s guiding principles

      1.1.3 30 minutes

      Input

      • Business drivers for CXM

      Output

      • Guiding principles for CXM strategy

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Define the assumptions and business drivers that have an impact on technology enablement for CXM. What is driving the current marketing, sales, and service strategy on the business side?
      Business Driver Name Driver Assumptions, Capabilities, and Constraints Impact on CXM Strategy
      High degree of customer-centric solution selling A technically complex product means that solution selling approaches are employed – sales cycles are long. There is a strong need for applications and data quality processes that support longer-term customer relationships rather than transactional selling.
      High desire to increase scalability of sales processes Although sales cycles are long, the organization wishes to increase the effectiveness of rep time via marketing automation where possible. Sales is always looking for new ways to leverage their reps for face-to-face solution selling while leaving low-level tasks to automation. Marketing wants to support these tasks.
      Highly remote sales team and unusual hours are the norm Not based around core hours – significant overtime or remote working occurs frequently. Misalignment between IT working only core hours and after-hours teams leads to lag times that can delay work. Scheduling of preventative sales maintenance must typically be done on weekends rather than weekday evenings.

      Activity: Identify the IT drivers for CXM to establish the strategy’s guiding principles

      1.1.4 30 minutes

      Input

      • IT drivers for CXM

      Output

      • Guiding principles for CXM strategy

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Define the assumptions and IT drivers that have an impact on technology enablement for CXM. What is driving the current IT strategy for supporting marketing, sales, and service initiatives?
      IT Driver Name Driver Assumptions, Capabilities, and Constraints Impact on CXM Strategy
      Sales Application Procurement Methodology Strong preference for on-premise COTS deployments over homebrewed applications. IT may not be able to support cloud-based sales applications due to security requirements for on premise.
      Vendor Relations Minimal vendor relationships; SLAs not drafted internally but used as part of standard agreement. IT may want to investigate tightening up SLAs with vendors to ensure more timely support is available for their sales teams.
      Development Methodology Agile methodology employed, some pockets of Waterfall employed for large-scale deployments. Agile development means more perfective maintenance requests come in, but it leads to greater responsiveness for making urgent corrective changes to non-COTS products.
      Data Quality Approach IT sees as Sales’ responsibility IT is not standing as a strategic partner for helping to keep data clean, causing dissatisfaction from customer-facing departments.
      Staffing Availability Limited to 9–5 Execution of sales support takes place during core hours only, limiting response times and access for on-the-road sales personnel.

      Activity: Use IT and business drivers to create guiding principles for your CXM technology-enablement project

      1.1.5 30 minutes

      Input

      • Business drivers and IT drivers from 1.1.3 and 1.1.4

      Output

      • CXM mission statement

      Materials

      • Whiteboard
      • Markers

      Participants

      • Core Team

      Instructions

      1. Based on the IT and business drivers identified, craft guiding principles for CXM technology enablement. Keep guiding principles in mind throughout the project and ensure they support (or reconcile) the business and IT drivers.

      Guiding Principle Description
      Sales processes must be scalable. Our sales processes must be able to reach a high number of target customers in a short time without straining systems or personnel.
      Marketing processes must be high touch. Processes must be oriented to support technically sophisticated, solution-selling methodologies.

      2. Summarize the guiding principles above by creating a CXM mission statement. See below for an example.

      Example: CXM Mission Statement

      To ensure our marketing, sales and service team is equipped with tools that will allow them to reach out to a large volume of contacts while still providing a solution-selling approach. This will be done with secure, on-premise systems to safeguard customer data.

      Ensure that now is the right time to take a step back and develop the CXM strategy

      Determine if now is the right time to move forward with building (or overhauling) your technology-enablement strategy for CXM.

      Not all organizations will be able to proceed immediately to optimize their CXM technology enablement. Determine if the organizational willingness, backbone, and resources are present to commit to overhauling the existing strategy. If you’re not ready to proceed, consider waiting to begin this project until you can procure the right resources.

      Do not proceed if:

      • Your current strategy for supporting marketing, sales, and service is working well and IT is already viewed as a strategic partner by these groups. Your current strategy is well aligned with customer preferences.
      • The current strategy is not working well, but there is no consensus or support from senior management for improving it.
      • You cannot secure the resources or time to devote to thoroughly examining the current state and selecting improvement initiatives.
      • The strategy has been approved, but there is no budget in place to support it at this time.

      Proceed if:

      • Senior management has agreed that technology support for CXM should be improved.
      • Sub-divisions within IT, sales, marketing, and service are on the same page about the need to improve alignment.
      • You have an approximate budget to work with for the project and believe you can secure additional funding to execute at least some improvement initiatives.
      • You understand how improving CXM alignment will fit into the broader customer interaction ecosystem in your organization.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      1.1.3; 1.1.4; 1.1.5 - Identify business and IT drivers to create CXM guiding principles

      The facilitator will work with stakeholders from both the business and IT to identify implicit or explicit strategic drivers that will support (or pose constraints on) the technology-enablement framework for the CXM strategy. In doing so, guiding principles will be established for the project.

      Step 1.2: Structure the Project

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Define the project purpose, objectives, and business metrics
      • Define the scope of the CXM strategy
      • Create the project team
      • Build a RACI chart
      • Develop a timeline with project milestones
      • Identify risks and create mitigation strategies
      • Complete the strategy project charter and obtain approval

      Outcomes:

      CXM Strategy Project Charter Template

      • Purpose, objectives, metrics
      • Scope
      • Project team & RACI
      • Timeline
      • Risks & mitigation strategies
      • Project sponsorship

      Use Info-Tech’s CXM Strategy Project Charter Template to outline critical components of the CXM project

      1.2.1 CXM Strategy Project Charter Template

      Having a project charter is the first step for any project: it specifies how the project will be resourced from a people, process, and technology perspective, and it clearly outlines major project milestones and timelines for strategy development. CXM technology enablement crosses many organizational boundaries, so a project charter is a very useful tool for ensuring everyone is on the same page.

      Sections of the document:

      1. Project Drivers, Rationale, and Context
      2. Project Objectives, Metrics, and Purpose
      3. Project Scope Definition
      4. Project Team Roles and Responsibilities (RACI)
      5. Project Timeline
      6. Risk Mitigation Strategy
      7. Project Metrics
      8. Project Review & Approvals

      INFO-TECH DELIVERABLE

      CXM Strategy Project Charter Template

      Populate the relevant sections of your project charter as you complete activities 1.2.2-1.2.8.

      Understand the roles necessary to complete your CXM technology-enablement strategy

      Understand the role of each player within your project structure. Look for listed participants on the activities slides to determine when each player should be involved.

      Title Role Within Project Structure
      Project Sponsor
      • Owns the project at the management/C-suite level
      • Responsible for breaking down barriers and ensuring alignment with organizational strategy
      • CIO, CMO, VP of Sales, VP of Customer Care, or similar
      Project Manager
      • The IT individual(s) that will oversee day-to-day project operations
      • Responsible for preparing and managing the project plan and monitoring the project team’s progress
      • Applications or other IT Manager, Business Analyst, Business Process Owner, or similar
      Business Lead
      • Works alongside the IT PM to ensure that the strategy is aligned with business needs
      • In this case, likely to be a marketing, sales, or customer service lead
      • Sales Director, Marketing Director, Customer Care Director, or similar
      Project Team
      • Comprised of individuals whose knowledge and skills are crucial to project success
      • Responsible for driving day-to-day activities, coordinating communication, and making process and design decisions. Can assist with persona and scenario development for CXM.
      • Project Manager, Business Lead, CRM Manager, Integration Manager, Application SMEs, Developers, Business Process Architects, and/or similar SMEs
      Steering Committee
      • Comprised of C-suite/management level individuals that act as the project’s decision makers
      • Responsible for validating goals and priorities, defining the project scope, enabling adequate resourcing, and managing change
      • Project Sponsor, Project Manager, Business Lead, CFO, Business Unit SMEs and similar

      Info-Tech Insight

      Do not limit project input or participation to the aforementioned roles. Include subject matter experts and internal stakeholders at particular stages within the project. Such inputs can be solicited on a one-off basis as needed. This ensures you take a holistic approach to creating your CXM technology-enablement strategy.

      Activity: Kick-off the CXM project by defining the project purpose, project objectives, and business metrics

      1.2.2 30 minutes

      Input

      • Activities 1.1.1 to 1.1.5

      Output

      • Drivers & rationale
      • Purpose statement
      • Business goals
      • Business metrics
      • CXM Strategy Project Charter Template, sections 1.0, 2.0, and 2.1

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Sponsor
      • Project Manager
      • Business Lead
      • Steering Committee

      Instructions

      Hold a meeting with IT, Marketing, Sales, Service, Operations, and any other impacted business stakeholders that have input into CXM to accomplish the following:

      1. Discuss the drivers and rationale behind embarking on a CXM strategy.
      2. Develop and concede on objectives for the CXM project, metrics that will gauge its success, and goals for each metric.
      3. Create a project purpose statement that is informed by decided-upon objectives and metrics from the steps above. When establishing a project purpose, ask the question, “what are we trying to accomplish?”
      • Example: Project Purpose Statement
        • The organization is creating a CXM strategy to gather high-level requirements from the business, IT, and Marketing, Sales, and Service, to ensure that the selection and deployment of the CXM meets the needs of the broader organization and provides the greatest return on investment.
    • Document your project drivers and rationale, purpose statement, project objectives, and business metrics in Info-Tech’s CXM Strategy Project Charter Template in sections 1.0 and 2.0.
    • Info-Tech Insight

      Going forward, set up a quarterly review process to understand changing needs. It is rare that organizations never change their marketing and sales strategy. This will change the way the CXM will be utilized.

      Establish baseline metrics for customer engagement

      In order to gauge the effectiveness of CXM technology enablement, establish core metrics:

      1. Marketing Metrics: pertaining to share of voice, share of wallet, market share, lead generation, etc.
      2. Sales Metrics: pertaining to overall revenue, average deal size, number of accounts, MCV, lead warmth, etc.
      3. Customer Service Metrics: pertaining to call volumes, average time to resolution, first contact resolution, customer satisfaction, etc.
      4. IT Metrics: pertaining to end-user satisfaction with CXM applications, number of tickets, contract value, etc.
      Metric Description Current Metric Future Goal
      Market Share 25% 35%
      Share of Voice (All Channels) 40% 50%
      Average Deal Size $10,500 $12,000
      Account Volume 1,400 1,800
      Average Time to Resolution 32 min 25 min
      First Contact Resolution 15% 35%
      Web Traffic per Month (Unique Visitors) 10,000 15,000
      End-User Satisfaction 62% 85%+
      Other metric
      Other metric
      Other metric

      Understand the importance of setting project expectations with a scope statement

      Be sure to understand what is in scope for a CXM strategy project. Prevent too wide of a scope to avoid scope creep – for example, we aren’t tackling ERP or BI under CXM.

      In Scope

      Establishing the parameters of the project in a scope statement helps define expectations and provides a baseline for resource allocation and planning. Future decisions about the strategic direction of CXM will be based on the scope statement.

      Scope Creep

      Well-executed requirements gathering will help you avoid expanding project parameters, drawing on your resources, and contributing to cost overruns and project delays. Avoid scope creep by gathering high-level requirements that lead to the selection of category-level application solutions (e.g. CRM, MMS, SMMP, etc.), rather than granular requirements that would lead to vendor application selection (e.g. Salesforce, Marketo, Hootsuite, etc.).

      Out of Scope

      Out-of-scope items should also be defined to alleviate ambiguity, reduce assumptions, and further clarify expectations for stakeholders. Out-of-scope items can be placed in a backlog for later consideration. For example, fulfilment and logistics management is out of scope as it pertains to CXM.

      In Scope
      Strategy
      High-Level CXM Application Requirements CXM Strategic Direction Category Level Application Solutions (e.g. CRM, MMS, etc.)
      Out of Scope
      Software Selection
      Vendor Application Review Vendor Application Selection Granular Application System Requirements

      Activity: Define the scope of the CXM strategy

      1.2.3 30 minutes

      Input

      • N/A

      Output

      • Project scope and parameters
      • CXM Strategy Project Charter Template, section 3.0

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Sponsor
      • Project Manager
      • Business Lead

      Instructions

      1. Formulate a scope statement. Decide which people, processes, and functions the CXM strategy will address. Generally, the aim of this project is to develop strategic requirements for the CXM application portfolio – not to select individual vendors.
      2. Document your scope statement in Info-Tech’s CXM Strategy Project Charter Template in section 3.0.

      To form your scope statement, ask the following questions:

      • What are the major coverage points?
      • Who will be using the systems?
      • How will different users interact with the systems?
      • What are the objectives that need to be addressed?
      • Where do we start?
      • Where do we draw the line?

      Identify the right stakeholders to include on your project team

      Consider the core team functions when composing the project team. Form a cross-functional team (i.e. across IT, Marketing, Sales, Service, Operations) to create a well-aligned CXM strategy.

      Required Skills/Knowledge Suggested Project Team Members
      IT
      • Application development
      • Enterprise integration
      • Business processes
      • Data management
      • CRM Application Manager
      • Business Process Manager
      • Integration Manager
      • Application Developer
      • Data Stewards
      Business
      • Understanding of the customer
      • Departmental processes
      • Sales Manager
      • Marketing Manager
      • Customer Service Manager
      Other
      • Operations
      • Administrative
      • Change management
      • Operations Manager
      • CFO
      • Change Management Manager

      Info-Tech Insight

      Don’t let your project team become too large when trying to include all relevant stakeholders. Carefully limiting the size of the project team will enable effective decision making while still including functional business units such as marketing, sales, service, and finance, as well as IT.

      Activity: Create the project team

      1.2.4 45 minutes

      Input

      • Scope Statement (output of Activity 1.2.3).

      Output

      • Project Team
      • CXM Strategy Project Charter Template, section 4.0

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Manager
      • Business Lead

      Instructions

      1. Review your scope statement. Have a discussion to generate a complete list of key stakeholders that are needed to achieve the scope of work.
      2. Using the previously generated list, identify a candidate for each role and determine their responsibilities and expected time commitment for the CXM strategy project.
      3. Document the project team in Info-Tech’s CXM Strategy Project Charter Template in section 4.0.

      Define project roles and responsibilities to improve progress tracking

      Build a list of the core CXM strategy team members, and then structure a RACI chart with the relevant categories and roles for the overall project.

      Responsible - Conducts work to achieve the task

      Accountable - Answerable for completeness of task

      Consulted - Provides input for the task

      Informed - Receives updates on the task

      Info-Tech Insight

      Avoid missed tasks between inter-functional communications by defining roles and responsibilities for the project as early as possible.

      Benefits of Assigning RACI Early:

      • Improve project quality by assigning the right people to the right tasks.
      • Improve chances of project task completion by assigning clear accountabilities.
      • Improve project buy-in by ensuring that stakeholders are kept informed of project progress, risks, and successes.

      Activity: Build a RACI chart

      1.2.5 30 minutes

      Input

      • Project Team (output of Activity 1.2.4)

      Output

      • RACI chart
      • CXM Strategy Project Charter Template, section 4.2

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Manager
      • Business Lead

      Instructions

      1. Identify the key stakeholder teams that should be involved in the CXM strategy project. You should have a cross-functional team that encompasses both IT (various units) and the business.
      2. Determine whether each stakeholder should be responsible, accountable, consulted, and/or informed with respect to each overarching project step.
      3. Confirm and communicate the results to relevant stakeholders and obtain their approval.
      4. Document the RACI chart in Info-Tech’s CXM Strategy Project Charter Template in section 4.2.
      Example: RACI Chart Project Sponsor (e.g. CMO) Project Manager (e.g. Applications Manager) Business Lead (e.g. Marketing Director) Steering Committee (e.g. PM, CMO, CFO…) Project Team (e.g. PM, BL, SMEs…)
      Assess Project Value I C A R C
      Conduct a Current State Assessment I I A C R
      Design Application Portfolio I C A R I
      Create CXM Roadmap R R A I I
      ... ... ... ... ... ...

      Activity: Develop a timeline in order to specify concrete project milestones

      1.2.6 30 minutes

      Input

      • N/A

      Output

      • Project timeline
      • CXM Strategy Project Charter Template, section 5.0

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Manager
      • Business Lead

      Instructions

      1. Assign responsibilities, accountabilities, and other project involvement to each project team role using a RACI chart. Remember to consider dependencies when creating the schedule and identifying appropriate subtasks.
      2. Document the timeline in Info-Tech’s CXM Strategy Project Charter Template in section 5.0.
      Key Activities Start Date End Date Target Status Resource(s)
      Structure the Project and Build the Project Team
      Articulate Business Objectives and Define Vision for Future State
      Document Current State and Assess Gaps
      Identify CXM Technology Solutions
      Build the Strategy for CXM
      Implement the Strategy

      Assess project-associated risk by understanding common barriers and enablers

      Common Internal Risk Factors

      Management Support Change Management IT Readiness
      Definition The degree of understanding and acceptance of CXM as a concept and necessary portfolio of technologies. The degree to which employees are ready to accept change and the organization is ready to manage it. The degree to which the organization is equipped with IT resources to handle new systems and processes.
      Assessment Outcomes
      • Is CXM enablement recognized as a top priority?
      • Will management commit time to the project?
      • Are employees resistant to change?
      • Is there an organizational awareness of the importance of customer experience?
      • Who are the owners of process and content?
      • Is there strong technical expertise?
      • Is there strong infrastructure?
      • What are the important integration points throughout the business?
      Risk
      • Low management buy-in
      • Lack of funding
      • Lack of resources
      • Low employee motivation
      • Lack of ownership
      • Low user adoption
      • Poor implementation
      • Reliance on consultants

      Activity: Identify the risks and create mitigation strategies

      1.2.7 45 minutes

      Input

      • N/A

      Output

      • Risk mitigation strategy
      • CXM Strategy Project Charter Template, section 6.0

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Manager
      • Business Lead
      • Project Team

      Instructions

      1. Brainstorm a list of possible risks that may impede the progress of your CXM project.
      2. Classify risks as strategy based (related to planning) or systems based (related to technology).
      3. Brainstorm mitigation strategies to overcome each risk.
      4. On a scale of 1 to 3, determine the impact of each risk on project success and the likelihood of each risk occurring.
      5. Document your findings in Info-Tech’s CXM Strategy Project Charter Template in section 6.0.

      Likelihood:

      1 - High/Needs Focus

      2 - Can Be Mitigated

      3 - Unlikely

      Impact

      1 - High Impact

      2 - Moderate Impact

      3 - Minimal Impact

      Example: Risk Register and Mitigation Tactics

      Risk Impact Likelihood Mitigation Effort
      Cost of time and implementation: designing a robust portfolio of CXM applications can be a time consuming task, representing a heavy investment for the organization 1 1
      • Have a clear strategic plan and a defined time frame
      • Know your end-user requirements
      • Put together an effective and diverse strategy project team
      Availability of resources: lack of in-house resources (e.g. infrastructure, CXM application developers) may result in the need to insource or outsource resources 1 2
      • Prepare a plan to insource talent by hiring or transferring talent from other departments – e.g. marketing and customer service

      Activity: Complete the project charter and obtain approval

      1.2.8 45 minutes

      Input

      • N/A

      Output

      • Project approval
      • CXM Strategy Project Charter Template, section 8.0

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Manager
      • Business Lead
      • Project Team

      Instructions

      Before beginning to develop the CXM strategy, validate the project charter and metrics with senior sponsors or stakeholders and receive their approval to proceed.

      1. Schedule a 30-60 minute meeting with senior stakeholders and conduct a live review of your CXM strategy project charter.
      2. Obtain stakeholder approval to ensure there are no miscommunications or misunderstandings around the scope of the work that needs to be done to reach a successful project outcome. Final sign-off should only take place when mutual consensus has been reached.
        • Obtaining approval should be an iterative process; if senior management has concerns over certain aspects of the plan, revise and review again.

      Info-Tech Insight

      In most circumstances, you should have your CXM strategy project charter validated with the following stakeholders:

      • Chief Information Officer
      • IT Applications Director
      • CFO or Comptroller (for budget approval)
      • Chief Marketing Office or Head of Marketing
      • Chief Revenue Officer or VP of Sales
      • VP Customer Service

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      1.2.2 Define project purpose, objectives, and business metrics

      Through an in-depth discussion, an analyst will help you prioritize corporate objectives and organizational drivers to establish a distinct project purpose.

      1.2.3 Define the scope of the CXM strategy

      An analyst will facilitate a discussion to address critical questions to understand your distinct business needs. These questions include: What are the major coverage points? Who will be using the system?

      1.2.4; 1.2.5; 1.2.6 Create the CXM project team, build a RACI chart, and establish a timeline

      Our analysts will guide you through how to create a designated project team to ensure the success of your CXM strategy and suite selection initiative, including project milestones and team composition, as well as designated duties and responsibilities.

      Phase 2

      Create a Strategic Framework for CXM Technology Enablement

      Build a Strong Technology Foundation for Customer Experience Management

      Phase 2 outline: Steps 2.1 and 2.2

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Create a Strategic Framework for CXM Technology Enablement

      Proposed Time to Completion: 4 weeks

      Step 2.1: Scan the External Environment

      Start with an analyst kick-off call:

      • Discuss external drivers
      • Assess competitive environment
      • Review persona development
      • Review scenarios

      Then complete these activities…

      • Build the CXM operating model
      • Conduct a competitive analysis
      • Conduct a PEST analysis
      • Build personas and scenarios

      With these tools & templates:

      CXM Strategy Stakeholder Presentation Template

      Step 2.2: Assess the Current State for CRM

      Review findings with analyst:

      • Review SWOT analysis
      • Review VRIO analysis
      • Discuss strategic requirements for CXM

      Then complete these activities…

      • Conduct a SWOT analysis
      • Conduct a VRIO analysis
      • Inventory existing applications

      With these tools & templates:

      CXM Strategy Stakeholder Presentation Template

      Phase 2 outline: Steps 2.3 and 2.4

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Create a Strategic Framework for CXM Technology Enablement

      Proposed Time to Completion: 4 weeks

      Step 2.3: Create an Application Portfolio

      Start with an analyst kick-off call:

      • Discuss possible business process maps
      • Discuss strategic requirements
      • Review application portfolio results

      Then complete these activities…

      • Build business maps
      • Execute application mapping

      With these tools & templates:

      CXM Portfolio Designer

      CXM Strategy Stakeholder Presentation Template

      CXM Business Process Shortlisting Tool

      Step 2.4: Develop Deployment Best Practices

      Review findings with analyst:

      • Review possible integration maps
      • Discuss best practices for end-user adoption
      • Discuss best practices for customer data quality

      Then complete these activities…

      • Create CXM integration ecosystem
      • Develop adoption game plan
      • Create data quality standards

      With these tools & templates:

      CXM Strategy Stakeholder Presentation Template

      Phase 2 Results & Insights:

      • Application portfolio for CXM
      • Deployment best practices for areas such as integration, data quality, and end-user adoption

      Step 2.1: Scan the External Environment

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Inventory CXM drivers and organizational objectives
      • Identify CXM challenges and pain points
      • Discuss opportunities and benefits
      • Align corporate and CXM strategies
      • Conduct a competitive analysis
      • Conduct a PEST analysis and extract strategic requirements
      • Build customer personas and extract strategic requirements

      Outcomes:

      • CXM operating model
        • Organizational drivers
        • Environmental factors
        • Barriers
        • Enablers
      • PEST analysis
      • External customer personas
      • Customer journey scenarios
      • Strategic requirements for CXM

      Develop a CXM technology operating model that takes stock of needs, drivers, barriers, and enablers

      Establish the drivers, enablers, and barriers to developing a CXM technology enablement strategy. In doing so, consider needs, environmental factors, organizational drivers, and technology drivers as inputs.

      CXM Strategy

      • Barriers
        • Lack of Resources
        • Cultural Mindset
        • Resistance to Change
        • Poor End-User Adoption
      • Enablers
        • Senior Management Support
        • Customer Data Quality
        • Current Technology Portfolio
      • Business Needs (What are your business drivers? What are current marketing, sales, and customer service pains?)
        • Acquisition Pipeline Management
        • Live Chat for Support
        • Social Media Analytics
        • Etc.
      • Organizational Goals
        • Increase Profitability
        • Enhance Customer Experience Consistency
        • Reduce Time-to-Resolution
        • Increase First Contact Resolution
        • Boost Share of Voice
      • Environmental Factors (What factors that affect your strategy are out of your control?)
        • Customer Buying Habits
        • Changing Technology Trends
        • Competitive Landscape
        • Regulatory Requirements
      • Technology Drivers (Why do you need a new system? What is the purpose for becoming an integrated organization?)
        • System Integration
        • Reporting Capabilities
        • Deployment Model

      Understand your needs, drivers, and organizational objectives for creating a CXM strategy

      Business Needs Organizational Drivers Technology Drivers Environmental Factors
      Definition A business need is a requirement associated with a particular business process (for example, Marketing needs customer insights from the website – the business need would therefore be web analytics capabilities). Organizational drivers can be thought of as business-level goals. These are tangible benefits the business can measure such as customer retention, operation excellence, and financial performance. Technology drivers are technological changes that have created the need for a new CXM enablement strategy. Many organizations turn to technology systems to help them obtain a competitive edge. External considerations are factors taking place outside of the organization that are impacting the way business is conducted inside the organization. These are often outside the control of the business.
      Examples
      • Web analytics
      • Live chat capabilities
      • Mobile self-service
      • Social media listening
      • Data quality
      • Customer satisfaction
      • Branding
      • Time-to-resolution
      • Deployment model (i.e. SaaS)
      • Integration
      • Reporting capabilities
      • Fragmented technologies
      • Economic factors
      • Customer preferences
      • Competitive influencers
      • Compliance regulations

      Info-Tech Insight

      A common organizational driver is to provide adequate technology enablement across multiple channels, resulting in a consistent customer experience. This driver is a result of external considerations. Many industries today are highly competitive and rapidly changing. To succeed under these pressures, you must have a rationalized portfolio of enterprise applications for customer interaction.

      Activity: Inventory and discuss CXM drivers and organizational objectives

      2.1.1 30 minutes

      Input

      • Business needs
      • Exercise 1.1.3
      • Exercise 1.1.4
      • Environmental factors

      Output

      • CXM operating model inputs
      • CXM Strategy Stakeholder Presentation

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Brainstorm the business needs, organizational drivers, technology drivers, and environmental factors that will inform the CXM strategy. Draw from exercises 1.1.3-1.1.5.
      2. Document your findings in the CXM operating model template. This can be found in the CXM Strategy Stakeholder Presentation Template.

      The image is a graphic, with a rectangle split into three sections in the centre. The three sections are: Barriers; CXM Strategy; Enablers. Around the centre are 4 more rectangles, labelled: Business Needs; Organizational Drivers; Technology Drivers; Environmental Factors. The outer rectangles are a slightly darker shade of grey than the others, highlighting them.

      Understand challenges and barriers to creating and executing the CXM technology-enablement strategy

      Take stock of internal challenges and barriers to effective CXM strategy execution.

      Example: Internal Challenges & Potential Barriers

      Understanding the Customer Change Management IT Readiness
      Definition The degree to which a holistic understanding of the customer can be created, including customer demographic and psychographics. The degree to which employees are ready to accept operational and cultural changes and the degree to which the organization is ready to manage it. The degree to which IT is ready to support new technologies and processes associated with a portfolio of CXM applications.
      Questions to Ask
      • As an organization, do we have a true understanding of our customers?
      • How might we achieve a complete understanding of the customer throughout different phases of the customer lifecycle?
      • Are employees resistant to change?
      • Are there enough resources to drive an CXM strategy?
      • To what degree is the existing organizational culture customer-centric?
      • Is there strong technical expertise?
      • Is there strong infrastructure?
      Implications
      • Uninformed creation of CXM strategic requirements
      • Inadequate understanding of customer needs and wants
      • User acceptance
      • Lack of ownership
      • Lack of accountability
      • Lack of sustainability
      • Poor implementation
      • Reliance on expensive external consultants
      • Lack of sustainability

      Activity: Identify CXM challenges and pain points

      2.1.2 30 minutes

      Input

      • Challenges
      • Pain points

      Output

      • CXM operating model barriers
      • CXM Strategy Stakeholder Presentation

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Brainstorm the challenges and pain points that may act as barriers to the successful planning and execution of a CXM strategy.
      2. Document your findings in the CXM operating model template. This can be found in the CXM Strategy Stakeholder Presentation Template.

      The image is the same graphic from a previous section. In this instance, the Barriers sections is highlighted.

      Identify opportunities that can enable CXM strategy execution

      Existing internal conditions, capabilities, and resources can create opportunities to enable the CXM strategy. These opportunities are critical to overcoming challenges and barriers.

      Example: Opportunities to Leverage for Strategy Enablement

      Management Buy-In Customer Data Quality Current Technology Portfolio
      Definition The degree to which upper management understands and is willing to enable a CXM project, complete with sponsorship, funding, and resource allocation. The degree to which customer data is accurate, consistent, complete, and reliable. Strong customer data quality is an opportunity – poor data quality is a barrier. The degree to which the existing portfolio of CXM-supporting enterprise applications can be leveraged to enable the CXM strategy.
      Questions to Ask
      • Is management informed of changing technology trends and the subsequent need for CXM?
      • Are adequate funding and resourcing available to support a CXM project, from strategy creation to implementation?
      • Are there any data quality issues?
      • Is there one source of truth for customer data?
      • Are there duplicate or incomplete sets of data?
      • Does a strong CRM backbone exist?
      • What marketing, sales, and customer service applications exist?
      • Are CXM-enabling applications rated highly on usage and performance?
      Implications
      • Need for CXM clearly demonstrated
      • Financial and logistical feasibility
      • Consolidated data quality governance initiatives
      • Informed decision making
      • Foundation for CXM technology enablement largely in place
      • Reduced investment of time and money needed

      Activity: Discuss opportunities and benefits

      2.1.3 30 minutes

      Input

      • Opportunities
      • Benefits

      Output

      • Completed CXM operating model
      • CXM Strategy Stakeholder Presentation

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Brainstorm opportunities that should be leveraged or benefits that should be realized to enable the successful planning and execution of a CXM strategy.
      2. Document your findings in the CXM operating model template. This can be found in the CXM Strategy Stakeholder Presentation Template.

      The image is the same graphic from earlier sections, this time with the Enablers section highlighted.

      Ensure that you align your CXM technology strategy to the broader corporate strategy

      A successful CXM strategy requires a comprehensive understanding of an organization’s overall corporate strategy and its effects on the interrelated departments of marketing, sales, and service, including subsequent technology implications. For example, a CXM strategy that emphasizes tools for omnichannel management and is at odds with a corporate strategy that focuses on only one or two channels will fail.

      Corporate Strategy

      • Conveys the current state of the organization and the path it wants to take.
      • Identifies future goals and business aspirations.
      • Communicates the initiatives that are critical for getting the organization from its current state to the future state.

      CXM Strategy

      • Communicates the company’s budget and spending on CXM applications and initiatives.
      • Identifies IT initiatives that will support the business and key CXM objectives, specific to marketing, sales, and service.
      • Outlines staffing and resourcing for CXM initiatives.

      Unified Strategy

      • The CXM implementation can be linked, with metrics, to the corporate strategy and ultimate business objectives.

      Info-Tech Insight

      Your organization’s corporate strategy is especially important in dictating the direction of the CXM strategy. Corporate strategies are often focused on customer-facing activity and will heavily influence the direction of marketing, sales, customer service, and consequentially, CXM. Corporate strategies will often dictate market targeting, sales tactics, service models, and more.

      Review sample organizational objectives to decipher how CXM technologies can support such objectives

      Identifying organizational objectives of high priority will assist in breaking down CXM objectives to better align with the overall corporate strategy and achieve buy-in from key stakeholders.

      Corporate Objectives Aligned CXM Technology Objectives
      Increase Revenue Enable lead scoring Deploy sales collateral management tools Improve average cost per lead via a marketing automation tool
      Enhance Market Share Enhance targeting effectiveness with a CRM Increase social media presence via an SMMP Architect customer intelligence analysis
      Improve Customer Satisfaction Reduce time-to-resolution via better routing Increase accessibility to customer service with live chat Improve first contact resolution with customer KB
      Increase Customer Retention Use a loyalty management application Improve channel options for existing customers Use customer analytics to drive targeted offers
      Create Customer-Centric Culture Ensure strong training and user adoption programs Use CRM to provide 360-degree view of all customer interaction Incorporate the voice of the customer into product development

      Activity: Review your corporate strategy and validate its alignment with the CXM operating model

      2.1.4 30 minutes

      Input

      • Corporate strategy
      • CXM operating model (completed in Activity 2.1.3)

      Output

      • Strategic alignment between the business and CXM strategies

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Brainstorm and create a list of organizational objectives at the corporate strategy level.
      2. Break down each organizational objective to identify how CXM may support it.
      3. Validate CXM goals and organizational objectives with your CXM operating model. Be sure to address the validity of each with the business needs, organizational drivers, technology drivers, and environmental factors identified as inputs to the operating model.

      Amazon leverages customer data to drive decision making around targeted offers and customer experience

      CASE STUDY

      Industry E-Commerce

      Source Pardot, 2012

      Situation

      Amazon.com, Inc. is an American electronic commerce and cloud computing company. It is the largest e-commerce retailer in the US.

      Amazon originated as an online book store, later diversifying to sell various forms of media, software, games, electronics, apparel, furniture, food, toys, and more.

      By taking a data-driven approach to marketing and sales, Amazon was able to understand its customers’ needs and wants, penetrate different product markets, and create a consistently personalized online-shopping customer experience that keeps customers coming back.

      Technology Strategy

      Use Browsing Data Effectively

      Amazon leverages marketing automation suites to view recent activities of prospects on its website. In doing so, a more complete view of the customer is achieved, including insights into purchasing interests and site navigation behaviors.

      Optimize Based on Interactions

      Using customer intelligence, Amazon surveys and studies standard engagement metrics like open rate, click-through rate, and unsubscribes to ensure the optimal degree of marketing is being targeted to existing and prospective customers, depending on level of engagement.

      Results

      Insights gained from having a complete understanding of the customer (from basic demographic characteristics provided in customer account profiles to observed psychographic behaviors captured by customer intelligence applications) are used to personalize Amazon’s sales and marketing approaches. This is represented through targeted suggestions in the “recommended for you” section of the browsing experience and tailored email marketing.

      It is this capability, partnered with the technological ability to observe and measure customer engagement, that allows Amazon to create individual customer experiences.

      Scan the external environment to understand your customers, competitors, and macroenvironmental trends

      Do not develop your CXM technology strategy in isolation. Work with Marketing to understand your STP strategy (segmentation, targeting, positioning): this will inform persona development and technology requirements downstream.

      Market Segmentation

      • Segment target market by demographic, geographic, psychographic, and behavioral characteristics
      • What does the competitive market look like?
      • Who are the key customer segments?
      • What segments are you going to target?

      Market Targeting

      • Evaluate potential and commercial attractiveness of each segment, considering the dynamics of the competition
      • How do you target your customers?
      • How should you target them in the future?
      • How do your products/services differ from the competition?

      Product Positioning

      • Develop detailed product positioning and marketing mixes for selected segments
      • What is the value of the product/service to each segment of the market?
      • How are you positioning your product/service in the market?

      Info-Tech Insight

      It is at this point that you should consider the need for and viability of an omnichannel approach to CXM. Through which channels do you target your customers? Are your customers present and active on a wide variety of channels? Consider how you can position your products, services, and brand through the use of omnichannel methodologies.

      Activity: Conduct a competitive analysis to understand where your market is going

      2.1.5 1 hour

      Input

      • Scan of competitive market
      • Existing customer STP strategy

      Output

      • Strategic CXM requirements
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team
      • Marketing SME

      Instructions

      1. Scan the market for direct and indirect competitors.
      2. Evaluate current and/or future segmentation, targeting, and positioning strategies by answering the following questions:
      • What does the competitive market look like?
      • Who are the key customer segments?
      • What segments are you going to target?
      • How do you target your customers?
      • How should you target them in the future?
      • How do your products/services differ from the competition?
      • What is the value of the product/service to each segment of the market?
      • How are you positioning your product/service in the market?
      • Other helpful questions include:
        • How formally do you target customers? (e.g. through direct contact vs. through passive brand marketing)
        • Does your organization use the shotgun or rifle approach to marketing?
          • Shotgun marketing: targets a broad segment of people, indirectly
          • Rifle marketing: targets smaller and more niche market segments using customer intelligence
    • For each point, identify CXM requirements.
    • Document your outputs in the CXM Strategy Stakeholder Presentation Template.
    • Activity: Conduct a competitive analysis (cont’d)

      2.1.5 30 minutes

      Input

      • Scan of competitive market

      Output

      • Competitive analysis
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team
      • Marketing SME (e.g. Market Research Stakeholders)

      Instructions

      1. List recent marketing technology and customer experience-related initiatives that your closest competitors have implemented.
      2. For each identified initiative, elaborate on what the competitive implications are for your organization.
      3. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Competitive Implications

      Competitor Organization Recent Initiative Associated Technology Direction of Impact Competitive Implication
      Organization X Multichannel E-Commerce Integration WEM – hybrid integration Positive
      • Up-to-date e-commerce capabilities
      • Automatic product updates via PCM
      Organization Y Web Social Analytics WEM Positive
      • Real-time analytics and customer insights
      • Allows for more targeted content toward the visitor or customer

      Conduct a PEST analysis to determine salient political, economic, social, and technological impacts for CXM

      A PEST analysis is a structured planning method that identifies external environmental factors that could influence the corporate and IT strategy.

      Political - Examine political factors, such as relevant data protection laws and government regulations.

      Economic - Examine economic factors, such as funding, cost of web access, and labor shortages for maintaining the site(s).

      Technological - Examine technological factors, such as new channels, networks, software and software frameworks, database technologies, wireless capabilities, and availability of software as a service.

      Social - Examine social factors, such as gender, race, age, income, and religion.

      Info-Tech Insight

      When looking at opportunities and threats, PEST analysis can help to ensure that you do not overlook external factors, such as technological changes in your industry. When conducting your PEST analysis specifically for CXM, pay particular attention to the rapid rate of change in the technology bucket. New channels and applications are constantly emerging and evolving, and seeing differential adoption by potential customers.

      Activity: Conduct and review the PEST analysis

      2.1.6 30 minutes

      Input

      • Political, economic, social, and technological factors related to CXM

      Output

      • Completed PEST analysis

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Identify your current strengths and weaknesses in managing the customer experience.
      2. Identify any opportunities to take advantage of and threats to mitigate.

      Example: PEST Analysis

      Political

      • Data privacy for PII
      • ADA legislation for accessible design

      Economic

      • Spending via online increasing
      • Focus on share of wallet

      Technological

      • Rise in mobile
      • Geo-location based services
      • Internet of Things
      • Omnichannel

      Social

      • Increased spending power by millennials
      • Changing channel preferences
      • Self-service models

      Activity: Translate your PEST analysis into a list of strategic CXM technology requirements to be addressed

      2.1.7 30 minutes

      Input

      • PEST Analysis conducted in Activity 2.1.6.

      Output

      • Strategic CXM requirements
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      For each PEST quadrant:

      1. Document the point and relate it to a goal.
      2. For each point, identify CXM requirements.
      3. Sort goals and requirements to eliminate duplicates.
      4. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Parsing Requirements from PEST Analysis

      Technological Trend: There has been a sharp increase in popularity of mobile self-service models for buying habits and customer service access.

      Goal: Streamline mobile application to be compatible with all mobile devices. Create consistent branding across all service delivery applications (e.g. website, etc.).

      Strategic Requirement: Develop a native mobile application while also ensuring that resources through our web presence are built with responsive design interface.

      IT must fully understand the voice of the customer: work with Marketing to develop customer personas

      Creating a customer-centric CXM technology strategy requires archetypal customer personas. Creating customer personas will enable you to talk concretely about them as consumers of your customer experience and allow you to build buyer scenarios around them.

      A persona (or archetypal user) is an invented person that represents a type of user in a particular use-case scenario. In this case, personas can be based on real customers.

      Components of a persona Example – Organization: Grocery Store
      Name Name personas to reflect a key attribute such as the persona’s primary role or motivation Brand Loyal Linda: A stay-at-home mother dedicated to maintaining and caring for a household of 5 people
      Demographic Include basic descriptors of the persona (e.g. age, geographic location, preferred language, education, job, employer, household income, etc.) Age: 42 years old Geographic location: London Suburbia Language: English Education: Post-secondary Job: Stay-at-home mother Annual Household Income: $100,000+
      Wants, needs, pain points Identify surface-level motivations for buying habits

      Wants: Local products Needs: Health products; child-safe products

      Pain points: Fragmented shopping experience

      Psychographic/behavioral traits Observe persona traits that are representative of the customers’ behaviors (e.g. attitudes, buying patterns, etc.)

      Psychographic: Detail-oriented, creature of habit

      Behavioral: Shops at large grocery store twice a week, visits farmers market on Saturdays, buys organic products online

      Activity: Build personas for your customers

      2.1.8 2 hours

      Input

      • Customer demographics and psychographics

      Output

      • List of prioritized customer personas
      • CXM Strategy Stakeholder Presentation

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      Project Team

      Instructions

      1. In 2-4 groups, list all the customer personas that need to be built. In doing so, consider the people who interact with your organization most often.
      2. Build a demographic profile for each customer persona. Include information such as age, geographic location, occupation, annual income, etc.
      3. Augment the persona with a psychographic profile of each customer. Consider the goals and objectives of each customer persona and how these might inform buyer behaviors.
      4. Introduce your group’s personas to the entire group, in a round-robin fashion, as if you are introducing your persona at a party.
      5. Summarize the personas in a persona map. Rank your personas according to importance and remove any duplicates.

      Info-Tech Insight

      For CXM, persona building is typically used for understanding the external customer; however, if you need to gain a better understanding of the organization’s internal customers (those who will be interacting with CXM applications), personas can also be built for this purpose. Examples of useful internal personas are sales managers, brand managers, customer service directors, etc.

      Sample Persona Templates

      Fred, 40

      The Family Man

      Post-secondary educated, white-collar professional, three children

      Goals & Objectives

      • Maintain a stable secure lifestyle
      • Progress his career
      • Obtain a good future for his children

      Behaviors

      • Manages household and finances
      • Stays actively involved in children’s activities and education
      • Seeks potential career development
      • Uses a cellphone and email frequently
      • Sometimes follows friends Facebook pages

      Services of Interest

      • SFA, career counselling, job boards, day care, SHHS
      • Access to information via in-person, phone, online

      Traits

      General Literacy - High

      Digital Literacy - Mid-High

      Detail-Oriented - High

      Willing to Try New Things - Mid-High

      Motivated and Persistent - Mid-High

      Time Flexible - Mid-High

      Familiar With [Red.] - Mid

      Access to [Red.] Offices - High

      Access to Internet - High

      Ashley, 35

      The Tourist

      Single, college educated, planning vacation in [redacted], interested in [redacted] job opportunities

      Goals & Objectives

      • Relax after finishing a stressful job
      • Have adventures and try new things
      • Find a new job somewhere in Canada

      Behaviors

      • Collects information about things to do in [redacted]
      • Collects information about life in [redacted]
      • Investigates and follows up on potential job opportunities
      • Uses multiple social media to keep in touch with friends
      • Shops online frequently

      Services of Interest

      • SFA, job search, road conditions, ferry schedules, hospital, police station, DL requirements, vehicle rental
      • Access to information via in-person, phone, website, SMS, email, social media

      Traits

      General Literacy - Mid

      Digital Literacy - High

      Detail-Oriented - Mid

      Willing to Try New Things - High

      Motivated and Persistent - Mid

      Time Flexible - Mid-High

      Familiar With [Red.] - Low

      Access to [Red.] Offices - Low

      Access to Internet - High

      Bill, 25

      The Single Parent

      15-year resident of [redacted], high school education, waiter, recently divorced, two children

      Goals & Objectives

      • Improve his career options so he can support his family
      • Find an affordable place to live
      • Be a good parent
      • Work through remaining divorce issues

      Behaviors

      • Tries to get training or experience to improve his career
      • Stays actively involved in his children’s activities
      • Looks for resources and supports to resolve divorce issues
      • Has a cellphone and uses the internet occasionally

      Services of Interest

      • Child care, housing authority, legal aid, parenting resources
      • Access to information via in person, word-of mouth, online, phone, email

      Traits

      General Literacy - Mid

      Digital Literacy - Mid-Low

      Detail-Oriented - Mid-Low

      Willing to Try New Things - Mid

      Motivated and Persistent - High

      Time Flexible - Mid

      Familiar With [Red.] - Mid-High

      Access to [Red.] Offices - High

      Access to Internet - High

      Marie, 19

      The Regional Youth

      Single, [redacted] resident, high school graduate

      Goals & Objectives

      • Get a good job
      • Maintain ties to family and community

      Behaviors

      • Looking for work
      • Gathering information about long-term career choices
      • Trying to get the training or experience that can help her develop a career
      • Staying with her parents until she can get established
      • Has a new cellphone and is learning how to use it
      • Plays videogames and uses the internet at least weekly

      Services of Interest

      • Job search, career counselling
      • Access to information via in-person, online, phone, email, web applications

      Traits

      General Literacy - Mid

      Digital Literacy - Mid

      Detail-Oriented - Mid-Low

      Willing to Try New Things - Mid-High

      Motivated and Persistent - Mid-Low

      Time Flexible - High

      Familiar With [Red.] - Mid-Low

      Access to [Red.] Offices - Mid-Low

      Access to Internet - Mid

      Build key scenarios for each persona to extract strategic requirements for your CXM application portfolio

      A scenario is a story or narrative that helps explore the set of interactions that a customer has with an organization. Scenario mapping will help parse requirements used to design the CXM application portfolio.

      A Good Scenario…

      • Describes specific task(s) that need to be accomplished
      • Describes user goals and motivations
      • Describes interactions with a compelling but not overwhelming amount of detail
      • Can be rough, as long as it provokes ideas and discussion

      Scenarios Are Used To…

      • Provide a shared understanding about what a user might want to do, and how they might want to do it
      • Help construct the sequence of events that are necessary to address in your user interface(s)

      To Create Good Scenarios…

      • Keep scenarios high level, not granular in nature
      • Identify as many scenarios as possible. If you’re time constrained, try to develop 2-3 key scenarios per persona
      • Sketch each scenario out so that stakeholders understand the goal of the scenario

      Activity: Build scenarios for each persona and extract strategic requirements for the CXM strategy

      2.1.9 1.5 hours

      Input

      • Customer personas (output of Activity 2.1.5)

      Output

      • CX scenario maps
      • Strategic CXM requirements
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. For each customer persona created in Activity 2.1.5, build a scenario. Choose and differentiate scenarios based on the customer goal of each scenario (e.g. make online purchase, seek customer support, etc.).
      2. Think through the narrative of how a customer interacts with your organization, at all points throughout the scenario. List each step in the interaction in a sequential order to form a scenario journey.
      3. Examine each step in the scenario and brainstorm strategic requirements that will be needed to support the customer’s use of technology throughout the scenario.
      4. Repeat steps 1-3 for each persona. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Scenario Map

      Persona Name: Brand Loyal Linda

      Scenario Goal: File a complaint about in-store customer service

      Look up “[Store Name] customer service” on public web. →Reach customer support landing page. →Receive proactive notification prompt for online chat with CSR. →Initiate conversation: provide order #. →CSR receives order context and information. →Customer articulates problem, CSR consults knowledgebase. →Discount on next purchase offered. →Send email with discount code to Brand Loyal Linda.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      2.1.1; 2.1.2; 2.1.3; 2.1.4 - Create a CXM operating model

      An analyst will facilitate a discussion to identify what impacts your CXM strategy and how to align it to your corporate strategy. The discussion will take different perspectives into consideration and look at organizational drivers, external environmental factors, as well as internal barriers and enablers.

      2.1.5 Conduct a competitive analysis

      Calling on their depth of expertise in working with a broad spectrum of organizations, our facilitator will help you work through a structured, systematic evaluation of competitors’ actions when it comes to CXM.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      2.1.6; 2.1.7 - Conduct a PEST analysis

      The facilitator will use guided conversation to target each quadrant of the PEST analysis and help your organization fully enumerate political, economic, social, and technological trends that will influence your CXM strategy. Our analysts are deeply familiar with macroenvironmental trends and can provide expert advice in identifying areas of concern in the PEST and drawing strategic requirements as implications.

      2.1.8; 2.1.9 - Build customer personas and subsequent persona scenarios

      Drawing on the preceding exercises as inputs, the facilitator will help the team create and refine personas, create respective customer interaction scenarios, and parse strategic requirements to support your technology portfolio for CXM.

      Step 2.2: Assess the Current State of CXM

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Conduct a SWOT analysis and extract strategic requirements
      • Inventory existing CXM applications and assess end-user usage and satisfaction
      • Conduct a VRIO analysis and extract strategic requirements

      Outcomes:

      • SWOT analysis
      • VRIO analysis
      • Current state application portfolio
      • Strategic requirements

      Conduct a SWOT analysis to prepare for creating your CXM strategy

      A SWOT analysis is a structured planning method that evaluates the strengths, weaknesses, opportunities, and threats involved in a project.

      Strengths - Strengths describe the positive attributes that are within your control and internal to your organization (i.e. what do you do better than anyone else?)

      Weaknesses - Weaknesses are internal aspects of your business that place you at a competitive disadvantage; think of what you need to enhance to compete with your top competitor.

      Opportunities - Opportunities are external factors the project can capitalize on. Think of them as factors that represent reasons your business is likely to prosper.

      Threats - Threats are external factors that could jeopardize the project. While you may not have control over these, you will benefit from having contingency plans to address them if they occur.

      Info-Tech Insight

      When evaluating weaknesses of your current CXM strategy, ensure that you’re taking into account not just existing applications and business processes, but also potential deficits in your organization’s channel strategy and go-to-market messaging.

      Activity: Conduct a SWOT analysis

      2.2.1 30 minutes

      Input

      • CXM strengths, weaknesses, opportunities, and threats

      Output

      • Completed SWOT analysis

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Identify your current strengths and weaknesses in managing the customer experience. Consider marketing, sales, and customer service aspects of the CX.
      2. Identify any opportunities to take advantage of and threats to mitigate.

      Example: SWOT Analysis

      Strengths

      • Strong customer service model via telephony

      Weaknesses

      • Customer service inaccessible in real-time through website or mobile application

      Opportunities

      • Leverage customer intelligence to measure ongoing customer satisfaction

      Threats

      • Lack of understanding of customer interaction platforms by staff could hinder adoption

      Activity: Translate your SWOT analysis into a list of requirements to be addressed

      2.2.2 30 minutes

      Input

      • SWOT Analysis conducted in Activity 2.2.1.

      Output

      • Strategic CXM requirements
      • CXM Stakeholder Presentation Template

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      For each SWOT quadrant:

      1. Document the point and relate it to a goal.
      2. For each point, identify CXM requirements.
      3. Sort goals and requirements to eliminate duplicates.
      4. Document your outputs in the CXM Stakeholder Presentation Template.

      Example: Parsing Requirements from SWOT Analysis

      Weakness: Customer service inaccessible in real-time through website or mobile application.

      Goal: Increase the ubiquity of access to customer service knowledgebase and agents through a web portal or mobile application.

      Strategic Requirement: Provide a live chat portal that matches the customer with the next available and qualified agent.

      Inventory your current CXM application portfolio

      Applications are the bedrock of technology enablement for CXM. Review your current application portfolio to identify what is working well and what isn’t.

      Understand Your CXM Application Portfolio With a Four-Step Approach

      Build the CXM Application Inventory →Assess Usage and Satisfaction →Map to Business Processes and Determine Dependencies →Determine Grow/Maintain/ Retire for Each Application

      When assessing the CXM applications portfolio, do not cast your net too narrowly; while CRM and MMS applications are often top of mind, applications for digital asset management and social media management are also instrumental for ensuring a well-integrated CX.

      Identify dependencies (either technical or licensing) between applications. This dependency tracing will come into play when deciding which applications should be grown (invested in), which applications should be maintained (held static), and which applications should be retired (divested).

      Info-Tech Insight

      Shadow IT is prominent here! When building your application inventory, ensure you involve Marketing, Sales, and Service to identify any “unofficial” SaaS applications that are being used for CXM. Many organizations fail to take a systematic view of their CXM application portfolio beyond maintaining a rough inventory. To assess the current state of alignment, you must build the application inventory and assess satisfaction metrics.

      Understand which of your organization’s existing enterprise applications enable CXM

      Review the major enterprise applications in your organization that enable CXM and align your requirements to these applications (net-new or existing). Identify points of integration to capture the big picture.

      The image shows a graphic titled Example: Integration of CRM, SMMP, and ERP. It is a flow chart, with icons defined by a legend on the right side of the image

      Info-Tech Insight

      When assessing the current application portfolio that supports CXM, the tendency will be to focus on the applications under the CXM umbrella, relating mostly to marketing, sales, and customer service. Be sure to include systems that act as input to, or benefit due to outputs from, CRM or similar applications. Examples of these systems are ERP systems, ECM (e.g. SharePoint) applications, and more.

      Assess CXM application usage and satisfaction

      Having a portfolio but no contextual data will not give you a full understanding of the current state. The next step is to thoroughly assess usage patterns as well as IT, management, and end-user satisfaction with each application.

      Example: Application Usage & Satisfaction Assessment

      Application Name Level of Usage IT Satisfaction Management Satisfaction End-User Satisfaction Potential Business Impact
      CRM (e.g. Salesforce) Medium High Medium Medium High
      CRM (e.g. Salesforce) Low Medium Medium High Medium
      ... ... ... ... ... ...

      Info-Tech Insight

      When evaluating satisfaction with any application, be sure to consult all stakeholders who come into contact with the application or depend on its output. Consider criteria such as ease of use, completeness of information, operational efficiency, data accuracy, etc.

      Use Info-Tech’s Application Portfolio Assessment to gather end-user feedback on existing CXM applications

      2.2.3 Application Portfolio Assessment: End-User Feedback

      Info-Tech’s Application Portfolio Assessment: End-User Feedback diagnostic is a low-effort, high-impact program that will give you detailed report cards on end-user satisfaction with an application. Use these insights to identify problems, develop action plans for improvement, and determine key participants.

      Application Portfolio Assessment: End-User Feedback is an 18-question survey that provides valuable insights on user satisfaction with an application by:

      • Performing a general assessment of the application portfolio that provides a full view of the effectiveness, criticality, and prevalence of all relevant applications.
      • Measuring individual application performance with open-ended user feedback surveys about the application, organized by department to simplify problem resolution.
      • Providing targeted department feedback to identify end-user satisfaction and focus improvements on the right group or line of business.

      INFO-TECH DIAGNOSTIC

      Activity: Inventory your CXM applications, and assess application usage and satisfaction

      2.2.4 1 hour

      Input

      • List of CXM applications

      Output

      • Complete inventory of CXM applications
      • CXM Stakeholder Presentation Template

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. List all existing applications that support the creation, management, and delivery of your customer experience.
      2. Identify which processes each application supports (e.g. content deployment, analytics, service delivery, etc.).
      3. Identify technical or licensing dependencies (e.g. data models).
      4. Assess the level of application usage by IT, management, and internal users (high/medium/low).
      5. Assess the satisfaction with and performance of each application according to IT, management, and internal users (high/medium/low). Use the Info-Tech Diagnostic to assist.

      Example: CXM Application Inventory

      Application Name Deployed Date Processes Supported Technical and Licensing Dependencies
      Salesforce June 2018 Customer relationship management XXX
      Hootsuite April 2019 Social media listening XXX
      ... ... ... ...

      Conduct a VRIO analysis to identify core competencies for CXM applications

      A VRIO analysis evaluates the ability of internal resources and capabilities to sustain a competitive advantage by evaluating dimensions of value, rarity, imitability, and organization. For critical applications like your CRM platform, use a VRIO analysis to determine their value.

      Is the resource or capability valuable in exploiting an opportunity or neutralizing a threat? Is the resource or capability rare in the sense that few of your competitors have a similar capability? Is the resource or capability costly to imitate or replicate? Is the organization organized enough to leverage and capture value from the resource or capability?
      NO COMPETITIVE DISADVANTAGE
      YES NO→ COMPETITIVE EQUALITY/PARITY
      YES YES NO→ TEMPORARY COMPETITIVE ADVANTAGE
      YES YES YES NO→ UNUSED COMPETITIVE ADVANTAGE
      YES YES YES YES LONG-TERM COMPETITIVE ADVANTAGE

      (Strategic Management Insight, 2013)

      Activity: Conduct a VRIO analysis on your existing application portfolio

      2.2.5 30 minutes

      Input

      • Inventory of existing CXM applications (output of Activity 2.2.4)

      Output

      • Completed VRIO analysis
      • Strategic CXM requirements
      • CXM Stakeholder Presentation Template

      Materials

      • VRIO Analysis model
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Evaluate each CXM application inventoried in Activity 2.2.4 by answering the four VRIO questions in sequential order. Do not proceed to the following question if “no” is answered at any point.
      2. Record the results. The state of your organization’s competitive advantage, based on each resource/capability, will be determined based on the number of questions with a “yes” answer. For example, if all four questions are answered positively, then your organization is considered to have a long-term competitive advantage.
      3. Document your outputs in the CXM Stakeholder Presentation Template.

      If you want additional support, have our analysts guide your through this phase as part of an Info-Tech workshop

      2.2.1; 2.2.2 Conduct a SWOT Analysis

      Our facilitator will use a small-team approach to delve deeply into each area, identifying enablers (strengths and opportunities) and challenges (weaknesses and threats) relating to the CXM strategy.

      2.2.3; 2.2.4 Inventory your CXM applications, and assess usage and satisfaction

      Working with your core team, the facilitator will assist with building a comprehensive inventory of CXM applications that are currently in use and with identifying adjacent systems that need to be identified for integration purposes. The facilitator will work to identify high and low performing applications and analyze this data with the team during the workshop exercise.

      2.2.5 Conduct a VRIO analysis

      The facilitator will take you through a VRIO analysis to identify which of your internal technological competencies ensure, or can be leveraged to ensure, your competitiveness in the CXM market.

      Step 2.3: Create an Application Portfolio

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities

      • Shortlist and prioritize business processes for improvement and reengineering
      • Map current CXM processes
      • Identify business process owners and assign job responsibilities
      • Identify user interaction channels to extract strategic requirements
      • Aggregate and develop strategic requirements
      • Determine gaps in current and future state processes
      • Build the CXM application portfolio

      Outcomes

      CXM application portfolio map

      • Shortlist of relevant business processes
      • Current state map
      • Business process ownership assignment
      • Channel map
      • Complete list of strategic requirements

      Understand business process mapping to draft strategy requirements for marketing, sales, and customer service

      The interaction between sales, marketing, and customer service is very process-centric. Rethink sales and customer-centric workflows and map the desired workflow, imbedding the improved/reengineered process into the requirements.

      Using BPM to Capture Strategic Requirements

      Business process modeling facilitates the collaboration between the business and IT, recording the sequence of events, tasks performed, who performed them, and the levels of interaction with the various supporting applications.

      By identifying the events and decision points in the process and overlaying the people that perform the functions, the data being interacted with, and the technologies that support them, organizations are better positioned to identify gaps that need to be bridged.

      Encourage the analysis by compiling an inventory of business processes that support customer-facing operations that are relevant to achieving the overall organizational strategies.

      Outcomes

      • Operational effectiveness
      • Identification, implementation, and maintenance of reusable enterprise applications
      • Identification of gaps that can be addressed by acquisition of additional applications or process improvement/ reengineering

      INFO-TECH OPPORTUNITY

      Refer to Info-Tech’s Create a Comprehensive BPM Strategy for Successful Process Automation blueprint for further assistance in taking a BPM approach to your sales-IT alignment.

      Leverage the APQC framework to help define your inventory of sales, marketing, and service processes

      APQC’s Process Classification Framework is a taxonomy of cross-functional business processes intended to allow the objective comparison of organizational performance within and among organizations.

      OPERATING PROCESSES
      1.0 Develop Vision and Strategy 2.0 Develop and Manage Products and Services 3.0 Market and Sell Products and Services 4.0 Deliver Products and Services 5.0 Manage Customer Service
      MANAGEMENT AND SUPPORT SERVICES
      6.0 Develop and Manage Human Capital
      7.0 Manage Information Technology
      8.0 Manage Financial Resources
      9.0 Acquire, Construct, and Manage Assets
      10.0 Manage Enterprise Risk, Compliance, and Resiliency
      11.0 Manage External Relationships
      12.0 Develop and Manage Business Capabilities

      (APQC, 2011)

      MORE ABOUT APQC

      • APQC serves as a high-level, industry-neutral enterprise model that allows organizations to see activities from a cross-industry process perspective.
      • Sales processes have been provided up to Level 3 of the APQC framework.
      • The APQC Framework can be accessed through APQC’s Process Classification Framework.
      • Note: The framework does not list all processes within a specific organization, nor are the processes that are listed in the framework present in every organization.

      Understand APQC’s “Market and Sell Products and Services” framework

      3.0 Market and Sell Products

      3.1 Understand markets, customers, and capabilities

      • 3.1.1 Perform customer and market intelligence analysis
      • 3.1.2 Evaluate and prioritize market opportunities

      3.2 Develop marketing strategy

      • 3.2.1 Define offering and customer value proposition
      • 3.2.2 Define pricing strategy to align to value proposition
      • 3.2.3 Define and manage channel strategy

      3.3 Develop sales strategy

      • 3.3.1 Develop sales forecast
      • 3.3.2 Develop sales partner/alliance relationships
      • 3.3.3 Establish overall sales budgets
      • 3.3.4 Establish sales goals and measures
      • 3.3.5 Establish customer management measures

      3.4 Develop and manage marketing plans

      • 3.4.1 Establish goals, objectives, and metrics by products by channels/segments
      • 3.4.2 Establish marketing budgets
      • 3.4.3 Develop and manage media
      • 3.4.4 Develop and manage pricing
      • 3.4.5 Develop and manage promotional activities
      • 3.4.6 Track customer management measures
      • 3.4.7 Develop and manage packaging strategy

      3.5 Develop and manage sales plans

      • 3.5.1 Generate leads
      • 3.5.2 Manage customers and accounts
      • 3.5.3 Manage customer sales
      • 3.5.4 Manage sales orders
      • 3.5.5 Manage sales force
      • 3.5.6 Manage sales partners and alliances

      Understand APQC’s “Manage Customer Service” framework

      5.0 Manage Customer Service

      5.1 Develop customer care/customer service strategy

      • 5.1.1 Develop customer service segmentation
        • 5.1.1.1 Analyze existing customers
        • 5.1.1.2 Analyze feedback of customer needs
      • 5.1.2 Define customer service policies and procedures
      • 5.1.3 Establish service levels for customers

      5.2 Plan and manage customer service operations

      • 5.2.1 Plan and manage customer service work force
        • 5.2.1.1 Forecast volume of customer service contacts
        • 5.2.1.2 Schedule customer service work force
        • 5.2.1.3 Track work force utilization
        • 5.2.1.4 Monitor and evaluate quality of customer interactions with customer service representatives

      5.2 Plan and 5.2.3.1 Receive customer complaints 5.2.3.2 Route customer complaints 5.2.3.3 Resolve customer complaints 5.2.3.4 Respond to customer complaints manage customer service operations

      • 5.2.2 Manage customer service requests/inquiries
        • 5.2.2.1 Receive customer requests/inquiries
        • 5.2.2.2 Route customer requests/inquiries
        • 5.2.2.3 Respond to customer requests/inquiries
      • 5.2.3 Manage customer complaints
        • 5.2.3.1 Receive customer complaints
        • 5.2.3.2 Route customer complaints
        • 5.2.3.3 Resolve customer complaints
        • 5.2.3.4 Respond to customer complaints

      Leverage the APQC framework to inventory processes

      The APQC framework provides levels 1 through 3 for the “Market and Sell Products and Services” framework. Level 4 processes and beyond will need to be defined by your organization as they are more granular (represent the task level) and are often industry-specific.

      Level 1 – Category - 1.0 Develop vision and strategy (10002)

      Represents the highest level of process in the enterprise, such as manage customer service, supply chain, financial organization, and human resources.

      Level 2 – Process Group - 1.1 Define the business concept and long-term vision (10014)

      Indicates the next level of processes and represents a group of processes. Examples include perform after sales repairs, procurement, accounts payable, recruit/source, and develop sales strategy.

      Level 3 – Process - 1.1.1 Assess the external environment (10017)

      A series of interrelated activities that convert input into results (outputs); processes consume resources and require standards for repeatable performance; and processes respond to control systems that direct quality, rate, and cost of performance.

      Level 4 – Activity - 1.1.1.1 Analyze and evaluate competition (10021)

      Indicates key events performed when executing a process. Examples of activities include receive customer requests, resolve customer complaints, and negotiate purchasing contracts.

      Level 5 – Task - 12.2.3.1.1 Identify project requirements and objectives (11117)

      Tasks represent the next level of hierarchical decomposition after activities. Tasks are generally much more fine grained and may vary widely across industries. Examples include create business case and obtain funding, and design recognition and reward approaches.

      Info-Tech Insight

      Define the Level 3 processes in the context of your organization. When creating a CXM strategy, concern yourself with the interrelatedness of processes across existing departmental silos (e.g. marketing, sales, customer service). Reserve the analysis of activities (Level 4) and tasks (Level 3) for granular work initiatives involved in the implementation of applications.

      Use Info-Tech’s CXM Business Process Shortlisting Tool to prioritize processes for improvement

      2.3.1 CXM Business Process Shortlisting Tool

      The CXM Business Process Shortlisting Tool can help you define which marketing, sales, and service processes you should focus on.

      Working in concert with stakeholders from the appropriate departments, complete the short questionnaire.

      Based on validated responses, the tool will highlight processes of strategic importance to your organization.

      These processes can then be mapped, with requirements extracted and used to build the CXM application portfolio.

      INFO-TECH DELIVERABLE

      The image shows a screenshot of the Prioritize Your Business Processes for Customer Experience Management document, with sample information filled in.

      Activity: Define your organization’s top-level processes for reengineering and improvement

      2.3.2 1 hour

      Input

      • Shortlist business processes relating to customer experience (output of Tool 2.3.1)

      Output

      • Prioritized list of top-level business processes by department

      Materials

      • APQC Framework
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Inventory all business processes relating to customer experience.
      2. Customize the impacted business units and factor weightings on the scorecard below to reflect the structure and priorities of your organization.
      3. Using the scorecard, identify all processes essential to your customer experience. The scorecard is designed to determine which processes to focus on and to help you understand the impact of the scrutinized process on the different customer-centric groups across the organization.

      The image shows a chart with the headings Factor, Check If Yes, repeated. The chart lists various factors, and the Check if Yes columns are left blank.

      This image shows a chart with the headings Factor, Weights, and Scores. It lists factors, and the rest of the chart is blank.

      Current legend for Weights and Scores

      F – Finance

      H – Human Resources

      I – IT

      L – Legal

      M – Marketing

      BU1 – Business Unit 1

      BU2 – Business Unit 2

      Activity: Map top-level business processes to extract strategic requirements for the CXM application portfolio

      2.3.3 45 minutes

      Input

      • Prioritized list of top-level business processes (output of Activity 2.3.2)

      Output

      • Current state process maps
      • CXM Strategy Stakeholder Presentation

      Materials

      • APQC Framework
      • Whiteboard
      • Markers
      • Sticky notes

      Participants

      • Project Team

      Instructions

      1. List all prioritized business processes, as identified in Activity 2.3.2. Map your processes in enough detail to capture all relevant activities and system touchpoints, using the legend included in the example. Focus on Level 3 processes, as explained in the APQC framework.
      2. Record all of the major process steps on sticky notes. Arrange the sticky notes in sequential order.
      3. On a set of different colored sticky notes, record all of the systems that enable the process. Map these system touchpoints to the process steps.
      4. Draw arrows in between the steps to represent manual entry or automation.
      5. Identify effectiveness and gaps in existing processes to determine process technology requirements.
      6. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      INFO-TECH OPPORTUNITY

      Refer to Info-Tech’s Create a Comprehensive BPM Strategy for Successful Process Automation blueprint for further assistance in taking a BPM approach to your sales-IT alignment.

      Info-Tech Insight

      Analysis of the current state is important in the context of gap analysis. It aids in understanding the discrepancies between your baseline and the future state vision, and ensures that these gaps are documented as part of the overall requirements.

      Example: map your current CXM processes to parse strategic requirements (customer acquisition)

      The image shows an example of a CXM process map, which is formatted as a flow chart, with a legend at the bottom.

      Activity: Extract requirements from your top-level business processes

      2.3.4 30 minutes

      Input

      • Current state process maps (output of Activity 2.3.3)

      Output

      • Requirements for future state mapping

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Discuss the current state of priority business processes, as mapped in Activity 2.3.3.
      2. Extract process requirements for business process improvement by asking the following questions:
      • What is the input?
      • What is the output?
      • What are the underlying risks and how can they be mitigated?
      • What conditions should be met to mitigate or eliminate each risk?
      • What are the improvement opportunities?
      • What conditions should be met to enable these opportunities?
      1. Break business requirements into functional and non-functional requirements, as outlined on this slide.

      Info-Tech Insight

      The business and IT should work together to evaluate the current state of business processes and the business requirements necessary to support these processes. Develop a full view of organizational needs while still obtaining the level of detail required to make informed decisions about technology.

      Establish process owners for each top-level process

      Identify the owners of the business processes being evaluated to extract requirements. Process owners will be able to inform business process improvement and assume accountability for reengineered or net-new processes going forward.

      Process Owner Responsibilities

      Process ownership ensures support, accountability, and governance for CXM and its supporting processes. Process owners must be able to negotiate with business users and other key stakeholders to drive efficiencies within their own process. The process owner must execute tactical process changes and continually optimize the process.

      Responsibilities include the following:

      • Inform business process improvement
      • Introduce KPIs and metrics
      • Monitor the success of the process
      • Present process findings to key stakeholders within the organization
      • Develop policies and procedures for the process
      • Implement new methods to manage the process

      Info-Tech Insight

      Identify the owners of existing processes early so you understand who needs to be involved in process improvement and reengineering. Once implemented, CXM applications are likely to undergo a series of changes. Unstructured data will multiply, the number of users may increase, administrators may change, and functionality could become obsolete. Should business processes be merged or drastically changed, process ownership can be reallocated during CXM implementation. Make sure you have the right roles in place to avoid inefficient processes and poor data quality.

      Use Info-Tech’s Process Owner Assignment Guide to aid you in choosing the right candidates

      2.3.5 Process Owner Assignment Guide

      The Process Owner Assignment Guide will ensure you are taking the appropriate steps to identify process owners for existing and net-new processes created within the scope of the CXM strategy.

      The steps in the document will help with important considerations such as key requirements and responsibilities.

      Sections of the document:

      1. Define responsibilities and level of commitment
      2. Define job requirements
      3. Receive referrals
      4. Hold formal interviews
      5. Determine performance metrics

      INFO-TECH DELIVERABLE

      Activity: Assign business process owners and identify job responsibilities

      2.3.6 30 minutes

      Input

      • Current state map (output of Activity 2.3.3)

      Output

      • Process owners assigned
      • CXM Strategy Stakeholder Presentation

      Materials

      Participants

      • Project Team

      Instructions

      1. Using Info-Tech’s Process Owner Assignment Guide, assign process owners for each process mapped out in Activity 2.3.3. To assist in doing so, answer the following questions
      • What is the level of commitment expected from each process owner?
      • How will the process owner role be tied to a formal performance appraisal?
      • What metrics can be assigned?
      • How much work will be required to train process owners?
      • Is there support staff available to assist process owners?
    • Document your outputs in the CXM Strategy Stakeholder Presentation Template.
    • Choose the channels that will make your target customers happy – and ensure they’re supported by CXM applications

      Traditional Channels

      Face-to-Face is efficient and has a positive personalized aspect that many customers desire, be it for sales or customer service.

      Telephony (or IVR) has been a mainstay of customer interaction for decades. While not fading, it must be used alongside newer channels.

      Postal used to be employed extensively for all domains, but is now used predominantly for e-commerce order fulfillment.

      Web 1.0 Channels

      Email is an asynchronous interaction channel still preferred by many customers. Email gives organizations flexibility with queuing.

      Live Chat is a way for clients to avoid long call center wait times and receive a solution from a quick chat with a service rep.

      Web Portals permit transactions for sales and customer service from a central interface. They are a must-have for any large company.

      Web 2.0 Channels

      Social Media consists of many individual services (like Facebook or Twitter). Social channels are exploding in consumer popularity.

      HTML5 Mobile Access allows customers to access resources from their personal device through its integrated web browser.

      Dedicated Mobile Apps allow customers to access resources through a dedicated mobile application (e.g. iOS, Android).

      Info-Tech Insight

      Your channel selections should be driven by customer personas and scenarios. For example, social media may be extensively employed by some persona types (i.e. Millennials) but see limited adoption in other demographics or use cases (i.e. B2B).

      Activity: Extract requirements from your channel map

      2.3.7 30 minutes

      Input

      • Current state process maps (output of Activity 2.3.3)

      Output

      • Channel map
      • CXM Strategy Stakeholder Presentation

      Materials

      • Info-Tech examples
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Inventory which customer channels are currently used by each department.
      2. Speak with the department heads for Marketing, Sales, and Customer Service and discuss future channel usage. Identify any channels that will be eliminated or added.
      3. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Business Unit Channel Use Survey

      Marketing Sales Customer Service
      Current Used? Future Use? Current Used? Future Use? Current Used? Future Use?
      Email Yes Yes No No No No
      Direct Mail Yes No No No No No
      Phone No No Yes Yes Yes Yes
      In-Person No No Yes Yes Yes No
      Website Yes Yes Yes Yes Yes Yes
      Social Channels No Yes Yes Yes No Yes

      Bring it together: amalgamate your strategic requirements for CXM technology enablement

      Discovering your organizational requirements is vital for choosing the right business-enabling initiative, technology, and success metrics. Sorting the requirements by marketing, sales, and service is a prudent mechanism for clarification.

      Strategic Requirements: Marketing

      Definition: High-level requirements that will support marketing functions within CXM.

      Examples

      • Develop a native mobile application while also ensuring that resources for your web presence are built with responsive design interface.
      • Consolidate workflows related to content creation to publish all brand marketing from one source of truth.
      • Augment traditional web content delivery by providing additional functionality such as omnichannel engagement, e-commerce, dynamic personalization, and social media functionality.

      Strategic Requirements: Sales

      Definition: High-level requirements that will support sales functions within CXM.

      Examples

      • Implement a system that reduces data errors and increases sales force efficiency by automating lead management workflows.
      • Achieve end-to-end visibility of the sales process by integrating the CRM, inventory, and order processing and shipping system.
      • Track sales force success by incorporating sales KPIs with real-time business intelligence feeds.

      Strategic Requirements: Customer Service

      Definition: High-level requirements that will support customer service functions within CXM.

      Examples

      • Provide a live chat portal that connects the customer, in real time, with the next available and qualified agent.
      • Bridge the gap between the source of truth for sales with customer service suites to ensure a consistent, end-to-end customer experience from acquisition to customer engagement and retention.
      • Use customer intelligence to track customer journeys in order to best understand and resolve customer complaints.

      Activity: Consolidate your strategic requirements for the CXM application portfolio

      2.3.8 30 minutes

      Input

      • Strategic CXM requirements (outputs of Activities 2.1.5, 2.1.6, and 2.2.2)

      Output

      • Aggregated strategic CXM requirements
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Aggregate strategic CXM requirements that have been gathered thus far in Activities 2.1.5, 2.1.6, and 2.2.2, 2.3.5, and 2.3.7.
      2. Identify and rectify any obvious gaps in the existing set of strategic CXM requirements. To do so, consider the overall corporate and CXM strategy: are there any objectives that have not been addressed in the requirements gathering process?
      3. De-duplicate the list. Prioritize the aggregated/augmented list of CXM requirements as “high/critical,” “medium/important,” or “low/desirable.” This will help manage the relative importance and urgency of different requirements to itemize respective initiatives, resources, and the time in which they need to be addressed. In completing the prioritization of requirements, consider the following:
      • Requirements prioritization must be completed in collaboration with all key stakeholders (across the business and IT). Stakeholders must ask themselves:
        • What are the consequences to the business objectives if this requirement is omitted?
        • Is there an existing system or manual process/workaround that could compensate for it?
        • What business risk is being introduced if a particular requirement cannot be implemented right away?
    • Document your outputs in the CXM Strategic Stakeholder Presentation Template.
    • Info-Tech Insight

      Strategic CXM requirements will be used to prioritize specific initiatives for CXM technology enablement and application rollout. Ensure that IT, the business, and executive management are all aligned on a consistent and agreed upon set of initiatives.

      Burberry digitizes the retail CX with real-time computing to bring consumers back to the physical storefront

      CASE STUDY

      Industry Consumer Goods, Clothing

      Source Retail Congress, 2017

      Burberry London

      Situation

      Internally, Burberry invested in organizational alignment and sales force brand engagement. The more the sales associate knew about the brand engagement and technology-enabled strategy, the better the store’s performance. Before the efforts went to building relationships with customers, Burberry built engagement with employees.

      Burberry embraced “omnichannel,” the hottest buzzword in retailing to provide consumers the most immersive and intuitive brand experience within the store.

      Technology Strategy

      RFID tags were attached to products to trigger interactive videos on the store’s screens in the common areas or in a fitting room. Consumers are to have instant access to relevant product combinations, ranging from craftsmanship information to catwalk looks. This is equivalent to the rich, immediate information consumers have grown to expect from the online shopping experience.

      Another layer of Burberry’s added capabilities includes in-memory-based analytics to gather and analyze data in real-time to better understand customers’ desires. Burberry builds customer profiles based on what items the shoppers try on from the RFID-tagged garments. Although this requires customer privacy consent, customers are willing to provide personal information to trusted brands.

      This program, called “Customer 360,” assisted sales associates in providing data-driven shopping experiences that invite customers to digitally share their buying history and preferences via their tablet devices. As the data is stored in Burberry’s customer data warehouse and accessed through an application such as CRM, it is able to arm sales associates with personal fashion advice on the spot.

      Lastly, the customer data warehouse/CRM application is linked to Burberry’s ERP system and other custom applications in a cloud environment to achieve real-time inventory visibility and fulfillment.

      Burberry digitizes the retail CX with real-time computing to bring consumers back to the physical storefront (cont'd)

      CASE STUDY

      Industry Consumer Goods, Clothing

      Source Retail Congress, 2017

      Burberry London

      Situation

      Internally, Burberry invested in organizational alignment and sales force brand engagement. The more the sales associate knew about the brand engagement and technology-enabled strategy, the better the store’s performance. Before the efforts went to building relationships with customers, Burberry built engagement with employees.

      Burberry embraced “omnichannel,” the hottest buzzword in retailing to provide consumers the most immersive and intuitive brand experience within the store.

      The Results

      Burberry achieved one of the most personalized retail shopping experiences. Immediate personal fashion advice using customer data is only one component of the experience. Not only are historic purchases and preference data analyzed, a customer’s social media posts and fashion industry trend data is proactively incorporated into the interactions between the sales associate and the customer.

      Burberry achieved CEO Angela Ahrendts’ vision of “Burberry World,” in which the brand experience is seamlessly integrated across channels, devices, retail locations, products, and services.

      The organizational alignment between Sales, Marketing, and IT empowered employees to bring the Burberry brand to life in unique ways that customers appreciated and were willing to advocate.

      Burberry is now one of the most beloved and valuable luxury brands in the world. The brand tripled sales in five years, became one of the leading voices on trends, fashion, music, and beauty while redefining what top-tier customer experience should be both digitally and physically.

      Leverage both core CRM suites and point solutions to create a comprehensive CXM application portfolio

      The debate between best-of-breed point solutions versus comprehensive CRM suites is ongoing. There is no single best answer. In most cases, an effective portfolio will include both types of solutions.

      • When the CRM market first evolved, vendors took a heavy “module-centric” approach – offering basic suites with the option to add a number of individual modules. Over time, vendors began to offer suites with a high degree of out-of-the-box functionality. The market has now witnessed the rise of powerful point solutions for the individual business domains.
      • Point solutions augment, rather than supplant, the functionality of a CRM suite in the mid-market to large enterprise context. Point solutions do not offer the necessary spectrum of functionality to take the place of a unified CRM suite.
      • Point solutions enhance aspects of CRM. For example, most CRM vendors have yet to provide truly impressive social media capabilities. An organization seeking to dominate the social space should consider purchasing a social media management platform to address this deficit in their CRM ecosystem.

      Customer Relationship Management (CRM)

      Social Media Management Platform (SMMP)

      Field Sales/Service Automation (FSA)

      Marketing Management Suites

      Sales Force Automation

      Email Marketing Tools

      Lead Management Automation (LMA)

      Customer Service Management Suites

      Customer Intelligence Systems

      Don’t adopt multiple point solutions without a genuine need: choose domains most in need of more functionality

      Some may find that the capabilities of a CRM suite are not enough to meet their specific requirements: supplementing a CRM suite with a targeted point solution can get the job done. A variety of CXM point solutions are designed to enhance your business processes and improve productivity.

      Sales

      Sales Force Automation: Automatically generates, qualifies, tracks, and contacts leads for sales representatives, minimizing time wasted on administrative duties.

      Field Sales: Allows field reps to go through the entire sales cycle (from quote to invoice) while offsite.

      Sales Compensation Management: Models, analyzes, and dispenses payouts to sales representatives.

      Marketing

      Social Media Management Platforms (SMMP): Manage and track multiple social media services, with extensive social data analysis and insight capabilities.

      Email Marketing Bureaus: Conduct email marketing campaigns and mine results to effectively target customers.

      Marketing Intelligence Systems: Perform in-depth searches on various data sources to create predictive models.

      Service

      Customer Service Management (CSM): Manages the customer support lifecycle with a comprehensive array of tools, usually above and beyond what’s in a CRM suite.

      Customer Service Knowledge Management (CSKM): Advanced knowledgebase and resolution tools.

      Field Service Automation (FSA): Manages customer support tickets, schedules work orders, tracks inventory and fleets, all on the go.

      Info-Tech Insight

      CRM and point solution integration is critical. A best-of-breed product that poorly integrates with your CRM suite compromises the value generated by the combined solution, such as a 360-degree customer view. Challenge point solution vendors to demonstrate integration capabilities with CRM packages.

      Refer to your use cases to decide whether to add a dedicated point solution alongside your CRM suite

      Know your end state and what kind of tool will get you there. Refer to your strategic requirements to evaluate CRM and point solution feature sets.

      Standalone CRM Suite

      Sales Conditions: Need selling and lead management capabilities for agents to perform the sales process, along with sales dashboards and statistics.

      Marketing or Communication Conditions: Need basic campaign management and ability to refresh contact records with information from social networks.

      Member Service Conditions: Need to keep basic customer records with multiple fields per record and basic channels such as email and telephony.

      Add a Best-of-Breed or Point Solution

      Environmental Conditions: An extensive customer base with many different interactions per customer along with industry specific or “niche” needs. Point solutions will benefit firms with deep needs in specific feature areas (e.g. social media or field service).

      Sales Conditions: Lengthy sales process and account management requirements for assessing and managing opportunities – in a technically complex sales process.

      Marketing Conditions: Need social media functionality for monitoring and social property management.

      Customer Service Conditions: Need complex multi-channel service processes and/or need for best-of-breed knowledgebase and service content management.

      Info-Tech Insight

      The volume and complexity of both customers and interactions have a direct effect on when to employ just a CRM suite and when to supplement with a point solution. Check to see if your CRM suite can perform a specific business requirement before deciding to evaluate potential point solutions.

      Use Info-Tech’s CXM Portfolio Designer to create an inventory of high-value customer interaction applications

      2.3.9 CXM Portfolio Designer

      The CXM Portfolio Designer features a set of questions geared toward understanding your needs for marketing, sales, and customer service enablement.

      These results are scored and used to suggest a comprehensive solution-level set of enterprise applications for CXM that can drive your application portfolio and help you make investment decisions in different areas such as CRM, marketing management, and customer intelligence.

      Sections of the tool:

      1. Introduction
      2. Customer Experience Management Questionnaire
      3. Business Unit Recommendations
      4. Enterprise-Level Recommendations

      INFO-TECH DELIVERABLE

      Understand the art of the possible and how emerging trends will affect your application portfolio (1)

      Cloud

      • The emergence and maturation of cloud technologies has broken down the barriers of software adoption.
      • Cloud has enabled easy-to-implement distributed sales centers for enterprises with global or highly fragmented workforces.
      • Cloud offers the agility, scalability, and flexibility needed to accommodate dynamic, evolving customer requirements while minimizing resourcing strain on IT and sales organizations.
      • It is now easier for small to medium enterprises to acquire and implement advanced sales capabilities to compete against larger competitors in a business environment where the need for business agility is key.
      • Although cost and resource reduction is a prominent view of the impact of cloud computing, it is also seen as an agile way to innovate and deliver a product/service experience that customers are looking for – the key to competitive differentiation.

      Mobile

      • Smartphones and other mobile devices were adopted faster than the worldwide web in the late 1990s, and the business and sales implications of widespread adoption cannot be ignored – mobile is changing how businesses operate.
        • Accenture’s Mobility Research Report states that 87% of companies in the study have been guided by a formal mobility strategy – either one that spans the enterprise or for specific business functions.
      • Mobile is now the first point of interaction with businesses. With this trend, gaining visibility into customer insights with mobile analytics is a top priority for organizations.
      • Enterprises need to develop and optimize mobile experiences for internal salespeople and customers alike as part of their sales strategy – use mobile to enable a competitive, differentiated sales force.
      • The use of mobile platforms by sales managers is becoming a norm. Sales enablement suites should support real-time performance metrics on mobile dashboards.

      Understand the art of the possible and how emerging trends will affect your application portfolio (2)

      Social

      • The rise of social networking brought customers together. Customers are now conversing with each other over a wide range of community channels that businesses neither own nor control.
        • The Power Shift: The use of social channels empowered customers to engage in real-time, unstructured conversations for the purpose of product/service evaluations. Those who are active in social environments come to wield considerable influence over the buying decisions of other prospects and customers.
      • Organizations need to identify the influencers and strategically engage them as well as developing an active presence in social communities that lead to sales.
      • Social media does have an impact on sales, both B2C and B2B. A study conducted in 2012 by Social Centered Selling states that 72.6% of sales people using social media as part of their sales process outperformed their peers and exceeded their quota 23% more often (see charts at right).

      The image shows two bar graphs, the one on top titled Achieving Quota: 2010-2012 and the one below titled Exceeding Quota: 2010-2012.

      (Social Centered Learning, n.d.)

      Understand the art of the possible and how emerging trends will affect your application portfolio (3)

      Internet of Things

      • Definition: The Internet of Things (IoT) is the network of physical objects accessed through the internet. These objects contain embedded technology to interact with internal states or the external environment.
      • Why is this interesting?
        • IoT will make it possible for everybody and everything to be connected at all times, processing information in real time. The result will be new ways of making business and sales decisions supported by the availability of information.
        • With ubiquitous connectivity, the current product design-centric view of consumers is changing to one of experience design that aims to characterize the customer relationship with a series of integrated interaction touchpoints.
        • The above change contributes to the shift in focus from experience and will mean further acceleration of the convergence of customer-centric business functions. IoT will blur the lines between marketing, sales, and customer service.
        • Products or systems linked to products are capable of self-operating, learning, updating, and correcting by analyzing real-time data.
        • Take for example, an inventory scale in a large warehouse connected to the company’s supply chain management (SCM) system. When a certain inventory weight threshold is reached due to outgoing shipments, the scale automatically sends out a purchase requisition to restock inventory levels to meet upcoming demand.
      • The IoT will eventually begin to transform existing business processes and force organizations to fundamentally rethink how they produce, operate, and service their customers.

      The image shows a graphic titled The Connected Life by 2020, and shows a number of statistics on use of connected devices over time.

      For categories covered by existing applications, determine the disposition for each app: grow it or cut it loose

      Use the two-by-two matrix below to structure your optimal CXM application portfolio. For more help, refer to Info-Tech’s blueprint, Use Agile Application Rationalization Instead of Going Big Bang.

      1

      0

      Richness of Functionality

      INTEGRATE RETAIN
      1
      REPLACE REPLACE OR ENHANCE

      0

      Degree of Integration

      Integrate: The application is functionally rich, so spend time and effort integrating it with other modules by building or enhancing interfaces.

      Retain: The application satisfies both functionality and integration requirements, so it should be considered for retention.

      Replace/Enhance: The module offers poor functionality but is well integrated with other modules. If enhancing for functionality is easy (e.g. through configuration or custom development), consider enhancement or replace it.

      Replace: The application neither offers the functionality sought nor is it integrated with other modules, and thus should be considered for replacement.

      Activity: Brainstorm the art of the possible, and build and finalize the CXM application portfolio

      2.3.10 1-2 hours

      Input

      • Process gaps identified (output of Activity 2.3.9)

      Output

      • CXM application portfolio
      • CXM Strategy Stakeholder Presentation

      Materials

      Participants

      • Project Team

      Instructions

      1. Review the complete list of strategic requirements identified in the preceding exercises, as well as business process maps.
      2. Identify which application would link to which process (e.g. customer acquisition, customer service resolution, etc.).
      3. Use Info-Tech’s CXM Portfolio Designer to create an inventory of high-value customer interaction applications.
      4. Define rationalization and investment areas.
      5. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Brainstorming the Art of the Possible

      Application Gap Satisfied Related Process Number of Linked Requirements Do we have the system? Priority
      LMA
      • Lead Generation
      • Social Lead Management
      • CRM Integration
      Sales 8 No Business Critical
      Customer Intelligence
      • Web Analytics
      • Customer Journey Tracking
      Customer Service 6 Yes Business Enabling
      ... ... ... ... ... ...

      Use Info-Tech’s comprehensive reports to make granular vendor selection decisions

      Now that you have developed the CXM application portfolio and identified areas of new investment, you’re well positioned to execute specific vendor selection projects. After you have built out your initiatives roadmap in phase 3, the following reports provide in-depth vendor reviews, feature guides, and tools and templates to assist with selection and implementation.

      Info-Tech Insight

      Not all applications are created equally well for each use case. The vendor reports help you make informed procurement decisions by segmenting vendor capabilities among major use cases. The strategic requirements identified as part of this project should be used to select the use case that best fits your needs.

      If you want additional support, have our analyst guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      2.3.2; 2.3.3 Shortlist and map the key top-level business processes

      Based on experience working with organizations in similar verticals, the facilitator will help your team map out key sample workflows for marketing, sales, and customer service.

      2.3.6 Create your strategic requirements for CXM

      Drawing on the preceding exercises, the facilitator will work with the team to create a comprehensive list of strategic requirements that will be used to drive technology decisions and roadmap initiatives.

      2.3.10 Create and finalize the CXM application portfolio

      Using the strategic requirements gathered through internal, external, and technology analysis up to this point, a facilitator will assist you in assembling a categorical technology application portfolio to support CXM.

      Step 2.4: Develop Deployment Best Practices

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Develop a CXM integration map
      • Develop a mitigation plan for poor quality customer data
      • Create a framework for end-user adoption of CXM applications

      Outcomes:

      • CXM application portfolio integration map
      • Data quality preservation plan
      • End-user adoption plan

      Develop an integration map to specify which applications will interface with each other

      Integration is paramount: your CXM application portfolio must work as a unified face to the customer. Create an integration map to reflect a system of record and the exchange of data.

      • CRM
        • ERP
        • Telephony Systems (IVR, CTI)
        • Directory Services
        • Email
        • Content Management
        • Point Solutions (SMMP, MMS)

      The points of integration that you’ll need to establish must be based on the objectives and requirements that have informed the creation of the CXM application portfolio. For instance, achieving improved customer insights would necessitate a well-integrated portfolio with customer interaction point solutions, business intelligence tools, and customer data warehouses in order to draw the information necessary to build insight. To increase customer engagement, channel integration is a must (i.e. with robust links to unified communications solutions, email, and VoIP telephony systems).

      Info-Tech Insight

      If the CXM application portfolio is fragmented, it will be nearly impossible to build a cohesive view of the customer and deliver a consistent customer experience. Points of integration (POIs) are the junctions between the applications that make up the CXM portfolio. They are essential to creating value, particularly in customer insight-focused and omnichannel-focused deployments. Be sure to include enterprise applications that are not included in the CXM application portfolio. Popular systems to consider for POIs include billing, directory services, content management, and collaboration tools.

      After identifying points of integration, profile them by business significance, complexity, and investment required

      • After enumerating points of integration between the CRM platform and other CXM applications and data sources, profile them by business significance and complexity required to determine a rank-ordering of priorities.
      • Points of integration that are of high business significance with low complexity are your must do’s – these are your quick wins that deliver maximum value without too much cost. This is typically the case when integrating a vendor-to-vendor solution with available native connectors.
      • On the opposite end of the spectrum are your POIs that will require extensive work to deliver but offer negligible value. These are your should not do’s – typically, these are niche requests for integration that will only benefit the workflows of a small (and low priority) group of end users. Only accommodate them if you have slack time and budget built into your implementation timeline.

      The image shows a square matrix with Point of Integration Value Matrix in the centre. On the X-axis is Business Significance, and on the Y-axis is POI complexity. In the upper left quadrant is Should Not Do, upper right is Should Do, lower left is Could Do, and lower right is Must do.

      "Find the absolute minimum number of ‘quick wins’ – the POIs you need from day one that are necessary to keep end users happy and deliver value." – Maria Cindric, Australian Catholic University Source: Interview

      Activity: Develop a CXM application integration map

      2.4.1 1 hour

      Input

      • CXM application portfolio (output of Activity 2.3.10)

      Output

      • CXM application portfolio integration map
      • CXM Strategy Stakeholder Presentation

      Materials

      • Sticky notes
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. On sticky notes, record the list of applications that comprise the CXM application portfolio (built in Activity 2.3.10) and all other relevant applications. Post the sticky notes on a whiteboard so you can visualize the portfolio.
      2. Discuss the key objectives and requirements that will drive the integration design of the CXM application portfolio.
      3. As deemed necessary by step 2, rearrange the sticky notes and draw connecting arrows between applications to reflect their integration. Allow the point of the arrow to indicate direction of data exchanges.
      4. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Mapping the Integration of CXM Applications

      The image shows several yellow rectangles with text in them, connected by arrows.

      Plug the hole and bail the boat – plan to be preventative and corrective with customer data quality initiatives

      Data quality is king: if your customer data is garbage in, it will be garbage out. Enable strategic CXM decision making with effective planning of data quality initiatives.

      Identify and Eliminate Dead Weight

      Poor data can originate in the firm’s system of record, which is typically the CRM system. Custom queries, stored procedures, or profiling tools can be used to assess the key problem areas.

      Loose rules in the CRM system lead to records of no significant value in the database. Those rules need to be fixed, but if changes are made before the data is fixed, users could encounter database or application errors, which will reduce user confidence in the system.

      • Conduct a data flow analysis: map the path that data takes through the organization.
      • Use a mass cleanup to identify and destroy dead weight data. Merge duplicates either manually or with the aid of software tools. Delete incomplete data, taking care to reassign related data.
      • COTS packages typically allow power users to merge records without creating orphaned records in related tables, but custom-built applications typically require IT expertise.

      Create and Enforce Standards & Policies

      Now that the data has been cleaned, protect the system from relapsing.

      Work with business users to find out what types of data require validation and which fields should have changes audited. Whenever possible, implement drop-down lists to standardize values and make programming changes to ensure that truncation ceases.

      • Truncated data is usually caused by mismatches in data structures during either one-time data loads or ongoing data integrations.
      • Don’t go overboard on assigning required fields – users will just put key data in note fields.
      • Discourage the use of unstructured note fields: the data is effectively lost unless it gets subpoenaed.
      • To specify policies, use Info-Tech’s Master Data Record Tool.

      Profile your customer and sales-related data

      Applications are a critical component of how IT supports Sales, but IT also needs to help Sales keep its data current and accurate. Conducting a sales data audit is critical to ensure Sales has the right information at the right time.

      Info-Tech Insight

      Data is king. More than ever, having accurate data is essential for your organization to win in hyper-competitive marketplaces. Prudent current state analysis looks at both the overall data model and data architecture, as well as assessing data quality within critical sales-related repositories. As the amount of customer data grows exponentially due to the rise of mobility and the Internet of Things, you must have a forward-looking data model and data marts/customer data warehouse to support sales-relevant decisions.

      • A current state analysis for sales data follows a multi-step process:
        • Determine the location of all sales-relevant and customer data – the sales data inventory. Data can reside in applications, warehouses, and documents (e.g. Excel and Access files) – be sure to take a holistic approach.
      • For each data source, assess data quality across the following categories:
        • Completeness
        • Currency (Relevancy)
        • Correctness
        • Duplication
      • After assessing data quality, determine which repositories need the most attention by IT and Sales. We will look at opportunities for data consolidation later in the blueprint.

      INFO-TECH OPPORTUNITY

      Refer to Info-Tech’s Develop a Master Data Management Strategy and Roadmap blueprint for further reference and assistance in data management for your sales-IT alignment.

      Activity: Develop a mitigation plan for poor quality customer data

      2.4.2 30 minutes

      Input

      • List of departments involved in maintenance of CXM data

      Output

      • Data quality preservation plan
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Inventory a list of departments that will be interacting directly with CXM data.
      2. Identify data quality cleansing and preservation initiatives, such as those in previous examples.
      3. Assign accountability to an individual in the department as a data steward. When deciding on a data steward, consider the following:
      • Data stewards are designated full-time employees who serve as the go-to resource for all issues pertaining to data quality, including keeping a particular data silo clean and free of errors.
      • Data stewards are typically mid-level managers in the business (not IT), preferably with an interest in improving data quality and a relatively high degree of tech-savviness.
      • Data stewards can sometimes be created as a new role with a dedicated FTE, but this is not usually cost effective for small and mid-sized firms.
      • Instead, diffuse the steward role across several existing positions, including one for CRM and other marketing, sales, and service applications.
    • Document your outputs in the CXM Strategy Stakeholder Presentation Template.
    • Example: Data Steward Structure

      Department A

      • Data Steward (CRM)
      • Data Steward (ERP)

      Department B

      • Data Steward (All)

      Department C

      • Data Steward (All)

      Determine if a customer data warehouse will add value to your CXM technology-enablement strategy

      A customer data warehouse (CDW) “is a subject-oriented, integrated, time-variant, non-volatile collection of data used to support the strategic decision-making process across marketing, sales, and service. It is the central point of data integration for customer intelligence and is the source of data for the data marts, delivering a common view of customer data” (Corporate Information Factory, n.d.).

      Analogy

      CDWs are like a buffet. All the food items are in the buffet. Likewise, your corporate data sources are centralized into one repository. There are so many food items in a buffet that you may need to organize them into separate food stations (data marts) for easier access.

      Examples/Use Cases

      • Time series analyses with historical data
      • Enterprise level, common view analyses
      • Integrated, comprehensive customer profiles
      • One-stop repository of all corporate information

      Pros

      • Top-down architectural planning
      • Subject areas are integrated
      • Time-variant, changes to the data are tracked
      • Non-volatile, data is never over-written or deleted

      Cons

      • A massive amount of corporate information
      • Slower delivery
      • Changes are harder to make
      • Data format is not very business friendly

      Activity: Assess the need for a customer data warehouse

      2.4.3. 30 minutes

      Input

      • List of data sources
      • Data inflows and outflows

      Output

      • Data quality preservation plan
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Create a shortlist of customer data sources.
      2. Profile the integration points that are necessary to support inflows and outflows of customer data.
      3. Ask the following questions around the need for a CDW based on these data sources and points of integration:
      • What is the volume of customer information that needs to be stored? The greater the capacity, the more likely that you should build a dedicated CDW.
      • How complex is the data? The more complex the data, the greater the need for a CDW.
      • How often will data interchange happen between various applications and data sources? The greater and more frequent the interchange, the greater the need for a CDW.
      • What are your organizational capabilities for building a CDW? Do you have the resources in-house to create a CDW at this time?
    • Document your outputs in the CXM Strategy Stakeholder Presentation Template.
    • INFO-TECH OPPORTUNITY

      Refer to Info-Tech’s Build an Agile Data Warehouse blueprint for more information on building a centralized and integrated data warehouse.

      Create a plan for end-user training on new (or refocused) CXM applications and data quality processes

      All training modules will be different, but some will have overlapping areas of interest.

      – Assign Project Evangelists – Analytics Training – Mobile Training

      Application Training

      • Customer Service - Assign Project Evangelists – Analytics Training – Mobile Training
        • Focus training on:
          • What to do with inbound tickets.
          • Routing and escalation features.
          • How to use knowledge management features effectively.
          • Call center capabilities.
      • Sales – Assign Project Evangelists – Analytics Training – Mobile Training
        • Focus training on:
          • Recording of opportunities, leads, and deals.
          • How to maximize sales with sales support decision tree.
      • Marketing - Assign Project Evangelists – Analytics Training
        • Focus training on:
          • Campaign management features.
          • Social media monitoring and engagement capabilities.
      • IT
        • Focus training on:
          • Familiarization with the software.
          • Software integration with other enterprise applications.
          • The technical support needed to maintain the system in the future.

      Info-Tech Insight

      Train customers too. Keep the customer-facing sales portals simple and intuitive, have clear explanations/instructions under important functions (e.g. brief directions on how to initiate service inquiries), and provide examples of proper uses (e.g. effective searches). Make sure customers are aware of escalation options available to them if self-service falls short.

      Ensure adoption with a formal communication process to keep departments apprised of new application rollouts

      The team leading the rollout of new initiatives (be they applications, new governance structures, or data quality procedures) should establish a communication process to ensure management and users are well informed.

      CXM-related department groups or designated trainers should take the lead and implement a process for:

      • Scheduling application platform/process rollout/kick-off meetings.
      • Soliciting preliminary input from the attending groups to develop further training plans.
      • Establishing communication paths and the key communication agents from each department who are responsible for keeping lines open moving forward.

      The overall objective for inter-departmental kick-off meetings is to confirm that all parties agree on certain key points and understand alignment rationale and new sales app or process functionality.

      The kick-off process will significantly improve internal communications by inviting all affected internal IT groups, including business units, to work together to address significant issues before the application process is formally activated.

      The kick-off meeting(s) should encompass:

      • Target business-user requirements
      • The high-level application overview
      • Tangible business benefits of alignment
      • Special consideration needs
      • Other IT department needs
      • Target quality of service (QoS) metrics

      Info-Tech Insight

      Determine who in each department will send out a message about initiative implementation, the tone of the message, the medium, and the delivery date.

      Construct a formal communication plan to engage stakeholders through structured channels

      Tangible Elements of a Communications Plan

      • Stakeholder Group Name
      • Stakeholder Description
      • Message
      • Concerns Relative to Application Maintenance
      • Communication Medium
      • Role Responsible for Communication
      • Frequency
      • Start and End Date

      Intangible Elements of a Communications Plan

      • Establish biweekly meetings with representatives from sales functional groups, who are tasked with reporting on:
        • Benefits of revised processes
        • Metrics of success
        • Resource restructuring
      • Establish a monthly interdepartmental meeting, where all representatives from sales and IT leadership discuss pressing bug fixes and minor process improvements.
      • Create a webinar series, complete with Q&A, so that stakeholders can reference these changes at their leisure.

      Info-Tech Insight

      Every piece of information that you give to a stakeholder that is not directly relevant to their interests is a distraction from your core message. Always remember to tailor the message, medium, and timing accordingly.

      Carry the CXM value forward with linkage and relationships between sales, marketing, service, and IT

      Once the sales-IT alignment committees have been formed, create organizational cadence through a variety of formal and informal gatherings between the two business functions.

      • Organizations typically fall in one of three maturity stages: isolation, collaboration, or synergy. Strive to achieve business-technology synergy at the operational level.
      • Although collaboration cannot be mandated, it can be facilitated. Start with a simple gauge of the two functions’ satisfaction with each other, and determine where and how inter-functional communication and synergy can be constructed.

      Isolation

      The image shows four shapes, with the words IT, Sales, Customer Service, and Marketing in them.

      • Point solutions are implemented on an ad-hoc basis by individual departments for specific projects.
      • Internal IT is rarely involved in these projects from beginning to end.

      Collaboration

      The image features that same four shapes and text from the previous image, but this time they are connected by dotted lines.

      • There is a formal cross-departmental effort to integrate some point solutions.
      • Internal IT gets involved to integrate systems and then support system interactions.

      Synergy

      The image features the same shapes and text from previous instances, except the shapes are now connect by solid lines and the entire image is surrounded by dotted lines.

      • Cross-functional, business technology teams are established to work on IT-enabled revenue generation initiatives.
      • Team members are collocated if possible.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      2.4.1 Develop a CXM application integration map

      Using the inventory of existing CXM-supporting applications and the newly formed CXM application portfolio as inputs, your facilitator will assist you in creating an integration map of applications to establish a system of record and flow of data.

      2.4.2 Develop a mitigation plan for poor quality customer data

      Our facilitator will educate your stakeholders on the importance of quality data and guide you through the creation of a mitigation plan for data preservation.

      2.4.3 Assess the need for a customer data warehouse

      Addressing important factors such as data volume, complexity, and flow, a facilitator will help you assess whether or not a customer data warehouse for CXM is the right fit for your organization.

      Phase 3

      Finalize the CXM Framework

      Build a Strong Technology Foundation for Customer Experience Management

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Finalize the CXM Framework

      Proposed Time to Completion: 1 week

      Step 3.1: Create an Initiative Rollout Plan

      Start with an analyst kick-off call:

      • Discuss strategic requirements and the associated application portfolio that has been proposed.

      Then complete these activities…

      • Initiatives prioritization

      With these tools & templates:

      • CXM Strategy Stakeholder Presentation Template

      Step 3.2: Confirm and Finalize the CXM Blueprint

      Review findings with analyst:

      • Discuss roadmap and next steps in terms of rationalizing and implementing specific technology-centric initiatives or rollouts.

      Then complete these activities…

      • Confirm stakeholder strategy presentation

      With these tools & templates:

      • CXM Strategy Stakeholder Presentation Template

      Phase 3 Results & Insights:

      • Initiatives roadmap

      Step 3.1: Create an Initiative Rollout Plan

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Create a risk management plan
      • Brainstorm initiatives for CXM roadmap
      • Identify dependencies and enabling projects for your CXM roadmap
      • Complete the CXM roadmap

      Outcomes:

      • Risk management plan
      • CXM roadmap
        • Quick-win initiatives

      A CXM technology-enablement roadmap will provide smooth and timely implementation of your apps/initiatives

      Creating a comprehensive CXM strategy roadmap reduces the risk of rework, misallocation of resources, and project delays or abandonment.

      • People
      • Processes
      • Technology
      • Timeline
      • Tasks
      • Budget

      Benefits of a Roadmap

      1. Prioritize execution of initiatives in alignment with business, IT, and needs.
      2. Create clearly defined roles and responsibilities for IT and business stakeholders.
      3. Establish clear timelines for rollout of initiatives.
      4. Identify key functional areas and processes.
      5. Highlight dependencies and prerequisites for successful deployment.
      6. Reduce the risk of rework due to poor execution.

      Implement planning and controls for project execution

      Risk Management

      • Track risks associated with your CXM project.
      • Assign owners and create plans for resolving open risks.
      • Identify risks associated with related projects.
      • Create a plan for effectively communicating project risks.

      Change Management

      • Brainstorm a high-level training plan for various users of the CXM.
      • Create a communication plan to notify stakeholders and impacted users about the tool and how it will alter their workday and performance of role activities.
      • Establish a formal change management process that is flexible enough to meet the demands for change.

      Project Management

      • Conduct a post-mortem to evaluate the completion of the CXM strategy.
      • Design the project management process to be adaptive in nature.
      • Communication is key to project success, whether it is to external stakeholders or internal project team members..
      • Review the project’s performance against metrics and expectations.

      INFO-TECH OPPORTUNITIES

      Optimize the Change Management Process

      You need to design a process that is flexible enough to meet demand for change and strict enough to protect the live environment from change-related incidents.

      Create Project Management Success

      Investing time up front to plan the project and implementing best practices during project execution to ensure the project is delivered with the planned outcome and quality is critical to project success.

      Activity: Create a risk management plan

      3.1.1 45 minutes

      Input

      • Inventory of risks

      Output

      • Risk management plan
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Create a list of possible risks that may hamper the progress of your CXM project.
      2. Classify risks as strategy-based, related to planning, or systems-based, related to technology.
      3. Brainstorm mitigation strategies to overcome each listed risk.
      4. On a score of 1 to 3, determine the impact of each risk on the success of the project.
      5. On a score of 1 to 3, determine the likelihood of the occurrence for each risk.
      6. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Constructing a Risk Management Plan

      Risk Impact Likelihood Mitigation Effort
      Strategy Risks Project over budget
      • Detailed project plan
      • Pricing guarantees
      Inadequate content governance
      System Risks Integration with additional systems
      • Develop integration plan and begin testing integration methods early in the project
      .... ... ... ...

      Likelihood

      1 – High/ Needs Focus

      2 – Can Be Mitigated

      3 - Unlikely

      Impact

      1 - High Risk

      2 - Moderate Risk

      3 - Minimal Risk

      Prepare contingency plans to minimize time spent handling unexpected risks

      Understanding technical and strategic risks can help you establish contingency measures to reduce the likelihood that risks will occur. Devise mitigation strategies to help offset the impact of risks if contingency measures are not enough.

      Remember

      The biggest sources of risk in a CXM strategy are lack of planning, poorly defined requirements, and lack of governance.

      Apply the following mitigation tips to avoid pitfalls and delays.

      Risk Mitigation Tips

      • Upfront planning
      • Realistic timelines
      • Resource support
      • Change management
      • Executive sponsorship
      • Sufficient funding
      • Expectation setting
      1. Project Starts
      • Expectations are high
    • Project Workload Increases
      • Expectations are high
    • Pit of Despair
      • Why are we doing this?
    • Project Nears Close
      • Benefits are being realized
    • Implementation is Completed
      • Learning curve dip
    • Standardization & Optimization
      • Benefits are high
    • Identify factors to complete your CXM initiatives roadmap

      Completion of initiatives for your CXM project will be contingent upon multiple variables.

      Defining Dependencies

      Initiative complexity will define the need for enabling projects. Create a process to define dependencies:

      1. Enabling projects: complex prerequisites.
      2. Preceding tasks: direct and simplified assignments.

      Establishing a Timeline

      • Assign realistic timelines for each initiative to ensure smooth progress.
      • Use milestones and stage gates to track the progress of your initiatives and tasks.

      Defining Importance

      • Based on requirements gathering, identify the importance of each initiative to your marketing department.
      • Each initiative can be ranked high, medium, or low.

      Assigning Ownership

      • Owners are responsible for on-time completion of their assigned initiatives.
      • Populate a RACI chart to ensure coverage of all initiatives.

      Complex....Initiative

      • Enabling Project
        • Preceding Task
        • Preceding Task
      • Enabling Project
        • Preceding Task
        • Preceding Task

      Simple....Initiative

      • Preceding Task
      • Preceding Task
      • Preceding Task

      Activity: Brainstorm CXM application initiatives for implementation in alignment with business needs

      3.1.2 45 minutes

      Input

      • Inventory of CXM initiatives

      Output

      • Prioritized and quick-win initiatives
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. As a team, identify and list CXM initiatives that need to be addressed.
      2. Plot the initiatives on the complexity-value matrix to determine priority.
      3. Identify quick wins: initiatives that can realize quick benefits with little effort.
      4. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Importance-Capability Matrix

      The image shows a matrix, with Initiative Complexity on the X-axis, and Business Value on the Y-axis. There are circle of different sizes in the matrix.

      Pinpoint quick wins: high importance, low effort initiatives.

      The size of each plotted initiative must indicate the effort or the complexity and time required to complete.
      Top Right Quadrant Strategic Projects
      Top Left Quadrant Quick Wins
      Bottom Right Quadrant Risky Bets
      Bottom Left Quadrant Discretionary Projects

      Activity: Identify any dependencies or enabling projects for your CXM roadmap

      3.1.3 1 hour

      Input

      • Implementation initiatives
      • Dependencies

      Output

      • CXM project dependencies

      Materials

      • Sticky notes
      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Using sticky notes and a whiteboard, have each team member rank the compiled initiatives in terms of priority.
      2. Determine preceding tasks or enabling projects that each initiative is dependent upon.
      3. Determine realistic timelines to complete each quick win, enabling project, and long-term initiative.
      4. Assign an owner for each initiative.

      Example: Project Dependencies

      Initiative: Omnichannel E-Commerce

      Dependency: WEM Suite Deployment; CRM Suite Deployment; Order Fulfillment Capabilities

      Activity: Complete the implementation roadmap

      3.1.4 30 minutes

      Input

      • Implementation initiatives
      • Dependencies

      Output

      • CXM Roadmap
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Establish time frames to highlight enabling projects, quick wins, and long-term initiatives.
      2. Indicate the importance of each initiative as high, medium, or low based on the output in Activity 3.1.2.
      3. Assign each initiative to a member of the project team. Each owner will be responsible for the execution of a given initiative as planned.
      4. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Example: Importance-Capability Matrix

      Importance Initiative Owner Completion Date
      Example Projects High Gather business requirements. Project Manager MM/DD/YYYY
      Quick Wins
      Long Term Medium Implement e-commerce across all sites. CFO & Web Manager MM/DD/YYYY

      Importance

      • High
      • Medium
      • Low

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.1.1 Create a risk management plan

      Based on the workshop exercises, the facilitator will work with the core team to design a priority-based risk mitigation plan that enumerates the most salient risks to the CXM project and addresses them.

      3.1.2; 3.1.3; 3.1.4 Identify initiative dependencies and create the CXM roadmap

      After identifying dependencies, our facilitators will work with your IT SMEs and business stakeholders to create a comprehensive roadmap, outlining the initiatives needed to carry out your CXM strategy roadmap.

      Step 3.2: Confirm and Finalize the CXM Blueprint

      Phase 1

      1.1 Create the Project Vision

      1.2 Structure the Project

      Phase 2

      2.1 Scan the External Environment

      2.2 Assess the Current State of CXM

      2.3 Create an Application Portfolio

      2.4 Develop Deployment Best Practices

      Phase 3

      3.1 Create an Initiative Rollout Plan

      3.2 Confirm and Finalize the CXM Blueprint

      Activities:

      • Identify success metrics
      • Create a stakeholder power map
      • Create a stakeholder communication plan
      • Complete and present CXM strategy stakeholder presentation

      Outcomes:

      • Stakeholder communication plan
      • CXM strategy stakeholder presentation

      Ensure that your CXM applications are improving the performance of targeted processes by establishing metrics

      Key Performance Indicators (KPIs)

      Key performance indicators (KPIs) are quantifiable measures that demonstrate the effectiveness of a process and its ability to meet business objectives.

      Questions to Ask

      1. What outputs of the process can be used to measure success?
      2. How do you measure process efficiency and effectiveness?

      Creating KPIs

      Specific

      Measurable

      Achievable

      Realistic

      Time-bound

      Follow the SMART methodology when developing KPIs for each process.

      Adhering to this methodology is a key component of the Lean management methodology. This framework will help you avoid establishing general metrics that aren’t relevant.

      Info-Tech Insight

      Metrics are essential to your ability to measure and communicate the success of the CXM strategy to the business. Speak the same language as the business and choose metrics that relate to marketing, sales, and customer service objectives.

      Activity: Identify metrics to communicate process success

      3.2.1 1 hour

      Input

      • Key organizational objectives

      Output

      • Strategic business metrics
      • CXM Strategy Stakeholder Presentation

      Materials

      • Whiteboard
      • Markers

      Participants

      • Project Team

      Instructions

      1. Recap the major functions that CXM will focus on (e.g. marketing, sales, customer service, web experience management, social media management, etc.)
      2. Identify business metrics that reflect organizational objectives for each function.
      3. Establish goals for each metric (as exemplified below).
      4. Document your outputs in the CXM Strategy Stakeholder Presentation Template.
      5. Communicate the chosen metrics and the respective goals to stakeholders.

      Example: Metrics for Marketing, Sales, and Customer Service Functions

      Metric Example
      Marketing Customer acquisition cost X% decrease in costs relating to advertising spend
      Ratio of lifetime customer value X% decrease in customer churn
      Marketing originated customer % X% increase in % of customer acquisition driven by marketing
      Sales Conversion rate X% increase conversion of lead to sale
      Lead response time X% decrease in response time per lead
      Opportunity-to-win ratio X% increase in monthly/annual opportunity-to-win ratio
      Customer Service First response time X% decreased time it takes for customer to receive first response
      Time-to-resolution X% decrease of average time-to-resolution
      Customer satisfaction X% improvement of customer satisfaction ratings on immediate feedback survey

      Use Info-Tech’s Stakeholder Power Map Template to identify stakeholders crucial to CXM application rollouts

      3.2.2 Stakeholder Power Map Template

      Use this template and its power map to help visualize the importance of various stakeholders and their concerns. Prioritize your time according to the most powerful and most impacted stakeholders.

      Answer questions about each stakeholder:

      • Power: How much influence does the stakeholder have? Enough to drive the project forward or into the ground?
      • Involvement: How interested is the stakeholder? How involved is the stakeholder in the project already?
      • Impact: To what degree will the stakeholder be impacted? Will this significantly change how they do their job?
      • Support: Is the stakeholder a supporter of the project? Neutral? A resistor?

      Focus on key players: relevant stakeholders who have high power, should have high involvement, and are highly impacted.

      INFO-TECH DELIVERABLE

      Stakeholder Power Map Template

      Use Info-Tech’s Stakeholder Communication Planning Template to document initiatives and track communication

      3.2.3 Stakeholder Communication Planning Template

      Use the Stakeholder Communication Planning Template to document your list of initiative stakeholders so you can track them and plan communication throughout the initiative.

      Track the communication methods needed to convey information regarding CXM initiatives. Communicate how a specific initiative will impact the way employees work and the work they do.

      Sections of the document:

      1. Document the Stakeholder Power Map (output of Tool 3.2.2).
      2. Complete the Communicate Management Plan to aid in the planning and tracking of communication and training.

      INFO-TECH DELIVERABLE

      Activity: Create a stakeholder power map and communication plan

      3.2.4 1 hour

      Input

      • Stakeholder power map

      Output

      • Stakeholder communication plan
      • CXM Strategy Stakeholder Presentation

      Materials

      • Info-Tech’s Stakeholder Communication Planning Template
      • Info-Tech’s Stakeholder Power Map Template

      Participants

      • Project Team

      Instructions

      1. Using Info-Tech’s Stakeholder Power Map Template, identify key stakeholders for ensuring the success of the CXM strategy (Tool 3.2.2).
      2. Using Info-Tech’s Stakeholder Communication Plan Template, construct a communication plan to communicate and track CXM initiatives with all CXM stakeholders (Tool 3.2.3).
      3. Document your outputs in the CXM Strategy Stakeholder Presentation Template.

      Use Info-Tech’s CXM Strategy Stakeholder Presentation Template to sell your CXM strategy to the business

      3.2.5 CXM Strategy Stakeholder Presentation Template

      Complete the presentation template as indicated when you see the green icon throughout this deck. Include the outputs of all activities that are marked with this icon.

      Info-Tech has designed the CXM Strategy Stakeholder Presentation Template to capture the most critical aspects of the CXM strategy. Customize it to best convey your message to project stakeholders and to suit your organization.

      The presentation should be no longer than one hour. However, additional slides can be added at the discretion of the presenter. Make sure there is adequate time for a question and answer period.

      INFO-TECH DELIVERABLE

      After the presentation, email the deck to stakeholders to ensure they have it available for their own reference.

      Activity: Determine the measured value received from the project

      3.2.6 30 minutes

      Input

      • Project Metrics

      Output

      • Measured Value Calculation

      Materials

      • Workbook

      Participants

      • Project Team

      Instructions

      1. Review project metrics identified in phase 1 and associated benchmarks.
      2. After executing the CXM project, compare metrics that were identified in the benchmarks with the revised and assess the delta.
      3. Calculate the percentage change and quantify dollar impact (i.e. as a result of increased customer acquisition or retention).

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.2.4 Create a stakeholder power map and communication plan

      An analyst will walk the project team through the creation of a communication plan, inclusive of project metrics and their respective goals. If you are planning a variety of CXM initiatives, track how the change will be communicated and to whom. Determine the employees who will be impacted by the change.

      Insight breakdown

      Insight 1

      • IT must work in lockstep with Marketing, Sales, and Customer Service to develop a comprehensive technology-enablement strategy for CXM.
      • As IT works with its stakeholders in the business, it must endeavor to capture and use the voice of the customer in driving strategic requirements for CXM portfolio design.
      • IT must consider the external environment, customer personas, and internal processes as it designs strategic requirements to build the CXM application portfolio.

      Insight 2

      • The cloud is bringing significant disruption to the CXM space: to maintain relevancy, IT must become deeply involved in ensuring alignment between vendor capabilities and strategic requirements.
      • IT must serve as a trusted advisor on technical implementation challenges related to CXM, such as data quality, integration, and end-user training and adoption.
      • IT is responsible for technology enablement and is an indispensable partner in this regard; however, the business must ultimately own the objectives and communication strategy for customer engagement.

      Insight 3

      • When crafting a portfolio for CXM, be aware of the art of the possible: capabilities are rapidly merging and evolving to support new interaction channels. Social, mobile, and IoT are disrupting the customer experience landscape.
      • Big data and analytics-driven decision making is another significant area of value. IT must allow for true customer intelligence by providing an integration framework across customer-facing applications.

      Summary of accomplishment

      Knowledge Gained

      • Voice of the Customer for CXM Portfolio Design
      • Understanding of Strategic Requirements for CXM
      • Customer Personas and Scenarios
      • Environmental Scan
      • Deployment Considerations
      • Initiatives Roadmap Considerations

      Processes Optimized

      • CXM Technology Portfolio Design
      • Customer Data Quality Processes
      • CXM Integrations

      Deliverables Completed

      • Strategic Summary for CXM
      • CXM Project Charter
      • Customer Personas
      • External and Competitive Analysis
      • CXM Application Portfolio

      Bibliography

      Accenture Digital. “Growing the Digital Business: Accenture Mobility Research 2015.” Accenture. 2015. Web.

      Afshar, Vala. “50 Important Customer Experience Stats for Business Leaders.” Huffington Post. 15 Oct. 2015. Web.

      APQC. “Marketing and Sales Definitions and Key Measures.” APQC’s Process Classification Framework, Version 1.0.0. APQC. Mar. 2011. Web.

      CX Network. “The Evolution of Customer Experience in 2015.” Customer Experience Network. 2015. Web.

      Genesys. “State of Customer Experience Research”. Genesys. 2018. Web.

      Harvard Business Review and SAS. “Lessons From the Leading Edge of Customer Experience Management.” Harvard Business School Publishing. 2014. Web.

      Help Scout. “75 Customer Service Facts, Quotes & Statistics.” Help Scout. n.d. Web.

      Inmon Consulting Services. “Corporate Information Factory (CIF) Overview.” Corporate Information Factory. n.d. Web

      Jurevicius, Ovidijus. “VRIO Framework.” Strategic Management Insight. 21 Oct. 2013. Web.

      Keenan, Jim, and Barbara Giamanco. “Social Media and Sales Quota.” A Sales Guy Consulting and Social Centered Selling. n.d. Web.

      Malik, Om. “Internet of Things Will Have 24 Billion Devices by 2020.” Gigaom. 13 Oct. 2011. Web.

      McGovern, Michele. “Customers Want More: 5 New Expectations You Must Meet Now.” Customer Experience Insight. 30 July 2015. Web.

      McGinnis, Devon. “40 Customer Service Statistics to Move Your Business Forward.” Salesforce Blog. 1 May 2019. Web.

      Bibliography

      Reichheld, Fred. “Prescription for Cutting Costs”. Bain & Company. n.d. Web.

      Retail Congress Asia Pacific. “SAP – Burberry Makes Shopping Personal.” Retail Congress Asia Pacific. 2017. Web.

      Rouse, Margaret. “Omnichannel Definition.” TechTarget. Feb. 2014. Web.

      Salesforce Research. “Customer Expectations Hit All-Time High.” Salesforce Research. 2018. Web.

      Satell, Greg. “A Look Back at Why Blockbuster Really Failed and Why It Didn’t Have To.” Forbes. 5 Sept. 2014. Web.

      Social Centered Learning. “Social Media and Sales Quota: The Impact of Social Media on Sales Quota and Corporate Review.” Social Centered Learning. n.d. Web.

      Varner, Scott. “Economic Impact of Experience Management”. Qualtrics/Forrester. 16 Aug. 2017. Web.

      Wesson, Matt. “How to Use Your Customer Data Like Amazon.” Salesforce Pardot Blog. 27 Aug. 2012. Web.

      Winterberry Group. “Taking Cues From the Customer: ‘Omnichannel’ and the Drive For Audience Engagement.” Winterberry Group LLC. June 2013. Web.

      Wollan, Robert, and Saideep Raj. “How CIOs Can Support a More Agile Sales Organization.” The Wall Street Journal: The CIO Report. 25 July 2013. Web.

      Zendesk. “The Impact of Customer Service on Customer Lifetime Value 2013.” Z Library. n.d. Web.

      The Accessibility Business Case for IT

      • Buy Link or Shortcode: {j2store}519|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Lead
      • Parent Category Link: /lead
      • Laws requiring digital accessibility are changing and differ by location.
      • You need to make sure your digital assets, products, and services (internal and external) are accessible to everyone, but getting buy-in is difficult.
      • You may not know where your gaps in understanding are because conventional thinking is driven by compliance and risk mitigation.

      Our Advice

      Critical Insight

      • The longer you put off accessibility, the more tech debt you accumulate and the more you risk losing access to new and existing markets. The longer you wait to adopt standards and best practices, the more interest you’ll accumulate on accessibility barriers and costs for remediation.
      • Implementing accessibility feels counterintuitive to IT departments. IT always wants to optimize and move forward, but with accessibility you may stay at one level for what feels like an uncomfortably long period. Don’t worry; building consistency and shifting culture takes time.
      • Accessibility goes beyond compliance, which should be an outcome, not the objective. With 1 billion people worldwide with some form of disability, nearly everyone likely has a connection to disability, whether it be in themselves, family, or colleagues. The market of people with disabilities has a spending power of more than $6 trillion (WAI, 2018).

      Impact and Result

      • Take away the overwhelm that many feel when they hear “accessibility” and make the steps for your organization approachable.
      • Clearly communicate why accessibility is critical and how it supports the organization’s key objectives and initiatives.
      • Understand your current state related to accessibility and identify areas for key initiatives to become part of the IT strategic roadmap.

      The Accessibility Business Case for IT Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. The Accessibility Business Case for IT – Clearly communicate why accessibility is critical and how it supports the organization’s key objectives and initiatives.

      A step-by-step approach to walk you through understanding your current state related to accessibility maturity, identifying your desired future state, and building your business case to seek buy-in. This storyboard will help you figure out what’s right for your organization and build the accessibility business case for IT.

      • The Accessibility Business Case for IT – Phases 1-3

      2. Accessibility Business Case Template – A clear, concise, and compelling business case template to communicate the criticality of accessibility.

      The business case for accessibility is strong. Use this template to communicate to senior leaders the benefits, challenges, and risks of inaction.

      • Accessibility Business Case Template

      3. Accessibility Maturity Assessment – A structured tool to help you identify your current accessibility maturity level and identify opportunities to ensure progress.

      This tool uses a capability maturity model framework to evaluate your current state of accessibility. Maturity level is assessed on three interconnected aspects (people, process, and technology) across six dimensions proven to impact accessibility. Complete the assessment to get recommendations based on where you’re at.

      • Accessibility Maturity Assessment

      Infographic

      Further reading

      The Accessibility Business Case for IT

      Accessibility goes beyond compliance

      Analyst Perspective

      Avoid tech debt related to accessibility barriers

      Accessibility is important for individuals, businesses, and society. Diverse populations need diverse access, and it’s essential to provide access and opportunity to everyone, including people with diverse abilities. In fact, access to information and communications technologies (ICT) is a basic human right according to the United Nations.

      The benefits of ICT accessibility go beyond compliance. Many innovations that we use in everyday life, such as voice activation, began as accessibility initiatives and ended up creating a better lived experience for everyone. Accessibility can improve user experience and satisfaction, and it can enhance your brand, drive innovation, and extend your market reach (WAI, 2022).

      Although your organization might be required by law to ensure accessibility, understanding your users’ needs and incorporating them into your processes early will determine success beyond just compliance.

      Heather Leier-Murray, Senior Research Analyst, People and Leadership

      Heather Leier-Murray
      Senior Research Analyst, People and Leadership
      Info-Tech Research Group

      Executive Summary

      Your Challenge Common Obstacles Info-Tech’s Approach

      Global IT and business leaders are challenged to make digital products and services accessible because inaccessibility comes with increasing risk to brand reputation, legal ramifications, and constrained market reach.

      • Laws requiring digital accessibility are changing and differ by location.
      • You need to make sure your digital assets, products, and services (internal and external) are accessible to everyone.
      • The cost of inaction is rising.

      Understanding where to start, where accessibility lives, and if or when you’re done can be overwhelmingly difficult.

      • Executive leadership buy-in is difficult to get.
      • Conventional thinking is driven by compliance and risk mitigation.
      • You don’t know where your gaps in understanding are.

      Conventional approaches to accessibility often fail because users are expected to do the hard work. You have to be doing 80% of the hard work.1

      Use Info-Tech’s research and resources to do what’s right for your organization. This framework takes away the overwhelm that many feel when they hear “accessibility” and makes the steps for your organization approachable.

      • Clearly communicate why accessibility is critical and how it supports the organization’s key objectives and initiatives.
      • Understand your current state related to accessibility and identify areas for key initiatives to become part of the IT strategic roadmap.

      1. Harvard Business Review, 2021

      Info-Tech Insight
      The longer you put off accessibility, the more tech debt you accumulate and the more you risk losing access to new and existing markets. The longer you wait to adopt standards and best practices, the more interest you’ll accumulate on accessibility barriers and costs for remediation.

      Your challenge

      This research is designed to help organizations who are looking to:

      • Build a business case for accessibility.
      • Ensure that digital assets, products, and services are accessible to everyone, internally and externally.
      • Support staff and build skills to support the organization with accessibility and accommodation.
      • Get assistance figuring out where to start on the road to accessibility compliance and beyond.

      The cost of inaction related to accessibility is rising. Preparing for accessibility earlier helps prevent tech debt; the longer you wait to address your accessibility obligations, the more costly it gets.

      More than 3,500 digital accessibility lawsuits were filed in the US in 2020, up more than 50% from 2018.

      Source: UsableNet. Inc.

      Common obstacles

      These barriers make accessibility difficult to address for many organizations:

      • You don’t know where your gaps in understanding are. Recognizing the importance of accessibility and how it fits into the bigger picture is key to developing buy-in.
      • Too often organizations focus on mitigating risk by being compliance driven. Shifting focus to the user experience, internally and externally, will realize better results.
      • Conventional approaches to accessibility often fail because the expectation is for users to do the hard work. One in five people have a permanent disability, but it’s likely everyone will be faced with some sort of disability at some point in their lives.1 Your organization has to be doing at least 80% of the hard work.2
      • Other types of compliance reside clearly with one area of the organization. Accessibility, however, has many homes: IT, user experience (UX), customer experience (CX), and even HR.

      1. Smashing Magazine

      2. Harvard Business Review, 2021

      90% of companies claim to prioritize diversity.

      Source: Harvard Business Review, 2020

      Only 4% of those that claim to prioritize diversity consider disability in those initiatives.

      Source: Harvard Business Review, 2020

      The four principles of accessibility

      WCAG (Web Content Accessibility Guidelines) identifies four principles of accessibility. WCAG is the most referenced standard in website accessibility lawsuits.

      The four principles of accessibility

      Source: eSSENTIAL Accessibility, 2022

      Why organizations address accessibility

      Top three reasons:

      61% 62% 78%
      To comply with laws To provide the best UX To include people with disabilities

      Source: Level Access

      Still, most businesses aren’t meeting compliance standards. Even though legislation has been in place for over 30 years, a 2022 study by WebAIM of 1,000,000 homepages returned a 96.8% WCAG 2.0 failure rate.

      Source: Institute for Disability Research, Policy, and Practice

      How organizations prioritize digital accessibility

      43% rated it as a top priority.

      36% rated it as important.

      Fewer than 5% rated as either low priority or not even on the radar.

      More than 65% agreed or strongly agreed it’s a higher priority than last year.

      Source: Angel Business Communications

      Organizations expect consumers to do more online

      The pandemic led to many businesses going digital and more people doing things online.

      Chart of activities performed more often compared to before COVID-19

      Chart of activities performed for the first time during COVID-19

      Source: Statistics Canada

      Disability is part of being human

      Merriam-Webster defines disability as a “physical, mental, cognitive, or developmental condition that impairs, interferes with, or limits a person’s ability to engage in certain tasks or actions or participate in typical daily activities and interactions.”1

      The World Health Organization (WHO) points out that a crucial part of the definition of disability is that it’s not just a health problem, but the environment impacts the experience and extent of disability. Inaccessibility creates barriers for full participation in society.2

      The likelihood of you experiencing a disability at some point in your life is very high, whether a physical or mental disability, seen or unseen, temporary or permanent, severe or mild.2

      Many people acquire disabilities as they age yet may not identify as “a person with a disability.”3 Where life expectancies are over 70 years of age, 11.5% of life is spent living with a disability. 4

      “Extreme personalization is becoming the primary difference in business success, and everyone wants to be a stakeholder in a company that provides processes, products, and services to employees and customers with equitable, person-centered experiences and allows for full participation where no one is left out.”
      – Paudie Healy, CEO, Universal Access

      1. Merriam-Webster
      2. World Health Organization
      3. Digital Leaders, as cited in WAI, 2018
      4. Disabled World, as cited in WAI, 2018

      Untapped talent resource

      Common myths about people with disabilities:

      • They can’t work.
      • They need more time off or are absent more often.
      • Only basic, unskilled work is appropriate for them.
      • Their productivity is lower than that of coworkers.
      • They cost more to recruit, train, and employ.
      • They decrease others’ productivity.
      • They’re not eligible for governmental financial incentives (e.g. apprentices).
      • They don’t fit in.

      These assumptions prevent organizations from hiring valuable people into the workforce and retaining them.

      Source: Forbes

      50% to 70% of people with disabilities are unemployed in industrialized countries. In the US alone, 61 million adults have a disability.

      Source: United Nations, as cited in Forbes

      Thought Model

      Info-Tech’s methodology for the accessibility business case for IT

      1. Understand Current State 2. Plan for Buy-in 3. Prepare Your Business Case
      Phase Steps
      1. Understand standards and legislation
      2. Build awareness
      3. Understand current accessibility maturity level Define desired future state
      1. Define desired future state
      2. Define goals and objectives
      3. Document roles and responsibilities
      1. Customize and populate the Accessibility Business Case Template and gain approval
      2. Validate post-approval steps and establish timelines
      Phase Outcomes
      • Accessibility maturity assessment
      • Accessibility drivers determined
      • Goals defined
      • Objectives identified
      • Roles and responsibilities documented
      • Business case drafted
      • Approval to move forward with implementing your accessibility program
      • Next steps and timelines

      Insight Summary

      Insight 1 The longer you put off accessibility, the more tech debt you accumulate and the more you risk losing access to new and existing markets. The longer you wait to adopt standards and best practices, the more interest you’ll accumulate on accessibility barriers and costs for remediation.
      Insight 2 Implementing accessibility feels counterintuitive to IT departments. IT always wants to optimize and move forward, but with accessibility you may stay at one level for what feels like an uncomfortably long period. Don’t worry; building consistency and shifting culture takes time.
      Insight 3 Accessibility goes beyond compliance, which should be an outcome, not the objective. With 1 billion people worldwide with some form of disability, nearly everyone likely has a connection to disability, whether it be in themselves, family, or colleagues. The market of people with disabilities has a spending power of more than $6 trillion.1

      1. WAI, 2018

      Blueprint deliverables

      This blueprint is accompanied by supporting deliverables to help you accomplish your goals.

      Accessibility Business Case Template

      The business case for accessibility is strong. Use this template to communicate to senior leaders the benefits and challenges of accessibility and the risks of inaction.

      Accessibility Maturity Assessment

      Use this assessment to understand your current accessibility maturity.

      Blueprint benefits

      Business Benefits IT Benefits
      • Don’t lose out on a 6-trillion-dollar market.
      • Don’t miss opportunities to work with organizations because you’re not accessible.
      • Enable and empower current employees with disabilities.
      • Minimize potential for negative brand reputation due to a lack of consideration for people with disabilities.
      • Decrease the risk of legal action being brought upon the organization.
      • Understand accessibility and know your role in it for your organization and your team members.
      • Be prepared and able to provide the user experience you want.
      • Decrease tech debt – start early to ensure accessibility for everyone.
      • Access an untapped labor market.
      • Mitigate IT retention challenges.

      Measure the value of this blueprint

      Improve stakeholder satisfaction and engagement

      • Tracking measures to understand the value of this blueprint is a critical part of the process.
      • Monitor employee engagement, overall stakeholder satisfaction with IT, and the overall end-customer satisfaction.
      • Remember, accessibility is not a one-and-done project – just because measures are positive does not mean your work is done.

      In phase 2 of this blueprint, we will help you establish current-state and target-state metrics for your organization.

      Suggested Metrics
      Overall end-customer satisfaction
      Monies saved through cost optimization efforts
      Employee engagement
      Monies save through application rationalization and standardization

      For more metrics ideas, see the Info-Tech IT Metrics Library.

      Executive Brief Case Study

      INDUSTRY
      Technology

      SOURCE
      W3C Web Accessibility Initiative (WAI), 2018

      Google

      Investing in accessibility
      With an innovative edge, Google invests in accessibility with the objective of making life easier for everyone. Google has created a broad array of accessibility innovations in its products and services so that people with disabilities get as much out of them as anyone else.

      Part of Google’s core mission, accessibility means more to Google than implementing fixes. It is viewed positively by the organization and drives it to be more innovative to make information available to everyone. Google approaches accessibility problems not as barriers but as ways to innovate and discover breakthroughs that will become mainstream in the future.

      Results
      Among Google’s innovations are contrast minimums, auto-complete, voice-control, AI advances, and machine learning auto-captioning. All of these were created for accessibility purposes but have positively impacted the user experience in general for Google.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit Guided Implementation Workshop Consulting
      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is 4 to 6 calls over the course of 2 to 4 months.

      What does a typical GI on this topic look like?

      Phase 1 Phase 2 Phase 3

      Call #1: Discuss motivation for the initiative and foundational knowledge requirements.

      Call #2: Discuss next steps to assess current accessibility maturity.

      Call #3: Discuss stakeholder engagement and future-state analysis.

      Call #4: Discuss defining goals and objectives, along with roles and responsibilities.

      Call #5: Review draft business case presentation.

      Call #6: Discuss post-approval steps and timelines.

      Phase 1

      Understand Your Current State

      Phase 1
      1.1 Understand standards and legislation
      1.2 Build awareness
      1.3 Understand maturity level

      Phase 2
      2.1 Define desired future state
      2.2 Define goals and objectives
      2.3 Document roles and responsibilities

      Phase 3
      3.1 Prepare business case template for presentation and approval
      3.2 Validate post-approval steps and establish timelines

      The Accessibility Business Case for IT

      This phase will walk you through the following activities:

      • Identifying and understanding accessibility and compliance requirements and the ramifications of noncompliance.
      • Defining accessibility, disability, and disability inclusion and building awareness of these with senior leaders.
      • Completing the Accessibility Maturity Assessment to help you understand your current state.

      Step 1.1

      Understand standards and legislation

      Activities

      1.1.1 Make a list of the legislation you need to comply with

      1.1.2 Seek legal and/or professional services’ input on compliance

      1.1.3 Detail the risks of inaction for your organization

      Understand Your Current State

      Outcomes of this step
      You will gain foundational understanding of the breadth of the regulation requirements for your organization. You will have reviewed and understand what is applicable to your organization.

      The regulatory landscape is evolving

      Canada

      • Canadian Human Rights Act
      • Policy on Communications and Federal Identity
      • Canadian Charter of Rights and Freedoms
      • Accessibility for Ontarians with Disabilities Act
      • Accessible Canada Act of 2019 (ACA)

      Europe

      • UK Equality Act 2010
      • EU Web and Mobile Accessibility Directive (2016)
      • EN 301 549 European Standard – Accessibility requirements for public procurement of ICT products and services

      United States

      • Section 508 of the US Rehabilitation Act of 1973
      • Americans with Disabilities Act of 1990 (ADA)
      • Section 255 of the Telecommunications Act of 1996
      • Air Carrier Access Act of 1986
      • 21st Century Communications and Video Accessibility Act of 2010 (CVAA)

      New Zealand

      • Human Rights Act 1993
      • Online Practice Guidelines for Government

      Australia

      • Disability Discrimination Act 1992 (DDA)

      Regulatory systems are moving toward an international standard.

      1.1.1 Make a list of the legislation you need to comply with

      1. Download the Accessibility Business Case Template.
      2. Conduct research and investigate what legislation and standards are applicable to your organization.
      3. a) Start by looking at your local legislation.
        b) Then consider any other regions you conduct business in.
        c) Also account for the various industries you are in.
      4. While researching, build a list of legislation requirements. Document these in your Accessibility Business Case Template as part of the Project Context section.
      Input Output
      • Research
      • Websites
      • Articles
      • List of legislation that applies to the organization related to accessibility
      Materials Participants
      • Accessibility Business Case Template
      • Project leader/initiator

      Download the Accessibility Business Case Template

      1.1.2 Seek professional advice on compliance

      1. Have general counsel review your list of regulations and standards related to accessibility or seek legal and/or professional support to review your list.
      2. Review or research further the implications of any suggestions from legal counsel.
      3. Make any updates to the Legal Landscape slide in the Accessibility Business Case Template.
      Input Output
      • Compiled list of applicable legislation and standards
      • Confirmed list of regulations that are applicable to your organization related to accessibility
      Materials Participants
      • Accessibility Business Case Template
      • Project leader/initiator
      • General counsel/professional services

      Download the Accessibility Business Case Template

      Ramifications of noncompliance

      Go beyond financial consequences

      Beyond the costs resulting from a claim, noncompliance can damage your organization in several ways.

      Financial Impact

      ADA Warning Shot: A complaint often indicates pending legal action to come. Addressing issues on a reactive, ad hoc basis can be quite expensive. It can cost almost $10,000 to address a single complaint, and chances are if you have one complaint, you have many.

      Lawsuit Costs: In the US, 265,000 demand letters were sent in 2020 under the ADA for inaccessible websites. On average, a demand letter could cost the company $25,000 (conservatively). These are low-end numbers; another estimate is that a small, quickly settled digital accessibility lawsuit could cost upwards of $350,000 for the defendant.

      Non-Financial Impact

      Reputational Impact: Claims brought upon a company can bring negative publicity with them. In contrast, having a clear commitment to accessibility demonstrates inclusion and can enhance brand image and reputation. Stakeholder expectations are changing, and consumers, investors, and employees alike want to support businesses with a purpose.

      Technology Resource Strains: Costly workarounds and ad hoc accommodation processes take away from efficiency and effectiveness. Updates and redesigns for accessibility and best practices will reduce costs associated with maintenance and service, including overall stakeholder satisfaction improvements.

      Access to Talent: 2022 saw a record high number of job openings, over 11.4 million in the US alone. Ongoing labor shortages require eliminating bias and keeping an open mind about who is qualified.

      Source: May Hopewell

      In the last four years, 83% of the retail 500 have been sued. Since 2018, 417 of the top 500 have received ADA-based digital lawsuits.

      Source: UsableNet

      1.1.3 Detail the risks of inaction for your organization

      1. Using the information that you’ve gathered through your research and legal/professional advice, detail the risks of inaction for your organization.
      2. a) Consider legal risks, consumer risks, brand risks, and employee risks. (Remember, risks aren’t just monetary.)
      3. Document the risks in your Accessibility Business Case Template.
      InputOutput
      • List of applicable legislation and standards
      • Information about risks
      • Identified accessibility maturity level
      MaterialsParticipants
      • Accessibility Business Case Template
      • Project leader/initiator

      Download the Accessibility Business Case Template

      Step 1.2

      Build awareness of accessibility and disability inclusion

      Activities

      1.2.1 Identify gaps in understanding

      1.2.2 Brainstorm how to reframe accessibility positively

      Understand Your Current State

      Outcomes of this step
      You’ll have a better understanding of accessibility so that you can effectively implement and promote it.

      Where to look for understanding

      First-hand experience of how people with disabilities interact with your organization is often eye-opening. It will help you understand the benefits and value of accessibility.

      Where to look for understanding

      • Talk with people you know with disabilities that are willing to share.*
      • Find role-specific training that’s appropriate.
      • Research. Articles and videos are easy to find.
      • Set up assistive technology trials.
      • Seek out first-hand experience from people with disabilities and how they work and use digital assets.

      Source: WAI, 2016

      * Remember, people with disabilities aren't obligated to discuss or explain their disabilities and may not be comfortable sharing. If you're asking for their time, be respectful, only ask if appropriate, and accept a "no" answer if the person doesn't wish to assist.

      1.2.1 Identify gaps in understanding

      Find out what accessibility is and why it is important. Learn the basics.

      1. Using the information that you’ve gathered through your research and legal counsel, conduct further research to understand the importance of accessibility.
      2. Answer these questions:
      3. a) What is accessibility? Why is it important?
        b) From the legislation and standards identified in step 1.1, what gaps exist?
        c) What is the definition of disability?
        d) How does your organization currently address accessibility?
        e) What are your risks?
        f) Do you have any current employees who have disabilities?
      4. Review the previous slide for suggestions on where to find more information to answer the above questions.
      5. Document any changes to the risks in your Accessibility Business Case Template.
      InputOutput
      • Articles
      • Interviews
      • Websites
      • Greater understanding of the lived experience of people with disabilities
      MaterialsParticipants
      • Articles
      • Websites
      • Accessibility Business Case Template
      • Project leader/initiator

      Download the Accessibility Business Case Template

      Reframe accessibility as a benefit, not a burden

      A clear understanding of accessibility and the related standards and regulations can turn accessibility from something big and scary to an achievable part of the business.

      The benefits of accessibility are:

      Market Reach Minimized Legal Risks Innovation Retention
      Over 1 billion people with a spending power of $6 trillion make up the global market of people with disabilities.1 Accessibility improves the experience for all users. In addition, many organizations require you to provide proof you meet accessibility standards during the RFP process. Accessibility regulations are changing, and claims are rising. Costs associated with legal proceedings can be more than just financial. Many countries have laws you need to follow. People with disabilities bring diversity of thought, have different lived experiences, and benefit inclusivity, which helps drive engagement. Plus accessibility features often solve unanticipated problems. Employing and supporting people with disabilities can reduce turnover and improve retention, reliability, company image, employee loyalty, ability awareness, and more.

      Source 1: WAI, 2018

      1.2.2 Brainstorm ways to reframe accessibility positively

      1. Using the information that you’ve gathered through your research, brainstorm additional positives of accessibility for your organization.
      2. Clearly identify the problem you want to solve (e.g., reframing accessibility positively in your organization).
      3. Collect any tools you want to use to during brainstorming (e.g., whiteboard, markers, sticky notes)
      4. Write down all the ideas that come to mind.
      5. Review all the points and group them into themes.
      6. Update the Accessibility Business Case Template with your findings.
      InputOutput
      • Research you have gathered
      • List of ways to positively reframe accessibility for your organization
      MaterialsParticipants
      • Sticky notes, whiteboard, pens, paper, markers.
      • Accessibility Business Case Template
      • Project leader/initiator

      Download the Accessibility Business Case Template

      Make it part of the conversation

      A first step to disability and accessibility awareness is to talk about it. When it is talked about as freely as other things are in the workplace, this can create a more welcoming workplace.

      Accessibility goes beyond physical access and includes technological access and support as well as our attitudes.

      Accessibility is making sure everyone (disabled or abled) can access the workplace equally.

      Adjustments in the workplace are necessary to create an accessible and welcoming environment. Understanding the three dimensions of accessibility in the workplace is a good place to start.

      Source: May Hopewell

      Three dimensions of accessibility in the workplace

      Three dimensions of accessibility in the workplace

      Case Study

      INDUSTRY
      Professional Services

      SOURCE
      Accenture

      Accenture takes an inclusive approach to increase accessibility.

      Accessibility is more than tools

      Employee experience was the focus of embarking on the accessibility journey, ensuring inclusivity was built in and every employee was able to use the tools they needed and could achieve their goals.

      "We are removing barriers in technology to make all of our employees, regardless of their ability, more productive.”
      — Melissa Summers, Managing Director – Global IT, Corporate Technology, Accenture

      Accessibility is inclusive

      The journey began with formalizing a Global IT Accessibility practice and defining an accessibility program charter. This provided direction and underpinned the strategy used to create a virtual Accessibility Center of Excellence and map out a multiyear plan of initiatives.

      The team then identified all the technologies they wanted to enhance by prioritizing ones that were high use and high impact. Involving disability champions gave insight into focus areas.

      Accessibility is innovation

      Working with partners like Microsoft and over 100 employees, Accenture continues toward the goal of 75% accessibility for all its global high-traffic internal platforms.

      Achievements thus far include:

      • 100% of new Accenture video and broadcast content is automatically captioned.
      • Accenture received a perfect Disability Equality Index (US) score of 100 out of 100 for 2017, 2018, and 2019.

      Step 1.3

      Understand your current accessibility maturity level

      Activities

      1.3.1 Complete the Accessibility Maturity Assessment

      Understand Your Current State

      Outcomes of this step
      Completed Accessibility Maturity Assessment to inform planning for and building your business case in Phases 2 and 3.

      Know where you are to know where to go

      Consider accessibility improvements from three interconnected aspects to determine current maturity level

      Accessibility Maturity

      People

      • Consider employee, customer, and user experience.

      Process

      • Review processes to ensure accessibility is considered early.

      Technology

      • Whether it’s new or existing, technology is an important tool to increase accessibility.

      Accessibility maturity levels

      INITIAL DEVELOPING DEFINED MANAGED OPTIMIZE
      At this level, accessibility processes are mostly undocumented, if they exist. Accessibility is most likely happening on a reactive, ad hoc basis. No one understands who is responsible for accessibility or what their role is. At this stage the organization is driven by the need for compliance. At the developing level, the organization is taking steps to increase accessibility but still has a lot of opportunity for improvements. The organization is defining and refining processes and is working toward building a library of assistive tools. At this level, processes related to accessibility are repeatable. However, there’s a tendency to resort to old habits under stress. The organization has tools in place to facilitate accommodation requests and technology is compatible with assistive technologies. Accessibility initiatives are driven by the desire to make the user experience better. The managed level is defined by its effective accessibility controls, processes, and metrics. The organization can mostly anticipate preferences of customers, employees, and users. The roles and responsibilities are defined, and disability is included as part of the organization’s diversity, equity, and inclusion (DEI) initiatives. This level is not the goal for all organizations. At this level there is a shift in the organization’s culture to a feeling of belonging. The organization also demonstrates ongoing process improvements. Everyone can experience a seamless interaction with the organization. The focus is on continuous improvement and using feedback to inform future initiatives.

      Determine your level of maturity

      Use Info-Tech’s Accessibility Maturity Assessment

      • On the accessibility questionnaire, tab 2, choose how much the statements apply to your organization. Answer the questions based on your knowledge of your current state organizationally.
      • Once you’ve answered all the questions, see the results on the tab 3, Accessibility Results. You can see your overall maturity level and the maturity level for each of six dimensions that are necessary to increase the success of an accessibility program.
      • Click through to tab 4, Recommendations, to see specific recommendations based on your results and proven research to progress through the maturity levels. Keep in mind that not all organizations will or should aspire to the “Optimize” maturity level.

      1.3.1 Complete the Accessibility Maturity Assessment

      1. Download the Accessibility Maturity Assessment and save it with the date so that as you work on your accessibility program, you can reassess later and track your progress.
      2. Once you have saved the assessment, select the appropriate answer for each statement on tab 2, Accessibility Questions, based on your knowledge of the organization’s approach.
      3. After reviewing all the accessibility statements, see your maturity level results on tab 3, Accessibility Results. Then see tab 4, Recommendations, for suggestions based on your answers.
      4. Document your accessibility maturity results in your Accessibility Business Case Template.
      Input Output
      • Assess your current state of accessibility by choosing all the statements that apply to your organization
      • Identified accessibility maturity level
      Materials Participants
      • Accessibility Maturity Assessment
      • Accessibility Business Case Template
      • Project leader/sponsor
      • IT leadership team

      Download the Accessibility Business Case Template

      Phase 2

      Plan for Senior Leader Buy-In

      Phase 1
      1.1 Understand standards and legislation
      1.2 Build awareness
      1.3 Understand maturity level

      Phase 2
      2.1 Define desired future state
      2.2 Define goals and objectives
      2.3 Document roles and responsibilities

      Phase 3
      3.1 Prepare business case template for presentation and approval
      3.2 Validate post-approval steps and establish timelines

      The Accessibility Business Case for IT

      This phase will walk you through the following activities:

      • Defining your desired future state.
      • Determining your accessibility program goals and objectives.
      • Clarifying and documenting roles and responsibilities related to accessibility in IT.

      This phase involves the following participants:

      • Project lead/sponsor
      • IT leadership team
      • Senior leaders/decision makers

      Step 2.1

      Define the desired future state of accessibility

      Activities

      2.1.1 Identify key stakeholders

      2.1.2 Hold a key stakeholder focus group

      2.1.3 Conduct a future-state analysis

      Outcomes of this step
      Following this step, you will have identified your aspirational maturity level and what your accessibility future state looks like for your organization.

      Plan for Senior Leader Buy-In

      Cheat sheet: Identify stakeholders

      Ask stakeholders, “Who else should I be talking to?” to discover additional stakeholders and ensure you don’t miss anyone.

      Identify stakeholders through the following questions:
      • Who in areas of influence will be adversely affected by potential environmental and social impacts of what you are doing?
      • At which stage will stakeholders be most affected (e.g. procurement, implementation, operations, decommissioning)?
      • Will other stakeholders emerge as the phases are started and completed?
      • Who is sponsoring the initiative?
      • Who benefits from the initiative?
      • Who is negatively impacted by the initiative?
      • Who can make approvals?
      • Who controls resources?
      • Who has specialist skills?
      • Who implements the changes?
      • Who are the owners, governors, customers, and suppliers of impacted capabilities or functions?
      Take a 360-degree view of potential internal and external stakeholders who might be impacted by the initiative.
      • Executives
      • Peers
      • Direct reports
      • Partners
      • Customers
      • Subcontractors
      • Subcontractors
      • Contractors
      • Lobby groups
      • Regulatory agencies

      Categorize your stakeholders with a stakeholder prioritization map

      A stakeholder prioritization map helps teams categorize their stakeholders by their level of influence and ownership.

      There are four areas in the map, and the stakeholders within each area should be treated differently.

      Players – Players have a high interest in the initiative and the influence to effect change over the initiative. Their support is critical, and a lack of support can cause significant impediment to the objectives.

      Mediators – Mediators have a low interest but significant influence over the initiative. They can help to provide balance and objective opinions to issues that arise.

      Noisemakers – Noisemakers have low influence but high interest. They tend to be very vocal and engaged, either positively or negatively, but have little ability to enact their wishes.

      Spectators – Generally, spectators are apathetic and have little influence over or interest in the initiative.

      Stakeholder prioritization map

      Define strategies for engaging stakeholders by type

      Each group of stakeholders draws attention and resources away from critical tasks.

      By properly identifying your stakeholder groups, you can develop corresponding actions to manage stakeholders in each group. This can dramatically reduce wasted effort trying to satisfy Spectators and Noisemakers while ensuring the needs of the Mediators and Players are met.

      Type Quadrant Actions
      Players High influence, high interest Actively Engage
      Keep them engaged through continuous involvement. Maintain their interest by demonstrating their value to its success.
      Mediators High influence, low interest Keep Satisfied
      They can be the game changers in groups of stakeholders. Turn them into supporters by gaining their confidence and trust, and include them in important decision-making steps. In turn, they can help you influence other stakeholders.
      Noisemakers Low influence, high interest Keep Informed
      Try to increase their influence (or decrease it if they are detractors) by providing them with key information, supporting them in meetings, and using Mediators to help them.
      Spectators Low influence, low interest Monitor
      They are followers. Keep them in the loop by providing clarity on objectives and status updates.

      2.1.1 Identify key stakeholders

      Collect this information by:

      1. List direct stakeholders for your area. Include stakeholders across the organization (both IT and business units) and externally.
      2. Create a stakeholder map to capture your stakeholders’ interest in and influence on digital accessibility.
      3. Shortlist stakeholders to invite as focus group participants in activity 2.1.2.
        • Aim for a combination of Players, Mediators, and Noisemakers.
      Input Output
      • List of stakeholders
      • Stakeholder requirements
      • A stakeholder map
      • List of stakeholders to include in the focus group in step 2.1.2
      Materials Participants
      • Sticky notes, pens, whiteboard, markers (optional)
      • Project leader/sponsor

      Hold a focus group to initiate planning

      Involve key stakeholders to determine the organizational drivers of accessibility, identify target maturity and key performance indicators (KPIs), and ultimately build the project charter.

      Building the project charter as a group will help you to clarify your key messages and secure buy-in from critical stakeholders up-front, which is key.

      Executing the business case for accessibility requires significant involvement from your IT leadership team. The challenge is that accessibility can be overwhelming because of inherent bias. Members of your IT leadership team will also need to participate in knowledge transfer, so get them involved up-front. The focus group will help stakeholders feel more engaged in the project, which is pivotal for success.

      You may feel like a full project charter isn’t necessary, and depending on your organizational size, it might not be. However, the exercise of building the charter is important regardless. No matter your current climate, some level of socializing the value of and plans for accessibility will be necessary.

      Meeting Agenda

      1. Short introduction
        Led by: Project Sponsor
        • Why the initiative is being considered.
      2. Make the case for the project
        Led by: Project Manager
        • Current state: What does the initiative address?
        • Future state: What is our target state of maturity?
      3. Success criteria
        Led by: Project Manager
        • How will success be measured?
      4. Define the project team
        Led by: Project Manager
        • Description of planned approach.
        • Stakeholder assessment.
        • What is required of the sponsor and stakeholders?
      5. Determine next steps
        Led by: Project Manager

      2.1.2 Hold a stakeholder focus group

      Identify the pain points you want to resolve and some of the benefits that you’d like to see from a program. By doing so, you’ll get a holistic view of what you need to achieve and what your drivers are.

      1. Ask the working group participants (as a whole or in smaller groups) to discuss pain points created by inaccessibility.
        • Challenges related to stakeholders.
        • Challenges created by process issues.
        • Difficulties improving accessibility practices.
      2. Discuss opportunities to be gained from improving these practices.
      3. Have participants write these down on sticky notes and place them on a whiteboard or flip chart.
      4. Review all the points as a group. Group challenges and benefits into themes.
      5. Have the group prioritize the risks and benefits in terms of what the solution must have, should have, could have, and won’t have.
      Input Output
      • Reasons for the project
      • Stakeholder requirements
      • Pain points and risks
      • A prioritized list of risks and benefits of the solution
      Materials Participants
      • Agenda (see previous slide)
      • Sticky notes, pens, whiteboard, markers (optional)
      • IT leadership
      • Other key stakeholders

      While defining future state, consider your drivers

      The Info-Tech Accessibility Maturity Framework identifies three key strategic drivers: compliance, experience, and incorporation.

      • Over 30% of organizations are focused on compliance, according to a 2022 survey by Harvard Business Review and Slack’s Future Forum. The survey asked more than 10,000 workers in six countries about their organizations’ approach to DEI.2

      Even though 90% of companies claim to prioritize diversity,1 over 30% are focused on compliance.2

      1. Harvard Business Review, 2020
      2. Harvard Business Review, 2022

      31.6% of companies remain in the Compliant stage, where they are focused on DEI compliance and not on integrating DEI throughout the organization or on creating continual improvement.

      Source: Harvard Business Review, 2022

      Align the benefits of program drivers to organizational goals or outcomes

      Although there will be various motivating factors, aligning the drivers of your accessibility program provides direction to the program. Connecting the advantages of program drivers to organizational goals builds the confidence of senior leaders and decision makers, increasing the continued commitment to invest in accessibility programming.

      Drivers Compliance Experience Incorporation
      Maturity level Initial Developing Defined Managed Optimized
      Description Any accessibility initiative is to comply with the minimum legislated requirement. Desire to avoid/decrease legal risk. Accessibility initiatives are focused on improving the experience of everyone from the start. Most organizations will be experience driven. Desire to increase accessibility and engagement. Accessibility is a seamless part of the whole organization and initiatives are focused on impacting social issues.
      Advantages Compliance is a good starting place for accessibility. It will reduce legal risk. Being people focused from the start of processes enables the organization to reduce tech debt, provide the best user experience, and realize other benefits of accessibility. There is a sense of belonging in the organization. The entire organization experiences the benefits of accessibility.
      Disadvantages Accessibility is about more than just compliance. Being compliance driven won’t give you the full benefits of accessibility. This can mean a culture change for the organization, which can take a long time. IT is used to moving quickly – it might feel counterintuitive to slow down and take time. It takes much longer to reach the associated level of maturity. Not possible for all organizations.

      Info-Tech Accessibility Maturity Framework

      Info-Tech Accessibility Maturity Framework

      After initially ensuring your organization is compliant with regulations and standards, you will progress to building disciplined process and consistent standardized processes. Eventually you will build the ability for predictable process, and lastly, you’ll optimize by continuously improving.

      Depending on the level of maturity you are trying to achieve, it could take months or even years to implement. The important thing to understand, however, is that accessibility work is never done.

      At all levels of the maturity framework, you must consider the interconnected aspects of people, process, and technology. However, as the organization progresses, the impact will shift from largely being focused on process and technology improvement to being focused on people.

      Info-Tech Insight
      IT typically works through maturity frameworks from the bottom to the top, progressing at each level until they reach the end. When it comes to digital accessibility initiatives, being especially thorough, thoughtful, and collaborative is critical to success. This will mean spending more time in the Developing, Defined, and Managed levels of maturity rather than trying to reach Optimized as quickly as you can. This may feel contrary to what IT historically considers as a successful implementation.

      Accessibility maturity levels

      Driver Description Benefits
      Initial Compliance
      • Accessibility processes are mostly undocumented.
      • Accessibility happens mostly on a reactive or ad hoc basis.
      • No one is aware of who is responsible for accessibility or what role they play.
      • Heavily focused on complying with regulations and standards to decrease legal risk.
      • The organization is aware of the need for accessibility.
      • Legal risk is decreased.
      Developing Experience
      • The organization is starting to take steps to increase accessibility beyond compliance.
      • Lots of opportunity for improvement.
      • Defining and refining processes.
      • Working toward building a library of assistive tools.
      • Awareness of the need for accessibility is growing.
      • Process review for accessibility increases process efficiency through avoiding rework.
      Defined Experience
      • Accessibility processes are repeatable.
      • There is a tendency to resort to old habits under stress.
      • Tools are in place to facilitate accommodation.
      • Employees know accommodations are available to them.
      • Accessibility is becoming part of daily work.
      Managed Experience
      • Defined by effective accessibility controls, processes, and metrics.
      • Mostly anticipating preferences.
      • Roles and responsibilities are defined.
      • Disability is included as part of DEI.
      • Employees understand their role in accessibility.
      • Engagement is positively impacted.
      • Attraction and retention are positively impacted.
      Optimized Incorporation
      • Not the goal for every organization.
      • Characterized by a dramatic shift in organizational culture and a feeling of belonging.
      • Ongoing continuous improvement.
      • Seamless interactions with the organization for everyone.
      • Using feedback to inform future initiatives.
      • More likely to be innovative and inclusive, reach more people positively, and meet emerging global legal requirements.
      • Better equipped for success.

      2.1.3 Conduct future-state analysis

      Identify your target state of maturity

      1. Provide the group with your maturity assessment results to review as well as the slides on the maturity levels, framework, and drivers.
      2. Compare the benefits listed on the Accessibility maturity levels slide to those that you named in the previous exercise and determine which maturity level best describes your target state.
      3. Discuss as a group and agree on one desired maturity level to reach.
      4. Review the other levels of maturity and determine what is in and out of scope for the project (higher-level benefits would be considered out of scope).
      5. Document your target state of maturity in your Accessibility Business Case Template.
      Input Output
      • Accessibility maturity levels chart on previous slide
      • Maturity level assessment results
      • Target maturity level documented
      Materials Participants
      • Paper and pens
      • Handouts of maturity levels
      • Accessibility Business Case Template
      • IT leadership team

      Download the Accessibility Business Case Template

      Case Study

      Accessibility as a differentiator

      INDUSTRY
      Financial

      SOURCE
      WAI-Engage

      Accessibility inside and out

      As a financial provider, Barclays embarked on the accessibility journey to engage customers and employees with the goal of equal access for all. One key statement that provided focus was “Essential for some, easier for all. ”

      “It's about helping everyone to work, bank and live their lives regardless of their age, situation, abilities or circumstances.”

      Embedding into experiences

      “The Barclays Accessibility team [supports] digital teams to embed accessibility into our services and culture through effective governance, partnering, training and tools. Establishing an enterprise-wide accessibility strategy, standards and programmes coupled with senior sponsorship helps support our publicly stated ambition of becoming the most accessible and inclusive FTSE company.”

      – Paul Smyth, Head of Digital Accessibility, Barclays

      It’s a circle, not a roadmap

      • Barclays continues the journey through partnerships with disability charities and accessibility experts and through regularly engaging with customers and colleagues with disabilities directly.
      • More accessible, inclusive products and services engage and attract more people with disabilities. This translates to a more diverse workforce that identifies opportunities for innovation. This leads to being attractive to diverse talent, and the circle continues.
      • Barclays’ mobile banking app was first to be accredited by accessibility consultants AbilityNet.

      Step 2.2

      Define your accessibility program goals and objectives

      Activities

      2.2.1 Create a list of goals and objectives

      2.2.2 Finalize key metrics

      Plan for Senior Leader Buy-In

      Outcomes of this step
      You will have clear measurable goals and objectives to respond to identified accessibility issues and organizational goals.

      What does a good goal look like?

      Use the SMART framework to build effective goals.

      S Specific: Is the goal clear, concrete, and well defined?
      M Measurable: How will you know when the goal is met?
      A Achievable: Is the goal possible to achieve in a reasonable time?
      R Relevant: Does this goal align with your responsibilities and with departmental and organizational goals?
      T Time-based: Have you specified a time frame in which you aim to achieve the goal?

      SMART is a common framework for setting effective goals. Make sure your goals satisfy these criteria to ensure you can achieve real results.

      2.2.1 Create a list of goals and objectives

      Use the outcomes from activity 2.1.2.

      1. Using the prioritized list of what your solution must have, should have, could have, and won’t have from activity 2.1.2, develop goals.
      2. Remember to use the SMART goal framework to build out each goal (see the previous slide for more information on SMART goals).
      3. Ensure each goal supports departmental and organizational goals to ensure it is meaningful.
      4. Document your goals and objectives in your Accessibility Business Case Template.
      InputOutput
      • Outcomes of activity 2.1.2
      • Organizational and departmental goals
      • Goals and objectives added to your Accessibility Business Case Template
      MaterialsParticipants
      • Accessibility Business Case Template
      • IT leadership team

      Download the Accessibility Business Case Template

      2.2.1 Create a list of goals and objectives

      Use the outcomes from activity 2.1.2.

      1. Using the prioritized list of what your solution must have, should have, could have, and won’t have from activity 2.1.2, develop goals.
      2. Remember to use the SMART goal framework to build out each goal (see the previous slide for more information on SMART goals).
      3. Ensure each goal supports departmental and organizational goals to ensure it is meaningful.
      4. Document your goals and objectives in your Accessibility Business Case Template.

      Establish Baseline Metrics

      Baseline metrics will be improved through:

      1. Progressing through the accessibility maturity model.
      2. Addressing accessibility earlier in processes to avoid tech debt and rework late in projects or releases.
      3. Making accessibility part of the procurement process as a scoring consideration and vendor choice.
      4. Ensuring compliance with regulations and standards.
      Metric Current Goal
      Overall end-customer satisfaction 90 120
      Monies saved through cost optimization efforts
      Employee engagement
      Monies save through application rationalization and standardization

      For more metrics ideas, see the Info-Tech IT Metrics Library.

      2.2.2 Finalize key metrics

      Finalize key metrics the organization will use to measure accessibility success

      1. Brainstorm how you would measure the success of each goal based on the benefits, challenges, and risks you previously identified.
      2. Write each of the metric ideas down and finalize three to five key metrics which you will track. The metrics you choose should relate to the key challenges or risks you have identified and match your desired maturity level and driver.
      3. Document your key metrics in the Accessibility Business Case Template.
      InputOutput
      • Accessibility challenges and benefits
      • Goals from activity 2.2.1
      • Three to five key metrics to track
      MaterialsParticipants
      • Accessibility Business Case Template
      • IT leadership team
      • Project lead/sponsor

      Download the Accessibility Business Case Template

      Step 2.3

      Document accessibility program roles and responsibilities

      Activities

      2.3.1 Populate a RACI chart

      Plan for Senior Leader Buy-In

      Outcomes of this step
      At the end of this step, you will have a completed RACI chart documenting the roles and responsibilities related to accessibility for your accessibility business case.

      2.3.1 Populate a RACI

      Populate a RACI chart to identify who should be responsible, accountable, consulted, and informed for each key activity.

      Define who is responsible, accountable, consulted, and informed for the project team:

      1. Write out the list of all stakeholders along the top of a whiteboard. Write out the key project steps along the left-hand side.
      2. For each initiative, identify each team member’s role. Are they:
        Responsible: The one responsible for getting the job done.
        Accountable: Only one person can be accountable for each task.
        Consulted: Are involved by providing knowledge.
        Informed: Receive information about execution and quality.
      3. As you proceed, continue to add tasks and assign responsibility to the RACI chart in the appendix of the Accessibility Business Case Template.
      InputOutput
      • Stakeholder list
      • Key project steps
      • Project RACI chart
      MaterialsParticipants
      • Whiteboard
      • Accessibility Business Case Template
      • IT leadership team

      Download the Accessibility Business Case Template

      Phase 3

      Prepare your business case and get approval

      Phase 1
      1.1 Understand standards and legislation
      1.2 Build awareness
      1.3 Understand maturity level

      Phase 2
      2.1 Define desired future state
      2.2 Define goals and objectives
      2.3 Document roles and responsibilities

      Phase 3
      3.1 Prepare business case template for presentation and approval
      3.2 Validate post-approval steps and establish timelines

      The Accessibility Business Case for IT

      This phase will walk you through the following activities:

      • Compiling the work and learning you’ve done so far into a business case presentation.

      This phase involves the following participants:

      • Project lead/sponsor
      • Senior leaders/approval authority

      There is a business case for accessibility

      • When planning for initiatives, a business case is a necessary tool. Although it can feel like an administrative exercise, it helps create a compelling argument to senior leaders about the benefits and necessity of building an accessibility program.
      • No matter the industry, you need to justify how the budget and effort you require for the initiative support organizational goals. However, senior leaders of different industries might be motivated by different reasons. For example, government is strongly motivated by legal and equity aspects, commercial companies may be attracted to the increase in innovation or market reach, and educational and nonprofit companies are likely motivated by brand enhancement.
      • The organizational focus and goals will guide your business case for accessibility. Highlight the most relevant benefits to your operational landscape and the risk of inaction.

      Source: WAI, 2018

      “Many organizations are waking up to the fact that embracing accessibility leads to multiple benefits – reducing legal risks, strengthening brand presence, improving customer experience and colleague productivity.”
      – Paul Smyth, Head of Digital Accessibility, Barclays
      Source: WAI, 2018

      Step 3.1

      Customize and populate the Accessibility Business Case Template

      Activities

      3.1.1 Prepare your business case template for presentation and approval

      Build Your Business Case

      Outcomes of this step
      Following this step, you will have a customized business case presentation that you can present to senior leaders.

      Use Info-Tech’s template to communicate with stakeholders

      Obtain approval for your accessibility program by customizing Info-Tech’s Accessibility Business Case Template, which is designed to effectively convey your key messages. Tailor the template to suit your needs.

      It includes:

      • Project context
      • Project scope and objectives
      • Knowledge transfer roadmap
      • Next steps

      Info-Tech Insight
      The support of senior leaders is critical to the success of your accessibility program development. Remind them of the benefits and impact and the risks associated with inaction.

      Download the Accessibility Business Case Template

      3.1.1 Prepare a presentation for senior leaders to gain approval

      Now that you understand your current and desired accessibility maturity, the next step is to get sign-off to begin planning your initiatives.

      Know your audience:

      1. Consider who will be included in your presentation audience.
      2. You want your presentation to be succinct and hard-hitting. Management’s time is tight, and they will lose interest if you drag out the delivery. Impact them hard and fast with the challenges, benefits, and risks of inaction.
      3. Contain the presentation to no more than an hour. Depending on your audience, the actual presentation delivery could be quite short. You want to ensure adequate time for questions and answers.
      4. Schedule a meeting with the key decision makers who will need to approve the initiatives (IT leadership team, executive team, the board, etc.) and present your business case.
      InputOutput
      • Activity results
      • Accessibility Maturity Assessment results
      • A completed presentation to communicate your accessibility business case
      MaterialsParticipants
      • Accessibility Business Case Template
      • IT leadership team
      • Project sponsor
      • Project stakeholders
      • Senior leaders

      Download the Accessibility Business Case Template

      Step 3.2

      Validate post-approval steps and establish timelines

      Activities

      3.2.1 Prepare for implementation: Complete the implementation prep to-do list and assign proposed timelines

      Build Your Business Case

      Outcomes of this step
      This step will help you gain leadership’s approval to move forward with building and implementing the accessibility program.

      Prepare to implement your program

      Complete the to-do list to ensure you are ready to move your accessibility program forward.

      To Do Proposed Timeline
      Reach out to your change management team for assistance.
      Discuss your plan with HR.
      Build a project team.
      Incorporate any necessary changes from senior leaders into your business case.
      [insert your own addition here]
      [insert your own addition here]
      [insert your own addition here]
      [insert your own addition here]

      3.2.1 Prep for implementation (action planning)

      Use the implementation prep to-do list to make sure you have gathered relevant information and completed critical steps to be ready for success.

      Use the list on the previous slide to make sure you are set up for implementation success and that you’re ready to move your accessibility program forward.

      1. Assign proposed timelines to each of the items.
      2. Work through the list, collecting or completing each item.
      3. As you proceed, keep your identified drivers, current state, desired future state, goals, and objectives in mind.
      Input Output
      • Accessibility Maturity Assessment
      • Business case presentation and any feedback from senior leaders
      • Goals, objectives, identified drivers, and desired future state
      • High-level action plan
      Materials Participants
      • Previous slide containing the checklist
      • Project lead

      Related Info-Tech Research

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      • Create a practice that is focused on human outcomes; it starts and ends with the people you are designing for. This includes:
        • Establishing a practice with a common vision.
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        • Communicating a roadmap to improve your business through design.

      Modernize Your Corporate Website to Drive Business Value

      • Users are demanding more valuable web functionalities and improved access to your website services.
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      IT Diversity & Inclusion Tactics

      • Although inclusion is key to the success of a diversity and inclusion (D&I) strategy, the complexity of the concept makes it a daunting pursuit.
      • This is further complicated by the fact that creating inclusion is not a one-and-done exercise. Rather, it requires the ongoing commitment of employees and managers to reassess their own behaviors and to drive a cultural shift.

      Fix Your IT Culture

      • Go beyond value statements to create a culture that enables the departmental strategy.
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      Works cited

      “2021 State of Digital Accessibility.” Level Access, n.d. Accessed 10 Aug. 2022

      ”2022 Midyear Report: ADA Digital Accessibility Lawsuits.” UsableNet, 2022. Accessed 9 Nov. 2022

      “Barclay’s Bank Case Study.” WAI-Engage, 12 Sept. 2018. Accessed 7 Nov. 2022.

      Bilodeau, Howard, et al. “StatCan COVID-19 Data to Insights for a Better Canada.” Statistics Canada, 24 June 2021. Accessed 10 Aug. 2022.

      Casey, Caroline. “Do Your D&I Efforts Include People With Disabilities?” Harvard Business Review, 19 March 2020. Accessed 28 July 2022.

      Digitalisation World. “Organisations failing to meet digital accessibility standards.” Angel Business Communications, 19 May 2022. Accessed Oct. 2022.

      “disability.” Merriam-Webster.com Dictionary, Merriam-Webster, https://www.merriam-webster.com/dictionary/disability. Accessed 10 Aug. 2022.

      “Disability.” World Health Organization, 2022. Accessed 10 Aug 2022.

      “Driving the Accessibility Advantage at Accenture.” Accenture, 2022. Accessed 7 Oct. 2022.

      eSSENTIAL Accessibility. The Must-Have WCAG 2.1 Checklist. 2022

      Hopewell, May. Accessibility in the Workplace. 2022.

      “Initiate.” W3C Web Accessibility Initiative (WAI), 31 March 2016. Accessed 18 Aug. 2022.

      Kalcevich, Kate, and Mike Gifford. “How to Bake Layers of Accessibility Testing Into Your Process.” Smashing Magazine, 26 April 2021. Accessed 31 Aug. 2022.

      Noone, Cat. “4 Common Ways Companies Alienate People with Disabilities.” Harvard Business Review, 29 Nov. 2021. Accessed Jul. 2022.

      Taylor, Jason. “A Record-Breaking Year for ADA Digital Accessibility Lawsuits.” UsableNet, 21 December 2020. Accessed Jul. 2022.

      “The Business Case for Digital Accessibility.” W3C Web Accessibility Initiative (WAI), 9 Nov. 2018. Accessed 4 Aug. 2022.

      “The WebAIM Million.” Web AIM, 31 March 2022. Accessed 28 Jul. 2022.

      Washington, Ella F. “The Five Stages of DEI Maturity.” Harvard Business Review, November - December 2022. Accessed 7 Nov. 2022.

      Wyman, Nicholas. “An Untapped Talent Resource: People With Disabilities.” Forbes, 25 Feb. 2021. Accessed 14 Sep. 2022.

      Secrets of SAP S-4HANA Licensing

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      • member rating average dollars saved: $25,000 Average $ Saved
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      • Parent Category Name: Vendor Management
      • Parent Category Link: /vendor-management
      • With the relatively slow uptake of the S/4HANA platform, the pressure is immense for SAP to maintain revenue growth.
      • SAP’s definitions and licensing rules are complex and vague, making it extremely difficult to purchase with confidence while remaining compliant.
      • Aggressive audit tactics may be used to speed up the move to HANA.

      Our Advice

      Critical Insight

      • Mapping SAP products to HANA can be highly complex, leading to overspending and an inability to reduce future spend.
      • The deployment model chosen will directly impact commercial pathways forward.
      • Beware of digital (indirect) access licensing and compliance concerns.
      • Without having a holistic negotiation strategy, it is easy to hit a common obstacle and land into SAP’s playbook, requiring further spend.

      Impact and Result

      • Build a business case to evaluate S/4HANA.
      • Understand the S/4HANA roadmap and map current functionality to ensure compatibility.
      • Understand negotiating pricing and commercial terms.
      • Learn the “SAP way” of conducting business, which includes a best-in-class sales structure, unique contracts, and license use policies combined with a hyper-aggressive compliance function.

      Secrets of SAP S/4HANA Licensing Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should explore the secrets of SAP S/4HANA licensing, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Establish requirements

      Determining SAP’s fit within your organization is critical. Start off by building a business case to assess overarching drivers and justification for change, any net new business benefits and long-term sustainability. Oftentimes the ROI is negative, but the investment sets the stage for long-term growth.

      2. Evaluate licensing options

      Your deployment model is more important than you think. Selecting a deployment model will dictate your licensing options followed by your contractual pathways forward.

      • SAP License Summary and Analysis Tool
      • SAP Digital Access Licensing Pricing Tool

      3. Negotiation and license management

      Know what’s in the contract. Each customer agreement is different and there may be existing terms that are beneficial. Depending on how much is spent, anything can be up for negation.

      • SAP S/4HANA Terms and Conditions Evaluator
      [infographic]

      Maximize Value From Your Value-Added Reseller (VAR)

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      • member rating average dollars saved: After each Info-Tech experience, we ask our members to quantify the real-time savings, monetary impact, and project improvements our research helped them achieve.
      • member rating average days saved: Read what our members are saying
      • Parent Category Name: Vendor Management
      • Parent Category Link: /vendor-management

      Organizations need to understand their value-added reseller (VAR) portfolio and the greater VAR landscape to better:

      • Manage the VAR portfolio.
      • Understand additional value each VAR can provide.
      • Maximize existing VAR commitments.
      • Evaluate the VARs’ performance.

      Our Advice

      Critical Insight

      VARs typically charge more for products because they are in some way adding value. If you’re not leveraging any of the provided value, you’re likely wasting money and should use a basic commodity-type reseller for procurement.

      Impact and Result

      This project will provide several benefits to Vendor Management and Procurement:

      • Defined VAR value and performance tracking.
      • Manageable portfolio of VARs that fully benefit the organization.
      • Added training, licensing advice, faster quoting, and invoicing resolution.
      • Reduced deployment and logistics costs.

      Maximize Value From Your Value-Added Reseller (VAR) Research & Tools

      Start here – read the Executive Brief

      Read our informative Executive Brief to find out why you should maximize value from your value-added reseller, review Info-Tech’s methodology, and understand the three ways to better manage your VARs improve performance and reduce costs.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Organize and prioritize

      Organize all your VARs and create a manageable portfolio detailing their value, specific, product, services, and certifications.

      • Maximize Value From Your Value-Added Reseller – Phase 1: Organize and Prioritize
      • VAR Listing and Prioritization Tool

      2. “EvaluRate” your VARs

      Create an in-depth evaluation of the VARs’ capabilities.

      • Maximize Value From Your Value-Added Reseller – Phase 2: EvaluRate Your VARs
      • VAR Features Checklist Tool
      • VAR Profile and EvaluRation Tool

      3. Consolidate and reduce

      Assess each VAR for low performance and opportunity to increase value or consolidate to another VAR and reduce redundancy.

      • Maximize Value From Your Value-Added Reseller – Phase 3: Consolidate and Reduce

      4. Maximize their value

      Micro-manage your primary VARs to ensure performance to commitments and maximize their value.

      • Maximize Value From Your Value-Added Reseller – Phase 4: Maximize Their Value
      • VAR Information and Scorecard Workbook
      [infographic]

      Improve IT-Business Alignment Through an Internal SLA

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      • Parent Category Name: Operations Management
      • Parent Category Link: /i-and-o-process-management
      • The business is rarely satisfied with IT service levels, yet there is no clear definition of what is acceptable.
      • Dissatisfaction with service levels is often based on perception. Your uptime might be four 9s, but the business only remembers the outages.
      • IT is left trying to hit a moving target with a limited budget and no agreement on where services levels need to improve.

      Our Advice

      Critical Insight

      • Business leaders have service level expectations regardless of whether there is a formal agreement. The SLA process enables IT to manage those expectations.
      • Track current service levels and report them in plain language (e.g. hours and minutes of downtime, not “how many 9s” which then need to be translated) to gain a clearer mutual understanding of current versus desired service levels.
      • Use past incidents to provide context (how much that hour of downtime actually impacted the business) in addition to a business impact analysis to define appropriate target service levels based on actual business need.

      Impact and Result

      Create an effective internal SLA by following a structured process to report current service levels and set realistic expectations with the business. This includes:

      • Defining the current achievable service level by establishing a metrics tracking and monitoring process.
      • Determining appropriate (not ideal) business needs.
      • Creating an SLA that clarifies expectations to reduce IT-business friction.

      Improve IT-Business Alignment Through an Internal SLA Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should create an internal SLA, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Scope the pilot project

      Establish the SLA pilot project and clearly document the problems and challenges that it will address.

      • Improve IT-Business Alignment Through an Internal SLA – Phase 1: Scope the Pilot Project
      • Internal SLA Process Flowcharts (PDF)
      • Internal SLA Process Flowcharts (Visio)
      • Build an Internal SLA Project Charter Template
      • Internal SLA Maturity Scorecard Tool

      2. Establish current service levels

      Expedite the SLA process by thoroughly, carefully, and clearly defining the current achievable service levels.

      • Improve IT-Business Alignment Through an Internal SLA – Phase 2: Determine Current Service Levels
      • Availability and Reliability SLA Metrics Tracking Template
      • Service Desk SLA Metrics Tracking Template
      • Service Catalog SLA Metrics Tracking Template

      3. Identify target service levels and create the SLA

      Create a living document that aligns business needs with IT targets by discovering the impact of your current service level offerings through a conversation with business peers.

      • Improve IT-Business Alignment Through an Internal SLA – Phase 3: Set Target Service Levels and Create the SLA
      • SLA Project Roadmap Tool
      • Availability Internal Service Level Agreement Template
      • Service Catalog Internal Service Level Agreement Template
      • Service Desk Internal Service Level Agreement Template
      • Internal SLA Executive Summary Presentation Template
      [infographic]

      Harness Configuration Management Superpowers

      • Buy Link or Shortcode: {j2store}303|cart{/j2store}
      • member rating overall impact (scale of 10): 8.5/10 Overall Impact
      • member rating average dollars saved: $12,999 Average $ Saved
      • member rating average days saved: 10 Average Days Saved
      • Parent Category Name: Asset Management
      • Parent Category Link: /asset-management
      • Configuration management databases (CMDB) are a lot of work to build and maintain. Starting down this process without the right tools, processes, and buy-in is a lot of work with very little reward.
      • If you decide to just build it and expect they will come, you may find it difficult to articulate the value, and you will be disappointed by the lack of visitors.
      • Relying on manual entry or automated data collection without governance may result in data you can’t trust, and if no one trusts the data, they won’t use it.

      Our Advice

      Critical Insight

      • The right mindset is just as important as the right tools. By involving everyone early, you can ensure the right data is captured and validated and you can make maintenance part of the culture. This is critical to reaching early and continual value with a CMDB.

      Impact and Result

      • Define your use cases: Identify the use cases and prioritize those objectives into phases. Define what information will be needed to meet the use cases and how that information will be populated.
      • Understand and design the CMDB data model: Define services and undiscoverable configuration items (CI) and map them to the discoverable CIs.
      • Operationalize configuration record updates: Define data stewards and governance processes and integrate your configuration management practice with existing practices and lifecycles.

      Harness Configuration Management Superpowers Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Harness Configuration Management Superpowers Deck – A step-by-step document that walks you through creating a configuration management program.

      Use this blueprint to create a configuration management program that provides immediate value.

      • Harness Configuration Management Superpowers – Phases 1-4

      2. Configuration Management Project Charter Template – A project charter template to help you build a concise document for communicating appropriate project details to stakeholders.

      Use this template to create a project charter to launch the configuration management project.

      • Configuration Management Project Charter

      3. Configuration Control Board Charter Template – A board charter template to help you define the roles and responsibilities of the configuration control board.

      Use this template to create your board charter for your configuration control board (CCB). Define roles and responsibilities and mandates for the CCB.

      • Configuration Control Board Charter

      4. Configuration Management Standard Operating Procedures (SOP) Template – An SOP template to describe processes and procedures for ongoing maintenance of the CMDB under the configuration management program.

      Use this template to create and communicate your SOP to ensure ongoing maintenance of the CMDB under the configuration management program.

      • Configuration Management Standard Operation Procedures

      5. Configuration Management Audit and Validation Checklist Template – A template to be used as a starting point to meet audit requirements under NIST and ITIL programs.

      Use this template to assess capability to pass audits, adding to the template as needed to meet internal auditors’ requirements.

      • Configuration Management Audit and Validation Checklist

      6. Configuration Management Policy Template – A template to be used for building out a policy for governance over the configuration management program.

      Use this template to build a policy for your configuration management program.

      • Configuration Management Policy

      7. Use Cases and Data Worksheet – A template to be used for validating data requirements as you work through use cases.

      Use this template to determine data requirements to meet use cases.

      • Use Cases and Data Worksheet

      8. Configuration Management Diagram Template Library – Examples of process workflows and data modeling.

      Use this library to view sample workflows and a data model for the configuration management program.

      • Configuration Management Diagram Template Library (Visio)
      • Configuration Management Diagram Template Library (PDF)

      9. Configuration Manager Job Description – Roles and responsibilities for the job of Configuration Manager.

      Use this template as a starting point to create a job posting, identifying daily activities, responsibilities, and required skills as you create or expand your configuration management program.

      • Configuration Manager

      Infographic

      Workshop: Harness Configuration Management Superpowers

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Configuration Management Strategy

      The Purpose

      Define the scope of your service configuration management project.

      Design the program to meet specific stakeholders needs

      Identify project and operational roles and responsibilities.

      Key Benefits Achieved

      Designed a sustainable approach to building a CMDB.

      Activities

      1.1 Introduction

      1.2 Define challenges and goals.

      1.3 Define and prioritize use cases.

      1.4 Identify data needs to meet these goals.

      1.5 Define roles and responsibilities.

      Outputs

      Data and reporting use cases based on stakeholder requirements

      Roles and responsibility matrix

      2 CMDB Data Structure

      The Purpose

      Build a data model around the desired use cases.

      Identify the data sources for populating the CMDB.

      Key Benefits Achieved

      Identified which CIs and relationships will be captured in the CMDB.

      Activities

      2.1 Define and prioritize your services.

      2.2 Evaluate CMDB default classifications.

      2.3 Test configuration items against existing categories.

      2.4 Build a data model diagram.

      Outputs

      List of CI types and relationships to be added to default settings

      CMDB data model diagram

      3 Processes

      The Purpose

      Key Benefits Achieved

      Built a right-sized approach to configuration record updates and data validation.

      Activities

      3.1 Define processes for onboarding, offboarding, and maintaining data in the CMDB.

      3.2 Define practices for configuration baselines.

      3.3 Build a data validation and auditing plan.

      Outputs

      Documented processes and workflows

      Data validation and auditing plan

      4 Communications & Roadmap

      The Purpose

      Key Benefits Achieved

      Metrics program defined

      Communications designed

      Activities

      4.1 Define key metrics for configuration management.

      4.2 Define metrics for supporting services.

      4.3 Build configuration management policies.

      4.4 Create a communications plan.

      4.5 Build a roadmap

      Outputs

      Policy for configuration management

      Communications documents

      Roadmap for next steps

      Further reading

      Harness Configuration Management Superpowers

      Create a configuration management practice that will provide ongoing value to the organization.

      EXECUTIVE BRIEF

      Analyst Perspective

      A robust configuration management database (CMDB) can provide value to the business and superpowers to IT. It's time to invest smartly to reap the rewards.

      IT environments are becoming more and more complex, and balancing demands for stability and demands for faster change requires visibility to make the right decisions. IT needs to know their environment intimately. They need to understand dependencies and integrations and feel confident they are making decisions with the most current and accurate view.

      Solutions for managing operations rely on the CMDB to bring visibility to issues, calculate impact, and use predictive analytics to fix performance issues before they become major incidents. AIOps solutions need accurate data, but they can also help identify configuration drift and flag changes or anomalies that need investigation.

      The days of relying entirely on manual entry and updates are all but gone, as the functionality of a robust configuration management system requires daily updates to provide value. We used to rely on that one hero to make sure information was up to date, but with the volume of changes we see in most environments today, it's time to improve the process and provide superpowers to the entire IT department.

      This is a picture of Sandi Conrad

      Sandi Conrad, ITIL Managing Professional
      Principal Research Director, IT Infrastructure & Operations, Info-Tech Research Group

      Executive Summary

      Your Challenge

      • Build a configuration management database (CMDB): You need to implement a CMDB, populate it with records and relationships, and integrate it with discovery and management tools.
      • Identify the benefits of a CMDB: Too many CMDB projects fail because IT tries to collect everything. Base your data model on the desired use cases.
      • Define roles and responsibilities: Keeping data accurate and updated is difficult. Identify who will be responsible for helping

      Common Obstacles

      • Significant process maturity is required: Service configuration management (SCM) requires high maturity in change management, IT asset management, and service catalog practices.
      • Large investment: Building a CMDB takes a large amount of effort, process, and expertise.
      • Tough business case: Configuration management doesn't directly provide value to the business, but it requires a lot of investment from IT.

      Info-Tech's Approach

      • Define your scope and objectives: Identify the use cases for SCM and prioritize those objectives into phases.
      • Design the CMDB data model: Align with your existing configuration management system's data model.
      • Operationalize configuration record updates: Integrate your SCM practice with existing practices and lifecycles.

      Start small

      Scope creep is a serial killer of configuration management databases and service configuration management practices.

      Insight summary

      Many vendors are taking a CMDB-first approach to enable IT operations or sometimes asset management. It's important to ensure processes are in place immediately to ensure the data doesn't go stale as additional modules and features are activated.

      Define processes early to ensure success

      The right mindset is just as important as the right tools. By involving everyone early, you can ensure the right data is captured and validated and you can make maintenance part of the culture. This is critical to reaching early and continual value with a CMDB.

      Identify use cases

      The initial use case will be the driving force behind the first assessment of return on investment (ROI). If ROI can be realized early, momentum will increase, and the team can build on the initial successes.

      If you don't see value in the first year, momentum diminishes and it's possible the project will never see value.

      Keep the initial scope small and focused

      Discovery can collect a lot of data quickly, and it's possible to be completely overwhelmed early in the process.

      Build expertise and troubleshoot issues with a smaller scope, then build out the process.

      Minimize customizations

      Most CMDBs have classes and attributes defined as defaults. Use of the defaults will enable easier implementation and faster time to value, especially where automations and integrations depend on standard terms for field mapping.

      Automate as much as possible

      In large, complex environments, the data can quickly become unmanageable. Use automation as much as possible for discovery, dependency mapping, validation, and alerts. Minimize the amount of manual work but ensure everyone is aware of where and how these manual updates need to happen to see continual value.

      Info-Tech's Harness Configuration Management Superpowers.

      Configuration management will improve functionality of all surrounding processes

      A well-functioning CMDB empowers almost all other IT management and governance practices.

      Service configuration management is about:

      • Building a system of record about IT services and the components that support those services.
      • Continuously reconciling and validating information to ensure data accuracy.
      • Ensuring the data lifecycle is defined and well understood and can pass data and process audits.
      • Accessing information in a variety of ways to effectively serve IT and the business.
      An image of Info-Tech's CMDB Configuration Management tree, breaking down aspects into the following six categories: Strategic Partner; Service Provider; Proactive; Stabilize; Core; and Foundational.

      Configuration management most closely impacts these practices

      Info-Tech Research Group sees a clear relationship.

      When an IT department reports they are highly effective at configuration management, they are much more likely to report they are highly effective at these management and governance processes:

      The following management and governance processes are listed: Quality Management; Asset Management; Performance Measurement; Knowledge Management; Release Management; Incident and Problem Management; Service Management; Change Management.

      The data is clear

      Service configuration management is about more than just doing change management more effectively.

      Source: Info-Tech Research Group, IT Management and Governance Diagnostic; N=684 organizations, 2019 to July 2022.

      Make the case to use configuration management to improve IT operations

      Consider the impact of access to data for informing innovations, optimization efforts, and risk assessments.

      75% of Uptime's 2021 survey respondents who had an outage in the past three years said the outage would have been prevented if they'd had better management or processes.(1)

      75%

      75% of Uptime's 2021 survey respondents who had an outage in the past three years said the outage would have been prevented if they'd had better management or processes.(1)

      42%

      of publicly reported outages were due to software or configuration issues. (1)

      58%

      of networking-related IT outages were due to configuration and change management failure.(1)

      It doesn't have to be that way!

      Enterprise-grade IT service management (ITSM) tools require a CMDB for the different modules to work together and to enable IT operations management (ITOM), providing greater visibility.

      Decisions about changes can be made with accurate data, not guesses.

      The CMDB can give the service desk fast access to helpful information about the impacted components, including a history of similar incidents and resolutions and the relationship between the impacted components and other systems and components.

      Turn your team into IT superheroes.

      CMDB data makes it easier for IT Ops groups to:

      • Avoid change collisions.
      • Eliminate poor changes due to lack of visibility into complex systems.
      • Identify problematic equipment.
      • Troubleshoot incidents.
      • Expand the services provided by tier 1 and through automation.

      Benefits of configuration management

      For IT

      • Configuration management will supercharge processes that have relied on inherent knowledge of the IT environment to make decisions.
      • IT will more quickly analyze and understand issues and will be positioned to improve and automate issue identification and resolution.
      • Increase confidence and reduce risks for decisions involving release and change management with access to accurate data, regardless of the complexity of the environment.
      • Reduce or eliminate unplanned work related to poor outcomes due to decisions made with incorrect or incomplete data.

      For the Business

      • Improve strategic planning for business initiatives involving IT solutions, which may include integrations, development, or security concerns.
      • More quickly deploy new solutions or updates due to visibility into complex environments.
      • Enable business outcomes with reliable and stable IT systems.
      • Reduce disruptions caused by planning without accurate data and improve resolution times for service interruptions.
      • Improve access to reporting for budgeting, showbacks, and chargebacks as well as performance metrics.

      Measure the value of this blueprint

      Fast-track your planning and increase the success of a configuration management program with this blueprint

      Workshop feedback
      8.1/10

      $174,000 savings

      30 average days saved

      Guided Implementation feedback

      8.7/10

      $31,496 average savings

      41 average days saved

      "The workshop was well run, with good facilitation, and gained participation from even the most difficult parts of the audience. The best part of the experience was that if I were to find myself in the same position in the future, I would repeat the workshop."

      – University of Exeter

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1 Phase 2 Phase 3 Phase 4

      Call #1: Scope requirements, objectives, and your specific challenges.

      Call #2: Prioritize services and use cases.

      Call #3: Identify data needed to meet goals.

      Call #4: Define roles and responsibilities.

      Call #5: Define and prioritize your services.

      Call #6: Evaluate and test CMDB default classifications.

      Call #7: Build a data model diagram.

      Call #8: Define processes for onboarding, offboarding, and maintaining data.

      Call #9: Discuss configuration baselines.

      Call #10: Build a data validation and audit plan.

      Call #11: Define key metrics.

      Call #12: Build a configuration management policy and communications plan.

      Call #13: Build a roadmap.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is between 8 to 12 calls over the course of 4 to 9 months.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Day 1 Day 2 Day 3 Day 4

      Configuration Management Strategy

      CMDB Data Structure

      Process Design

      Communications & Roadmap

      Activities
      • Introduction
      • Define challenges and goals.
      • Define and prioritize use cases.
      • Identify data needed to meet goals.
      • Define roles and responsibilities.
      • Define and prioritize your services.
      • Evaluate CMDB default classifications.
      • Test configuration items against existing categories.
      • Build a data model diagram.
      • Define processes for onboarding, offboarding, and maintaining data in the CMDB.
      • Define practices for configuration baselines.
      • Build a data validation and auditing plan.
      • Define key metrics for configuration management.
      • Define metrics for supporting services.
      • Build configuration management policies.
      • Create a communications plan.
      • Build a roadmap.

      Deliverables

      • Roles and responsibility matrix
      • Data and reporting use cases based on stakeholder requirements
      • List of CI types and relationships to be added to default settings
      • CMDB data model diagram
      • Documented processes and workflows
      • Data validation and auditing plan
      • Policy for configuration management
      • Roadmap for next steps
      • Communications documents

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Configuration Management Project Charter

      Detail your approach to building an SCM practice and a CMDB.

      Screenshot from the Configuration Management Project Charter

      Use Cases and Data Worksheet

      Capture the action items related to your SCM implementation project.

      Screenshot from the Use Cases and Data Worksheet

      Configuration Manager Job Description

      Use our template for a job posting or internal job description.

      Screenshot from the Configuration Manager Job Description

      Configuration Management Diagram Template Library

      Use these diagrams to simplify building your SOP.

      Screenshot from the Configuration Management Diagram Template Library

      Configuration Management Policy

      Set expectations for configuration control.

      screenshot from the Configuration Management Policy

      Configuration Management Audit and Validation Checklist

      Use this framework to validate controls.

      Screenshot from the Configuration Management Audit and Validation Checklist

      Configuration Control Board Charter

      Define the board's responsibilities and meeting protocols.

      Screenshot from the Configuration Management Audit and Validation Checklist

      Key deliverable:

      Configuration Management Standard Operating Procedures Template

      Outlines SCM roles and responsibilities, the CMDB data model, when records are expected to change, and configuration baselines.

      Four Screenshots from the Configuration Management Standard Operating Procedures Template

      Phase 1

      Configuration Management Strategy

      Strategy Data Structure Processes Roadmap
      • Challenges and Goals
      • Use Cases and Data
      • Roles and Responsibilities
      • Services
      • Classifications
      • Data Modeling
      • Lifecycle Processes
      • Baselines
      • Audit and Data Validation
      • Metrics
      • Communications Plan
      • Roadmap

      This phase will walk you through the following aspects of a configuration management system:

      • Scope
      • Use Cases
      • Reports and Analytics

      This phase involves the following participants:

      • IT and business service owners
      • Business/customer relationship managers
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • SCM project manager
      • SCM project sponsor

      Harness Service Configuration Management Superpowers

      Establish clear definitions

      Ensure everyone is using the same terms.

      Term Definition
      Configuration Management

      The purpose of configuration management is to:

      • "Ensure that accurate and reliable information about the configuration of services, and the CIs that support them, is available when and where it is needed. This includes information on how CIs are configured and the relationships between them" (AXELOS).
      • "Provide sufficient information about service assets to enable the service to be effectively managed. Assess the impact of changes and deal with service incidents" (ISACA, 2018).
      Configuration Management System (CMS) A set of tools and databases used to manage, update, and present data about all configuration items and their relationships. A CMS may maintain multiple federated CMDBs and can include one or many discovery and dependency mapping tools.
      Configuration Management Database (CMDB) A repository of configuration records. It can be as simple as a spreadsheet or as complex as an integrated database populated through multiple autodiscovery tools.
      Configuration Record Detailed information about a configuration item.
      Configuration Item (CI)

      "Any component that needs to be managed in order to deliver an IT service" (AXELOS).

      These components can include everything from IT services and software to user devices, IT infrastructure components, and documents (e.g. maintenance agreements).
      Attributes Characteristics of a CI included in the configuration record. Common attributes include name, version, license expiry date, location, supplier, SLA, and owner.
      Relationships Information about the way CIs are linked. A CI can be part of another CI, connect to another CI, or use another CI. A CMDB is significantly more valuable when relationships are recorded. This information allows CMDB users to identify dependencies between components when investigating incidents, performing root-cause analysis, assessing the impact of changes before deployment, and much more.

      What is a configuration management database (CMDB)?

      The CMDB is a system of record of your services and includes a record for everything you need to track to effectively manage your IT services.

      Anything that is tracked in your CMDB is called a configuration item (CI). Examples of CIs include:

      • User-Facing Services
      • IT-Facing Services
      • Business Capabilities
      • Relationships
      • IT Infrastructure Components
      • Enterprise Software
      • End-User Devices
      • Documents

      Other systems of record can refer to CIs, such as:

      • Ticket database: Tickets can refer to which CI is impacted by an incident or provided as part of a service request.
      • Asset management database (AMDB): An IT asset is often also a CI. By associating asset records with CI records, you can leverage your IT asset data in your reporting.
      • Financial systems: If done well, the CMDB can supercharge your IT financial cost model.

      CMDBs can allow you to:

      • Query multiple databases simultaneously (so long as you have the CI name field in each database).
      • Build automated workflows and chatbots that interact with data across multiple databases.
      • More effectively identify the potential impact of changes and releases.

      Do not confuse asset with configuration

      Asset and configuration management look at the same world through different lenses

      • IT asset management (ITAM) tends to focus on each IT asset in its own right: assignment or ownership, lifecycle, and related financial obligations and entitlements.
      • Configuration management is focused on configuration items (CIs) that must be managed to deliver a service and the relationships and integrations with other CIs.
      • ITAM and configuration management teams and practices should work closely together. Though asset and configuration management focus on different outcomes, they may use overlapping tools and data sets. Each practice, when working effectively, can strengthen the other.
      • Many objects will exist in both the CMDB and AMDB, and the data on those shared objects will need to be kept in sync.

      A comparison between Asset and Configuration Management Databases

      *Discovery, dependency mapping, and data normalization are often features or modules of configuration management, asset management, or IT service management tools.

      Start with ITIL 4 guiding principles to make your configuration management project valuable and realistic

      Focus on where CMDB data will provide value and ensure the cost of bringing that data in will be reasonable for its purpose. Your end goal should be not just to build a CMDB but to use a CMDB to manage workload and workflows and manage services appropriately.

      Focus on value

      Include only the relevant information required by stakeholders.

      Start where you are

      Use available sources of information. Avoid adding new sources and tools unless they are justified.

      Progress iteratively with feedback

      Regularly review information use and confirm its relevance, adjusting the CMDB scope if needed.

      Collaborate and promote visibility

      Explain and promote available sources of configuration information and the best ways to use them, then provide hints and tips for more efficient use.

      Think and work holistically

      Consider other sources of data for decision making. Do not try to put everything in the CMDB.

      Keep it simple and practical

      Provide relevant information in the most convenient way; avoid complex interfaces and reports.

      Optimize and automate

      Continually optimize resource-consuming practice activities. Automate CDMB verification, data collection, relationship discovery, and other activities.

      ITIL 4 guiding principles as described by AXELOS

      Step 1.1

      Identify use cases and desired benefits for service configuration management

      Activities

      1.1.1 Brainstorm data collection challenges

      1.1.2 Define goals and how you plan to meet them

      1.1.3 Brainstorm and prioritize use cases

      1.1.4 Identify the data needed to reach your goals

      1.1.5 Record required data sources

      This step will walk you through the following aspects of a configuration management system:

      • Scope
      • Use cases

      This phase involves the following participants:

      • IT and business service owners
      • Business/customer relationship managers
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • Project sponsor
      • Project manager

      Identify potential obstacles in your organization to building and maintaining a CMDB

      Often, we see multiple unsuccessful attempts to build out a CMDB, with teams eventually losing faith and going back to spreadsheets. These are common obstacles:

      • Significant manual data collection, which is rarely current and fully accurate.
      • Multiple discovery solutions creating duplicate records, with no clear path to deduplicate records.
      • Manual dependency mapping that isn't accurate because it's not regularly assessed and updated.
      • Hybrid cloud and on-premises environment with discovery solutions only partially collecting as the right discovery and dependency mapping solutions aren't in place.
      • Dynamic environments (virtual, cloud, or containers) that may exist for a very short time, but no one knows how they should be managed.
      • Lack of expertise to maintain and update the CMDB or lack of an assigned owner for the CMDB. If no one owns the process and is assigned as a steward of data, it will not be maintained.
      • Database that was designed with other purposes in mind and is heavily customized, making it difficult to use and maintain.

      Understanding the challenges to accessing and maintaining quality data will help define the risks created through lack of quality data.

      This knowledge can drive buy-in to create a configuration management practice that benefits the organization.

      1.1.1 Brainstorm data collection challenges

      Involve stakeholders.
      Allot 45 minutes for this discussion.

      1. As a group, brainstorm the challenges you have with data:
      2. Accuracy and trustworthiness: What challenges do you have with getting accurate data on IT services and systems?
        1. Access: Where do you have challenges with getting data to people when they need it?
        2. Manually created data: Where are you relying on data that could be automatically collected?
        3. Data integration: Where do you have issues with integrating data from multiple sources?
        4. Impact: What is the result of these challenges?
      3. Group together these challenges into similar issues and identify what goals would help overcome them.
      4. Record these challenges in the Configuration Management Project Charter, section 1.2: Project Purpose.

      Download the Configuration Management Project Charter

      Input

      Output

      • None
      • List of high-level desired benefits for SCM
      Materials Participants
      • Whiteboard/flip charts
      • Sticky notes
      • Markers/pens
      • Configuration Management Project Charter
      • IT and business service owners
      • Business/customer relationship managers
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Info-Tech Maturity Ladder

      Identify your current and target state

      INNOVATOR

      • Characteristics of business partner
      • Integration with orchestration tools

      BUSINESS PARTNER

      Data collection and validation is fully automated

      Integrated with several IT processes

      Meets the needs of IT and business use cases

      TRUSTED OPERATOR

      • Data collection and validation is partially or fully automated
      • Trust in data accuracy is high, meets the needs of several IT use cases

      FIREFIGHTER

      • Data collection is partially or fully automated, validation is ad hoc
      • Trust in data accuracy is variable, used for decision making

      UNSTABLE

      INNOVATOR

      • Characteristics of business partner
      • Integration with orchestration tools

      BUSINESS PARTNER

      • Data collection and validation is fully automated
      • Integrated with several IT processes
      • Meets the needs of IT and business use cases

      TRUSTED OPERATOR

      • Data collection and validation is partially or fully automated
      • Trust in data accuracy is high, meets the needs of several IT use cases

      FIREFIGHTER

      • Data collection is partially or fully automated, validation is ad hoc
      • Trust in data accuracy is variable, used for decision making

      UNSTABLE

      A tower is depicted, with arrows pointing to Current (orange) and Target(blue)

      Define goals for your CMDB to ensure alignment with all stakeholders

      • How are business or IT goals being hindered by not having the right data available?
      • If the business isn't currently asking for service-based reporting and accountability, start with IT goals. This will help to develop goals that will be most closely aligned to the IT teams' needs and may help incentivize the right behavior in data maintenance.
      • Configuration management succeeds by enabling its stakeholders to achieve their outcomes. Set goals for configuration management based on the most important outcomes expected from this project. Ask your stakeholders:
        1. What are the business' or IT's planned transformational initiatives?
        2. What are your highest priority goals?
        3. What should the priorities of the configuration management practice be?
      • The answers to these questions will shape your approach to configuration management. Direct input from your leadership and executives, or their delegates, will help ensure you're setting a solid foundation for your practice.
      • Identify which obstacles will need to be overcome to meet these goals.

      "[T]he CMDB System should be viewed as a 'system of relevance,' rather than a 'single source of truth.' The burdens of relevance are at once less onerous and far more meaningful in terms of action, analysis, and automation. While 'truth' implies something everlasting or at least stable, relevance suggests a far more dynamic universe."

      – CMDB Systems, Making Change Work in the Age of Cloud and Agile, Drogseth et al

      Identify stakeholders to discuss what they need from a CMDB; business and IT needs will likely differ

      Define your audience to determine who the CMDB will serve and invite them to these conversations. The CMDB can aid the business and IT and can be structured to provide dashboards and reports for both.

      Nondiscoverable configuration items will need to be created for both audiences to organize CIs in a way that makes sense for all uses.

      Integrations with other systems may be required to meet the needs of your audience. Note integrations for future planning.

      Business Services

      Within the data sets, service configuration models can be used for:

      • Impact analysis
      • Cause and effect analysis
      • Risk analysis
      • Cost allocation
      • Availability analysis and planning

      Technical Services

      Connect to IT Finance for:

      • Service-based consumption and costing
      • Financial awareness through showback
      • Financial recovery through chargeback
      • Support IT strategy through financial transparency
      • Cost optimization
      • Reporting for depreciation, location-related taxation, and capitalization (may also use asset management for these)

      Intersect with IT Processes to:

      • Reduce time to restore services through incident management
      • Improve stability through change management
      • Reduce outages through problem management
      • Optimize assets through IT asset management
      • Provide detailed reporting for audit/governance, risk, and compliance

      1.1.2 Define goals and how you plan to meet them

      Involve stakeholders.

      Allot 45 minutes for this discussion.

      As a group, identify current goals for building and using a CMDB.

      Why are we doing this?

      • How do you hope to use the data within the CMDB?
      • What processes will be improved through use of this data and what are the expected outcomes?

      How will we improve the process?

      • What processes will be put in place to ensure data integrity?
      • What tools will be put in place to improve the methods used to collect and maintain data?

      Record these goals in the Configuration Management Project Charter, section 1.3: Project Objectives.

      Input

      Output

      • None
      • List of high-level desired benefits for SCM
      Materials Participants
      • Whiteboard/flip charts
      • Sticky notes
      • Markers/pens
      • Configuration Management Project Charter
      • IT and business service owners
      • Business/customer relationship managers
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      It's easy to think that if you build it, they will come, but CMDBs rarely succeed without solid use cases

      Set expectations for your organization that defined and fulfilled use cases will factor into prioritization exercises, functional plans, and project milestones to achieve ROI for your efforts.

      A good use case:

      • Justifies resource allocation
      • Gains funding for the right tools
      • Builds stakeholder support
      • Drives interest and excitement
      • Gains support from anyone in a position to help build out and validate the data
      • Helps to define success

      In the book CMDB Systems, Making Change Work in the Age of Cloud and Agile, authors Drogseth, Sturm, and Twing describe the secrets of success:

      A documented evaluation of CMDB System vendors showed that while most "best case" ROI fell between 6 and 9 months for CMDB deployments, one instance delivered ROI for a significant CMDB investment in as little as 2 weeks!

      If there's a simple formula for quick time to value for a CMDB System, it's the following:

      Mature levels of process awareness
      + Strong executive level support
      + A ready and willing team with strongly supportive stakeholders
      + Clearly defined and ready phase one use case
      + Carefully selected, appropriate technologies

      All this = Powerful early-phase CMDB System results

      Define and prioritize use cases for how the CMDB will be used to drive value

      The CMDB can support several use cases and may require integration with various modules within the ITSM solution and integration with other systems.

      Document the use cases that will drive your CMDB to relevance, including the expected benefits for each use case.

      Identify the dependencies that will need to be implemented to be successful.

      Define "done" so that once data is entered, verified, and mapped, these use cases can be realized.

      "Our consulting experience suggests that more than 75% of all strategic initiatives (CMDB or not) fail to meet at least initial expectations across IT organizations. This is often due more to inflated expectations than categorical failure."

      – CMDB Systems, Making Change Work in the Age of Cloud and Agile, Drogseth et al.

      This image demonstrates how CMBD will be used to drive value.

      After identifying use cases, determine the scope of configuration items required to feed the use cases

      On-premises software and equipment will be critical to many use cases as the IT team and partners work on network and data-center equipment, enterprise software, and integrations through various means, including APIs and middleware. Real-time and near real-time data collection and validation will ensure IT can act with confidence.

      Cloud use can include software as a service (SaaS) solutions as well as infrastructure and platform as a service (IaaS and PaaS), and this may be more challenging for data collection. Tools must be capable of connecting to cloud environments and feeding the information back into the CMDB. Where on-premises and cloud applications show dependencies, you might need to validate data if multiple discovery and dependency mapping solutions are used to get a complete picture. Tagging will be crucial to making sense of the data as it comes into the CMDB.

      In-house developed software would be beneficial to have in the CMDB but may require more manual work to identify and classify once discovered. A combination of discovery and tagging may be beneficial to input and classification.

      Highly dynamic environments may require data collection through integration with a variety of solutions to manage and record continuous deployment models and verifications, or they may rely on tags and activity logs to record historical activity. Work with a partner who specializes in CI/CD to help architect this use case.

      Containers will require an assessment of the level of detail required. Determine if the container is a CI and if the content will be described as attributes. If there is value to your use case to map the contents of each container as separate CIs within the container CI, then you can map to that level of detail, but don't map to that depth unless the use case calls for it.

      Internet of Things (IoT) devices and applications will need to match a use case as well. IoT device asset data will be useful to track within an asset database but may have limited value to add to a CMDB. If there are connections between IoT applications and data warehouses, the dependencies should likely be mapped to ensure continued dataflow.

      Out of scope

      A single source of data is highly beneficial, but don't make it a catchall for items that are not easily stored in a CMDB.

      Source code should be stored in a definitive media library (DML). Code can be linked to the CMDB but is generally too big to store in a CMDB and will reduce performance for data retrieval.

      Knowledge articles and maintenance checklists are better suited to a knowledge base. They can also be linked to the CDMB if needed but this can get messy where many-to-many relationships between articles and CIs exist.

      Fleet (transportation) assets and fixed assets should be in fleet management systems and accounting systems, respectively. Storing these types of data in the CMDB doesn't provide value to the support process.

      1.1.3 Brainstorm and prioritize use cases

      Which IT practices will you supercharge?

      Focus on improving both operations and strategy.

      1. Brainstorm the list of relevant use cases. What do you want to do with the data from the CMDB? Consider:
        1. ITSM management and governance practices
        2. IT operations, vendor orchestration, and service integration and management (SIAM) to improve vendor interactions
        3. IT finance and business service reporting needs
      2. Identify which use cases are part of your two- to three-year plan, including the purpose for adding configuration data into that process. Prioritize one or two of these use cases to accomplish in your first year.
      3. Identify dependencies to manage as part of the solution and define a realistic timeline for implementing integrations, modules, or data sources.
      4. Document this table in the Configuration Management Project Charter, section 2.2: Use Cases.
      Audience Use Case Goal/Purpose Project/Solution Dependencies Proposed Timeline Priority
      • IT
      • Change Management

      Stabilize the process by seeing:

      Change conflict reporting

      Reports of CI changes without change records

      System availability

      RFC mapping requires discovered CIs

      RFC review requires criticality, technical and business owners

      Conflict reporting requires dependency mapping

      • Discovery and manual information entered by October
      • Dependency mapping implemented by December

      High

      Determine what additional data will be needed to achieve your use cases

      Regardless of which use cases you are planning to fulfill with the CMDB, it is critical to not add data and complexity with the plan of resolving every possible inquiry. Ensure the cost and effort of bringing in the data and maintaining it is justified. The complexity of the environment will impact the complexity of data sources and integrations for discovery and dependency mapping.

      Before bringing in new data, consider:

      • Is this information available in other maintained databases now?
      • Will this data be critical for decision making? If it is nice to have or optional, can it be automatically moved into the database and maintained using existing integrations?
      • Is there a cost to bringing the data into the CMDB and maintaining it? Is that cost reasonable for its purpose?
      • How frequently will this information be accessed, and can it be updated in an adequate cadence to meet these needs?
      • When does this information need to be available?

      Info-Tech Insight

      If data will be used only occasionally upon request, determine if it will be more efficient to maintain it or to retrieve it from the CMDB or another data source as needed.

      Remember, within the data sets, service configuration models can be used for:

      • Impact analysis
      • Cause and effect analysis
      • Risk analysis
      • Cost allocation
      • Availability analysis and planning

      1.1.4 Expand your use cases by identifying the data needed to reach your goals

      Involve stakeholders.

      Allot 60 minutes for this discussion.

      Review use cases and their goals.

      Identify what data will be required to meet those goals and determine whether it will be mandatory or optional/nice-to-have information.

      Identify sources of data for each type of data. Color code or sort.

      Italicize data points that can be automatically discovered.

      Gain consensus on what information will be manually entered.

      Record the data in the Use Cases and Data Worksheet.

      Download the Use Cases and Data Worksheet

      Input

      Output

      • None
      • List of data requirements
      MaterialsParticipants
      • Whiteboard/flip charts
      • Sticky notes
      • Markers/pens
      • Use Cases and Data Worksheet
      • IT and business service owners
      • Business/customer relationship managers
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Use discovery and dependency mapping tools to automatically update the CMDB

      Avoid manual data entry whenever possible.

      Consider these features when looking at tools:

      • Application dependency mapping: Establishing and tracking the relationships and dependencies between system components, applications, and IT services. The ideal tool will be able to generate maps automatically.
      • Agentless and agent discovery: Scanning systems with both agent and agentless approaches. Agent-based scanning provides comprehensive information on applications used in individual endpoints, which is helpful in minimizing its IT footprint. However, agents require endpoint access. Agentless-based scanning provides a broader and holistic view of deployed applications without the need to install an agent on end devices, which can be good enough for inventory awareness.
      • Data export capability: Easy exporting of application inventory information to be used in reports and other tools.
      • Dashboards and chart visualization: Detailed list of the application inventory, including version number, number of users, licenses, deployment location, and other application details. These details will inform decision makers of each application's health and its candidacy for further rationalization activities.
      • Customizable scanning scripts: Tailor your application discovery approach by modifying the scripts used to scan your systems.
      • Integration with third-party tools: Easy integration with other systems with out-of-the-box plugins or customizable APIs.

      Determine which data collection methods will be used to populate the CMDB

      The effort-to-value ratio is an important factor in populating a CMDB. Manual efforts require a higher process focus, more intensive data validation, and a constant need to remind team members to act on every change.

      Real-Time Data AIOps continual scans Used for event and incident management
      Near Real-Time Data Discovery and dependency mapping run on a regular cycle Used for change and asset management
      Historical Data Activity log imports, manual data entry Used for IT finance, audit trail
      • Determine what amount of effort is appropriate for each data grouping and use case. As decisions are made to expand data within the CMDB, the effort-to-value ratio should always factor in. To be usable, data must be accurate, and every piece of data that needs to be manually entered runs the risk of becoming obsolete.
      • Identify which data sources will bring in each type of data. Where there is a possibility of duplicate records being created, one of the data sources will need to be identified as the primary.
      • If the decision is to manually enter configuration items early in the process, be aware that automation may create duplicates of the CIs that will need to be deduplicated at some point in the process to make the information more usable.
      • Typically, items are discovered, validated, then mapped, but there will be variations depending on the source.
      • Active Directory or LDAP may be used to bring users and technicians into the CMDB. Data may be imported from spreadsheets. Identify efforts where data cleanup may have to happen before transferring into the CMDB.
      • Identify how often manual imports will need to be conducted to make sure data is usable.

      Identify other nondiscoverable data that will need to be added to or accessed by the CMDB

      Foundational data, such as technicians, end users and approvers, roles, location, company, agency, department, building, or cost center, may be added to tables that are within or accessed by the CMDB. Work with your vendor to understand structure and where this information resides.

      • These records can be imported from CSV files manually, but this will require manual removal or edits as information changes.
      • Integration with the HRIS, Active Directory, or LDAP will enable automatic updates through synchronization or scheduled imports.
      • If synchronization is fully enabled, new data can be added and removed from the CMDB automatically.
      • Identify which nondiscoverable attributes will be needed, such as system criticality, support groups, groups it is managed by, location.
      • If partially automating the process, identify where manual updates will need to occur.
      • If fully automating the process, notifications will need to be set up when business owner or product or technical owner fields become empty to prompt defining a replacement within the CMDB.
      • Determine who will manage these updates.
      • Work with your CMDB implementation vendor to determine the best option for bringing this information in.

      1.1.5 Record required data sources

      Allot 15 minutes for this discussion.

      1. Where do you track the work involved in providing services? Typically, your ticket database tracks service requests and incidents. Additional data sources can include:
        • Enterprise resource planning tools for tracking purchase orders
        • Project management information system for tracking tasks
      2. What trusted data sources exist for the technology that supports these services? Examples include:
        • Management tools (e.g. Microsoft Endpoint Configuration Manager)
        • Architectural diagrams and network topology diagrams
        • IT asset management database
        • Spreadsheets
        • Other systems of record
      3. What other data sources can help you gather the data you identified in activity 1.1.4?
      4. Record the relevant data sources for each use case in the Configuration Management Standard Operating Procedures, section 6: Data Collection and Updates.

      Info-Tech Insight

      Improve the trustworthiness of your CMDB as a system of record by relying on data that is already trusted.

      Input

      Output

      • Use cases
      • List of data requirements
      MaterialsParticipants
      • Use Cases and Data Worksheet
      • Configuration Management Standard Operating Procedures
      • IT and business service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Step 1.2

      Define roles and responsibilities

      Activities

      1.2.1 Record the project team and stakeholders

      1.2.2 Complete a RACI chart to define who will be accountable and responsible for configuration tasks

      This step will walk you through the following aspects of a configuration management system:

      • Roles and responsibilities

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • Project manager

      Identify the roles you need in your SCM project

      Determine which roles will need to be involved in the initial project and how to source these roles.

      Leadership Roles
      Oversee the SCM implementation

      1. Configuration Manager – The practice owner for SCM. This is a long-term role.
      2. Configuration Control Board (CCB) Chair – An optional role that oversees proposed alterations to configuration plans. If a CCB is implemented, this is a long-term role.
      3. Project Sponsor or Program Sponsor – Provides the necessary resources for building the CMDB and SCM practices.
      4. Architecture Roles
        Plan the program to build strong foundation
        1. Configuration Management Architect – Technical leader who defines the overall CM solution, plans the scope, selects a tool, and leads the technical team that will implement the solution.
        2. Requirements Analyst – Gathers and manages the requirements for CM.
        3. Process Engineer – Defines, documents, and implements the entire process.

      Architecture Roles
      Plan the program to build strong foundation

      1. Configuration Management Architect – Technical leader who defines the overall CM solution, plans the scope, selects a tool, and leads the technical team that will implement the solution.
      2. Requirements Analyst – Gathers and manages the requirements for CM.
      3. Process Engineer – Defines, documents, and implements the entire process.

      Engineer Roles
      Implement the system

      1. Logical Database Analyst (DBA) Designs the structure to hold the configuration management data and oversees implementation.
      2. Communications and Trainer – Communicates the goals and functions of CM and teaches impacted users the how and why of the process and tools.

      Administrative Roles
      Permanent roles involving long-term ownership

      1. Technical Owner – The system administrator responsible for their system's uptime. These roles usually own the data quality for their system.
      2. Configuration Management Integrator – Oversees regular transfer of data into the CMDB.
      3. Configuration Management Tool Support – Selects, installs, and maintains the CM tool.
      4. Impact Manager – Analyzes configuration data to ensure relationships between CIs are accurate; conducts impact analysis.

      1.2.1 Record the project team and stakeholders

      Allocate 25 minutes to this discussion.

      1. Record the project team.
        1. Identify the project manager who will lead this project.
        2. Identify key personnel that will need to be involved in design of the configuration management system and processes.
        3. Identify where vendors/outsourcers may be required to assist with technical aspects.
        4. Document the project team in the Configuration Management Project Charter, section 1.1: Project Team.
      1. Record a list of stakeholders.
        1. Identify stakeholders internal and external to IT.
        2. Build the stakeholder profile. For each stakeholder, identify their role, interest in the project, and influence on project success. You can score these criteria high/medium/low or score them out of ten.
        3. If managed service providers will need to be part of the equation, determine who will be the liaison and how they will provide or access data.
      Input

      Output

      • Project team members
      • Project plan resources
      MaterialsParticipants
      • Configuration Management Project Charter
      • List of project stakeholders and participants
      • IT service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Even with full automation, this cannot be a "set it and forget it" project if it is to be successful long-term

      Create a team to manage the process and data updates and to ensure data is always usable.

      • Services may be added and removed.
      • Technology will change as technical debt is reduced.
      • Vendors may change as contract needs develop.
      • Additional use cases may be introduced by IT and the business as approaches to management evolve.
      • AIOps can reduce the level of effort and improve visibility as configuration items change from the baseline and notifications are automated.
      • Changes can be checked against requests for changes through automated reconciliations, but changes will still need to be investigated where they do not meet expectations.
      • Manual data changes will need to be made regularly and verified.

      "We found that everyone wanted information from the CMDB, but no one wanted to pay to maintain it. People pointed to the configuration management team and said, 'It's their responsibility.'

      Configuration managers, however, cannot own the data because they have no way of knowing if the data is accurate. They can own the processes related to checking accuracy, but not the data itself."
      – Tim Mason, founding director at TRM Associates
      (Excerpt from Viewpoint: Focus on CMDB Leadership)

      Include these roles in your CMDB practice to ensure continued success and continual improvement

      These roles can make up the configuration control board (CCB) to make decisions on major changes to services, data models, processes, or policies. A CCB will be necessary in complex environments.

      Configuration Manager

      This role is focused on ensuring everyone works together to build the CMDB and keep it up to date. The configuration manager is responsible to:

      • Plan and manage the standards, processes, and procedures and communicate all updates to appropriate staff. Focused on continual improvement.
      • Plan and manage population of the CMDB and ensure data included meets criteria for cost effectiveness and reasonable effort for the value it brings.
      • Validate scope of services and CIs to be included and controlled within the CMDB and manage exceptions.
      • Audit data quality to ensure it is valid, is current, and meets defined standards.
      • Evaluate and recommend tools to support processes, data collection, and integrations.
      • Ensure configuration management processes interface with all other service and business management functions to meet use cases.
      • Report on configuration management performance and take appropriate action on process adherence and quality issues.

      Configuration Librarian

      This role is most important where manual data entry is prevalent and where many nonstandard configurations are in place. The librarian role is often held by the tool administrator. The librarian focuses specifically on data within the CMDB, including:

      • Manual updates to configuration data.
      • CMDB data verification on a regular schedule.
      • Processing ad hoc requests for data.

      Product/Service/Technical Owners

      The product or technical owner will validate information is correctly updating and reflects the existing data requirements as new systems are provisioned or as existing systems change.

      Interfacing Practice Owners

      All practice owners, such as change manager, incident manager, or problem manager, must work with the configuration team to ensure data is usable for each of the use cases they are responsible for.

      Download the Configuration Manager job description

      Assign configuration management responsibilities and accountabilities

      Align authority and accountability.

      • A RACI exercise will help you discuss and document accountability and responsibility for critical configuration management activities.
      • When responsibility and accountability are not well documented, it's often useful to invite a representative of the roles identified to participate in this alignment exercise. The discussion can uncover contrasting views on responsibility and governance, which can help you build a stronger management and governance model.
      • The RACI chart can help you identify who should be involved when making changes to a given activity. Clarify the variety of responsibilities assigned to each key role.
      • In the future, you may need to define roles in more detail as you change your configuration management procedures.

      Responsible: The person who actually gets the job done.
      Different roles may be responsible for different aspects of the activity relevant to their role.

      Accountable: The one role accountable for the activity (in terms of completion, quality, cost, etc.)
      Must have sufficient authority to be held accountable; responsible roles are often accountable to this role.

      Consulted: Those who need the opportunity to provide meaningful input at certain points in the activity; typically, subject matter experts or stakeholders. The more people you must consult, the more overhead and time you'll add to a process.

      Informed: Those who receive information regarding the task but do not need to provide feedback.
      Information might relate to process execution, changes, or quality.

      Complete a RACI chart to define who will be accountable and responsible for configuration tasks

      Determine what roles will be in place in your organization and who will fulfill them, and create your RACI chart to reflect what makes sense for your organization. Additional roles may be involved where there is complexity.

      R = responsible, A = accountable, C = consulted, I = informed CCB Configuration Manager Configuration Librarian Technical Owner(s) Interfacing Practice Owners Tool Administrator
      Plan and manage the standards, processes, and procedures and communicate all updates to appropriate staff. Focused on continual improvement. A R
      Plan and manage population of the CMDB and ensure data included meets criteria for cost effectiveness and reasonable effort for the value it brings. A R
      Validate scope of services and CIs to be included and controlled within the CMDB and manage exceptions. A R
      Audit data quality to ensure it is valid, is current, and meets defined standards. A,R
      Evaluate and recommend tools to support processes, data collection, and integrations. A,R
      Ensure configuration management processes interface with all other service and business management functions to meet use cases. A
      Report on configuration management performance and take appropriate action on process adherence and quality issues. A
      Make manual updates to configuration data. A
      Conduct CMDB data verification on a regular schedule. A
      Process ad hoc requests for data. A
      Enter new systems into the CMDB. A R
      Update CMDB as systems change. A R
      Identify new use cases for CMDB data. R A
      Validate data meets the needs for use cases and quality. R A
      Design reports to meet use cases. R
      Ensure integrations are configured as designed and are functional. R

      1.2.2 Complete a RACI chart to define who will be accountable and responsible for configuration tasks

      Allot 60 minutes for this discussion.

      1. Open the Configuration Management Standard Operating Procedures, section 4.1: Responsibility Matrix. In the RACI chart, review the top row of roles. Smaller organizations may not need a configuration control board, in which case the configuration manager may have more authority.
      2. Modify or expand the process tasks in the left column as needed.
      3. For each role, identify what that person is responsible for, accountable for, consulted on, or informed of. Fill out each column.
      4. Document in the SOP. Schedule a time to share the results with organization leads.
      5. Distribute the chart among all teams in your organization.
      6. Describe additional roles as needed in the documentation.
      7. Add accountabilities and responsibilities for the CCB into the Configuration Control Board Charter.
      8. If appropriate, add auxiliary roles to the Configuration Management Standard Operating Procedures, section 4.2: Configuration Management Auxiliary Role Definitions.

      Notes:

      1. Assign one Accountable for each task.
      2. Have one or more Responsible for each task.
      3. Avoid generic responsibilities such as "team meetings."
      4. Keep your RACI definitions in your documents for quick reference.

      Refer back to the RACI chart when building out the communications plan to ensure accountable and responsible team members are on board and consulted and informed people are aware of all changes.

      Input

      Output

      • Task assignments
      • RACI chart with roles and responsibilities
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures, RACI chart
      • Configuration Control Board Charter, Responsibilities section
      • IT service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Phase 2

      Configuration Management Data Model

      StrategyData StructureProcessesRoadmap
      • Challenges and Goals
      • Use Cases and Data
      • Roles and Responsibilities
      • Services
      • Classifications
      • Data Modeling
      • Lifecycle Processes
      • Baselines
      • Audit and Data Validation
      • Metrics
      • Communications Plan
      • Roadmap

      This phase will walk you through the following aspects of a configuration management system:

      • Data Model
      • Customer-Facing and Supporting Services
      • Business Capabilities
      • Relationships
      • IT Infrastructure Components
      • Enterprise Software
      • End-User Devices
      • Documents

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • CM practice manager
      • CM project manager

      Step 2.1

      Build a framework for CIs and relationships

      Activities

      Document services:

      2.1.1 Define and prioritize your services

      2.1.2 Test configuration items against existing categories

      2.1.3 Create a configuration control board charter to define the board's responsibilities and protocols

      This step will walk you through the following aspects of a configuration management system:

      • Data model
      • Configuration items
      • Relationships

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • CM practice manager
      • Project manager

      Making sense of data daily will be key to maintaining it, starting with services

      As CIs are discovered and mapped, they will automatically map to each other based on integrations, APIs, queries, and transactions. However, CIs also need to be mapped to a conceptional model or service to present the service and its many layers in an easily consumable way.

      These services will need to be manually created or imported into the CMDB and manually connected to the application services. Services can be mapped to technical or business services or both.

      If business services reporting has been requested, talk to the business to develop a list of services that will be required. Use terms the business will be expecting and identify which applications and instances will be mapped to those services.

      If IT is using the CMDB to support service usage and reporting, develop the list of IT services and identify which applications and instances will be mapped to those services.

      This image show the relationship between Discoverable and Nondiscoverable CIs. The discoverable CIs are coloured in purple, and the nondiscoverables are blue.

      Work with your stakeholders to ensure catalog items make sense to them

      There isn't a definitive right or wrong way to define catalog items. For example, the business and IT could both reference application servers, but only IT may need to see technical services broken down by specific locations or device types.

      Refer back to your goals and use cases to think through how best to meet those objectives and determine how to categorize your services.

      Define the services that will be the top-level, nondiscoverable services, which will group together the CIs that make up the complete service. Identify which application(s) will connect into the technical service.

      When you are ready to start discovery, this list of services will be connected to the discovered data to organize it in a way that makes sense for how your stakeholders need to see the data.

      While working toward meeting the goals of the first few use cases, you will want to keep the structure simple. Once processes are in place and data is regularly validated, complexities of different service types and names can be integrated into the data.

      This image show the relationship between Discoverable and Nondiscoverable CIs. Both Discoverable and nondiscoverable CIs are blue.

      Application Service(blue); Technical Service(Purple); IT Shared Services(Orange); Billable Services(green); Service Portfolio(red)

      Define the service types to manage within the CMDB to logically group CIs

      Determine which method of service groupings will best serve your audience for your prioritized use cases. This will help to name your service categories. Service types can be added as the CMDB evolves and as the audience changes.

      Application Service

      Technical Service

      IT Shared Services

      Billable Services

      Service Portfolio

      A set of interconnected applications and hosts configured to offer a service to the organization.

      Example: Financial application service, which may include email, web server, application server, databases, and middleware.

      A logical grouping of CIs based on common criteria.

      Example: Toronto web services, which may include several servers, web applications, and databases.

      A logical grouping of IT and business services shared and used across the organization.

      Example: VoIP/phone services or networking or security services.

      A group of services that will be billed out to departments or customers and would require logical groupings to enable invoicing.

      A group of business and technical service offerings with specific performance reporting levels. This may include multiple service levels for different customer audiences for the same service.

      2.1.1 Define and prioritize your services

      Prioritize your starting point. If multiple audiences need to be accommodated, work with one group at a time.

      Timing: will vary depending on number of services, and starting point

      1. Create your list of services, referencing an existing service catalog, business continuity or disaster recovery plan, list of applications, or brainstorming sessions. Use the terminology that makes the most sense for the audience and their reporting requirements.
      2. If this list is already in place, assess for relevance and reduce the list to only those services that will be managed through the CMDB.
      3. Determine what data will be relevant for each service based on the exercises done in 1.1.4 and 1.1.5. For example, if priority was a required attribute for use case data, ensure each service lists the priority of that service.
      4. For each of these, identify the supporting services. These items can come from your technical service catalog or list of systems and software.
      5. Document this table in the Use Cases and Data Worksheet, tab 3: Service Catalog.

      Service Record Example

      Service: Email
      Supporting Services: M365, Authentication Services

      Service Attributes

      Availability: 24/7 (99.999%)
      Priority: Critical
      Users: All
      Used for: Collaboration
      Billable: Departmental
      Support: Unified Support Model, Account # 123456789

      The CMDB will be organized by services and will enable data analysis through multiple categorization schemes

      To extract maximum service management benefit from a CMDB, the highest level of CI type should be a service, as demonstrated below. While it is easier to start at the system or single-asset level, taking the service mapping approach will provide you with a useful and dynamic view of your IT environment as it relates to the services you offer, instead of a static inventory of components.

      Level 1: Services

      • Business Service Offering: A business service is an IT service that supports a business process, or a service that is delivered to business customers. Business service offerings typically are bound by service-level agreements.
      • IT Service Offering: An IT service supports the customer's business processes and is made up of people, processes, and technology. IT service offerings typically are bound by service-level agreements.

      Level 2: Infrastructure CIs

      • IT Component Set: An IT service offering consists of one of more sets of IT components. An IT component set allows you to group or bundle IT components with other components or groupings.
      • IT Component: An IT system is composed of one or more supporting components. Many components are shared between multiple IT systems.

      Level 3: Supporting CIs

      • IT Subcomponent: Any IT asset that is uniquely identifiable and a component of an IT system.
      • IT components can have subcomponents, and those components can have subcomponents, etc.

      Two charts, showing Enterprise Architect Model and Configuration Service Model. Each box represents a different CI.

      Assess your CMDB's standard category offerings against your environment, with a plan to minimize customization

      Standard categorization schemes will allow for easier integration with multiple tools and reporting and improve results if using machine learning to automate categorization. If the CMDB chosen includes structured categories, use that as your starting point and focus only on gaps that are not addressed for CIs unique to your environment.

      There is an important distinction between a class and a type. This concept is foundational for your configuration data model, so it is important that you understand it.

      • Types are general groupings, and the things within a type will have similarities. For attributes that you want to collect on a type, all children classes and CIs will have those attribute fields.
      • Classes are a more specific grouping within a type. All objects within a class will have specific similarities. You can also use subclasses to further differentiate between CIs.
      • Individual CIs are individual instances of a class or subclass. All objects in a class will have the same attribute fields and behave the same, although the values of their attributes will likely differ.
      • Attributes may be discovered or nondiscoverable and manually added to CIs. The attributes are properties of the CI such as serial number, version, memory, processor speed, or asset tag.

      Use inheritance structures to simplify your configuration data model.

      An example CM Data Model is depicted.

      Assess the list of classes of configuration items against your requirements

      Types are general groupings, and the things within a type will have similarities. Each type will have its own table within the CMDB. Classes within a type are a more specific grouping of configuration items and may include subclasses.

      Review your vendor's CMDB documentation. Find the list of CI types or classes. Most CMDBs will have a default set of classes, like this standard list. If you need to build your own, use the table below as a starting point. Define anything required for unique classes. Create a list and consult with your installation partner.

      Sample list of classes organized by type

      Types Services Network Hardware Storage Compute App Environment Documents
      Classes
      • Application Service
      • Technical Service
      • IT Shared Service
      • Billable Service
      • Service Portfolio
      • Switch
      • Router
      • Firewall
      • Modem
      • SD-WAN
      • Load Balancer
      • UPS
      • Computer
      • Laptop
      • Server
      • Tablet
      • Database
      • Network-Attached Storage
      • Storage Array Network
      • Blob
      • Operating System
      • Hypervisor
      • Virtual Server
      • Virtual Desktop
      • Appliance
      • Virtual Application
      • Enterprise Application
      • Line of Business Application Software
      • Development
      • Test
      • Production
      • Contract
      • Business Impact Analysis
      • Requirements

      Review relationships to determine which ones will be most appropriate to map your dependencies

      Your CMDB should include multiple relationship types. Determine which ones will be most effective for your environment and ensure everyone is trained on how to use them. As CIs are mapped, verify they are correct and only manually map what is incorrect or not mapping through automation.

      Manually mapping CMDB relationships may be time consuming and prone to error, but where manual mapping needs to take place, ensure the team has a common view of the dependency types available and what is important to map.

      Use automated mapping whenever possible to improve accuracy, provide functional visualizations, and enable dynamic updates as the environment changes.

      Where a dependency maps to external providers, determine where it makes sense to discover and map externally provided CIs.

      • Only connect where there is value in mapping to vendor-owned systems.
      • Only connect where data and connections can be trusted and verified.

      Most common dependency mapping types

      A list of the most common dependency mapping types.

      2.1.2 Test configuration items against existing categories

      Time to complete: 1-2 hours

      1. Select a service to test.
      2. Identify the various components that make up the service, focusing on configuration items, not attributes
      3. Categorize configuration items against types and classes in the default settings of the CMDB.
      4. Using the default relationships within the CMDB, identify the relationships between the configuration items.
      5. Identify types, classes, and relationships that do not fit within the default settings. Determine if there are common terms for these items or determine most appropriate name.
      6. Validate these exceptions with the publisher.
      7. Document exceptions in the Configuration Management Standard Operating Procedures, Appendix 2: Types and Classes of Configuration Items
      Input

      Output

      • List of default settings for classes, types, and relationships
      • Small list of services for testing
      • List of CIs to map to at least one service
      • List of categories to add to the CMDB solution.
      MaterialsParticipants
      • Use Cases and Data Worksheet
      • Configuration Management Standard Operating Procedures
      • IT service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      2.1.3 Create a configuration control board charter to define the board's responsibilities and protocols

      A charter will set the tone for meetings, ensure purpose is defined and meeting cadence is set for regular reviews.

      1. Open the Configuration Control Board Charter. Review the document and modify as appropriate for your CCB. This will include:
        • Purpose and mandate of the committee – Reference objectives from the project charter.
        • Team composition – Determine the right mix of team members. A team of six to ten people can provide a good balance between having a variety of opinions and getting work done.
        • Voting option – Determine the right quorum to approve changes.
        • Responsibilities – List responsibilities, starting with RACI chart items.
        • Authority – Define the control board's span of control.
        • Governing laws and regulations – List any regulatory requirements that will need to be met to satisfy your auditors.
        • Meeting preparation – Set expectations to ensure meetings are productive.
      2. Distribute the charter to CCB members.
      Input

      Output

      • Project team members
      • Project plan resources
      MaterialsParticipants
      • Configuration Control Board Charter
      • IT service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Assess the default list of statuses for each state

      Align this list with your CMDB

      Minimize the number of customizations that will make it difficult to update the platform.

      1. Review the default status list within the tool.
      2. Identify which statuses will be most used. Write a definition for each status.
      3. Update this list as you update process documentation in Step 3.1. After initial implementation, this list should only be modified through change enablement.
      4. Record this list of statuses in the Configuration Management Standard Operating Procedures, Appendix 4: Statuses
      State Status Description
      Preparation Ordered Waiting delivery from the vendor
      In Planning Being created
      Received Vendor has delivered the item, but it is not ready for deployment
      Production In Stock Available to be deployed
      In Use Deployed
      On Loan Deployed to a user on a temporary basis
      For Removal Planning to be phased out but still deployed to an end user
      Offline In Transit Moving to a new location
      Under Maintenance Temporarily offline while a patch or change is applied
      Removed Decommissioned Item has been retired and is no longer in production
      Disposed Item has been destroyed and we are no longer in possession of it
      Lost Item has been lost
      Stolen Item has been stolen

      Step 2.2

      Document statuses, attributes, and data sources

      Activities

      2.2.1 Follow the packet and map out the in-scope services and data centers

      2.2.2 Build data model diagrams

      2.2.3 Determine access rights for your data

      This step will walk you through the following aspects of a configuration management system:

      • Statuses
      • Attributes for each class of CI

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • Project manager

      Outcomes of this step

      • Framework for approaching CI statuses
      • Attributes for each class of CI
      • Data sources for those attributes

      Service mapping approaches

      As you start thinking about dependency mapping, it's important to understand the different methods and how they work, as well as your CMDB's capabilities. These approaches may be all in the same tool, or the tool may only have the top-down options.

      Top down, most common

      Pattern-based

      Most common option, which includes indicators of connections such as code, access rights, scripting, host discovery, and APIs.

      Start with pattern-based, then turn on traffic-based for more detail. This combination will provide the most accuracy.

      Traffic-based

      Map against traffic patterns involving connection rules to get more granular than pattern-based.

      Traffic-based can add a lot of overhead with extraneous data, so you may not want to run it continuously.

      Tag-based

      Primarily used for cloud, containers, and virtual machines and will attach the cloud licenses to their dependent services and any related CIs.

      Tags work well with cloud but will not have the same hierarchical view as on-premises dependency mapping.

      Machine learning

      Machine learning will look for patterns in the traffic-based connections, match CIs to categories and help organize the data.

      Machine learning (ML) may not be in every solution, but if you have it, use it. ML will provide many suggestions to make the life of the data manager easier.

      Model hierarchy

      Automated data mapping will be helpful, but it won't be foolproof. It's critical to understand the data model to validate and map nondiscoverable CIs correctly.

      The framework consists of the business, enterprise, application, and implementation layers.

      The business layer encodes real-world business concepts via the conceptual model.

      The enterprise layer defines all enterprise data assets' details and their relationships.

      The application layer defines the data structures as used by a specific application.

      The implementation layer defines the data models and artifacts for use by software tools.

      An example of Model Hierarchy is depicted.

      Learn how to create data models with Info-Tech's blueprint Create and Manage Enterprise Data Models

      2.2.1 Follow the packet and map out the in-scope services and data centers

      Reference your network topology and architecture diagrams.

      Allot 1 hour for this activity.

      1. Start with a single service that is well understood and documented.
      2. Identify the technical components (hardware and applications) that make up the service.
      3. Determine if there is a need to further break down services into logical service groupings. For example, the email service to the right is broken down into authentication and mail flow.
      4. If you don't have a network diagram to follow, create a simple one to identify workflows within the service and components the service uses.
      5. Record the apps and underlying components in the Configuration Management Standard Operating Procedures, Appendix 1: Configuration Data Model Structure.

      This information will be used for CM project planning and validating the contents of the CMDB.

      an example of a Customer-facing service is shown, for Email sample topology.

      Download the Configuration Management Diagram Template Library to see an example.

      Build your configuration data model

      Rely on out-of-the-box functionality where possible and keep a narrow focus in the early implementation stages.

      1. If you have an enterprise architecture, then your configuration management data model should align with it.
      2. Keep a narrow focus in the early implementation stages. Don't fill up your CMDB until you are ready to validate and fix the data.
      3. Rely on out-of-the-box (OOTB) functionality where possible. If your configuration management database (CMDB) and platform do not have a data model OOTB, then rely on a publicly available data model.
      4. Map your business or IT service offering to the first few layers.

      Once this is built out in the system, you can let the automated dependency mapping take over, but you will still need to validate the accuracy of the automated mapping and investigate anything that is incorrect.

      Sample Configuration Data Model

      Every box represents a CI, and every line represents a relationship

      A sample configuration Data model is shown.

      Example: Data model and CMDB visualization

      Once the data model is entered into the CMDB, it will provide a more dynamic and complex view, including CIs shared with other services.

      An example of a Data Model Exercise

      CMDB View

      An example of a CMDB View of the Data Model Exercise

      2.2.2 Build data model diagrams

      Visualize the expected CI classes and relationships.

      Allot 45 minutes.

      1. Identify the different data model views you need. Use multiple diagrams to keep the information simple to read and understand. Common diagrams include:
        1. Network level: Outline expected CI classes and relationships at the network level.
        2. Application level: Outline the expected components and relationships that make up an application.
        3. Services level: Outline how business capability CIs and service CIs relate to each other and to other types of CIs.
      1. Use boxes to represent CI classes.
      2. Use lines to represent relationships. Include details such as:
        1. Relationship name: Write this name on the arrow.
        2. Direction: Have an arrow point to each child.

      Review samples in Configuration Management Diagram Template Library.
      Record these diagrams in the Configuration Management Standard Operating Procedures, Appendix 1: Configuration Data Model Structure.

      Input

      Output

      • List of default settings for classes, types, and relationships
      • Small list of services for testing
      • List of CIs to map to at least one service
      • List of additions of categories to add to the CMDB solution.
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • Configuration Management Diagram Template Library
      • IT service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Download the Configuration Management Diagram Template Library to see examples.

      Determine governance for data security, access, and validation

      Align CMDB access to the organization's access control policy to maintain authorized and secure access for legitimate staff performing their role.

      Data User Type Access Role
      Data consumers
      • View-only access
      • Will need to view and use the data but will not need to make modifications to it
      • Service desk
      • Change manager
      • Major incident manager
      • Finance
      CMDB owner
      • Read/write access with the ability to update and validate data as needed
      • Configuration manager
      Domain owner
      • Read/write access for specific domains
      • Data owner within their domain, which includes validating that data is in the database and that it is correctly categorized.
      • Enterprise architect
      • Application owner
      Data provider
      • Read/write access for specific domains
      • Ensures automated data has been added and adds nondiscoverable assets and attributes as needed
      • Server operations
      • Database management
      • Network teams
      CMDB administrator
      • View-only access for data
      • Will need to have access for modifying the structure of the product, including adding fields, as determined by the CCB
      • ITSM tool administrator

      2.2.3 Determine access rights for your data

      Allot 30 minutes for this discussion.

      1. Open the Configuration Management Standard Operating Procedures, section 5: Access Rights.
      2. Review the various roles from an access perspective.
        1. Who needs read-only access?
        2. Who needs read/write access?
        3. Should there be restrictions on who can delete data?
      1. Fill in the chart and communicate this to your CMDB installation vendor or your CMDB administrator.
      Input

      Output

      • Task assignments
      • Access rights and roles
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • IT service owners
      • Practice owners and managers
      • SCM practice manager
      • SCM project sponsor

      Phase 3

      Configuration Record Updates

      StrategyData StructureProcessesRoadmap
      • Challenges and Goals
      • Use Cases and Data
      • Roles and Responsibilities
      • Services
      • Classifications
      • Data Modeling
      • Lifecycle Processes
      • Baselines
      • Audit and Data Validation
      • Metrics
      • Communications Plan
      • Roadmap

      This phase will walk you through the following aspects of a configuration management system:

      • ITSM Practices and Workflows
      • Discovery and Dependency Mapping Tools
      • Auditing and Data Validation Practices

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • SCM project manager
      • IT audit

      Harness Service Configuration Management Superpowers

      Step 3.1

      Keep CIs and relationships up to date through lifecycle process integrations

      Activities

      3.1.1 Define processes to bring new services into the CMDB

      3.1.2 Determine when each type of CI will be created in the CMDB

      3.1.3 Identify when each type of CI will be retired in the CMDB

      3.1.4 Record when and how attributes will change

      3.1.5 Institute configuration control and configuration baselines

      This step will walk you through the following aspects of a configuration management system:

      1. ITSM Practices and Workflows
      2. Discovery and Dependency Mapping Tools

      This phase involves the following participants:

      1. IT service owners
      2. Enterprise architects
      3. Practice owners and managers
      4. SCM practice manager
      5. Project manager

      Outcomes of this step

      • List of action items for updating interfacing practices and processes
      • Identification of where configuration records will be manually updated

      Incorporate CMDB updates into IT operations

      Determine which processes will prompt changes to the CMDB data

      Onboard new services - Offboard Redundant Services. Onboard new CIs - Offboard Redundant CIs; Maintain CIs - Update Attributes.

      Change enablement

      Identify which process are involved in each stage of data input, maintenance, and removal to build out a process for each scenario.

      Project management

      Change enablement

      Asset management

      Security controls

      Project management

      Incident management

      Deployment management

      Change enablement

      Asset management

      Security controls

      Project management

      Incident management

      Service management

      Formalize the process for adding new services to the CMDB

      As new services and products are introduced into the environment, you can improve your ability to correctly cost the service, design integrations, and ensure all operational capabilities are in place, such as data backup and business continuity plans.
      In addition, attributes such as service-level agreements (SLAs), availability requirements, and product, technical, and business owners should be documented as soon as those new systems are made live.

      • Introduce the technical team and CCB to the product early to ensure the service record is created before deployment and to quickly map the services once they are moved into the production environment.
      • Engage with project managers or business analysts to define the process to include security and technical reviews early.
      • Engage with the security and technical reviewers to start documenting the service as soon as it is approved.
      • Determine which practices will be involved in the creation and approval of new services and formalize the process to streamline entry of the new service, onboarding corresponding CIs and mapping dependencies.

      an example of the review and approval process for new service or products is shown.

      3.1.1 Define processes to bring new services into the CMDB

      Start with the most frequent intake methods, and if needed, use this opportunity to streamline the process.

      1. Discuss the methods for new services to be introduced to the IT environment.
      2. Critique existing methods to assess consistency and identify issues that could prevent the creation of services in the CMDB in a timely manner.
      3. Create a workflow for the existing processes, with an eye to improvement. Identify any changes that will need to be introduced and managed appropriately.
      4. Identify where additional groups may need to be engaged to ensure success. For example, if project managers are not interfacing early with IT, discuss process changes with them.
      5. Discuss the validation process and determine where control points are. Document these on the workflows.
      6. Complete the Configuration Management Standard Operating Procedures, section 8.1: Introduce New Service and Data Model.

      Possible intake opportunities:

      • Business-driven project intake process
      • IT-driven project intake process
      • Change enablement reviews
      • Vendor-driven product changes
      Input

      Output

      • Discussion
      • Intake processes
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • Configuration Management Diagram Template Library
      • Configuration control board
      • Configuration manager
      • Project sponsor
      • IT stakeholders

      Identify scenarios where CIs are added and removed in the configuration management database

      New CIs may be introduced with new services or may be introduced and removed as part of asset refreshes or through service restoration in incident management. Updates may be done by your own services team or a managed services provider.
      Determine the various ways the CIs may be changed and test with various CI types.
      Review attributes such as SLAs, availability requirements, and product, technical, and business owners to determine if changes are required.

      • Identify what will be updated automatically or manually. Automation could include discovery and dependency mapping or synchronization with AMDB or AIOps tools.
      • Engage with relevant program managers to define and validate processes.
      • Identify control points and review audit requirements.

      An example of New or refresh CI from Procurement.

      Info-Tech Insight

      Data deemed no longer current may be archived or deleted. Retained data may be used for tracing lifecycle changes when troubleshooting or meeting audit obligations. Determine what types of CIs and use cases require archived data to meet data retention policies. If none do, deletion of old data may be appropriate.

      3.1.2 Identify when each type of CI will be created in the CMDB

      Allot 45 minutes for discussion.

      1. Discuss the various methods for new CIs to be introduced to the IT environment.
      2. Critique existing methods to assess consistency and identify issues that could prevent the creation of CIs in the CMDB in a timely manner.
      3. Create a workflow for the existing processes, with an eye to improvement. Identify any changes that will need to be introduced and managed appropriately.
      4. Identify where additional groups may need to be engaged to ensure success. For example, if project managers are not interfacing early with IT, discuss process changes with them.
      5. Discuss the validation process and determine where control points are. Document these on the workflows.
      6. Complete Configuration Management Standard Operating Procedures, section 8.2: Introduce New Configuration Items to the CMDB

      Possible intake opportunities:

      • Business-driven project intake process
      • IT-driven project intake process
      • Change enablement reviews
      • Vendor-driven product changes
      • Incident management
      • Asset management, lifecycle refresh
      Input

      Output

      • Discussion
      • Retirement processes
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • Configuration Management Diagram Template Library
      • Configuration control board
      • Configuration manager
      • Project sponsor
      • IT stakeholders

      3.1.3 Identify when each type of CI will be retired in the CMDB

      Allot 45 minutes for discussion.

      1. Discuss the various methods for CIs to be removed from the IT environment.
      2. Critique existing methods to assess consistency and identify issues that could prevent the retirement of CIs in the CMDB in a timely manner.
      3. Create a workflow for the existing processes, with an eye to improvement. Identify any changes that will need to be introduced and managed appropriately.
      4. Identify where additional groups may need to be engaged to ensure success. For example, if project managers are not interfacing early with IT, discuss process changes with them.
      5. Discuss the validation process and determine where control points are. Document these on the workflows.
      6. Discuss data retention. How long will retired information need to be archived? What are the potential scenarios where legacy information may be needed for analysis?
      7. Complete the Configuration Management Standard Operating Procedures, section 8.4: Retire and Archive Configuration Records.

      Possible retirement scenarios:

      • Change enablement reviews
      • Vendor-driven product changes
      • Incident management
      • Asset management, lifecycle refresh
      Input

      Output

      • Discussion
      • Intake processes
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • Configuration Management Diagram Template Library
      • Configuration control board
      • Configuration manager
      • Project sponsor
      • IT stakeholders

      Determine appropriate actions for detecting new or changed CIs through discovery

      Automated detection will provide the most efficient way of recording planned changes to CIs as well as detected unplanned changes. Check with the tool to determine what reports or notifications are available for the configuration management process and define what actions will be appropriate.

      As new CIs are detected, identify the process by which they should have been introduced into configuration management and compare against those records. If your CMDB can automatically check for documentation, this may be easier. Weekly reporting will allow you to catch changes quickly, and alerts on critical CIs could enable faster remediation, if the tool allows for alerting. AIOps could identify, notify of, and process many changes in a highly dynamic environment.

      Type of Change

      Impacted Process

      Validation

      Findings

      Actions

      Configuration change to networking equipment or software

      Change management

      Check for request for change

      No RFC

      Add to CAB agenda, notify technical owner

      Configuration change to end-user device or software

      Asset management

      Check for service ticket

      No ticket

      Escalate to asset agenda, notify service manager

      New assets coming into service

      Security incident and event management

      Check for SIEM integration

      No SIEM integration

      Notify security operations team to investigate

      The configuration manager may not have authority to act but can inform the process owners of unauthorized changes for further action. Once the notifications are forwarded to the appropriate process owner, the configuration manager will note the escalation and follow up on data corrections as deemed appropriate by the associated process owner.

      3.1.4 Record when and how attributes will change

      These lists will help with configuration control plans and your implementation roadmap.

      1. List each attribute that will change in that CI type's life.
      2. Write all the times that each attribute will change. Identify:
        1. The name of the workflow, service request, process, or practice that modifies the attribute.
        2. Whether the update is made automatically or manually.
        3. The role or tool that updates the CMDB.
      1. Update the relevant process or procedure documentation. Explicitly identify when the configuration records are updated.

      Document these tables in Configuration Management Standard Operation Procedures, Section 8.7: Practices That Modify CIs.

      Network Equipment
      Attributes

      Practices That Modify This Attribute

      Status
      • Infra Deployment (updated manually by Network Engineering)
      • Change Enablement (updated manually by CAB or Network Engineering)
      Assigned User
      • IT Employee Offboarding or Role Change (updated manually by Network Engineering)
      Version
      • Patch Deployment (updated automatically by SolarWinds)
      End-User Computers
      Attributes
      Practices That Modify This Attribute
      Status
      • Device Deployment (updated manually by Desktop Support)
      • Device Recovery (updated manually by Desktop Support)
      • Employee Offboarding and Role Change (updated manually by Service Desk)
      Assigned User
      • Device Deployment (updated manually by Desktop Support)
      • Device Recovery (updated manually by Desktop Support)
      • Employee Offboarding and Role Change (updated manually by Service Desk)
      Version
      • Patch Deployment (updated automatically by ConfigMgr)

      Institute configuration control and configuration baselines where appropriate

      A baseline enables an assessment of one or more systems against the desired state and is useful for troubleshooting incidents or problems and validating changes and security settings.

      Baselines may be used by enterprise architects and system engineers for planning purposes, by developers to test their solution against production copies, by technicians to assess configuration drift that may be causing performance issues, and by change managers to assess and verify the configuration meets the target design.

      Configuration baselines are a snapshot of configuration records, displaying attributes and first-level relationships of the CIs. Standard configurations may be integral to the success of automated workflows, deployments, upgrades, and integrations, as well as prevention of security events. Comparing current CIs against their baselines will identify configuration drift, which could cause a variety of incidents. Configuration baselines are updated through change management processes.
      Configuration baselines can be used for a variety of use cases:

      • Version control – Management of software and hardware versions, https://dj5l3kginpy6f.cloudfront.net/blueprints/harness-configuration-management-superpowers-phases-1-4/builds, and releases.
      • Access control – Management of access to facilities, storage areas, and the CMS.
      • Deployment control – Take a baseline of CIs before performing a release so you can use this to check against actual deployment.
      • Identify accidental changes Everyone makes mistakes. If someone installs software on the wrong server or accidentally drops a table in a database, the CMS can alert IT of the unauthorized change (if the CI is included in configuration control).

      Info-Tech Insight

      Determine the appropriate method for evaluating and approving changes to baselines. Delegating this to the CCB every time may reduce agility, depending on volume. Discuss in CCB meetings.

      A decision tree for deploying requested changes.

      3.1.5 Institute configuration control and configuration baselines where appropriate

      Only baseline CIs and relationships that you want to control through change enablement.

      1. Determine criteria for capturing configuration baselines, including CI type, event, or processes.
      2. Identify who will use baselines and how they will use the data. Identify their needs.
      3. Identify CIs that will be out of scope and not have baselines created.
      4. Document requirements in the SOP.
      5. Ensure appropriate team members have training on how to create and capture baselines in the CMDB.
      6. Document in the Configuration Management Standard Operating Procedures, section 8.5: Establish and Maintain Configuration Baselines.
      Process Criteria Systems
      Change Enablement & Deployment All high-risk changes must have the baseline captured with version number to revert to stable version in the event of an unsuccessful change
      • Servers (physical and virtual)
      • Enterprise software
      • IaaS
      • Data centers
      Security Identify when configuration drift may impact risk mitigation strategies
      • Servers (physical and virtual)
      • Enterprise software
      • IaaS
      • Data centers
      Input

      Output

      • Discussion
      • Baseline configuration guidelines
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • Configuration control board
      • Configuration manager
      • Project sponsor
      • IT stakeholders

      Step 3.2

      Validate data within the CMDB

      Activities

      3.2.1 Build an audit plan and checklist

      This step will walk you through the following aspects of a configuration management system:

      • Data validation and audit

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • Project manager
      • IT audit

      Outcomes of this step

      • Updates to processes for data validation
      • Plan for auditing and validating the data in the CMDB

      Audit and validate the CMDB

      Review the performance of the supporting technologies and processes to validate the accuracy of the CMDB.

      A screenshot of the CM Audit Plan.

      CM Audit Plan

      • CM policies
      • CM processes and procedures
      • Interfacing processes
      • Content within the CMDB

      "If the data in your CMDB isn't accurate, then it's worthless. If it's wrong or inaccurate, it's going to drive the wrong decisions. It's going to make IT worse, not better."
      – Valence Howden, Research Director, Info-Tech Research Group

      Ensure the supporting technology is working properly

      Does the information in the database accurately reflect reality?

      Perform functional tests during audits and as part of release management practices.

      Audit results need to have a clear status of "compliant," "noncompliant," or "compliant with conditions," and conditions need to be noted. The conditions will generally offer a quick win to improve a process, but don't use these audit results to quickly check off something as "done." Ensure the fix is useful and meaningful to the process.
      The audit should cover three areas:

      • Process: Are process requirements for the program well documented? Are the processes being followed? If there were updates to the process, were those updates to the process documented and communicated? Has behavior changed to suit those modified processes?
      • Physical: Physical configuration audits (PCAs) are audits conducted to verify that a configuration item, as built, conforms to the technical documentation that defines and describes it.
      • Functional: Functional configuration audits (FCAs) are audits conducted to verify that the development of a configuration item has been completed satisfactorily, the item has achieved the functional attributes specified in the functional or allocated baseline, and its technical documentation is complete and satisfactory.

      Build auditing and validation of processes whenever possible

      When technicians and analysts are working on a system, they should check to make sure the data about that system is correct. When they're working in the CMDB, they should check that the data they're working with is correct.

      More frequent audits, especially in the early days, may help move toward process adoption and resolving data quality issues. If audits are happening more frequently, the audits can include a smaller scope, though it's important to vary each one to ensure many different areas have been audited through the year.

      • Watch for data duplication from multiple discovery tools.
      • Review mapping to ensure all relevant CIs are attached to a product or service.
      • Ensure report data is logical.

      Ensure the supporting technology is working properly

      Does the information in the database accurately reflect reality?

      Perform functional tests during audits and as part of release management practices.

      Audit results need to have a clear status of "compliant," "noncompliant," or "compliant with conditions," and conditions need to be noted. The conditions will generally offer a quick win to improve a process, but don't use these audit results to quickly check off something as "done." Ensure the fix is useful and meaningful to the process.
      The audit should cover three areas:

      • Process: Are process requirements for the program well documented? Are the processes being followed? If there were updates to the process, were those updates to the process documented and communicated? Has behavior changed to suit those modified processes?
      • Physical: Physical configuration audits (PCAs) are audits conducted to verify that a configuration item, as built, conforms to the technical documentation that defines and describes it.
      • Functional: Functional configuration audits (FCAs) are audits conducted to verify that the development of a configuration item has been completed satisfactorily, the item has achieved the functional attributes specified in the functional or allocated baseline, and its technical documentation is complete and satisfactory.

      More frequent audits, especially in the early days, may help move toward process adoption and resolving data quality issues. If audits are happening more frequently, the audits can include a smaller scope, though it's important to vary each one to ensure many different areas have been audited through the year.

      • Watch for data duplication from multiple discovery tools.
      • Review mapping to ensure all relevant CIs are attached to a product or service.
      • Ensure report data is logical.

      Identify where processes break down and data is incorrect

      Once process stops working, data becomes less accurate and people find workarounds to solve their own data needs.

      Data within the CMDB often becomes incorrect or incomplete where human work breaks down

      • Investigate processes that are performed manually, including data entry.
      • Investigate if the process executors are performing these processes uniformly.
      • Determine if there are opportunities to automate or provide additional training.
      • Select a sample of the corresponding data in the CMS. Verify if the data is correct.

      Non-CCB personnel may not be completing processes fully or consistently

      • Identify where data in the CMS needs to be updated.
      • Identify whether the process practitioners are uniformly updating the CMS.
      • Discuss options for improving the process and driving consistency for data that will benefit the whole organization.

      Ensure that the data entered in the CMDB is correct

      • Confirm that there is no data duplication. Data duplication is very common when there are multiple discovery tools in your environment. Confirm that you have set up your tools properly to avoid duplication.
      • Build a process to respond to baseline divergence when people make changes without following change processes and when updates alter settings.
      • Audit the system for accuracy and completeness.

      3.2.1 Build an audit plan and checklist

      Use the audit to identify areas where processes are breaking down.

      Audits present you with the ability to address these pain points before they have greater negative impact.

      1. Identify which regulatory requirements and/or auditing bodies will be relevant to audit processes or findings.
      2. Determine frequency of practice audits and how they relate to internal audits or external audits.
      3. Determine audit scope, including requirements for data spot checks.
      4. Determine who will be responsible for conducting audits and validate this is consistent with the RACI chart.
      5. Record audit procedures in the Configuration Management Standard Operating Procedures section 8.6: Verify and Review the Quality of Information Through Auditing.
      6. Review the Configuration Management Audit and Validation Checklist and modify to suit your needs.

      Download the Configuration Management Audit and Validation Checklist

      Input

      Output

      • Discussion
      • Baseline configuration guidelines
      MaterialsParticipants
      • Configuration Management Standard Operating Procedures
      • Configuration control board
      • Configuration manager
      • Project sponsor
      • IT stakeholders

      Phase 4

      Service Configuration Roadmap

      StrategyData StructureProcessesRoadmap
      • Challenges and Goals
      • Use Cases and Data
      • Roles and Responsibilities
      • Services
      • Classifications
      • Data Modeling
      • Lifecycle Processes
      • Baselines
      • Audit and Data Validation
      • Metrics
      • Communications Plan
      • Roadmap

      This phase will walk you through the following aspect of a configuration management system:
      Roadmap
      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • SCM project manager

      Harness Service Configuration Management Superpowers

      Step 4.1

      Define measures of success

      Activities

      4.1.1 Identify key metrics to define configuration management success
      4.1.2 Brainstorm and record desired reports, dashboards, and analytics
      4.1.3 Build a configuration management policy

      This phase will walk you through the following aspects of a configuration management system:

      • Metrics
      • Policy

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • SCM project manager

      The value of metrics can be found in IT efficiency increases

      When determining metrics for configuration management, be sure to separate metrics needed to gauge configuration management success and those that will use data from the CMDB to provide metrics on the success of other practices.

      • Metrics provide accurate indicators for IT and business decisions.
      • Metrics help you identify IT efficiencies and problems and solve issues before they become more serious.
      • Active metrics tracking makes root cause analysis of issues much easier.
      • Proper application of metrics helps IT services identification and prioritization.
      • Operational risks can be prevented by identifying and implementing metrics.
      • Metrics analysis increases the confidence of the executive team and ensures that IT is working well.

      A funnel is shown. The output is IT Performance. The inputs are: Service Desk Metrics; Incident Metrics; Asset Mgmt. Metrics; Release Mgmt. Metrics; Change Mgmt. Metrics; Infra. Metrics

      4.1.1 Identify key metrics to define configuration management success

      Determine what metrics are specifically related to the practice and how and when metrics will be accessed.

      Success factors

      Key metrics

      Source

      Product and service configuration data is relevant

      • Stakeholder satisfaction with data access, accuracy, and usability
      • Stakeholder satisfaction with service configuration management interface, procedures, and reports

      Stakeholder discussions

      • Number of bad decisions made due to incorrect or insufficient data
      • Impact of bad decisions made due to incorrect or insufficient data

      Process owner discussions

      • Number and impact of data identified as incorrect
      • % of CMDB data verified over the period

      CMDB

      Cost and effort are continually optimized

      • Effort devoted to service configuration management
      • Cost of tools directly related to the process

      Resource management or scheduling

      ERP

      Progress reporting

      • Communication execution
      • Process
      • Communications and feedback

      Communications team and stakeholder discussions

      Data – How many products are in the CMDB and are fully and accurately discovered and mapped?

      CMDB

      Ability to meet milestones on time and with appropriate quality

      Project team

      Document metrics in the Configuration Management Standard Operating Procedures, section 7: Success Metrics

      Use performance metrics to identify areas to improve service management processes using CMDB data

      Metrics can indicate a problem with service management processes but cannot provide a clear path to a solution on their own.

      • The biggest challenge is defining and measuring the process and people side of the equation.
      • Expected performance may also need to be compared to actual performance in planning, budgeting, and improvements.
      • The analysis will need to include critical success factors (CSFs), data collection procedures, office routines, engineering practices, and flow diagrams including workflows and key relationships.
      • External benchmarking may also prove useful in identifying how similar organizations are managing aspects of their infrastructure, processing transactions/requests, or staffing. If using external benchmarking for actual process comparisons, clearly defining your internal processes first will make the data collection process smoother and more informative.

      Info-Tech Insight

      Using a service framework such as ITIL, COBIT, or ISO 20000 may make this job easier, and subscribing to benchmarking partners will provide some of the external data needed for comparison.

      4.1.2 Brainstorm and record desired reports, dashboards, and analytics with related practices

      The project team will use this list as a starting point

      Allot 45 minutes for this discussion.

      1. Create a table for each service or business capability.
        1. Have one column for each way of consuming data: reports, dashboards, and ad hoc analytics.
        2. Have one row for each stakeholder group that will consume the information.
      2. Use the challenges and use cases to brainstorm reports, dashboards, and ad hoc analytic capabilities that each stakeholder group will find useful.
      3. Record these results in your Configuration Management Standard Operating Procedures, section 7: Aligned Processes' Desired Analytical Capabilities.
      Stakeholder Groups Reports Dashboards
      Change Management
      • CI changes executed without an RFC
      • RFCs grouped by service
      • Potential collisions in upcoming changes
      Security
      • Configuration changes that no longer match the baseline
      • New configuration items discovered
      Finance
      • Service-based costs
      • Service consumption by department

      Download the blueprint Take Control of Infrastructure and Operations Metrics to create a complete metrics program.

      Create a configuration management policy and communicate it

      Policies are important documents to provide definitive guidelines and clarity around data collection and use, process adherence, and controls.

      • A configuration management policy will apply to IT as the audience, and participants in the program will largely be technical.
      • Business users will benefit from a great configuration management program but will not participate directly.
      • The policy will include objectives and scope, use of data, security and integrity of data, data models and criteria, and baseline configurations.
      • Several governing regulations and practices may intersect with configuration management, such as ITIL, COBIT, and NIST frameworks, as well as change enablement, quality management, asset management, and more.
      • As the policy is written, review processes to ensure policies and processes are aligned. The policy should enable processes, and it may require modifications if it hinders the collection, security, or use of data required to meet proposed use cases.
      • Once the policy is written and approved, ensure all stakeholders understand the importance, context, and repercussions of the policy.

      The approvals process is about appropriate oversight of the drafted policies. For example:

      • Do the policies satisfy compliance and regulatory requirements?
      • Do the policies work with the corporate culture?
      • Do the policies address the underlying need?

      If the draft is approved:

      • Set the effective date and a review date.
      • Begin communication, training, and implementation.

      Employees must know that there are new policies and understand the steps they must take to comply with the policies in their work.

      Employees must be able to interpret, understand, and know how to act upon the information they find in the policies.

      Employees must be informed on where to get help or ask questions and who to request policy exceptions from.

      If the draft is rejected:

      • Acquire feedback and make revisions.
      • Resubmit for approval.

      4.1.3 Build a configuration management policy

      This policy provides the foundation for configuration control.

      Use this template as a starting point.

      The Configuration Management Policy provides the foundation for a configuration control board and the use of configuration baselines.
      Instructions:

      1. Review and modify the policy statements. Ensure that the policy statements reflect your organization and the expectations you wish to set.
      2. If you don't have a CCB: The specified responsibilities can usually be assigned to either the configuration manager or the governing body for change enablement.
      3. Determine if you should apply this policy beyond SCM. As written, this policy may provide a good starting point for practices such as:
        • Secure baseline configuration management
        • Software configuration management

      Two screenshots from the Configuration Management Policy template

      Download the Configuration Management Policy template

      Step 4.2

      Build communications and a roadmap

      Activities

      4.2.1 Build a communications plan
      4.2.2 Identify milestones

      This phase will walk you through the following aspects of a configuration management system:

      • Communications plan
      • Roadmap

      This phase involves the following participants:

      • IT service owners
      • Enterprise architects
      • Practice owners and managers
      • SCM practice manager
      • SCM project manager

      Outcomes of this step

      • Documented expectations around configuration control
      • Roadmap and action items for the SCM project

      Do not discount the benefits of a great communications plan as part of change management

      Many configuration management projects have failed due to lack of organizational commitment and inadequate communications.

      • Start at the top to ensure stakeholder buy-in by verifying alignment and use cases. Without a committed project sponsor who believes in the value of configuration management, it will be difficult to draw the IT team into the vision.
      • Clearly articulate the vision, strategy, and goals to all stakeholders. Ensure the team understands why these changes are happening, why they are happening now, and what outcomes you hope to achieve.
      • Gain support from technical teams by clearly expressing organizational and departmental benefits – they need to know "what's in it for me."
      • Clearly communicate new responsibilities and obligations and put a feedback process in place to hear concerns, mitigate risk, and act on opportunities for improvement. Be prepared to answer questions as this practice is rolled out.
      • Be consistent in your messaging. Mixed messages can easily derail progress.
      • Communicate to the business how these efforts will benefit the organization.
      • Share documents built in this blueprint or workshop with your technical teams to ensure they have a clear picture of the entire configuration management practice.
      • Share your measures and view of success and communicate wins throughout building the practice.

      30%

      When people are truly invested in change, it is 30% more likely to stick.
      McKinsey

      82%

      of CEOs identify organizational change management as a priority.
      D&B Consulting

      6X

      Initiatives with excellent change management are six times more likely to meet objectives than those with poor change management.
      Prosci

      For a more detailed program, see Drive Technology Adoption

      Formulate a communications plan to ensure all stakeholders and impacted staff will be aware of the plan

      Communication is key to success in process adoption and in identifying potential risks and issues with integration with other processes. Engage as often as needed to get the information you need for the project and for adoption.

      Identify Messages

      Distinct information that needs to be sent at various times. Think about:

      • Who will be impacted and how.
      • What the goals are for the project/new process.
      • What the audience needs to know about the new process and how they will interface with each business unit.
      • How people can request configuration data.

      Identify Audiences

      Any person or group who will be the target of the communication. This may include:

      • Project sponsors and stakeholders.
      • IT staff who will be involved in the project.
      • IT staff who will be impacted by the project (i.e. who will benefit from it or have obligations to fulfill because of it).
      • Business sponsors and product owners.

      Document and Track

      Document messaging, medium, and responsibility, working with the communications team to refine messages before executing.

      • Identify where people can send questions and feedback to ensure they have the information they need to make or accept the changes.
      • Document Q&A and share in a central location.

      Determine Timing

      Successful communications plans consider timing of various messages:

      • Advanced high-level notice of improvements for those who need to see action.
      • Advanced detailed notice for those who will be impacted by workload.
      • Advanced notice for who will be impacted (i.e. who will benefit from it or have obligations to fulfill because of it) once the project is ready to be transitioned to daily life.

      Determine Delivery

      Work with your communications team, if you have one, to determine the best medium, such as:

      • Meeting announcement for stakeholders and IT.
      • Newsletter for those less impacted.
      • Intranet announcements: "coming soon!"
      • Demonstrations with vendors or project team.

      4.2.1 Build a communications plan

      The communications team will use this list as a starting point.

      Allot 45 minutes for this discussion.

      Identify stakeholders.

      1. Identify everyone who will be affected by the project and by configuration management.

      Craft key messages tailored to each stakeholder group.

      1. Identify the key messages that must be communicated to each group.

      Finalize the communication plan.

      1. Determine the most appropriate timing for communications with each group to maximize receptivity.
      2. Identify any communication challenges you anticipate and incorporate steps to address them into your communication plan.
      3. Identify multiple methods for getting the messages out (e.g. newsletters, emails, meetings).
      1. Identify how feedback will be collected (i.e. through interviews or surveys) to measure whether the changes were communicated well.
      Audience Message Medium Timing Feedback Mechanism
      Configuration Management Team Communicate all key processes, procedures, policies, roles, and responsibilities In-person meetings and email communications Weekly meetings Informal feedback during weekly meetings
      Input

      Output

      • Discussion
      • Rough draft of messaging for communications team
      MaterialsParticipants
      • Project plan
      • Configuration manager
      • Project sponsor
      • IT director
      • Communications team

      Build a realistic, high-level roadmap including milestones

      Break the work into manageable pieces

      1. Plan to have multiple phases with short-, medium-, and long-term goals/timeframes. Building a CMDB is not easy and should be broken into manageable sections.
      2. Set reasonable milestones. For each phase, document goals to define "done" and ensure they're reasonable for the resources you have available. If working with a vendor, include them in your discussions of what's realistic.
      3. Treat the first phase as a pilot. Focus on items you understand well:
        1. Well-understood user-facing and IT services
        2. High-maturity management and governance practices
        3. Trusted data sources
      4. Capture high-value, high-criticality services early. Depending on the complexity of your systems, you may need to split this phase into multiple phases.

      Document this table in the Configuration Management Project Charter, section 3.0: Milestones

      Timeline/Owner Milestone/Deliverable Details
      First four weeks Milestone: Plan defined and validated with ITSM installation vendor Define processes for intake, maintenance, and retirement.
      Rebecca Roberts Process documentation written, approved, and ready to communicate Review CI categories

      4.2.2 Identify milestones

      Build out a high-level view to inform the project plan

      Open the Configuration Management Project Charter, section 3: Milestones.
      Instructions:

      1. Identify high-level milestones for the implementation of the configuration management program. This may include tool evaluation and implementation, assignment of roles, etc.
      2. Add details to fill out the milestone, keeping to a reasonable level of detail. This may inform vendor discussion or further development of the project plan.
      3. Add target dates to the milestones. Validate they are realistic with the team.
      4. Add notes to the assumptions and constraints section.
      5. Identify risks to the plan.

      Two Screenshots from the Configuration Management Project Charter

      Download the Configuration Management Project Charter

      Workshop Participants

      R = Recommended
      O = Optional

      Participants Day 1 Day 2 Day 3 Day 4
      Configuration Management Strategy CMDB Data Structure Processes Communications & Roadmap
      Morning Afternoon Morning Afternoon Morning Afternoon Morning Afternoon
      Head of IT R O
      Project Sponsor R R O O O O O O
      Infrastructure, Enterprise Apps Leaders R R O O O O O O
      Service Manager R R O O O O O O
      Configuration Manager R R R R R R R R
      Project Manager R R R R R R R R
      Representatives From Network, Compute, Storage, Desktop R R R R R R R R
      Enterprise Architecture R R R R O O O O
      Owner of Change Management/Change Control/Change Enablement R R R R R R R R
      Owner of In-Scope Apps, Use Cases R R R R R R R R
      Asset Manager R R R R R R R R

      Related Info-Tech Research

      Research Contributors and Experts

      Thank you to everyone who contributed to this publication

      Brett Johnson, Senior Consultant, VMware

      Yev Khovrenkov, Senior Consultant, Solvera Solutions

      Larry Marks, Reviewer, ISACA New Jersey

      Darin Ohde, Director of Service Delivery, GreatAmerica Financial Services

      Jim Slick, President/CEO, Slick Cyber Systems

      Emily Walker, Sr. Digital Solution Consultant, ServiceNow

      Valence Howden, Principal Research Director, Info-Tech Research Group

      Allison Kinnaird, Practice Lead, IT Operations, Info-Tech Research Group

      Robert Dang, Principal Research Advisor, Security, Info-Tech Research Group

      Monica Braun, Research Director, IT Finance, Info-Tech Research Group

      Jennifer Perrier, Principal Research Director, IT Finance, Info-Tech Research Group

      Plus 13 anonymous contributors

      Bibliography

      An Introduction to Change Management, Prosci, Nov. 2019.
      BAI10 Manage Configuration Audit Program. ISACA, 2014.
      Bizo, Daniel, et al, "Uptime Institute Global Data Center Survey 2021." Uptime Institute, 1 Sept. 2021.
      Brown, Deborah. "Change Management: Some Statistics." D&B Consulting Inc. May 15, 2014. Accessed June 14, 2016.
      Cabinet Office. ITIL Service Transition. The Stationery Office, 2011.
      "COBIT 2019: Management and Governance Objectives. ISACA, 2018.
      "Configuration Management Assessment." CMStat, n.d. Accessed 5 Oct. 2022.
      "Configuration Management Database Foundation." DMTF, 2018. Accessed 1 Feb. 2021.
      Configuration Management Using COBIT 5. ISACA, 2013.
      "Configuring Service Manager." Product Documentation, Ivanti, 2021. Accessed 9 Feb. 2021.
      "Challenges of Implementing configuration management." CMStat, n.d. Accessed 5 Oct. 2022.
      "Determining if configuration management and change control are under management control, part 1." CMStat, n.d. Accessed 5 Oct. 2022.
      "Determining if configuration management and change control are under management control, part 2." CMStat, n.d. Accessed 5 Oct. 2022.
      "Determining if configuration management and change control are under management control, part 3." CMStat, n.d. Accessed 5 Oct. 2022.
      "CSDM: The Recipe for Success." Data Content Manager, Qualdatrix Ltd. 2022. Web.
      Drogseth, Dennis, et al., 2015, CMDB Systems: Making Change Work in the Age of Cloud and Agile. Morgan Kaufman.
      Ewenstein, B, et al. "Changing Change Management." McKinsey & Company, 1 July 2015. Web.
      Farrell, Karen. "VIEWPOINT: Focus on CMDB Leadership." BMC Software, 1 May 2006. Web.
      "How to Eliminate the No. 1 Cause of Network Downtime." SolarWinds, 4 April 2014. Accessed 9 Feb. 2021.
      "ISO 10007:2017: Quality Management -- Guidelines for Configuration Management." International Organization for Standardization, 2019.
      "IT Operations Management." Product Documentation, ServiceNow, version Quebec, 2021. Accessed 9 Feb. 2021.
      Johnson, Elsbeth. "How to Communicate Clearly During Organizational Change." Harvard Business Review, 13 June 2017. Web.
      Kloeckner, K. et al. Transforming the IT Services Lifecycle with AI Technologies. Springer, 2018.
      Klosterboer, L. Implementing ITIL Configuration Management. IBM Press, 2008.
      Norfolk, D., and S. Lacy. Configuration Management: Expert Guidance for IT Service Managers and Practitioners. BCS Learning & Development Limited, revised ed., Jan. 2014.
      Painarkar, Mandaar. "Overview of the Common Data Model." BMC Documentation, 2015. Accessed 1 Feb. 2021.
      Powers, Larry, and Ketil Been. "The Value of Organizational Change Management." Boxley Group, 2014. Accessed June 14, 2016.
      "Pulse of the Profession: Enabling Organizational Change Throughout Strategic Initiatives." PMI, March 2014. Accessed June 14, 2016.
      "Service Configuration Management, ITIL 4 Practice Guide." AXELOS Global Best Practice, 2020
      "The Guide to Managing Configuration Drift." UpGuard, 2017.

      Build a Platform-Based Organization

      • Buy Link or Shortcode: {j2store}98|cart{/j2store}
      • member rating overall impact (scale of 10): 8.0/10 Overall Impact
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      • Parent Category Name: Innovation
      • Parent Category Link: /innovation
      • The organization is riddled with bureaucracy. Some even believe that bureaucracy is inevitable and is an outcome of a complex business operating in a complex market and regulatory environment.
      • Time to market for new products and services is excruciatingly long.
      • Digital natives like Facebook, Netflix, and Spotify do not compare well with the organization and cannot be looked to for inspiration.

      Our Advice

      Critical Insight

      • Large corporations often consist of a few operating units, each with its own idiosyncracies about strategies, culture, and capabilities. These tightly integrated operating units make a company prone to bureaucracy.
      • The antidote to this bureaucracy is a platform structure: small, autonomous teams operating as startups within the organization.

      Impact and Result

      • Platforms consist of related activities and associated technologies that deliver on a specific organizational goal. A platform can therefore be run as a business or as a service. This structure of small autonomous teams that are loosely joined will make your employees directly accountable to the customers. In a way, they become entrepreneurs and do not remain just employees.

      Build a Platform-Based Organization Research & Tools

      Build a platform-based organization

      Download our guide to learn how you can get started with a platform structure.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      • Build a Platform-Based Organization Storyboard
      [infographic]

      Further reading

      Build a Platform-Based Organization

      Use a platform structure to overcome bureaucracy.

      Analyst Perspective

      Build a platform-based organization.

      Bureaucracy saps innovation out of large corporations. Some even believe that bureaucracy is inevitable and is an outcome of a complex business operating in a complex market and regulatory environment.

      So, what is the antidote to bureaucracy? Some look to startups like Uber, Airbnb, Netflix, and Spotify, but they are digital native and don’t compare well to a large monolithic corporation.

      However, all is not lost for large corporations. Inspiration can be drawn from a company in China – Haier, which is not a typical poster child of the digital age like Spotify. In fact, three decades ago, it was a state-owned company with a shoddy product quality.

      Haier uses an intriguing organization structure based on microenterprises and platforms that has proven to be an antidote to bureaucracy.

      Vivek Mehta
      Research Director, Digital & Innovation
      Info-Tech Research Group

      Executive Summary

      The Challenge

      Large corporations are prone to bureaucracies, which sap their organizations of creativity and make them blind to new opportunities. Though many executives express the desire to get rid of it, bureaucracy is thriving in their organizations.

      Why It Happens

      As organizations grow and become more complex over time, they yearn for efficiency and control. Some believe bureaucracy is the natural outcome of running a complex organization in a complex business and regulatory environment.

      Info-Tech’s Approach

      A new organizational form – the platform structure – is challenging the bureaucratic model. The platform structure makes employees directly accountable to customers and organizes them in an ecosystem of autonomous units.

      As a starting point, sketch out a platform structure that works for your organization. Then, establish a governance model and identify and nurture key capabilities for the platform structure.

      Info-Tech Insight

      The antidote to bureaucracy is a platform structure: small, autonomous teams operating as startups within the organization.

      Executive Brief Case Study

      Small pieces, loosely joined

      Haier

      Industry: Manufacturing
      Source: Harvard Business Review November-December 2018

      Haier, based in China, is currently the world’s largest appliance maker. Zhang Ruimin, Haier’s CEO, has built an intriguing organizing structure where every employee is directly accountable to customers – internal and/or external. A large corporation often consists of a few operating units, each with its own idiosyncrasies, which makes it slow to innovate. To avoid that, Haier has divided itself into 4,000 microenterprises (MEs), most of which have ten to 15 employees. There are three types of microenterprises in Haier:

      1. Approximately 200 “transforming” MEs: market-facing units like Zhisheng, which manufactures refrigerators, a legacy Haier product, for today’s young urbanites.
      2. Approximately 50 “incubating” MEs: entirely new businesses like Xinchu that wrap existing products into entirely new business models.
      3. Approximately 3,800 “node” MEs: units that sell component products and services such as design, manufacturing, and human resources support to Haier’s market-facing MEs.

      Each ME operates as an autonomous unit with its own targets – an organizing structure that enables innovation at Haier.

      (Harvard Business Review, 2018)

      The image is a rectangular graphic with the words Refrigeration Platform in the centre. There are six text boxes around the centre, reading (clockwise from top left): Zhisheng Young urbanites; Langdu Premium; Jinchu Mid-priced; Xinchu Internet-connected; Overseas Export markets; Leader Value-priced. There are a series of white boxes bordering the graphic, with the following labels: at top--Sales nodes; at right--Support nodes (R&D, HR, supply chain, etc.); at bottom left---Design nodes; at bottom right--Production nodes.

      Markets disproportionately reward platform structure

      Tech companies like Facebook, Netflix, and Spotify are organized around a set of modular platforms run by accountable platform teams. This modular org structure enables them to experiment, learn, and scale quickly – a key attribute of innovative organizations.

      Facebook ~2,603 million monthly active users

      India ~1,353 million population

      Netflix ~183 million monthly paid subscribers

      Spotify ~130 million premium subscribers

      Canada ~37 million population

      (“Facebook Users Worldwide 2020,” “Number of Netflix Subscribers 2019,” “Spotify Users - Subscribers in 2020,” Statista.)

      1. Sketch Out the Platform Structure

      What is a platform anyway?

      A modular component of an org structure

      Platforms consist of a logical cluster of activities and associated technology that delivers on a specific business goal and can therefore be run as a business, or ‘as a service’ … Platforms focus on business solutions to serve clients (internal or external) and to supply other platforms.” – McKinsey, 2019

      Platforms operate as independent units with their own business, technology, governance, processes, and people management. As an instance, a bank could have payments platform under a joint business and IT leadership. This payments-as-a-service platform could provide know-how, processes, and technology to the bank’s internal customers such as retail and commercial business units.

      Many leading IT organizations are set up in a platform-based structure that allows them to rapidly innovate. It’s an imperative for organizations in other industries that they must pilot and then scale with a platform play.

      What a platform-based org looks like

      It looks like a multicellular organism, where each cell is akin to a platform

      An organism consists of multiple cells of different types, sizes, and shapes. Each cell is independent in its working. Regardless of the type, a cell would have three features –the nucleus, the cell membrane, and, between the two, the cytoplasm.

      Similarly, an organization could be imagined as one consisting of several platforms of different types and sizes. Each platform must be autonomous, but they all share a few common features – have a platform leader, set up and monitor targets, and enable interoperability amongst platforms. Platforms could be of three types (McKinsey, 2019):

      1. Customer-journey platforms enable customer proposition and experience built on reusable code. They provide “journey as a service”; for example, Account Opening in a bank.
      2. Business-solution platforms are modular and run as a business or as a service. They provide “company as a service”; for example, Payments or Fraud Detection in a bank.
      3. Core IT provisioning platforms provide core IT services for the organization, for example, cloud, data, automation.

      There are two images: in the lower part of the graphic shows a multicellular organism, and has text pointing to a single cell. At the top, there is a zoomed in image of that single cell, with its component parts labelled: Cell Membrane, Nucleus, and Cytoplasm.

      Case study: Payments platform in a bank

      Payments as a service to internal business units

      The payments platform is led by an SVP – the platform leader. Business and IT teams are colocated and have joint leadership. The platform team works with a mindset of a startup, serving internal customers of the bank – retail and commercial lines of business.

      A diagram showing Advisory Council in a large grey box on the left. To the right are smaller dark blue boxes labeled 'Real-time peer-to-peer payments,' Wire transfers,' 'Batch payments,' 'Mobile wallets,' and 'International payments (VISA, WU, etc.),' and one light blue box labeled 'Payments innovation.'


      Advisory Council: An Advisory Council is responsible for strategy, business, and IT architecture and for overseeing the work within the team. The Advisory Council prioritizes the work, earmarks project budgets, sets standards such as for APIs and ISO 20022, and leads vendor evaluation.

      International payments (VISA, WU, etc.): Project execution teams are structured around payment modes. Teams collaborate with each other whenever a common functionality is to be developed, like fraud check on a payment or account posting for debits and credits.

      Payments innovation: A think tank keeping track of trends in payments and conducting proof of concepts (POCs) with prospective fintech partners and with new technologies.

      Use a capability map to sketch out a platform-based structure

      Corral your organization’s activities and associated tech into a set of 20 to 40 platforms that cover customer journeys, business capabilities, and core IT. Business and IT teams must jointly work on this activity and could use a capability map as an aid to facilitate the discussion.

      The image is an example of a capability map, shown in more detail in the following section.

      An example of sketching a platform-based org structure for an insurance provider (partial)

      Design Policy Create Policy Issue Policy Service Customers Process Claims Manage Investments
      Defining Market Research & Analysis Underwriting Criteria Selection Customer Targeting Interaction Management First Notice of Loss (FNOL) Investment Strategy
      Actuarial Analysis Product Reserving Needs Assessment & Quotes Payments Claims Investigation Portfolio Management
      Catastrophe Risk Modeling Reinsurance Strategy Contract Issuance Adjustments Claims Adjudication Deposits & Disbursements
      Product Portfolio Strategy Product Prototyping Application Management Renewals Claims Recovery (Subrogation) Cash & Liquidity Management
      Rate Making Product Testing Sales Execution Offboarding Dispute Resolution Capital Allocation
      Policy Definition Product Marketing Contract Change Management

      Customer Retention

      [Servicing a customer request is a customer-journey platform.]

      Claims Inquiry

      [Filing a claim is a customer-journey platform.]

      Credit Bureau Reporting
      Shared Customer Management

      Account Management

      [Customer and account management is a business-capability platform to enable journeys.]

      Channel Management Risk Management Regulatory & Compliance Knowledge Management
      Partner Management

      Access and Identity Management

      [Access and identity management is a core IT platform.]

      Change Management Enterprise Data Management Fraud Detection [Fraud detection is a business-capability platform to enable journeys.] Product Innovation
      Enabling Corporate Governance Strategic Planning Reporting Accounting Enterprise Architecture Human Resources
      Legal Corporate Finance IT Facilities Management

      2. Establish Governance and Nurture Key Capabilities

      Two ingredients of the platform structure

      Establish a governance

      Advisory Council (AC) operates like a conductor at an orchestra, looking across all the activities to understand and manage the individual components.

      Nurture key capabilities

      Team structure, processes and technologies must be thoughtfully orchestrated and nurtured.

      Establish strong governance

      Empowerment does not mean anarchy

      While platforms are distinct units, they must be in sync with each other, like individual musicians in an orchestra. The Advisory Council (AC) must act like a conductor of the orchestra and lead and manage across platforms in three ways.

      1. Prioritize spend and effort. The AC team makes allocation decisions and prioritizes spend and effort on those platforms that can best support organizational goals and/or are in most urgent technical need. The best AC teams have enterprise architects who can understand business and dive deep enough into IT to manage critical interdependencies.
      2. Set and enforce standards. The AC team establishes both business and technology standards for interoperability. For example, the AC team can set the platform and application interfaces standards and the industry standards like ISO 20022 for payments. The AC team can also provide guidance on common apps and tools to use, for example, a reconciliation system for payments.
      3. Facilitate cross-platform work. The AC team has a unique vantage point where it can view and manage interdependencies among programs. As these complexities emerge, the AC team can step in and facilitate the interaction among the involved platform teams. In cases when a common capability is required by multiple platforms, the AC team can facilitate the dialogue to have it built out.

      Nurture the following capabilities:

      Design thinking

      “Zero distance from the customer” is the focus of platform structure. Each platform must operate with a mindset of a startup serving internal and/or external users.

      Agile delivery model

      Platform teams iteratively develop their offerings. With guidance from Advisory Council, they can avoid bottlenecks of formal alignment and approvals.

      Enterprise architecture

      The raison d'être of enterprise architecture discipline is to enable modularity in the architecture, encourage reusability of assets, and simplify design.

      Microservices

      Microservices allow systems to grow with strong cohesion and weak coupling and enable teams to scale components independently.

      APIs

      With their ability to link systems and data, APIs play a crucial role in making IT systems more responsive and adaptable.

      Machine learning

      With the drop in its cost, predictability is becoming the new electricity for business. Platforms use machine learning capability for better predictions.

      Related Info-Tech Research

      Drive Digital Transformation With Platform Strategies
      Innovate and transform your business models with digital platforms.

      Implement Agile Practices That Work
      Guide your organization through its Agile transformation journey.

      Design a Customer-Centric Digital Operating Model
      Putting the customer at the center of digital transformation.

      Bibliography

      Bossert, Oliver, and Jürgen Laartz. “Perpetual Evolution—the Management Approach Required for Digital Transformation.” McKinsey, 5 June 2017. Accessed 21 May 2020.

      Bossert, Oliver, and Driek Desmet. “The Platform Play: How to Operate like a Tech Company.” McKinsey, 28 Feb. 2019. Accessed 21 May 2020.

      “Facebook Users Worldwide 2020.” Statista. Accessed 21 May 2020.

      Hamel, Gary, and Michele Zanini. “The End of Bureaucracy.” Harvard Business Review. Nov.-Dec. 2018. Accessed 21 May 2020.

      “Number of Netflix Subscribers 2019.” Statista. Accessed 21 May 2020.

      “Spotify Users - Subscribers in 2020.” Statista. Accessed 21 May 2020.

      The Small Enterprise Guide to People and Resource Management

      • Buy Link or Shortcode: {j2store}602|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
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      • Parent Category Name: Train & Develop
      • Parent Category Link: /train-and-develop
      • 52% of small business owners agree that labor quality is their most important problem, and 76% of executives expect the talent market to get even more challenging.
      • The problem? You can't compete on salary, training budgets are slim, you need people skilled in all areas, and even one resignation represents a large part of your workforce.

      Our Advice

      Critical Insight

      • The usual, reactive approach to workforce management is risky:
        • Optimizing tactics helps you hire faster, train more, and negotiate better contracts.
        • But fulfilling needs as they arise costs more, has greater risk of failure, and leaves you unprepared for future needs.
      • In a small enterprise where every resource counts, in which one hire represents 10% of your workforce, it is essential to get it right.

      Impact and Result

      • Workforce planning helps you anticipate future needs.
      • More lead time means better decisions at lower cost.
      • Small Enterprises benefit most, since every resource counts.

      The Small Enterprise Guide to People and Resource Management Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. The Small Enterprise Guide to People and Resource Management Deck – Find out why workforce planning is critical for small enterprises.

      Use this storyboard to lay the foundation of people and resources management practices in your small enterprise IT department.

      • The Small Enterprise Guide to People and Resource Management – Phases 1-3

      2. Workforce Planning Workbook – Use the tool to successfully complete all of the activities required to define and estimate your workforce needs for the future.

      Use these concise exercises to analyze your department’s talent current and future needs and create a skill sourcing strategy to fill the gaps.

      • Workforce Planning Workbook for Small Enterprises

      3. Knowledge Transfer Tools – Use these templates to identify knowledge to be transferred.

      Work through an activity to discover key knowledge held by an employee and create a plan to transfer that knowledge to a successor.

      • IT Knowledge Identification Interview Guide Template
      • IT Knowledge Transfer Plan Template

      4. Development Planning Tools – Use these tools to determine priority development competencies.

      Assess employees’ development needs and draft a development plan that fits with key organizational priorities.

      • IT Competency Library
      • Leadership Competencies Workbook
      • IT Employee Career Development Workbook
      • Individual Competency Development Plan
      • Learning Methods Catalog for IT Employees

      Infographic

      Workshop: The Small Enterprise Guide to People and Resource Management

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Lay Your Foundations

      The Purpose

      Set project direction and analyze workforce needs.

      Key Benefits Achieved

      Planful needs analysis ensures future workforce supports organizational goals.

      Activities

      1.1 Set workforce planning goals and success metrics.

      1.2 Identify key roles and competency gaps.

      1.3 Conduct a risk analysis to identify future needs.

      1.4 Determine readiness of internal successors.

      Outputs

      Work with the leadership team to:

      Extract key business priorities.

      Set your goals.

      Assess workforce needs.

      2 Create Your Workforce Plan

      The Purpose

      Conduct a skill sourcing analysis, and determine competencies to develop internally.

      Key Benefits Achieved

      A careful analysis ensures skills are being sourced in the most efficient way, and internal development is highly aligned with organizational objectives.

      Activities

      2.1 Determine your skill sourcing route.

      2.2 Determine priority competencies for development.

      Outputs

      Create a workforce plan.

      2.Determine guidelines for employee development.

      3 Plan Knowledge Transfer

      The Purpose

      Discover knowledge to be transferred, and build a transfer plan.

      Key Benefits Achieved

      Ensure key knowledge is not lost in the event of a departure.

      Activities

      3.1 Discover knowledge to be transferred.

      3.2 Identify the optimal knowledge transfer methods.

      3.3 Create a knowledge transfer plan.

      Outputs

      Discover tacit and explicit knowledge.

      Create a knowledge transfer roadmap.

      4 Plan Employee Development

      The Purpose

      Create a development plan for all staff.

      Key Benefits Achieved

      A well-structured development plan helps engage and retain employees while driving organizational objectives.

      Activities

      4.1 Identify target competencies & draft development goals

      4.2 Select development activities and schedule check-ins.

      4.3 Build manager coaching skills.

      Outputs

      Assess employees.

      Prioritize development objectives.

      Plan development activities.

      Build management skills.

      Further reading

      The Small Enterprise Guide to People and Resource Management

      Quickly start getting the right people, with the right skills, at the right time

      Is this research right for you?

      Research Navigation

      Managing the people in your department is essential, whether you have three employees or 300. Depending on your available time, resources, and current workforce management maturity, you may choose to focus on the overall essentials, or dive deep into particular areas of talent management. Use the questions below to help guide you to the right Info-Tech resources that best align with your current needs.

      Question If you answered "no" If you answered "yes"

      Does your IT department have fewer than 15 employees, and is your organization's revenue less than $25 million (USD)?

      Review Info-Tech's archive of research for mid-sized and large enterprise clients.

      Follow the guidance in this blueprint.

      Does your organization require a more rigorous and customizable approach to workforce management?

      Follow the guidance in this blueprint.

      Review Info-Tech's archive of research for mid-sized and large enterprise clients.

      Analyst Perspective

      Workforce planning is even more important for small enterprises than large organizations.

      It can be tempting to think of workforce planning as a bureaucratic exercise reserved for the largest and most formal of organizations. But workforce planning is never more important than in small enterprises, where every individual accounts for a significant portion of your overall productivity.

      Without workforce planning, organizations find themselves in reactive mode, hiring new staff as the need arises. They often pay a premium for having to fill a position quickly or suffer productivity losses when a critical role goes unexpectedly vacant.

      A workforce plan helps you anticipate these challenges, come up with solutions to mitigate them, and allocate resources for the most impact, which means a greater return on your workforce investment in the long run.

      This blueprint will help you accomplish this quickly and efficiently. It will also provide you with the essential development and knowledge transfer tools to put your plan into action.

      This is a picture of Jane Kouptsova

      Jane Kouptsova
      Senior Research Analyst, CIO Advisory
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      52% of small business owners agree that labor quality is their most important problem.1

      Almost half of all small businesses face difficulty due to staff turnover.

      76% of executives expect the talent market to get even more challenging.2

      Common Obstacles

      76% of executives expect workforce planning to become a top strategic priority for their organization.2

      But…

      30% of small businesses do not have a formal HR function.3

      Small business leaders are often left at a disadvantage for hiring and retaining the best talent, and they face even more difficulty due to a lack of support from HR.

      Small enterprises must solve the strategic workforce planning problem, but they cannot invest the same time or resources that large enterprises have at their disposal.

      Info-Tech's Approach

      A modular, lightweight approach to workforce planning and talent management, tailored to small enterprises

      Clear activities that guide your team to decisive action

      Founded on your IT strategy, ensuring you have not just good people, but the right people

      Concise yet comprehensive, covering the entire workforce lifecycle from competency planning to development to succession planning and reskilling

      Info-Tech Insight

      Every resource counts. When one hire represents 10% of your workforce, it is essential to get it right.

      1CNBC & SurveyMonkey. 2ADP. 3Clutch.

      Labor quality is small enterprise's biggest challenge

      The key to solving it is strategic workforce planning

      Strategic workforce planning (SWP) is a systematic process designed to identify and address gaps in today's workforce, including pinpointing the human capital needs of the future.

      Linking workforce planning with strategic planning ensures that you have the right people in the right positions, in the right places, at the right time, with the knowledge, skills, and attributes to deliver on strategic business goals.

      SWP helps you understand the makeup of your current workforce and how well prepared it is or isn't (as the case may be) to meet future IT requirements. By identifying capability gaps early, CIOs can prepare to train or develop current staff and minimize the need for severance payouts and hiring costs, while providing clear career paths to retain high performers.

      52%

      of small business owners agree that labor quality is their most important problem.1

      30%

      30% of small businesses have no formal HR function.2

      76%

      of senior leaders expect workforce planning to become the top strategic challenge for their organization.3

      1CNBC & SurveyMonkey. 2Clutch. 3ADP.

      Workforce planning matters more for small enterprises

      You know that staffing mistakes can cost your department dearly. But did you know the costs are greater for small enterprises?

      The price of losing an individual goes beyond the cost of hiring a replacement, which can range from 0.5 to 2 times that employee's salary (Gallup, 2019). Additional costs include loss of productivity, business knowledge, and team morale.

      This is a major challenge for large organizations, but the threat is even greater for small enterprises, where a single individual accounts for a large proportion of IT's productivity. Losing one of a team of 10 means 10% of your total output. If that individual was solely responsible for a critical function, your department now faces a significant gap in its capabilities. And the effect on morale is much greater when everyone is on the same close-knit team.

      And the threat continues when the staffing error causes you not to lose a valuable employee, but to hire the wrong one instead. When a single individual makes up a large percentage of your workforce, as happens on small teams, the effects of talent management errors are magnified.

      A group of 100 triangles is shown above a group of 10 triangles. In each group, one triangle is colored orange, and the rest are colored blue.

      Info-Tech Insight

      One bad hire on a team of 100 is a problem. One bad hire on a team of 10 is a disaster.

      This is an image of Info-Tech's small enterprise guide o people and resource management.

      Blueprint pre-step: Determine your starting point

      People and Resource management is essential for any organization. But depending on your needs, you may want to start at different stages of the process. Use this slide as a quick reference for how the activities in this blueprint fit together, how they relate to other workforce management resources, and the best starting point for you.

      Your IT strategy is an essential input to your workforce plan. It defines your destination, while your workforce is the vessel that carries you there. Ensure you have at least an informal strategy for your department before making major workforce changes, or review Info-Tech's guidance on IT strategy.

      This blueprint covers the parts of workforce management that occur to some extent in every organization:

      • Workforce planning
      • Knowledge transfer
      • Development planning

      You may additionally want to seek guidance on contract and vendor management, if you outsource some part of your workload outside your core IT staff.

      Track metrics

      Consider these example metrics for tracking people and resource management success

      Project Outcome Metric Baseline Target
      Reduced training costs Average cost of training (including facilitation, materials, facilities, equipment, etc.) per IT employee
      Reduced number of overtime hours worked Average hours billed at overtime rate per IT employee
      Reduced length of hiring period Average number of days between job ad posting and new hire start date
      Reduced number of project cancellations due to lack of capacity Total of number of projects cancelled per year
      Increased number of projects completed per year (project throughput) Total number of project completions per year
      Greater net recruitment rate Number of new recruits/Number of terminations and departures
      Reduced turnover and replacement costs Total costs associated with replacing an employee, including position coverage cost, training costs, and productivity loss
      Reduced voluntary turnover rate Number of voluntary departures/Total number of employees
      Reduced productivity loss following a departure or termination Team or role performance metrics (varies by role) vs. one year ago

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1 Phase 2 Phase 3

      Call #1:

      Scope requirements, objectives, and your specific challenges.

      Call #2: Assess current workforce needs.

      Call #4: Determine skill sourcing route.

      Call #6:

      Identify knowledge to be transferred.

      Call #8: Draft development goals and select activities.

      Call #3: Explore internal successor readiness.

      Call #5:Set priority development competencies.

      Call #7: Create a knowledge transfer plan.

      Call #9: Build managers' coaching & feedback skills.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is between 4 to 6 calls over the course of 3 to 4 months.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Day 1

      Day 2

      Day 3

      Day 4

      Day 5

      1.Lay Your Foundations 2. Create Your Workforce Plan 3. Plan Knowledge Transfer 3. Plan Employee Development Next Steps and Wrap-Up (offsite)
      Activities

      1.1 Set workforce planning goals and success metrics

      1.2 Identify key roles and competency gaps

      1.3 Conduct a risk analysis to identify future needs

      1.4 Determine readiness of internal successors

      1.5 Determine your skill sourcing route

      1.6 Determine priority competencies for development

      3.1 Discover knowledge to be transferred

      3.2 Identify the optimal knowledge transfer methods

      3.3 Create a knowledge transfer plan

      4.1 Identify target competencies & draft development goals

      4.2 Select development activities and schedule check-ins

      4.3 Build manager coaching skills

      Outcomes

      Work with the leadership team to:

      1. Extract key business priorities
      2. Set your goals
      3. Assess workforce needs

      Work with the leadership team to:

      1. Create a workforce plan
      2. Determine guidelines for employee development

      Work with staff and managers to:

      1. Discover tacit and explicit knowledge
      2. Create a knowledge transfer roadmap

      Work with staff and managers to:

      1. Assess employees
      2. Prioritize development objectives
      3. Plan development activities
      4. Build management skills

      Info-Tech analysts complete:

      1. Workshop report
      2. Workforce plan record
      3. Action plan

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Each onsite day is structured with group working sessions from 9-11 a.m. and 1:30-3:30 p.m. and includes Open Analyst Timeslots, where our facilitators are available to expand on scheduled activities, capture and compile workshop results, or review additional components from our comprehensive approach.

      This is a calendar showing days 1-4, and times from 8am-5pm

      Phase 1

      Workforce Planning

      Workforce Planning

      Knowledge Transfer

      Development Planning

      Identify needs, goals, metrics, and skill gaps.

      Select a skill sourcing strategy.

      Discover critical knowledge.

      Select knowledge transfer methods.

      Identify priority competencies.

      Assess employees.

      Draft development goals.

      Provide coaching & feedback.

      The Small Enterprise Guide to People and Resource Management

      Phase Participants

      • Leadership team
      • Managers
      • Human resource partner (if applicable)

      Additional Resources

      Workforce Planning Workbook for Small Enterprises

      Phase pre-step: Gather resources and participants

      1. Ensure you have an up-to-date IT strategy. If you don't have a formal strategy in place, ensure you are aware of the main organizational objectives for the next 3-5 years. Connect with executive stakeholders if necessary to confirm this information.
        If you are not sure of the organizational direction for this time frame, we recommend you consult Info-Tech's material on IT strategy first, to ensure your workforce plan is fully positioned to deliver value to the organization.
      2. Consult with your IT team and gather any documentation pertaining to current roles and skills. Examples include an org chart, job descriptions, a list of current tasks performed/required, a list of company competencies, and a list of outsourced projects.
      3. Gather the right participants. Most of the decisions in this section will be made by senior leadership, but you will also need input from front-line managers. Ensure they are available on an as-needed basis. If your organization has an HR partner, it can also be helpful to involve them in your workforce planning process.

      Formal workforce planning benefits even small teams

      Strategic workforce planning (SWP) is a systematic process designed to identify and address gaps in your workforce today and plan for the human capital needs of the future.

      Your workforce plan is an extension of your IT strategy, ensuring that you have the right people in the right positions, in the right places, at the right time, with the knowledge, skills, and attributes to deliver on strategic business goals.

      SWP helps you understand the makeup of your current workforce and how well prepared it is or isn't (as the case may be) to meet future IT requirements. By identifying capability gaps early, CIOs can prepare to train or develop current staff and minimize the need for severance payouts and hiring costs, while providing clear career paths to retain high performers.

      The smaller the business, the more impact each individual's performance has on the overall success of the organization. When a given role is occupied by a single individual, the organization's performance in that function is determined wholly by one employee. Creating a workforce plan for a small team may seem excessive, but it ensures your organization is not unexpectedly hit with a critical competency gap.

      Right-size your workforce planning process to the size of your enterprise

      Small organizations are 2.2 times more likely to have effective workforce planning processes.1 Be mindful of the opportunities and risks for organizations of your size as you execute the project. How you build your workforce plan will not change drastically based on the size of your organization; however, the scope of your initiative, the size of your team, and the tactics you employ may vary.

      Small Organization

      Medium Organization

      Large Organization

      Project Opportunities

      • Project scope is much more manageable.
      • Communication and planning can be more manageable.
      • Fewer roles can clarify prioritization needs and promotability.
      • Project scope is more manageable.
      • Moderate budget for workforce planning initiatives is needed.
      • Communication and enforcement is easier.
      • Larger candidate pool to pull from.
      • Greater career path options for staff.
      • In-house expertise may be available

      Project Risks

      • Limited resources and time to execute the project.
      • In-house expertise is unlikely.
      • Competencies may be informal and not documented.
      • Limited overlap in responsibilities, resulting in fewer redundancies.
      • Limited staff with experience for the project.
      • Workforce planning may be a lower priority and difficult to generate buy-in for.
      • Requires more staff to manage workforce plan and execute initiatives.
      • Less collective knowledge on staff strengths may make career planning difficult.
      • Geographically dispersed business units make collaboration and communication difficult.

      1 McLean & Company Trends Report 2014

      1.1 Set project outcomes and success metrics

      1-3 hours

      1. As a group, brainstorm key pain points that the IT department experiences due to the lack of a workforce plan. Ask them to consider turnover, retention, training, and talent acquisition.
      2. Discuss any key themes that arise and brainstorm your desired project outcomes. Keep a record of these for future reference and to aid in stakeholder communication.
      3. Break into smaller groups (or if too small, continue as a single group):
        1. For each desired outcome, consider what metrics you could use to track progress. Keep your initial list of pain points in mind as you brainstorm metrics.
        2. Write each of the metric suggestions on a whiteboard and agree to track 3-5 metrics. Set targets for each metric. Consider the effort required to obtain and track the metric, as well as its reliability.
        3. Assign one individual for tracking the selected metrics. Following the meeting, that individual will be responsible for identifying the baseline and targets, and reporting on metrics progress.

      Input

      Output

      • List of workforce data available
      • List of workforce metrics to track the workforce plan's impact

      Materials

      Participants

      • Whiteboard/flip charts
      • Leadership team
      • Human resource partner (if applicable)

      1.2 Identify key roles and competency gaps

      1-3 hours

      1. As a group, identify all strategic, core, and supporting roles by reviewing the organizational chart:
        1. Strategic: What are the roles that must be filled by top performers and cannot be left vacant in order to meet strategic objectives?
        2. Core: What roles are important to drive operational excellence?
        3. Supporting: What roles are required for day-to-day work, but are low risk if the role is vacant for a period of time?
      2. Working individually or in small groups, have managers for each identified role define the level of competence required for the job. Consider factors such as:
        1. The difficulty or criticality of the tasks being performed
        2. The impact on job outcomes
        3. The impact on the performance of other employees
        4. The consequence of errors if the competency is not present
        5. How frequently the competency is used on the job
        6. Whether the competency is required when the job starts or can be learned or acquired on the job within the first six months
      3. Continue working individually and rate the level of proficiency of the current incumbent.
      4. As a group, review the assessment and make any adjustments.

      Record this information in the Workforce Planning Workbook for Small Enterprises.

      Download the Workforce Planning Workbook for Small Enterprises

      1.2 Identify key roles and competency gaps

      Input Output
      • Org chart, job descriptions, list of current tasks performed/required, list of company competencies
      • List of competency gaps for key roles
      Materials Participants
      • Leadership team
      • Managers

      Conduct a risk-of-departure analysis

      A risk-of-departure analysis helps you plan for future talent needs by identifying which employees are most likely to leave the organization (or their current role).

      A risk analysis takes into account two factors: an employee's risk for departure and the impact of departure:

      Employees are high risk for departure if they:

      • Have specialized or in-demand skills (tenured employees are more likely to have this than recent hires)
      • Are nearing retirement
      • Have expressed career aspirations that extend outside your organization
      • Have hit a career development ceiling at your organization
      • Are disengaged
      • Are actively job searching
      • Are facing performance issues or dismissal OR promotion into a new role

      Employees are low risk for departure if they:

      • Are a new hire or new to their role
      • Are highly engaged
      • Have high potential
      • Are 5-10 years out from retirement

      If you are not sure where an employee stands with respect to leaving the organization, consider having a development conversation with them. In the meantime, consider them at medium risk for departure.

      To estimate the impact of departure, consider:

      • The effect of losing the employee in the near- and medium-term, including:
        • Impact on the organization, department, unit/team and projects
        • The cost (in time, resources, and productivity loss) to replace the individual
        • The readiness of internal successors for the role

      1.3 Conduct a risk analysis to identify future needs

      1-3 hours

      Preparation: Your estimation of whether key employees are at risk of leaving the organization will depend on what you know of them objectively (skills, age), as well as what you learn from development conversations. Ensure you collect all relevant information prior to conducting this activity. You may need to speak with employees' direct managers beforehand or include them in the discussion.

      • As a group, list all your current employees, and using the previous slide for guidance, rank them on two parameters: risk of departure and impact of departure, on a scale of low to high. Record your conclusions in a chart like the one on the right. (For a more in-depth risk assessment, use the "Risk Assessment Results" tab of the Key Roles Succession Planning Tool.)
      • Employees that fall in the "Mitigate" quadrant represent key at-risk roles with at least moderate risk and moderate impact. These are your succession planning priorities. Add these roles to your list of key roles and competency gaps, and include them in your workforce planning analysis.
      • Employees that fall in the "Manage" quadrants represent secondary priorities, which should be looked at if there is capacity after considering the "Mitigate" roles.

      Record this information in the Workforce Planning Workbook for Small Enterprises.

      This is an image of the Risk analysis for risk of departure to importance of departure.

      Info-Tech Insight

      Don't be afraid to rank most or all your staff as "high impact of departure." In a small enterprise, every player counts, and you must plan accordingly.

      1.3 Conduct a risk analysis to identify future needs

      Input Output
      • Employee data on competencies, skills, certifications, and performance. Input from managers from informal development conversations.
      • A list of first- and second-priority at-risk roles to carry forward into a succession planning analysis
      Materials Participants
      • Leadership team
      • Managers

      Determine your skill sourcing route

      The characteristics of need steer hiring managers to a preferred choice, while the marketplace analysis will tell you the feasibility of each option.

      Sourcing Options

      Preferred Options

      Final Choice

      four blue circles

      A right facing arrow

      Two blue circles A right facing arrow One blue circle
      State of the Marketplace

      State of the Marketplace

      Urgency: How soon do we need this skill? What is the required time-to-value?

      Criticality: How critical, i.e. core to business goals, are the services or systems that this skill will support?

      Novelty: Is this skill brand new to our workforce?

      Availability: How often, and at what hours, will the skill be needed?

      Durability: For how long will this skill be needed? Just once, or indefinitely for regular operations?

      Scarcity: How popular or desirable is this skill? Do we have a large enough talent pool to draw from? What competition are we facing for top talent?

      Cost: How much will it cost to hire vs. contract vs. outsource vs. train this skill?

      Preparedness: Do we have internal resources available to cultivate this skill in house?

      1.4 Determine your skill sourcing route

      1-3 hours

      1. Identify the preferred sourcing method as a group, starting with the most critical or urgent skill need on your list. Use the characteristics of need to guide your discussion. If more than one option seems adequate, carry several over to the next step.
      2. Consider the marketplace factors applicable to the skill in question and use these to narrow down to one final sourcing decision.
        1. If it is not clear whether a suitable internal candidate is available or ready, refer to the next activity for a readiness assessment.
      3. Be sure to document the rationale supporting your decision. This will ensure the decision can be clearly communicated to any stakeholders, and that you can review on your decision-making process down the line.

      Record this information in the Workforce Planning Workbook for Small Enterprises.

      Info-Tech Insight

      Consider developing a pool of successors instead of pinning your hopes on just one person. A single pool of successors can be developed for either one key role that has specialized requirements or even multiple key roles that have generic requirements.

      Input

      Output

      • List of current and upcoming skill gaps
      • A sourcing decision for each skill

      Materials

      Participants

      • Leadership team
      • Human resource partner (if applicable)

      1.5 Determine readiness of internal successors

      1-3 hours

      1. As a group, and ensuring you include the candidates' direct managers, identify potential successors for the first role on your list.
      2. Ask how effectively the potential successor would serve in the role today. Review the competencies for the key role in terms of:
        1. Relationship-building skills
        2. Business skills
        3. Technical skills
        4. Industry-specific skills or knowledge
      3. Determine what competencies the succession candidate currently has and what must be learned. Be sure you know whether the candidate is open to a career change. Don't assume – if this is not clear, have a development conversation to ensure everyone is on the same page.
      4. Finally, determine how difficult it will be for the successor to acquire missing skills or knowledge, whether the resources are available to provide the required development, and how long it will take to provide it.
      5. As a group, decide whether training an internal successor is a viable option for the role in question, considering the successor's readiness and the characteristics of need for the role. If a clear successor is not readily apparent, consider:
        1. If the development of the successor can be fast-tracked, or if some requirements can be deprioritized and the successor provided with temporary support from other employees.
        2. If the role in question is being discussed because the current incumbent is preparing to leave, consider negotiating an arrangement that extends the incumbent's employment tenure.
      6. Record the decision and repeat for the next role on your list.

      Info-Tech Insight

      A readiness assessment helps to define not just development needs, but also any risks around the organization's ability to fill a key role.

      Input

      Output

      • List of roles for which you are considering training internally
      • Job descriptions and competency requirements for the roles
      • List of roles for which internal successors are a viable option

      Materials

      Participants

      • Leadership team
      • Candidates' direct managers, if applicable

      Use alternative work arrangements to gain time to prepare successors

      Alternative work arrangements are critical tools that employers can use to achieve a mutually beneficial solution that mitigates the risk of loss associated with key roles.

      Alternative work arrangements not only support employees who want to keep working, but more importantly, they allow the business to retain employees that are needed in key roles who are departure risks due to retirement.

      Viewing retirement as a gradual process can help you slow down skill loss in your organization and ensure you have sufficient time to train successors. Retiring workers are becoming increasingly open to alternative work arrangements. Among employed workers aged 50-75, more than half planned to continue working part-time after retirement.
      Source: Statistics Canada.

      Flexible work options are the most used form of alternative work arrangement

      A bar graph showing the percent of organizations who implemented alternate work arrangement, for Flexible work options; Contract based work; Part time roles; Graduated retirement programs; Part year jobs or job sharing; Increased PTO for employees over a certain age.

      Source: McLean & Company, N=44

      Choose the alternative work arrangement that works best for you and the employee

      Alternative Work Arrangement Description Ideal Use Caveats
      Flexible work options Employees work the same number of hours but have flexibility in when and where they work (e.g. from home, evenings). Employees who work fairly independently with no or few direct reports. Employee may become isolated or disconnected, impeding knowledge transfer methods that require interaction or one-on-one time.
      Contract-based work Working for a defined period of time on a specific project on a non-salaried or non-wage basis. Project-oriented work that requires specialized knowledge or skills. Available work may be sporadic or specific projects more intensive than the employee wants. Knowledge transfer must be built into the contractual arrangement.
      Part-time roles Half days or a certain number of days per week; indefinite with no end date in mind. Employees whose roles can be readily narrowed and upon whom people and critical processes are not dependent. It may be difficult to break a traditionally full-time job down into a part-time role given the size and nature of associated tasks.
      Graduated retirement Retiring employee has a set retirement date, gradually reducing hours worked per week over time. Roles where a successor has been identified and is available to work alongside the incumbent in an overlapping capacity while he or she learns. The role may only require a single FTE, and the organization may not be able to afford the amount of redundancy inherent in this arrangement.

      Choose the alternative work arrangement that works best for you and the employee

      Alternative Work Arrangement Description Ideal Use Caveats
      Part-year jobs or job sharing Working part of the year and having the rest of the year off, unpaid. Project-oriented work where ongoing external relationships do not need to be maintained. The employee is unavailable for knowledge transfer activities for a large portion of the year. Another risk is that the employee may opt not to return at the end of the extended time off with little notice.
      Increased paid time off Additional vacation days upon reaching a certain age. Best used as recognition or reward for long-term service. This may be a particularly useful retention incentive in organizations that do not offer pension plans. The company may not be able to financially afford to pay for such extensive time off. If the role incumbent is the only one in the role, this may mean crucial work is not being done.
      Altered roles Concentration of a job description on fewer tasks that allows the employee to focus on his or her specific expertise. Roles where a successor has been identified and is available to work alongside the incumbent, with the incumbent's new role highly focused on mentoring. The role may only require a single FTE, and the organization may not be able to afford the amount of redundancy inherent in this arrangement.

      Phase 2

      Knowledge Transfer

      Workforce Planning

      Knowledge Transfer

      Development Planning

      Identify needs, goals, metrics, and skill gaps.

      Select a skill sourcing strategy.

      Discover critical knowledge.

      Select knowledge transfer methods.

      Identify priority competencies.

      Assess employees.

      Draft development goals.

      Provide coaching & feedback.

      The Small Enterprise Guide to People and Resource Management

      Phase Participants

      • Leadership/management team
      • Incumbent & successor

      Additional Resources

      IT Knowledge Identification Interview Guide Template

      Knowledge Transfer Plan Template

      Determine your skill sourcing route

      Knowledge transfer plans have three key components that you need to complete for each knowledge source:

      Define what knowledge needs to be transferred

      Each knowledge source has unique information which needs to be transferred. Chances are you don't know what you don't know. The first step is therefore to interview knowledge sources to find out.

      Identify the knowledge receiver

      Depending on who the information is going to, the knowledge transfer tactic you employ will differ. Before deciding on the knowledge receiver and tactic, consider three key factors:

      • How will this knowledge be used in the future?
      • What is the next career step for the knowledge receiver?
      • Are the receiver and the source going to be in the same location?

      Identify which knowledge transfer tactics you will use for each knowledge asset

      Not all tactics are good in every situation. Always keep the "knowledge type" (information, process, skills, and expertise), knowledge sources' engagement level, and the knowledge receiver in mind as you select tactics.

      Don't miss tacit knowledge

      There are two basic types of knowledge: "explicit" and "tacit." Ensure you capture both to get a well-rounded overview of the role.

      Explicit Tacit
      • "What knowledge" – knowledge can be articulated, codified, and easily communicated.
      • Easily explained and captured – documents, memos, speeches, books, manuals, process diagrams, facts, etc.
      • Learn through reading or being told.
      • "How knowledge" – intangible knowledge from an individual's experience that is more from the process of learning, understanding, and applying information (insights, judgments, and intuition).
      • Hard to verbalize, and difficult to capture and quantify.
      • Learn through observation, imitation, and practice.

      Types of explicit knowledge

      Types of tacit knowledge

      Information Process Skills Expertise

      Specialized technical knowledge.

      Unique design capabilities/methods/models.

      Legacy systems, details, passwords.

      Special formulas/algorithms/ techniques/contacts.

      • Specialized research & development processes.
      • Proprietary production processes.
      • Decision-making processes.
      • Legacy systems.
      • Variations from documented processes.
      • Techniques for executing on processes.
      • Relationship management.
      • Competencies built through deliberate practice enabling someone to act effectively.
      • Company history and values.
      • Relationships with key stakeholders.
      • Tips and tricks.
      • Competitor history and differentiators.

      e.g. Knowing the lyrics to a song, building a bike, knowing the alphabet, watching a YouTube video on karate.

      e.g. Playing the piano, riding a bike, reading or speaking a language, earning a black belt in karate.

      Embed your knowledge transfer methods into day-to-day practice

      Multiple methods should be used to transfer as much of a person's knowledge as possible, and mentoring should always be one of them. Select your method according to the following criteria:

      Info-Tech Insight

      The more integrated knowledge transfer is in day-to-day activities, the more likely it is to be successful, and the lower the time cost. This is because real learning is happening at the same time real work is being accomplished.

      Type of Knowledge

      • Tacit knowledge transfer methods are often informal and interactive:
        • Mentoring
        • Multi-generational work teams
        • Networks and communities
        • Job shadowing
      • Explicit knowledge transfer methods tend to be more formal and one way:
        • Formal documentation of processes and best practices
        • Self-published knowledge bases
        • Formal training sessions
        • Formal interviews

      Incumbent's Preference/Successor's Preference

      Ensure you consult the employees, and their direct manager, on the way they are best prepared to teach and learn. Some examples of preferences include:

      1. Prefer traditional classroom learning, augmented with participation, critical reflection, and feedback.
      2. May get bored during formal training sessions and retain more during job shadowing.
      3. Prefer to be self-directed or self-paced, and highly receptive to e-learning and media.
      4. Prefer informal, incidental learning, tend to go immediately to technology or direct access to people. May have a short attention span and be motivated by instant results.
      5. May be uncomfortable with blogs and wikis, but comfortable with SharePoint.

      Cost

      Consider costs beyond the monetary. Some methods require an investment in time (e.g. mentoring), while others require an investment in technology (e.g. knowledge bases).

      The good news is that many supporting technologies may already exist in your organization or can be acquired for free.

      Methods that cost time may be difficult to get underway since employees may feel they don't have the time or must change the way they work.

      2.1 Create a knowledge transfer plan

      1-3 hours

      1. Working together with the current incumbent, brainstorm the key information pertaining to the role that you want to pass on to the successor. Use the IT Knowledge Identification Interview Guide Template to ensure you don't miss anything.
        • Consider key knowledge areas, including:
          • Specialized technical knowledge.
          • Specialized research and development processes.
          • Unique design capabilities/methods/models.
          • Special formulas/algorithms/techniques.
          • Proprietary production processes.
          • Decision-making criteria.
          • Innovative sales methods.
          • Knowledge about key customers.
          • Relationships with key stakeholders.
          • Company history and values.
        • Ask questions of both sources and receivers of knowledge to help determine the best knowledge transfer methods to use.
          • What is the nature of the knowledge? Explicit or tacit?
          • Why is it important to transfer?
          • How will the knowledge be used?
          • What knowledge is critical for success?
          • How will the users find and access it?
          • How will it be maintained and remain relevant and usable?
          • What are the existing knowledge pathways or networks connecting sources to recipients?
      2. Once the knowledge has been identified, use the information on the following slides to decide on the most appropriate methods. Be sure to consult the incumbent and successor on their preferences.
      3. Prioritize your list of knowledge transfer activities. It's important not to try to do too much too quickly. Focus on some quick wins and leverage the success of these initiatives to drive the project forward. Follow these steps as a guide:
        1. Take an inventory of all the tactics and techniques which you plan to employ. Eliminate redundancies where possible.
        2. Start your implementation with your highest risk role or knowledge item, using explicit knowledge transfer tactics. Interviews, use cases, and process mapping will give you some quick wins and will help gain momentum for the project.
        3. Then move forward to other tactics, the majority of which will require training and process design. Pick 1-2 other key tactics you would like to employ and build those out. For tactics that require resources or monetary investment, start with those that can be reused for multiple roles.

      Record your plan in the IT Knowledge Transfer Plan Template.

      Download the IT Knowledge Identification Interview Guide Template

      Download the Knowledge Transfer Plan Template

      Info-Tech Insight

      Wherever possible, ask employees about their personal learning styles. It's likely that a collaborative compromise will have to be struck for knowledge transfer to work well.

      2.1 Create a knowledge transfer plan

      Input

      Output

      • List of roles for which you need to transfer knowledge
      • Prioritized list of knowledge items and chosen transfer method

      Materials

      Participants

      • Leadership team
      • Incumbent
      • Successor

      Not every transfer method is effective for every type of knowledge

      Knowledge Type
      Tactic Explicit Tacit
      Information Process Skills Expertise
      Interviews Very Strong Strong Strong Strong
      Process Mapping Medium Very Strong Very Weak Very Weak
      Use Cases Medium Very Strong Very Weak Very Weak
      Job Shadow Very Weak Medium Very Strong Very Strong
      Peer Assist Strong Medium Very Strong Very Strong
      Action Review Medium Medium Strong Strong
      Mentoring Weak Weak Strong Very Strong
      Transition Workshop Strong Strong Strong Weak
      Storytelling Weak Weak Strong Very Strong
      Job Share Weak Weak Very Strong Very Strong
      Communities of Practice Strong Weak Very Strong Very Strong

      This table shows the relative strengths and weaknesses of each knowledge transfer tactic compared against four different knowledge types.

      Not all techniques are effective for all types of knowledge; it is important to use a healthy mixture of techniques to optimize effectiveness.

      Employees' engagement can impact knowledge transfer effectiveness

      Level of Engagement
      Tactic Disengaged/ Indifferent Almost Engaged - Engaged
      Interviews Yes Yes
      Process Mapping Yes Yes
      Use Cases Yes Yes
      Job Shadow No Yes
      Peer Assist Yes Yes
      Action Review Yes Yes
      Mentoring No Yes
      Transition Workshop Yes Yes
      Storytelling No Yes
      Job Share Maybe Yes
      Communities of Practice Maybe Yes

      When considering which tactics to employ, it's important to consider the knowledge holder's level of engagement. Employees who you would identify as being disengaged may not make good candidates for job shadowing, mentoring, or other tactics where they are required to do additional work or are asked to influence others.

      Knowledge transfer can be controversial for all employees as it can cause feelings of job insecurity. It's essential that motivations for knowledge transfer are communicated effectively.

      Pay particular attention to your communication style with disengaged and indifferent employees, communicate frequently, and tie communication back to what's in it for them.

      Putting disengaged employees in a position where they are mentoring others can be a risk, as their negativity could influence others not to participate, or it could negate the work you're doing to create a positive knowledge sharing culture.

      Employees' engagement can impact knowledge transfer effectiveness

      Effort by Stakeholder

      Tactic

      Business Analyst

      IT Manager

      Knowledge Holder

      Knowledge Receiver

      Interviews

      These tactics require the least amount of effort, especially for organizations that are already using these tactics for a traditional requirements gathering process.

      Medium

      N/A

      Low

      Low

      Process Mapping

      Medium

      N/A

      Low

      Low

      Use Cases

      Medium

      N/A

      Low

      Low

      Job Shadow

      Medium

      Medium

      Medium

      Medium

      Peer Assist

      Medium

      Medium

      Medium

      Medium

      Action Review

      These tactics generally require more involvement from IT management and the BA in tandem for preparation. They will also require ongoing effort for all stakeholders. It's important to gain stakeholder buy-in as it is key for success.

      Low

      Medium

      Medium

      Low

      Mentoring

      Medium

      High

      High

      Medium

      Transition Workshop

      Medium

      Low

      Medium

      Low

      Storytelling

      Medium

      Medium

      Low

      Low

      Job Share

      Medium

      High

      Medium

      Medium

      Communities of Practice

      High

      Medium

      Medium

      Medium

      Phase 3

      Development Planning

      Workforce Planning

      Knowledge Transfer

      Development Planning

      Identify needs, goals, metrics, and skill gaps.

      Select a skill sourcing strategy.

      Discover critical knowledge.

      Select knowledge transfer methods.

      Identify priority competencies.

      Assess employees.

      Draft development goals.

      Provide coaching & feedback.

      The Small Enterprise Guide to People and Resource Management

      Phase Participants

      • Leadership team
      • Managers
      • Employees

      Additional Resources

      Effective development planning hinges on robust performance management

      Your performance management framework is rooted in organizational goals and defines what it means to do any given role well.

      Your organization's priority competencies are the knowledge, skills and attributes that enable an employee to do the job well.

      Each individual's development goals are then aimed at building these priority competencies.

      Mission Statement

      To be the world's leading manufacturer and distributor of widgets.

      Business Goal

      To increase annual revenue by 10%.

      IT Department Objective

      To ensure reliable communications infrastructure and efficient support for our sales and development teams.

      Individual Role Objective

      To decrease time to resolution of support requests by 10% while maintaining quality.

      Info-Tech Insight

      Without a performance management framework, your employees cannot align their development with the organization's goals. For detailed guidance, see Info-Tech's blueprint Setting Meaningful Employee Performance Measures.

      What is a competency?

      The term "competency" refers to the collection of knowledge, skills, and attributes an employee requires to do a job well.

      Often organizations have competency frameworks that consist of core, leadership, and functional competencies.

      Core competencies apply to every role in the organization. Typically, they are tied to organizational values and business mission and/or vision.

      Functional competencies are at the department, work group, or job role levels. They are a direct reflection of the function or type of work carried out.

      Leadership competencies generally apply only to people managers in the organization. Typically, they are tied to strategic goals in the short to medium term

      Generic Functional
      • Core
      • Leadership
      • IT
      • Finance
      • Sales
      • HR

      Use the SMART model to make sure goals are reasonable and attainable

      S

      Specific: Be specific about what you want to accomplish. Think about who needs to be involved, what you're trying to accomplish, and when the goal should be met.

      M

      Measurable: Set metrics that will help to determine whether the goal has been reached.

      A

      Achievable: Ensure that you have both the organizational resources and employee capability to accomplish the goal.

      R

      Relevant: Goals must align with broader business, department, and development goals in order to be meaningful.

      T

      Time-bound: Provide a target date to ensure the goal is achievable and provide motivation.

      Example goal:

      "Learn Excel this summer."

      Problems:

      Not specific enough, not measurable enough, nor time bound.

      Alternate SMART goal:

      "Consult with our Excel expert and take the lead on creating an Excel tool in August."

      3.2 Identify target competencies & draft development goals

      1 hour

      Pre-work: Employees should come to the career conversation having done some self-reflection. Use Info-Tech's IT Employee Career Development Workbook to help employees identify their career goals.

      1. Pre-work: Managers should gather any data they have on the employee's current proficiency at key competencies. Potential sources include task-based assessments, performance ratings, supervisor or peer feedback, and informal conversation.

        Prioritize competencies. Using your list of priority organizational competencies, work with your employees to help them identify two to four competencies to focus on developing now and in the future. Use the Individual Competency Development Plan template to document your assessment and prioritize competencies for development. Consider the following questions for guidance:
        1. Which competencies are needed in my current role that I do not have full proficiency in?
        2. Which competencies are related to both my career interests and the organization's priorities?
        3. Which competencies are related to each other and could be developed together or simultaneously?
      2. Draft goals. Ask your employee to create a list of multiple simple goals to develop the competencies they have selected to work on developing over the next year. Identifying multiple goals helps to break development down into manageable chunks. Ensure goals are concrete, for example, if the competency is "communication skills," your development goals could be "presentation skills" and "business writing."
      3. Review goals:
        1. Ask why these areas are important to the employee.
        2. Share your ideas and why it is important that the employee develop in the areas identified.
        3. Ensure that the goals are realistic. They should be stretch goals, but they must be achievable. Use the SMART framework on the previous slide for guidance.

      Info-Tech Insight

      Lack of career development is the top reason employees leave organizations. Development activities need to work for both the organization and the employee's own development, and clearly link to advancing employees' careers either at the organization or beyond.

      Download the IT Employee Career Development Workbook

      Download the Individual Competency Development Plan

      3.2 Identify target competencies & draft development goals

      Input

      Output

      • Employee's career aspirations
      • List of priority organizational competencies
      • Assessment of employee's current proficiency
      • A list of concrete development goals

      Materials

      Participants

      • Employee
      • Direct manager

      Apply a blend of learning methods

      • Info-Tech recommends the 70-20-10 principle for learning and development, which places the greatest emphasis on learning by doing. This experiential learning is then supported by feedback from mentoring, training, and self-reflection.
      • Use the 70-20-10 principle as a guideline – the actual breakdown of your learning methods will need to be tailored to best suit your organization and the employee's goals.

      Spend development time and effort wisely:

      70%

      On providing challenging on-the-job opportunities

      20%

      On establishing opportunities for people to develop learning relationships with others, such as coaching and mentoring

      10%

      On formal learning and training programs

      Internal initiatives are a cost-effective development aid

      Internal Initiative

      What Is It?

      When to Use It

      Special Project

      Assignment outside of the scope of the day-to-day job (e.g. work with another team on a short-term initiative).

      As an opportunity to increase exposure and to expand skills beyond those required for the current job.

      Stretch Assignment

      The same projects that would normally be assigned, but in a shorter time frame or with a more challenging component.

      Employee is consistently meeting targets and you need to see what they're capable of.

      Training Others

      Training new or more junior employees on their position or a specific process.

      Employee wants to expand their role and responsibility and is proficient and positive.

      Team Lead On an Assignment

      Team lead for part of a project or new initiative.

      To prepare an employee for future leadership roles by increasing responsibility and developing basic managerial skills.

      Job Rotation

      A planned placement of employees across various roles in a department or organization for a set period of time.

      Employee is successfully meeting and/or exceeding job expectations in their current role.

      Incorporating a development objective into daily tasks

      What do we mean by incorporating into daily tasks?

      The next time you assign a project to an employee, you should also ask the employee to think about a development goal for the project. Try to link it back to their existing goals or have them document a new goal in their development plan.

      For example: A team of employees always divides their work in the same way. Their goal for their next project could be to change up the division of responsibility so they can learn each other's roles.

      Another example:

      "I'd like you to develop your ability to explain technical terms to a non-technical audience. I'd like you to sit down with the new employee who starts tomorrow and explain how to use all our software, getting them up and running."

      Info-Tech Insight

      Employees often don't realize that they are being developed. They either think they are being recognized for good work or they are resentful of the additional workload.

      You need to tell your employees that the activity you are asking them to do is intended to further their development.

      However, be careful not to sell mundane tasks as development opportunities – this is offensive and detrimental to engagement.

      Establish manager and employee accountability for following up

      Ensure that the employee makes progress in developing prioritized competencies by defining accountabilities:

      Tracking Progress

      Checking In

      Development Meetings

      Coaching & Feedback

      Employee accountability:

      • Employees need to keep track of what they learn.
      • Employees should take the time to reflect on their progress.

      Manager accountability:

      • Managers need to make the time for employees to reflect.

      Employee accountability:

      • Employees need to provide managers with updates and ask for help.

      Manager accountability:

      • Managers need to check in with employees to see if they need additional resources.

      Employee accountability:

      • Employees need to complete assessments again to determine whether they have made progress.

      Manager accountability:

      • Managers should schedule monthly meetings to discuss progress and identify next steps.

      Employee accountability:

      • Employees should ask their manager and colleagues for feedback after development activities.

      Manager accountability:

      • Managers can use both scheduled meetings and informal conversations to provide coaching and feedback to employees.

      3.3 Select development activities and schedule check-ins

      1-3 hours

      Pre-work: Employees should research potential development activities and come prepared with a range of suggestions.

      Pre-work: Managers should investigate options for employee development, such as internal training/practice opportunities for the employee's selected competencies and availability of training budget.

      1. Communicate your findings about internal opportunities and external training allowance to the employee. This can also be done prior to the meeting, to help guide the employee's own research. Address any questions or concerns.
      2. Review the employee's proposed list of activities, and identify priority ones based on:
        1. How effectively they support the development of priority competencies.
        2. How closely they match the employee's original goals.
        3. The learning methods they employ, and whether the chosen activities support a mix of different methods.
        4. The degree to which the employee will have a chance to practice new skills hands-on.
        5. The amount of time the activities require, balanced against the employee's work obligations.
      3. Guide the employee in selecting activities for the short and medium term. Establish an understanding that this list is tentative and subject to ongoing revision during future check-ins.
        1. If in doubt about whether the employee is over-committing, err on the side of fewer activities to start.
      4. Schedule a check-in for one month out to review progress and roadblocks, and to reaffirm priorities.
      5. Check-ins should be repeated regularly, typically once a month.

      Download the Learning Methods Catalog

      Info-Tech Insight

      Adopt a blended learning approach using a variety of techniques to effectively develop competencies. This will reinforce learning and accommodate different learning styles. See Info-Tech's Learning Methods Catalog for a description of popular experiential, relational, and formal learning methods.

      3.3 Select development activities and schedule check-ins

      Input

      Output

      • List of potential development activities (from employee)
      • List of organizational resources (from manager)
      • A selection of feasible development activities
      • Next check-in scheduled

      Materials

      Participants

      • Employee
      • Direct manager

      Tips for tricky conversations about development

      What to do if…

      Employees aren't interested in development:

      • They may have low aspiration for advancement.
      • Remind them about the importance of staying current in their role given increasing job requirements.
      • Explain that skill development will make their job easier and make them more successful at it; sell development as a quick and effective way to learn the skill.
      • Indicate your support and respond to concerns.

      Employees have greater aspiration than capability:

      • Explain that there are a number of skills and capabilities that they need to improve in order to move to the next level. If the specific skills were not discussed during the performance appraisal, do not hesitate to explain the improvements that you require.
      • Inform the employee that you want them to succeed and that by pushing too far and too fast they risk failure, which would not be beneficial to anyone.
      • Reinforce that they need to do their current job well before they can be considered for promotion.

      Employees are offended by your suggestions:

      • Try to understand why they are offended. Before moving forward, clarify whether they disagree with the need for development or the method by which you are recommending they be developed.
      • If it is because you told them they had development needs, then reiterate that this is about helping them to become better and that everyone has areas to develop.
      • If it is about the development method, discuss the different options, including the pros and cons of each.

      Coaching and feedback skills help managers guide employee development

      Coaching and providing feedback are often confused. Managers often believe they are coaching when they are just giving feedback. Learn the difference and apply the right approach for the right situation.

      What is coaching?

      A conversation in which a manager asks questions to guide employees to solve problems themselves.

      Coaching is:

      • Future-focused
      • Collaborative
      • Geared toward growth and development

      What is feedback?

      Information conveyed from the manager to the employee about their performance.

      Feedback is:

      • Past-focused
      • Prescriptive
      • Geared toward behavior and performance

      Info-Tech Insight

      Don't forget to develop your managers! Ensure coaching, feedback, and management skills are part of your management team's development plan.

      Understand the foundations of coaching to provide effective development coaching:

      Knowledge Mindset Relationship
      • Understand what coaching is and how to apply it:
      • Identify when to use coaching, feedback, or other people management practices, and how to switch between them.
      • Know what coaching can and cannot accomplish.
      • When focusing on performance, guide an employee to solve problems related to their work. When focusing on development, guide an employee to reach their own development goals.
      • Adopt a coaching mindset by subscribing to the following beliefs:
      • Employees want to achieve higher performance and have the potential to do so.
      • Employees have a unique and valuable perspective to share of the challenges they face as well as the possible solutions.
      • Employees should be empowered to realize solutions themselves to motivate them in achieving goals.
      • Develop a relationship of trust between managers and employees:
      • Create an environment of psychological safety where employees feel safe to be open and honest.
      • Involve employees in decision making and inform employees often.
      • Invest in employees' success.
      • Give and expect candor.
      • Embrace failure.

      Apply the "4A" behavior-focused coaching model

      Using a model allows every manager, even those with little experience, to apply coaching best practices effectively.

      Actively Listen

      Ask

      Action Plan

      Adapt

      Engage with employees and their message, rather than just hearing their message.

      Key active listening behaviors:

      • Provide your undivided attention.
      • Observe both spoken words and body language.
      • Genuinely try to understand what the employee is saying.
      • Listen to what is being said, then paraphrase back what you heard.

      Ask thoughtful, powerful questions to learn more information and guide employees to uncover opportunities and/or solutions.

      Key asking behaviors:

      • Ask open-ended questions.
      • Ask questions to learn something you didn't already know.
      • Ask for reasoning (the why).
      • Ask "what else?"

      Hold employees and managers accountable for progress and results.

      During check-ins, review each development goal to ensure employees are meeting their targets.

      Key action planning behaviors:

      Adapt to individual employees and situations.

      Key adapting behaviors:

      • Recognize employees' unique characteristics.
      • Appreciate the situation at hand and change your behavior and communication in order to best support the individual employee.

      Use the following questions to have meaningful coaching conversations

      Opening Questions

      • What's on your mind?
      • Do you feel you've had a good week/month?
      • What is the ideal situation?
      • What else?

      Problem-Identifying Questions

      • What is most important here?
      • What is the challenge here for you?
      • What is the real challenge here for you?
      • What is getting in the way of you achieving your goal?

      Problem-Solving Questions

      • What are some of the options available?
      • What have you already tried to solve this problem? What worked? What didn't work?
      • Have you considered all the possibilities?
      • How can I help?

      Next-Steps Questions

      • What do you need to do, and when, to achieve your goal?
      • What resources are there to help you achieve your goal? This includes people, tools, or even resources outside our organization.
      • How will you know when you have achieved your goal? What does success look like?

      The purpose of asking questions is to guide the conversation and learn something you didn't already know. Choose the questions you ask based on the flow of the conversation and on what information you would like to uncover. Approach the answers you get with an open mind.

      Info-Tech Insight

      Avoid the trap of "hidden agenda" questions, whose real purpose is to offer your own advice.

      Use the following approach to give effective feedback

      Provide the feedback in a timely manner

      • Plan the message you want to convey.
      • Provide feedback "just-in-time."
      • Ensure recipient is not preoccupied.
      • Try to balance the feedback; refer to successful as well as unsuccessful behavior.

      Communicate clearly, using specific examples and alternative behaviors

      • Feedback must be honest and helpful.
      • Be specific and give a recent example.
      • Be descriptive, not evaluative.
      • Relate feedback to behaviors that can be changed.
      • Give an alternative positive behavior.

      Confirm their agreement and understanding

      • Solicit their thoughts on the feedback.
      • Clarify if not understood; try another example.
      • Confirm recipient understands and accepts the feedback.

      Manager skill is crucial to employee development

      Development is a two-way street. This means that while employees are responsible for putting in the work, managers must enable their development with support and guidance. The latter is a skill, which managers must consciously cultivate.

      For more in-depth management skills development, see the Info-Tech "Build a Better Manager" training resources:

      Bibliography

      Anderson, Kelsie. "Is Your IT Department Prepared for the 4 Biggest Challenges of 2017?" 14 June 2017.
      Atkinson, Carol, and Peter Sandiford. "An Exploration of Older Worker Flexible Working Arrangements in Smaller Firms." Human Resource Management Journal, vol. 26, no. 1, 2016, pp. 12–28. Wiley Online Library.
      BasuMallick, Chiradeep. "Top 8 Best Practices for Employee Cross-Training." Spiceworks, 15 June 2020.
      Birol, Andy. "4 Ways You Can Succeed With a Staff That 'Wears Multiple Hats.'" The Business Journals, 26 Nov. 2013.
      Bleich, Corey. "6 Major Benefits To Cross-Training Employees." EdgePoint Learning, 5 Dec. 2018.
      Cancialosi, Chris. "Cross-Training: Your Best Defense Against Indispensable Employees." Forbes, 15 Sept. 2014.
      Cappelli, Peter, and Anna Tavis. "HR Goes Agile." Harvard Business Review, Mar. 2018.
      Chung, Kai Li, and Norma D'Annunzio-Green. "Talent Management Practices of SMEs in the Hospitality Sector: An Entrepreneurial Owner-Manager Perspective." Worldwide Hospitality and Tourism Themes, vol. 10, no. 4, Jan. 2018.
      Clarkson, Mary. Developing IT Staff: A Practical Approach. Springer Science & Business Media, 2012.
      "CNBC and SurveyMonkey Release Latest Small Business Survey Results." Momentive, 2019. Press Release. Accessed 6 Aug. 2020.
      Cselényi, Noémi. "Why Is It Important for Small Business Owners to Focus on Talent Management?" Jumpstart:HR | HR Outsourcing and Consulting for Small Businesses and Startups, 25 Mar. 2013.
      dsparks. "Top 10 IT Concerns for Small Businesses." Stratosphere Networks IT Support Blog - Chicago IT Support Technical Support, 16 May 2017.
      Duff, Jimi. "Why Small to Mid-Sized Businesses Need a System for Talent Management | Talent Management Blog | Saba Software." Saba, 17 Dec. 2018.
      Employment and Social Development Canada. "Age-Friendly Workplaces: Promoting Older Worker Participation." Government of Canada, 3 Oct. 2016.
      Exploring Workforce Planning. Accenture, 23 May 2017.
      "Five Major IT Challenges Facing Small and Medium-Sized Businesses." Advanced Network Systems. Accessed 25 June 2020.
      Harris, Evan. "IT Problems That Small Businesses Face." InhouseIT, 17 Aug. 2016.
      Heathfield, Susan. "What Every Manager Needs to Know About Succession Planning." Liveabout, 8 June 2020.
      ---. "Why Talent Management Is an Important Business Strategy." Liveabout, 29 Dec. 2019.
      Herbert, Chris. "The Top 5 Challenges Facing IT Departments in Mid-Sized Companies." ExpertIP, 25 June 2012.
      How Smaller Organizations Can Use Talent Management to Accelerate Growth. Avilar. Accessed 25 June 2020.
      Krishnan, TN, and Hugh Scullion. "Talent Management and Dynamic View of Talent in Small and Medium Enterprises." Human Resource Management Review, vol. 27, no. 3, Sept. 2017, pp. 431–41.
      Mann Jackson, Nancy. "Strategic Workforce Planning for Midsized Businesses." ADP, 6 Feb. 2017.
      McCandless, Karen. "A Beginner's Guide to Strategic Talent Management (2020)." The Blueprint, 26 Feb. 2020.
      McFeely, Shane, and Ben Wigert. "This Fixable Problem Costs U.S. Businesses $1 Trillion." Gallup.com, 13 Mar. 2019.
      Mihelič, Katarina Katja. Global Talent Management Best Practices for SMEs. Jan. 2020.
      Mohsin, Maryam. 10 Small Business Statistics You Need to Know in 2020 [May 2020]. 4 May 2020.
      Ramadan, Wael H., and B. Eng. The Influence of Talent Management on Sustainable Competitive Advantage of Small and Medium Sized Establishments. 2012, p. 15.
      Ready, Douglas A., et al. "Building a Game-Changing Talent Strategy." Harvard Business Review, no. January–February 2014, Jan. 2014.
      Reh, John. "Cross-Training Employees Strengthens Engagement and Performance." Liveabout, May 2019.
      Rennie, Michael, et al. McKinsey on Organization: Agility and Organization Design. McKinsey, May 2016.
      Roddy, Seamus. "The State of Small Business Employee Benefits in 2019." Clutch, 18 Apr. 2019.
      SHRM. "Developing Employee Career Paths and Ladders." SHRM, 28 Feb. 2020.
      Strandberg, Coro. Sustainability Talent Management: The New Business Imperative. Strandberg Consulting, Apr. 2015.
      Talent Management for Small & Medium-Size Businesses. Success Factors. Accessed 25 June 2020.
      "Top 10 IT Challenges Facing Small Business in 2019." Your IT Department, 8 Jan. 2019.
      "Why You Need Workforce Planning." Workforce.com, 24 Oct. 2022.

      Embed Security Into the DevOps Pipeline

      • Buy Link or Shortcode: {j2store}265|cart{/j2store}
      • member rating overall impact (scale of 10): 9.3/10 Overall Impact
      • member rating average dollars saved: $31,515 Average $ Saved
      • member rating average days saved: 26 Average Days Saved
      • Parent Category Name: Secure Cloud & Network Architecture
      • Parent Category Link: /secure-cloud-network-architecture
      • Your organization is starting its DevOps journey and is looking to you for guidance on how to ensure that the outcomes are secure.
      • Or, your organization may have already embraced DevOps but left the security team behind. Now you need to play catch-up.

      Our Advice

      Critical Insight

      • Shift security left. Identify opportunities to embed security earlier in the development pipeline.
      • Start with minimum viable security. Use agile methodologies to further your goals of secure DevOps.
      • Treat “No” as a finite resource. The role of security must transition from that of naysayer to a partner in finding the way to “Yes.”

      Impact and Result

      • Leverage the CLAIM (Culture, Learning, Automation, Integration, Measurement) Framework to identify opportunities to close the gaps.
      • Collaborate to find new ways to shift security left so that it becomes part of development rather than an afterthought.
      • Start with creating minimum viable security by developing a DevSecOps implementation strategy that focuses initially on quick wins.

      Embed Security Into the DevOps Pipeline Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should secure the DevOps pipeline, review Info-Tech’s methodology, and understand the ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Identify opportunities

      Brainstorm opportunities to secure the DevOps pipeline using the CLAIM Framework.

      • Embed Security Into the DevOps Pipeline – Phase 1: Identify Opportunities

      2. Develop strategy

      Assess opportunities and formulate a strategy based on a cost/benefit analysis.

      • Embed Security Into the DevOps Pipeline – Phase 2: Develop Strategy
      • DevSecOps Implementation Strategy Template
      [infographic]

      Select an Enterprise Application

      • Buy Link or Shortcode: {j2store}588|cart{/j2store}
      • member rating overall impact (scale of 10): 10.0/10 Overall Impact
      • member rating average dollars saved: $10,000 Average $ Saved
      • member rating average days saved: 10 Average Days Saved
      • Parent Category Name: Enterprise Applications
      • Parent Category Link: /enterprise-applications
      • Organizations rarely have both the sufficient knowledge and resources to properly evaluate, select, and implement an enterprise application software (EAS), forcing them to turn to external partnerships.
      • Inadequate and incomplete requirements skew the EAS selection in one direction or another. Many EAS projects fail due to a lack of clear description and specification of functional requirements.
      • The EAS technology market is so vast that it becomes nearly impossible to know where to start or how to differentiate between vendors and products.

      Our Advice

      Critical Insight

      • Accountability for EAS success is shared between IT and the business. There is no single owner of an EAS. A unified approach to building your strategy promotes an integrated roadmap so all stakeholders have clear direction on the future state.
      • While technology is the key enabler of building strong customer experiences, there are many other drivers of dissatisfaction. IT must stand shoulder-to-shoulder with the business to develop a technology framework for enterprise applications.
      • EAS projects are more successful when the management team understands the strategic importance and the criticality of alignment. Time needs to be spent upfront aligning business strategies with EAS capabilities. Effective alignment between IT and the business should happen daily. Alignment doesn’t just occur at the executive level but at each level of the organization.

      Impact and Result

      • Conduct an EAS project preparedness assessment as a means to ensure you maximize the value of your time, effort, and spending.
      • Gather the necessary resources to form the team to conduct the EAS selection.
      • Gett the proper EAS requirement landscape by mapping out business capabilities and processes, translating into prioritized EAS requirements.
      • Review SoftwareReviews vendor reports to shortlist vendors for your RFP process.
      • Use Info-Tech’s templates and tools to gather your EAS requirements, build your RFP and evaluation scorecard, and build a foundational EAS selection framework.

      Select an Enterprise Application Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Select an Enterprise Application Software Storyboard - A blueprint which prepares you for a proper and better enterprise application selection outcome.

      Properly selecting and implementing an enterprise application requires a proper structure. This blueprint guides you with a framework to help in such project, including steps such as assessing readiness, plan for the right resources, requirements gathering, shortlisting, obtaining and evaluating vendor responses, and preparing for implementation.

      • Select an Enterprise Application Software Storyboard

      2. Select an Enterprise Application Readiness Assessment Checklist – a checklist to assess your readiness towards moving ahead with the selection process.

      The EAS Readiness Checklist includes a list of essential tasks to be completed prior to the enterprise application selection and implementation project.

      • EAS Readiness Assessment Checklist

      3. ERP/HRIS/CRM Requirements Templates – a set of templates to help build a list of requirements and features for the selection process.

      These templates are specific to either ERP, HRIS, or CRM. Each template lists out a set of modules and features allowing you to easily build your requirements.

      • ERP Requirements Template
      • HRIS Requirements Template
      • CRM Requirements Template

      4. Vendor Solicitation (RFP) to Evaluation Suite of Tools – Use Info-Tech’s RFP, vendor response and evaluation tools and templates to increase your efficiency in your RFP and evaluation process.

      Configure this time-saving suite of tools to your organizational culture, needs, and most importantly the desired outcome of your RFP initiative.

      • EAS Request for Proposal Template
      • EAS Vendor Response Template
      • ERP Vendor Demonstration Script Template
      • HRIS Vendor Demonstration Script Template
      • CRM Vendor Demonstration Script Template
      • EAS RFP and Demonstration Scoring Tool
      [infographic]

      Workshop: Select an Enterprise Application

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Workshop debrief – Prepare for implementation

      The Purpose

      Review evaluation framework.

      Prepare for implementation.

      Key Benefits Achieved

      Activities

      1.1 Support the project team in establishing the evaluation framework.

      1.2 Discuss demo scripts scenarios.

      1.3 Discuss next steps and key items in preparation for the implementation.

      Outputs

      Evaluation framework considerations.

      Demo script considerations.

      RFP considerations.

      2 Workshop Preparation

      The Purpose

      The facilitator works with the team to verify organizational readiness for EAS project and form the EAS project team.

      Key Benefits Achieved

      Level-set on organizational readiness for EAS

      Organizational project alignment

      Activities

      2.1 Introduce the workshop and complete an overview of activities.

      2.2 Complete organizational context assessment to level-set understanding.

      2.3 Complete EAS readiness assessment.

      2.4 Form EAS selection team.

      Outputs

      EAS readiness assessment

      Structured EAS selection team

      3 Mapping Capabilities to Prioritizing Requirements

      The Purpose

      Determine the business capabilities and process impacted by the EAS.

      Determine what the business needs to get out of the EAS solution.

      Build the selection roadmap and project plan.

      Key Benefits Achieved

      Business and ERP solution alignment

      Activities

      3.1 Map business capabilities/processes.

      3.2 Inventory application and data flow.

      3.3 List EAS requirements.

      3.4 Prioritize EAS requirements.

      Outputs

      Business capability/process map

      List or map of application + data flow

      Prioritized EAS requirements

      4 Vendor Landscape and your RFP

      The Purpose

      Understand EAS market product offerings.

      Readying key RFP aspects and expected vendor responses.

      Key Benefits Achieved

      Shortlist of vendors to elicit RFP response.

      Translated EAS requirements into RFP.

      Activities

      4.1 Build RFP.

      4.2 Build vendor response template.

      Outputs

      Draft of RFP template.

      Draft of vendor response template.

      5 How to Evaluate Vendors

      The Purpose

      Prepare for demonstration and evaluation.

      Establish evaluation criteria.

      Key Benefits Achieved

      Narrow your options for ERP selection to best-fit vendors.

      Activities

      5.1 Run an RFP evaluation simulation.

      5.2 Establish evaluation criteria.

      5.3 Customize the RFP and Demonstration and Scoring Tool.

      Outputs

      Draft of demo script template.

      Draft of evaluation criteria.

      Draft of RFP and Demonstration and Scoring Tool.

      Further reading

      Select an Enterprise Application

      Selecting a best-fit solution requires balancing needs, cost, and vendor capability.

      Analyst Perspective

      A foundational EAS strategy is critical to decision-making.

      Enterprise application software (EAS) is a core tool that a business leverages to accomplish its goals. An EAS that is doing its job well is invisible to the business. The challenges come when the tool is no longer invisible. It has become a source of friction in the functioning of the business.

      EAS systems are expensive, their benefits are difficult to quantify, and they often suffer from poor user satisfaction. Post-implementation, technology evolves, organizational goals change, and the health of the system is not monitored. This is complicated in today’s digital landscape with multiple integration points, siloed data, and competing priorities.

      Too often organizations jump into selecting replacement systems without understanding the needs of the organization. Alignment between business and IT is just one part of the overall strategy. Identifying key pain points and opportunities, assessed in the light of organizational strategy, will provide a strong foundation to the transformation of the EAS system. Learning about different vendor product offerings with a rigorous approach and evaluation framework will pave way for a better selection outcome.

      Hong Kwok, Research Director

      Hong Kwok
      Research Director
      Info-Tech Research Group

      Executive Summary

      Your Challenge Common Obstacles Info-Tech’s Approach
      Selecting and implementing an EAS is one of the most expensive and time-consuming technology transformations an organization can undertake. EAS projects are notorious for time and budget overruns, with only a margin of the anticipated benefits being realized. Making the wrong technology selection or failing to plan for an EAS implementation has significant – and possibly career-ending – implications.

      The EAS technology market is so vast that it is nearly impossible to know where to start or how to differentiate between vendors and products.

      Inadequate and incomplete requirements skew the EAS selection in one direction to another. Many EAS projects fail due to a lack of clear description and specification of functional requirements.

      Organizations rarely have both the sufficient knowledge and resources to properly evaluate, select, and implement an EAS, forcing them to turn to external partnerships.

      EAS selection must be driven by your organization’s overall strategy. Ensure you are ready to embark on this journey with the right resources.

      Determine what EAS solution fits your organization through a structured requirement gathering process to a vendor evaluation framework.

      Ensure strong points of integration between EAS and other software such as ERP to HRIS. No EAS should live in isolation.

      Info-Tech Insight
      Accountability for EAS success is shared between IT and the business. There is no single owner of an EAS. A unified approach to building your strategy promotes an integrated roadmap so all stakeholders have clear direction on the future state.

      You are not just picking a piece of software, you are choosing a long-term technology partner

      Reasons for Selectin Chosen Software

      Decision making in selection often stands on functional fit; don’t forget to consider vendor fit.

      As the ERP technology market becomes increasingly saturated and difficult to decode, vendors are trying to get ahead by focusing on building a partnership, not just making a sale.

      68 % of organizations are satisfied with the overall ERP vendor experience, up from 54% in 2017.

      Panorama Consulting Solutions, “Report,” 2018

      What is an Enterprise Application?

      Our Definition: Enterprise Application Software (EAS) is a large software system that provides a broad and integrated set of features which supports a range of business operations and processes across an organization. The system is broadly deployed, provides a unified interface and data structure, allowing for higher business productivity and reporting efficiencies. Best known EAS solutions include Enterprise Resource Planning (ERP), Human Resource Information System (HRIS), and Customer Relationship Management (CRM).

      More focused EAS solutions may also bring benefits to your organization, depending on the scale of operations, complexity of operations, and functions. Here are some examples:

      PSA: Professional Services Automation
      SCMS: Supply Chain Management System
      WMS: Warehouse Management System
      EAM: Enterprise Asset Management
      PIMS: Product Information Management System
      MES: Manufacturing Execution System
      MA: Marketing Automation

      Our other Selection Framework

      When selecting personal or commodity applications, or mid-tier applications with spend below $100,000, use our Rapid Application Selection Framework.

      Download this tool

      Enterprise Applications Lifecycle Advisory Services

      Enterprise Resource Planning (ERP)

      Enterprise Resource Planning (ERP)

      What is EPR

      Enterprise resource planning (ERP) systems facilitate the flow of information across business units. They allow for the seamless integration of systems and create a holistic view of the enterprise to support decision making.

      In many organizations, the ERP system is considered the lifeblood of the enterprise. Problems with this key operational system will have a dramatic impact on the ability of the enterprise to survive and grow.

      An ERP system:

      • Automates processes, reducing the amount of manual, routine work.
      • Integrates with core modules, eliminating the fragmentation of systems.
      • Centralizes information for reporting from multiple parts of the value chain to a single point.
      ERP use cases: Product-centric
      Suitable for organizations that manufacture, assemble, distribute, or manage material goods.
      Service-centric
      Suitable for organizations that provide and manage field services and/or professional services.

      Human Resource Information System (HRIS)

      What is HRIS?

      An HRIS is used to acquire, store, manipulate, analyze, retrieve, and distribute information regarding an organization’s human resources. HRIS covers the entire employee lifecycle from recruit to retire.

      An HRIS:

      • Retains employee data in a single repository.
      • Enhances employee engagement through self-service and visibility into their records.
      • Enhances data security through role-based access control.
      • Eliminates manual processes and enables workflow automation.
      • Reduces transaction processing time and HR administrative tasks.
      • Presents an end-to-end, comprehensive view of all HR processes.
      • Reduces exposure to risk with compliance to rules and regulations.
      • Enhances the business’s reporting capability on various aspects of human capital.

      Human Resource Information System

      Customer relationship management (CRM)

      What is CRM?

      A CRM platform (or suite) is a core enterprise application that provides a broad feature set for supporting customer interaction processes, typically across marketing, sales and customer service. These suites supplant more basic applications for customer interaction management (such as the contact management module of an ERP or office productivity suite).

      A CRM suite provides many key capabilities, including but not limited to:

      • Account management
      • Order history tracking
      • Pipeline management
      • Case management
      • Campaign management
      • Reports and analytics
      • Customer journey execution

      A CRM provides a host of native capabilities, but many organizations elect to tightly integrate their CRM solution with other parts of their customer experience ecosystem to provide a 360-degree view of their customers.

      Customer relationship management

      The good EAS numbers

      There are many good reasons to support EAS implementation and use.

      92% of organizations report that CRM use is important for accomplishing revenue objectives.
      Source: Validity, 2020

      Almost 26% of companies implement HRIS is to obtain greater functionalities, while other main reasons are to increase efficiencies, support growth, and consolidate systems.
      Source: SoftwarePath, 2022

      Functionality of an ERP is believed to be the most important aspect by almost 40% of companies.
      Source: SelectHub, 2022

      The ugly EAS numbers

      Risks are high in EAS projects.

      Statistical analysis of ERP projects indicates rates of failure vary from 50 to 70 percent. Taking the low end of those analyst reports, one in two ERP projects is considered a failure.
      Source: Electric Journal of Information Systems Evaluation.

      46% of HR technology projects exceed their planned timelines.
      Source: Unleash, 2020

      Almost 70% of all CRM implementation projects do not meet expected objectives.
      Source: Future Computing and Informatics Journal

      Enterprise Application dissatisfaction

      Finance, IT, Sales, HR, and other users of the Enterprise Application system can only optimize with the full support of each other. Cooperation between departments is crucial when trying to improve the technology capabilities and customer interaction.

      Drivers of Dissatisfaction
      Business Data People and teams Technology
      • Misaligned objectives
      • Product fit
      • Changing priorities
      • Lack of metrics
      • Access to data
      • Data hygiene
      • Data literacy
      • One view of the customer
      • User adoption
      • Lack of IT support
      • Training (use of data and system)
      • Vendor relations
      • Systems integration
      • Multi-channel complexity
      • Capability shortfall
      • Lack of product support

      Info-Tech Insight
      While technology is the key enabler of building strong customer experiences, there are many other drivers of dissatisfaction. IT must stand shoulder-to-shoulder with the business to develop a technology framework for Enterprise Applications.

      Case Study

      Align strategy and technology to meet consumer demand.

      NETFLIX

      INDUSTRY
      Entertainment

      SOURCE
      Forbes, 2017

      Challenge
      Beginning as a mail-out service, Netflix offered subscribers a catalog of videos to select from and have mailed to them directly. Customers no longer had to go to a retail store to rent a video. However, the lack of immediacy of direct mail as the distribution channel resulted in slow adoption.

      Blockbuster was the industry leader in video retail but was lagging in its response to industry, consumer, and technology trends around customer experience.

      Solution
      In response to the increasing presence of tech-savvy consumers on the internet, Netflix invested in developing an online platform as its primary distribution channel. The benefit of doing so was two-fold: passive brand advertising (by being present on the internet) and meeting customer demands for immediacy and convenience. Netflix also recognized the rising demand for personalized service and created an unprecedented, tailored customer experience.

      Results
      Netflix’s disruptive innovation is built on the foundation of great customer experience management. Netflix is now a $28 billion company, which is ten times what Blockbuster was worth.

      Netflix used disruptive technologies to innovatively build a customer experience that put it ahead of the long-time video rental industry leader, Blockbuster.

      Info-Tech’s methodology for selecting an Enterprise Application

      1. Build alignment and assemble the team 2. Define your EAS 3. Engage, evaluate, and select 4. Next steps
      Phase steps
      1. Aligning business and IT
      2. Readiness and resourcing
      1. Map capabilities
      2. List Requirements
      3. Prioritize requirements
      1. Know the products
      2. Engage the vendors
      3. Select properly
      1. Plan for implementation
      Phase outcomes Discuss organizational goals and how to advance those using the EA system. Identify gaps and remediation steps in preparation of the selection. Assemble the EA selection team. List and review business capabilities and translate into EAS requirements. Prioritize requirements for selection. Gain an understanding of the product offerings on the market. Engage the vendors through RFPs and conduct a proper evaluation with an objective evaluation criteria and framework. Review and discuss the different elements required in preparation for the implementation project.

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      ERP/HRIS/CRM Requirements Template

      ERP Requirements Template

      Accelerate your requirement gathering with a pre-compiled list of common requirements.

      RFx Demo Scoring Tool

      RFx Demo Scoring Tool

      Quickly compare the vendors who respond to the RFx to identify the best fit for your needs.

      Key deliverable:

      RFx templates

      Use one of our templates to build a ready-for-distribution implementation partner RFx tailored to the unique success factors of your implementation.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit Guided Implementation Workshop Consulting
      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to his the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options

      Guided Implementation

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is between six to ten calls over the course of four to six months.

      What does a typical GI on this topic look like?

      Phase 1 Phase 2 Phase 3 Phase 4

      Call #1: Scoping call to understand the current situation.

      Call #2: Discuss readiness and resourcing needs.

      Call #3: Discuss the capabilities and application inventory.

      Call #4: Discuss requirement gathering and prioritization.

      Call #5: Go over SoftwareReviews and review draft RFx.

      Call #6: Discuss evaluation tool and evaluation process.

      Call #7: Discuss preparation for implementation.

      Workshop Overview

      Day 1 Day 2 Day 3 Day 4 Day 5
      Activities

      Organizational Strategic Needs

      1.1 Review the business context.

      1.2 Overview of the EAS Landscape

      1.2 Assess EAS project readiness

      1.3 Determine the members of the EAS selection team

      From Capabilities to Requirements

      2.1 Map business capabilities

      2.2 Inventory application and interactions

      2.3 Gather requirements

      2.4 Prioritize requirements

      Vendor Landscape and Your RFP

      3.1 Understanding product offerings

      3.2 Build a list of targeted vendors

      3.3 Build RFP

      3.4 Build vendor response template

      How to Evaluate Vendors

      4.1 Run a RFP evaluation simulation

      4.2 Build demo script

      4.3 Establish evaluation criteria

      Next Steps and Wrap-Up (offsite)

      5.1 Clean up in-progress deliverables from previous four days.

      5.2 Set up review time for workshop deliverables and to discuss next steps.

      Deliverables
      1. EAS Readiness Checklist and remediation plan
      2. List of members in EAS selection team
      1. List of key business processes
      2. Inventory application and data flow map
      3. Prioritized EAS requirements
      1. Draft RFP template
      2. Draft vendor response template
      1. Draft demo script template
      2. Draft vendor evaluation tool
      1. Completed RFP template
      2. Completed vendor response template
      3. Completed demo script template
      4. Vendor evaluation plan

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Phase 1

      Build alignment and assemble the Team

      Phase 1
      1.1 Enterprise Application Landscape
      1.2 Validate Readiness
      1.3 Determine Resourcing

      Phase 2
      1.1 Capability Mapping
      1.2 Requirements Gathering Data Mapping
      1.3 Requirements Prioritizing

      Phase 3
      3.1 Understanding Product Offerings
      3.2 RFP & Demo Scripts
      3.3 Evaluation
      Select and Negotiate

      Phase 4
      4.1 Prepare for Implementation

      This phase will walk you through the following activities:

      Gain an understanding of recent EAS technology.

      Validate readiness before starting EAS selection.

      Assemble EAS selection team through identification of key players.

      This phase involves the following participants:

      Key stakeholders from the various areas of the business that will support the project, including:

      • CxO (e.g. CIO, CFO)
      • Departmental leaders
      • Project management team
      • Subject matter experts

      Select an Enterprise Application

      Create a compelling case that addresses strategic business objectives

      When someone at the organization asks you WHY, you need to deliver a compelling case. The ERP project will receive pushback, doubt, and resistance; if you can’t answer the question WHY, you will be left back-peddling.

      When faced with a challenge, prepare for the WHY.

      • Why do we need this?
      • Why are we spending all this money?
      • Why are we bothering?
      • Why is this important?
      • Why did we do it this way?
      • Why did we choose this vendor?

      Most organizations can answer “What?”

      Some organizations can answer “How?”

      Very few organizations have an answer for “Why?”

      Each stage of the project will be difficult and present its own unique challenges and failure points. Re-evaluate if you lose sight of WHY at any stage in the project.

      Ensure you have completed the necessary prerequisites for EAS selection

      Prior to embarking on selection, ensure you have set the right building blocks and completed the necessary prerequisites: your strategy and roadmap, and business case.

      STRATEGY & ROADMAP
      Whatever EAS is required, take the time to align your strategy and roadmap to business priorities. Right-size a technology strategy by assessing deployment model alternatives and future-state options with your EAS vision, operating model, and current-state assessment as inputs. Put your strategy to action with a living roadmap by following Info-Tech’s blueprint, Develop an Actionable Strategy and Roadmap.

      EAS BUSINESS CASE
      Use a business case to justify the business need for your EAS project and secure funding for moving forward with the proposal. A business case will further provide executive decision makers with the tools to compare and prioritize initiatives. Drive a consistent approach to promoting successful initiatives and holding the organization accountable to the projected benefits with Info-Tech’s blueprint, Reduce Time to Consensus With an Accelerated Business Case.

      Align the EAS strategy with the corporate strategy

      Corporate strategy Unified strategy EAS strategy
      • Conveys the current state of the organization and the path it wants to take.
      • Identifies future goals and business aspirations.
      • Communicates the initiatives that are critical for getting the organization from its current state to the future state.
      • EAS optimization can be and should be linked, with metrics, to the corporate strategy and ultimate business objectives.
      • Communicates the organization’s budget and spending on EAS.
      • Identifies IT initiatives that will support the business and key EAS objectives.
      • Outlines staffing and resourcing for EAS initiatives.

      Info-Tech Insight
      EAS projects are more successful when the management team understands the strategic importance and the criticality of alignment. Time needs to be spent upfront aligning business strategies with EAS capabilities. Effective alignment between IT and the business should happen daily. Alignment doesn’t just to occur at the executive level alone, but at each level of the organization.

      Understand how EAS fits into your wider IT organization

      Identify the IT drivers and opportunities to take advantage of when embarking on your EAS project.

      Greenfield or brownfield: Do you currently have an EAS? Do you have multiple EASs? What is the history of your EAS deployment? How customized is it?

      End of life: What lifecycle stage is it in?

      Utilization: Are there point solutions in your application portfolio that support some EAS capabilities? Is functionality duplicated and/or underutilized?

      Reason for change: What are your organizational drivers for this EAS project (e.g. acquisition/merger)?

      APPLICATION PORTFOLIO STRATEGY

      Business leaders need application managers to do more than support business operations. Applications must drive business growth, and application managers need their portfolios to be current and effective and to evolve continuously to support the business or risk being marginalized. Rationalize your applications with a roadmap that propels the business forward.

      Go to this link

      Before switching vendors, evaluate your existing EAS to see if it’s being underutilized or could use an upgrade

      The cost of switching vendors can be challenging, but it will depend entirely on the quality of data and whether it makes sense to keep it.

      • Achieving success when switching vendors first requires reflection. We need to ask why we are dissatisfied with our incumbent software.
      • If the product is old and inflexible, the answer may be obvious, but don’t be afraid to include your incumbent in your evaluation if your issues might be solved with an upgrade.
      • Look at your use-case requirements to see where you want to take the EAS solution and compare them to your incumbent’s roadmap. If they don’t match, switching vendors may be the only solution. If your roadmaps align, see if you’re fully leveraging the solution or will be able to start working through process improvements

      Fully leveraging your current software now will have two benefits:

      1 It may turn out that poor leveraging of your incumbent software was the problem all along; switching vendors won’t solve the problem by itself. As the data to the right shows, a fifth of SMEs and a quarter of large enterprises do not fully leverage their incumbent software.
      2 If you still decide to switch, you’ll be in a good negotiating position. If vendors can see you are engaged and fully leveraging your software, they will be less complacent during negotiations to win you over.
      20%
      Small/Medium
      Enterprises
      25%
      Large
      Enterprises
      only occasionally or rarely/never use their software

      Source: SoftwareReviews, 2020; N=45,027

      Info-Tech Insight
      Switching vendors won’t improve poor internal processes. To be fully successful and meet the goals of the business case, new software implementations must be accompanied by process review and improvement.

      Familiarize yourself with the EAS market

      How it got here Where it’s going
      • Acquisition and consolidation: The major vendors in the industry have grown over time through acquisition, particularly focusing on expanding products in industrial verticals.
      • Product stack: What it means is having to navigate complexity related to the product stack when thinking about EAS, which turns the conversation from EAS as a single product to EAS as a package of multiple products.
      • Modularity and interoperability: The benefit of the stack is that it often means modularity and the ability to implement parts of a solution or in an order that aligns to the customer’s needs. On the other hand, the stack is not always understood by or well communicated to the customer, and the interdependence of components often means they must be licensed together.
      • Customizable cloud: Software-as-a-Service in multitenant environments offers a hands-off value proposition, but increasingly customers are looking to customize their instances beyond the capability offered through configurability.
      • Best-of-breed consolidation: EAS vendors are continuing to consolidate functionality to increase interoperability and increase ease of integration. The market is rife with acquisitions and mergers, making the strong players even stronger.
      • Client experience: While most vendors now offer products that will meet the wide gamut of EAS business requirements, vendors are now paying extra attention to the client experience from partnership perspective.

      Info-Tech Insight
      Evaluating the EAS vendor landscape is becoming increasingly difficult as the playing field evens out in terms of functionality offerings. As such, it is becoming increasingly important to more meticulously evaluate vendors themselves as part of the selection process. This is especially important in EAS projects, as they tend to be multi-year in nature and result in long-term vendor partnerships.

      What types of Enterprise solutions are at my disposal?

      IT leaders typically compare EAS on-premises with SaaS options, but there are actually four different deployment scenarios.

      1. On Premises 3. Proprietary Cloud 4. White-Label Cloud 2. SaaS
      • The traditional model for EAS deployment.
      • Upfront licensing term plus annual maintenance/ support fee.
      • Requires local server, database, and authentication.
      • Good support for industry modules.
      • Customizable.
      • EAS vendor hosts an instance of the EAS system in its own data center.
      • Patches may or may not be applied automatically.
      • Monthly per-user or traditional billing.
      • Otherwise, as with on premises.
      • EAS VAR or reseller hosts an instance of the EAS system in its own data center or in a public IaaS provider’s (e.g. Rackspace, Amazon EC2).
      • Otherwise, as with proprietary cloud.
      • Common model for cloud EAS.
      • All users share a single instance.
      • Patches and updates are applied automatically.
      • Monthly per-user fee.
      • Poor industry support.
      • Configurable but not customizable.

      Info-Tech Insight
      Cloud may apply in other ways to the EAS implementation. Most vendors offer particular EAS services delivered via the cloud. For example, some vendors offers CRM, project management, and payroll self-service as cloud-based options to augment on-premises ERP solutions.

      Know when to adopt and when to bypass cloud EAS

      Use the following guidelines to determine if your organization will benefit from the cloud, or if you should stick to a more traditional delivery model.

      Adopt a cloud-based EAS platform if you have: Do not adopt a cloud-based EAS platform if you have:
      Standard processes – Businesses that have standard, repeatable processes can benefit greatly from the cost savings that cloud provides, as the need for expensive customizations is greatly minimized. Highly regulated industry – Although there is no hard evidence that says cloud-based solutions are not able to support security or compliance needs, in certain industries such as banking or insurance, cloud is not the norm and may be a tough sell for IT.
      Lean IT operations – Organizations with lean IT or no formal IT departments supporting them will find SaaS EAS particularly appealing. Those with IT that can support day-to-day operations but are not prepared for disaster recovery should also consider cloud EAS, either hosted or SaaS-based. Unreliable network – If the business regularly faces network outages or remote employees have unreliable internet connections, a cloud-based solution may not be the best option. IT would face many complaints from disgruntled workers unable to access data.
      Mobile workforce – Telecommuting is becoming more common, as is the requirement for data to be readily available for those on the road. Using cloud is a good way to provide this functionality. Unsavvy workforce – Organizations that prefer to be late adopters of technology may face strong resistance to taking their software to the cloud. Some employees may not like the idea of using a browser to connect to the system.

      Info-Tech Insight
      Knowing when to choose a cloud EAS deployment comes down to two main factors: knowing the level of complexity required by the business, and knowing the available IT resources that can be dedicated to support and manage EAS.

      Consider 3 classic scenarios when evaluating cloud EAS

      Cloud EAS should be considered by all organizations, but these scenarios present the strongest opportunity.

      The Startup The Spinoff The Modernizer
      • There is no greenfield in ERP, but if you’re a startup, you’re quite close.
      • Given the virtually nonexistent IT department in startups, having an on-premises ERP can be daunting. A SaaS delivery model is usually the best choice in these scenarios. Even if the resources are available, they are better spent driving business growth.
      • Startups typically have less stringent industry requirements, making SaaS a more attractive option.
      • Though not entirely new companies, spinoffs or subsidiaries often have needs similar to those of startups but with an added integration requirement.
      • When it comes to ERP, the deployment type will depend on how resources are split with the parent company. If there is little to no IT support, then SaaS is ideal.
      • If the parent company is already using cloud ERP, whether SaaS, hosted, or an internal cloud, then it is often easy for the spinoff to gain access as well.
      • Companies with legacy systems that are not salvageable, or out-of-date point solutions that do not scale, have the opportunity to start from scratch.
      • Those looking at reducing capital expenses should consider SaaS and hosted ERP deployments.
      • Those looking at having state-of-the-art technology in-house should consider building an internal private cloud that supports their ERP deployment.

      Make sure you are ready to proceed with selection

      Organizational readiness is essential for maximizing the benefits realized from your ERP. Cover all critical elements of pre-work, resources, buy-in, and strategy and planning before embarking on ERP selection and/or implementation.

      Pre-work
      Current State Understanding
      Business Process Improvement
      Future State Vision

      Resources
      Project Team
      Governance Structures
      Third-Party Partners
      Cost and Budget

      Buy-in
      Goals and Objectives
      Exec Business Sponsorship
      Stakeholder Engagement
      Change Management

      STRATEGY and PLANNING
      ERP Strategy & Roadmap
      Risk Management
      Project Metrics

      Without a preparedness assessment, organizations end up wasting a lot of time on resolving gaps in planning that could have been mitigated upfront, which ultimately makes the implementation project more challenging.
      – Suanne McGrath-Kelly, President & Principal Consultant, Plan in Motion Inc., interviewed by Info-Tech, 2019.

      Assess your EAS readiness before moving forward

      To avoid common project pitfalls, complete the necessary prerequisites before proceeding with EAS. Consider whether the risks of proceeding unprepared fall within your organization’s risk tolerance. If they do not, pivot back to strategy.

      Preceding tasks Risks of proceeding unprepared
      Project Vision
      Project Scope
      EAS Business Case
      Current State Map
      Improvement Opportunity Analysis
      Future State Considerations
      Strategic Requirements
      Project Metrics and Benchmarks
      Risk Assessment
      EAS Strategic Roadmap
      EAS Project Work Initiatives
      Misalignment of project objectives
      Time and cost overruns
      Lack of executive buy-in or support
      Over- or under-investment in systems
      Unknown and unmet system requirements
      Product selection misfit
      Misalignment of requirements to needs
      Inability to measure project success
      Inability to proactively mitigate risk impact
      Lack of decision-making traceability
      Unclear expectations of tasks and roles

      1.2.1 Assess EAS selection readiness

      1 – 2 hours

      1. As a group, review Section 1 of the EAS Readiness Assessment Checklist with the core project team and/or project sponsor, item by item. For completed items, tick the corresponding checkbox. Document all incomplete items in the Readiness Remediation Plan table in the first column (“Incomplete Readiness Item”).
      2. For each incomplete item, use your discretion to determine whether the completion is critical in preparation for EAS selection and implementation. This may vary given the complexity of your EAS project. If the item is critical to the project, indicate this with “Y” in the second column (“Criticality (Y/N)”).
      3. For each critical item, reflect on the barriers that have prevented or are preventing its completion. Possible barriers include incomplete task dependencies, low value to effort determination, lack of organizational knowledge or resources, pressure of deadlines, etc. Document these barriers in the third column (“Barriers to Completion”).
      4. Determine a remediation approach for each barrier identified. Document the approach in the fourth column (“Remediation Approach”).
        1. For each remediation activity, designate a due date and remediation owner. Document this in the fifth column (“Due Date and Owner”).
        2. Carry out the remediation of critical tasks and return to this blueprint to kick-start your selection and implementation project.
      Input Output
      • EAS Foundation
      • EAS Strategy
      • Readiness remediation approach
      • Validation of ERP project readiness
      Materials Participants
      • EAS Readiness Assessment Checklist
      • Project sponsor
      • Core project team

      Download the EAS Readiness Assessment Checklist

      Build a well-balanced core team to see the project through

      Have a cross-departmental team define goals and objectives in order to significantly increase EAS success and improve communication.

      • Hold a meeting with Finance, Operations, and IT stakeholders. The overall objective of the meeting is to confirm that all parties agree on the goals and metrics that gauge success of the EAS project.
      • The kick-off process will significantly improve internal communications. Invite all impacted internal groups to work as a team to address any significant issues before the application process is formally activated.
      • Set up a quarterly review process to understand changing needs. This will change the way the EAS system will be utilized.

      “Each individual should understand at least one business area and have a hand in another.”
      – Mark Earley
      Senior Research Director,
      Info-Tech Research Group

      Info-Tech Insight
      An EAS selection and implementation requires more than just a procurement team. The core EAS project team should be cross-functional. .

      Be ready with a resourcing strategy for your EAS project

      EAS selection and implementation is a giant undertaking that can rarely be supported by internal resources alone.

      It is important to understand where your organization’s resourcing gaps are when embarking on a selection and implementation project. Once gaps are identified, the amount of external support needed from vendor(s), consultants, or system integrators can be determined.

      Select from the three most commonly used resourcing strategies for EAS selection and implementation projects:

      • Implement in-house using your own staff.
      • Implement using a combination of your own staff and professional services from the vendor(s) and/or system integrator (SI).
      • Implement using professional services.

      Build your implementation team

      Prioritize members from your core selection team. They will have strong insight into the tool and its envisioned position in the organization.

      General Roles

      1. Integration Specialists
      2. Solution or Enterprise Architects
      3. QA Engineer
      4. IT Service Management Team

      External Roles

      1. Vendor’s Implementation Team or Professional Services
      2. Systems Integrator (SI)

      Right-size the EAS selection team to ensure you get the right information but are still able to move ahead quickly

      Full-Time Resourcing: At least one member of these five team members must be allocated to the selection initiative as a full-time resource.

      IT Leader Technical Lead Business Analyst/
      Project Manager
      Business Lead Process Expert(s)
      This team member is an IT director or CIO who will provide sponsorship and oversight from the IT perspective. This team member will focus on application security, integration, and enterprise architecture. This team member elicits business needs and translates them into technology requirements. This team member will provide sponsorship from the business needs perspective. Typically, a CXO or SVP of a business function. These team members are the business process owners who will help steer the requirements and direction.

      Info-Tech Insight
      It is critical for the selection team to determine who has decision rights. Organizational culture will play the largest role in dictating which team member holds the final say for selection decisions. For more information on stakeholder management and involvement, see this guide.

      Complete the project timeline required during your selection phase

      Include as many steps as necessary to understand, validate, and compare vendor solutions so you can make a confident, well-informed decision.

      Use Info-Tech’s 15-Step Selection Process:

      1. Initiate procurement.
      2. Select procurement manager.
      3. Prepare for procurement; check that prerequisites are met.
      4. Select appropriate procurement vehicle (RFI, RFP, RFQ, etc.).
      5. Assemble procurement teams.
      6. Create procurement project plan.
      7. Identify and notify vendors about procurement.
      8. Configure procurement process.
      9. Gather requirements.
      10. Prioritize requirements.
      11. Build the procurement documentation package.
      12. Issue the procurement.
      13. Evaluate proposals.
      14. Evaluate vendor demos and reference checks.
      15. Recommend a vendor.

      Strengthen your procurement. If your organization lacks a clear selection process, refer to Info-Tech's Implement a Proactive and Consistent Vendor Selection Process research to help construct a formal process for procuring application technology.

      Download the Implement a Proactive and Consistent Vendor Selection Process

      Visualize what success looks like

      Understand how success metrics are relevant at each stage of strategy formation by keeping the end in mind. Apply a similar thought model to your other success metrics for a holistic evaluation of your strategy.

      Implementation
      Pre-Implementation Post-Implementation
      Baseline measure Strategic insight Strategic action Success measure End result
      Use data you already have. Any given pain point can act as your pre-implementation baseline. Previously, this measure may have been evaluated by asking “what?” or “how much?” Move away from looking at your baseline measure as transactional data, and incorporate the ability to generate strategic insight with your EAS. Change the questions you are asking to drive insights: “who?” “why?” and “how does it affect the business?” Support the business by putting your strategic analytics into action. Ensure there are capabilities built into your ERP to strategically address your baseline measure. Leverage these functions to act on your strategic insights. In the interest of IT and business alignment, speak the same language when measuring success. Use a business success measurement to determine the contribution made by your EAS strategy. Visualize your success in the context of the business as a whole. Projecting success in the interest of your stakeholders will gain and maintain buy-in, allowing you to leverage the strategic functionality of your new EAS.
      Example Time to Procure Delay in time to procure caused by bottleneck in requisition processing ERP used to create advanced workflows to streamline requisition approval process Time efficiencies gained free up employee time to focus on more strategic efforts Contributed to strategic operational innovation

      Prove the value of your EAS through metrics

      Establish baseline metrics early and measure throughout the project can iteratively prove the value of your EAS.

      Functional processes IT resource efficiency
      Functional benefits and efficiencies gained through effectively diagnosing and meeting business needs. Benefits enabled through reductions in IT system, network, and resource usage.
      Example metrics Record to report
      • Days to close month-end
      • Time to produce statements
      Market to order
      • Customer retention rate
      • Conversion/Cost per lead
      • Number of help desk requests
      • Number of active users
      • Time to resolution
      Quote to cash
      • Sales cycle duration
      • Cash conversion cycle
      Issue to resolution
      • # of returns
      • # of customer complaints
      • Time to resolve complaints
      Procure to pay
      • Average time to procure
      • Cycle time of purchase order
      Forecast to delivery
      • Variance of demand plan
      • Time to replenish inventory
      Plan to perform
      • Time to complete plan
      • Variance of plan to actual
      Hire to retire
      • Training $ per employee
      • Total overtime cost

      Improve baseline metrics through…

      1. Increased help desk efficiency. Through training of personnel and increased efficiency of processes.
      2. Increased level of self-service for end users. Implementation of functionality that matches business needs will increase the efficiency of functional business tasks.
      3. Decreased time to escalation. Knowing when to escalate tasks sooner can decrease wasted effort by tier-one workers.
      4. Automation of simple, repetitive tasks. Automation frees time for more important tasks.

      1.3.1 Assemble EAS selection team

      1 hour

      1. Working as a group, list key players in the organization that should be in EAS selection team.
      2. Determine the role of each member.
      3. Define the level of commitment each member can have on the EAS selection team. Keep in mind their availabilities during the selection process.
      4. Determine who has decision rights.
      Input Output
      • Knowledge of the team, governance structure, and organizational culture
      • List members in EAS selection team
      Materials Participants
      • Sticky notes
      • Markers
      • Executive sponsor
      • Core project team

      Phase 2

      Define your EAS

      Phase 1
      1.1 Enterprise Application Landscape
      1.2 Validate Readiness
      1.3 Determine Resourcing

      Phase 2
      2.1 Capability Mapping
      2.2 Requirements Gathering Data Mapping
      2.3 Requirements Prioritizing

      Phase 3
      3.1 Understanding Product Offerings
      3.2 RFP & Demo Scripts
      3.3 Evaluation
      Select and Negotiate

      Phase 4
      4.1 Prepare for
      Implementation

      This phase will walk you through the following activities:

      Identifying business processes , inventory applications and data flows, gathering requirements and prioritizing them.

      This phase involves the following participants:

      Key stakeholders from the various areas of the business that will support the project including:

      • CxO (e.g. CIO, CFO)
      • Departmental leaders
      • Project management team
      • Subject matter experts
      • Core project team

      Select an Enterprise Application

      Leverage Info-Tech’s requirements gathering framework to serve as the basis for capturing your CRM requirements

      Requirements Gathering Framework

      Info-Tech’s Requirements Gathering Framework is a comprehensive approach to requirements management that can be scaled to any size of project or organization. This framework ensures that the application created will capture the needs of all stakeholders and deliver business value. Don’t treat elicitation, analysis, and validation in isolation: planning, monitoring, communicating, and managing must permeate all three stages in order to avoid makeshift solutions.

      Capability vs. process vs. feature

      Understanding the difference

      When examining HRMS optimization it is important to approach it from the appropriate layer.

      Capability:

      • The ability of an entity (e.g. organization or department) to achieve its objectives (APQC, 2017).
      • An ability that an organization, person, or system possesses. They are typically expressed in general and high-level terms and typically require a combination of organization, people, processes, and technology to achieve (TOGAF).

      Process:

      • Processes can be manual or technology enabled. A process is a series of interrelated activities that convert inputs into results (outputs).
      • Processes consume resources, require standards for repeatable performance, and respond to control systems that direct the quality, rate, and cost of performance. The same process can be highly effective in one circumstance and poorly effective in another with different systems, tools, knowledge, and people (APQC, 2017).

      Feature:

      • A distinguishing characteristic of a software item (e.g. performance, portability, or functionality) (IEEE, 2005).

      In today’s complex organizations, it can be difficult to understand where inefficiencies stem from and how performance can be enhanced.

      To fix problems and maximize efficiencies, organizations must examine business capabilities and processes to determine gaps and areas of lagging performance.

      Info-Tech’s HRIS framework and industry tools such as the APQC’s Process Classification Framework can help make sense of this.

      Process inventory

      Business capability map (Level 0)

      Business Capability Map

      If you do not have a documented process model, you can use the APQC Framework to help define your inventory of business processes.
      APQC’s Process Classification Framework is a taxonomy of cross-functional business processes intended to allow the objective comparison of organizational performance within and among organizations.

      In business architecture, the primary view of an organization is known as a business capability map.

      A business capability defines what a business does to enable value creation rather than how.

      Business capabilities:

      • Represent stable business functions.
      • Are unique and independent of each other.
      • Will typically have a defined business outcome.

      A business capability map provides details that help the business architecture practitioner direct attention to a specific area of the business for further assessment.

      EAS process mapping

      Objectives The organization’s objectives are typically outcomes that the organization is looking to achieve as a result of the business strategy.
      Value Streams Value streams are external/internal processes that help the organization realize its goals.
      Capabilities The what: Business capabilities support value streams in the creation and capture of value.
      Processes The how: Business processes define how they will fulfill a given capability.

      The operating model

      An operating model is a framework that drives operating decisions. It helps to set the parameters for the scope of EAS and the processes that will be supported. The operating model will serve to group core operational processes. These groupings represent a set of interrelated, consecutive processes aimed at generating a common output.

      The value stream

      Value stream defined:

      Value Streams Design Product Produce Product Sell Product Customer Service
      • Manufacturers work proactively to design products and services that will meet consumer demand.
      • Products are driven by consumer demand and governmental regulations.
      • Production processes and labor costs are constantly analyzed for efficiencies and accuracies.
      • Quality of product and services are highly regulated through all levels of the supply chain.
      • Sales networks and sales staff deliver the product from the organization to the end consumer.
      • Marketing plays a key role throughout the value stream, connecting consumers’ wants and needs to the products and services offered.
      • Relationships with consumers continue after the sale of products and services.
      • Continued customer support and data mining is important to revenue streams.

      Value streams connect business goals to the organization’s value realization activities in the marketplace. Those activities are dependent on the specific industry segment in which an organization operates.

      There are two types of value streams: core and support.

      • Core value streams are mostly external-facing. They deliver value to either external or internal customers and they tie to the customer perspective of the strategy map.
      • Support value streams are internal-facing and provide the foundational support for an organization to operate.

      An effective method for ensuring all value streams have been considered is to understand that there can be different end-value receivers.

      2.1.1 List your key processes

      1-3 hours

      1. As a group, discuss the business capabilities, value streams, and business processes.
      2. For each capability determine the following:
        1. Is this capability applicable to our organization?
        2. What application, if any, supports this capability?
      3. Are there any missing capabilities to add?
      Input Output
      • Current systems
      • Key processes
      • APQC Framework
      • Organizational process map
      • List of key business processes
      Materials Participants
      • APQC Framework
      • Whiteboard, PowerPoint, or flip charts and markers
      • Primary stakeholders in each value stream supported by the EAS
      • Core project team

      Activity 2.1.1 – Process inventory

      Core finance Core HR Workforce management Talent Management Warehouse management Enterprise asset management
      Process Technology Process Technology Process Technology Process Technology Process Technology Process Technology
      • General ledger
      • Accounts payable
      • Accounts receivable
      • GL consolidation
      • Cash management
      • Billing and invoicing
      • Expenses
      • Payroll accounting
      • Tax management
      • Reporting
      • Payroll administration
      • Benefits administration
      • Position management
      • Organizational structure
      • Core HR records
      • Time and attendance
      • Leave management
      • Scheduling
      • Performance management
      • Talent acquisition
      • Offboarding & onboarding
      • Plan layout
      • Manage inventory
      • Manage loading docks
      • Pick, pack, ship
      • Plan and manage workforce
      • Manage returns
      • Transfer product cross-dock
      • Asset lifecycle management
      • Supply chain management
      • Maintenance planning and scheduling
      Planning and budgeting Strategic HR Procurement Customer relationship management Facilities management Project management
      Process Technology Process Technology Process Technology Process Technology Process Technology Process Technology
      • Budget reporting
      • Variance analysis
      • Multi-year operating plan
      • Monthly forecasting
      • Annual operating plan
      • Compensation planning
      • Workforce planning
      • Succession planning
      • Supplier management
      • Purchase order management
      • Workflow approvals
      • Contract / tender management
      • Contact management
      • Activity management
      • Analytics
      • Plan and acquire
      • Asset maintenance
      • Disposal
      • Project management
      • Project costing
      • Budget control
      • Document management

      Gaining Enterprise Architecture Oversight during application selection yields better user satisfaction results

      Procurement/Legal Oversight and
      Low satisfaction with software selection High satisfaction with software selection
      Process % Used % Used Process
      Used ROI/Cost Benefit Analysis 42% 43% Used ROI/Cost-Benefit Analysis
      Used Formal Decision Criteria 39% 41% Used Formal Decision Criteria
      Approval 33% 37% Enterprise Architecture Oversight and Approval
      Security Oversight and Approval 27% 36% Security Oversight and Approval
      Used Third-Party Data Reports 26% 28% Procurement/Legal Oversight and Approval
      Enterprise Architecture Oversight and Approval 26% 28% Used Third-Party Data Reports
      Used a Consultant 21% 17% Used a Consultant

      High satisfaction was defined as a response of 8, 9, or 10 from the overall recommendation question. Low satisfaction was 7 or less.

      Source: SoftwareReviews, 2018

      Map data flow

      Example ERP data flow

      Example ERP data flow

      When assessing the current application portfolio that supports your EAS, the tendency will be to focus on the applications under the EAS umbrella. These relate mostly to marketing, sales, and customer service. Be sure to include systems that act as input to, or benefit due to outputs from EAS or similar applications.

      Be sure to include enterprise applications that are not included in the EAS application portfolio. Popular systems to consider for POIs include billing, directory services, content management, and collaboration tools.

      Integration is paramount: your EAS application often integrates with other applications within the organization. Create an integration map to reflect a system of record and the exchange of data. To increase customer engagement, channel integration is a must (i.e. with robust links to unified communications solutions, email, and VoIP telephony systems).

      Enterprise application landscape

      Enterprise application landscape

      2.1.2 Inventory applications and interactions

      1-3 hours

      1. Individually list all electronic systems involved in the EAS function of the organization.
      2. Document data flows into and out of each system to the EAS. Refer to the example on the previous slides (ERP data flow) and sample Enterprise Application map.
      3. Review the processes in place (look at each functional area, including data moving into and out of systems.) Document manual processes. Identify integration points. If flow charts exist for these processes, it may be useful to provide these to the participants.
      4. If possible, diagram the system. Include information direction flow.
      Input Output
      • Business process inventory
      • List of applications (if available)
      • Current systems
      • Data flow map
      Materials Participants
      • Whiteboard, markers
      • Internal requirements documentation tools (if available)
      • Business analyst(s)
      • Subject matter experts
      • Core project team (optional)

      Understand how to navigate the complex web of stakeholders in ERP requirements gathering

      Identify which stakeholders to include and what their level of involvement should be during requirements elicitation based on relevant topic expertise.

      Sponsor End user IT Business
      Description An internal stakeholder who has final sign-off on the ERP project. Frontline users of the ERP technology. Back-end support staff who are tasked with project planning, execution, and eventual system maintenance. Additional stakeholders who will be impacted by any ERP technology changes.
      Examples
      • CEO
      • CIO/CTO
      • COO
      • CFO
      • Warehouse personnel
      • Sales teams
      • HR admins
      • Applications manager
      • Vendor relationship manager(s)
      • Director, Procurement
      • VP, Marketing
      • Manager, HR
      Value Executive buy-in and support is essential to the success of the project. Often, the sponsor controls funding and resource allocation. End users determine the success of the system through user adoption. If the end user does not adopt the system, the system is deemed useless and benefits realization is poor. IT is likely to be responsible for more in-depth requirements gathering. IT possesses critical knowledge concerning system compatibility, integration, and data. Involving business stakeholders in the requirements gathering will ensure alignment between HR and organizational objectives.

      Stakeholder influence vs. interest

      Large-scale EAS projects require the involvement of many stakeholders from all corners and levels of the organization, including project sponsors, IT, end users, and business stakeholders. Consider the influence and interest of stakeholders in contributing to the requirements elicitation process and involve them accordingly.

      Chart of Stakeholder Involvement during selection

      Extract functional and non-functional requirements from the customer interaction business process diagrams

      Once the most significant processes have been mapped, the business requirements must be extracted from the maps and transformed into functional and non-functional requirements. The example below illustrates how to extract requirements from an insurance claim process for the Record Claim step.

      Task Input Output Risks Opportunities Condition Sample requirements
      Record customer service claim Customer email Case record
      • Agent accidentally misses the email and case is not submitted
      • Reduce time to populate customer’s claim information into the case
      • Automation of data capture and routing
      • Pre-population of the case with the email contents
      • Suggested routing based on nature of case
      • Multi-language support

      Business:

      • System requires email-to-case functionality

      Non-functional:

      • The cases must be supported in multiple languages

      Functional:

      • The case must support the following information:
        • Title
        • Customer
        • Subject
        • Case origin
        • Case type

      Example claims process

      2.2.1 Capture your EAS requirements

      Time required varies

      1. Focus groups of 10-20 individuals may be the best way to ensure complete coverage of business requirements for EAS. This group should be cross-functional, with manager- or director-level representation from the departments that have a vested interest in the EAS project.
      2. Use your organization’s standard internal tools or download Info-Tech’s ERP Requirements Template, HRIS Requirements Template, or CRM Requirements Template.
      3. Document the requirements from the elicitation sessions.
      • The core team of business analysts should be present throughout, and the sessions should be led by an experienced facilitator (such as a senior business analyst).
      • Requirements for EAS should focus on achieving the future state rather than replicating the current state.
      • The facilitator should steer the team toward requirements that are solution-agnostic (i.e. not coached in terms of a particular vendor or product). Focus on customer and internal personas to help drive requirements.
      Input Output
      • Business unit functional requirements
      • Business process inventory
      • Data flow map
      • Inventory of business requirements
      Materials Participants
      • Whiteboard, markers
      • Internal requirements documentation tools (if available)
      • Info-Tech’s ERP Requirements Template, HRIS Requirements Template, or CRM Requirements Template (optional)
      • Business analyst(s)
      • Project manager
      • Subject matter experts
      • Core project team (optional)

      Prioritize your EAS requirements to assist with the selection

      Requirements prioritization ensures that the ERP selection project team focuses on the right requirements when putting together the RFP.

      Prioritization is the process of ranking each requirement based on its importance to project success. Hold a meeting for the domain SMEs, implementation SMEs, project managers, and project sponsors to prioritize the requirements list. At the conclusion of the meeting, each requirement should be assigned a priority level. The implementation SMEs will use these priority levels to ensure efforts are targeted toward the proper requirements and to plan features available on each release.

      Use the MoSCoW Model of Prioritization to effectively order requirements.

      The MoSCoW Model of Prioritization
      Must have Requirements must be implemented for the solution to be considered successful.
      Should have Requirements that are high priority should be included in the solution if possible.
      Could have Requirements are desirable but not necessary and could be included if resources are available.
      Won't have Requirements won’t be in the next release, but will be considered for the future releases.

      The MoSCoW model was introduced by Dai Clegg of Oracle UK in 1994. MindTools.

      Base your prioritization on the right set of criteria

      Effective prioritization criteria

      Criteria Description
      Regulatory and legal compliance These requirements will be considered mandatory.
      Policy compliance Unless an internal policy can be altered or an exception can be made, these requirements will be considered mandatory.
      Business value significance Give a higher priority to high-value requirements.
      Business risk Any requirement with the potential to jeopardize the entire project should be given a high priority and implemented early.
      Likelihood of success Especially in “proof of concept” projects, it is recommended that requirements have good odds.
      Implementation complexity Give a higher priority to low implementation difficulty requirements.
      Alignment with strategy Give a higher priority to requirements that enable the corporate strategy.
      Urgency Prioritize requirements based on time sensitivity.
      Dependencies A requirement on its own may be low priority, but if it supports a high-priority requirement, then its priority must match it.

      2.3.1 Prioritize your solution requirements

      Time required varies

      1. Consolidate all duplicate requirements to form a mutually exclusive and collectively exhaustive list of functional and non-functional requirements.
      2. Identify the significance of each requirement for your solution evaluation according to the MoSCoW model. Control the number of mandatory requirements you document. Too many mandatory requirements could create an unrealistic framework for evaluating solutions.
      3. Categorize your requirements and delineate between functional (i.e. capabilities the system will be able to perform) and non-functional (i.e. environmental conditions of the system, such as technical and security requirements).
      InputOutput
      • Inventory of business requirements
      • Inventory of business requirements with priorities
      MaterialsParticipants
      • Whiteboard, markers
      • Internal requirements documentation tools (if available)
      • Info-Tech’s ERP Requirements Template, HRIS Requirements Template, or CRM Requirements Template (optional)
      • Business analyst(s)
      • Project manager
      • Subject matter experts
      • Core project team

      Identify which vendors’ product and capabilities meet your must-have requirements

      Highlight must-haves in the RFP

      • Once you have prioritized your business requirements for the EAS initiative, it is time to package them into an RFP.
      • It is critical to highlight must-have requirements in the RFP document. Doing so immediately eliminates vendors who do not feel that their products are suitable for your needs.

      WATCH OUT!

      Many vendors will try to stretch their capabilities to fit your must-have requirements. Leverage vendor demos in the next stage of selection to quickly rule out products that do not cover your critical requirements.

      Identify key process areas where you require vendor knowledge

      Example of Key process areas

      Completing a process inventory and a list of EAS requirements often shows process areas that need updates and improvement. Take this opportunity to highlight areas where you would benefit from knowing about most recent best practices and technologies.

      Inquire about these when engaging the vendor to know their level of knowledge and how their products work best in your industry.

      General product knowledge requests are not enough. Be specific.

      Determine the product knowledge areas that are specific to your implementation.

      Product Knowledge Proof of Concept Development Customer Service Warehousing Core HR Other Overall
      Data Security *
      Process Improvements * *
      Configuration
      Data Architecture *
      Integration
      On premise Infrastructure
      Cloud Infrastructure *
      Other

      Identify the product knowledge that is required in relation to your implementation. This can include core product knowledge and should be related to larger infrastructure and organizational requirements.

      More than just functional requirements

      What to include What to look at What is differentiating
      • Remember to include must-have conditions that do not directly relate to the behavior or functionality of the EAS product, but rather describe environmental conditions under which the solution must remain effective or qualities that the systems must have.
      • These can include requirements related to capacity, speed, security, availability, and the information architecture and presentation of the user interface.
      • Consider the vendor’s overall ability to execute.
        • Are they financially stable?
        • Do they have the resources to execute?
        • Do they have the skills to execute?
        • Are they able to provide post-implementation support?
      • Vendors understand that SaaS isn’t for everyone. Deployment models are one way they will continue to differentiate themselves.
      • Some vendors choose to compete on breadth and others on depth of expertise in public, private, and hosted cloud offerings.

      Info-Tech Insight
      Be wary of sunsetting products! Selecting the EAS based on a good knowledge of the vendor’s roadmap allows for business operations to continue without having to repeat a selection and implementation project in the near future.

      Dominant use-case scenarios for potential ERP solutions

      While an organization may be both product- and service-centric, most organizations fall into one of the two categories.

      Use case: Public sector

      The service-centric ERP use case is suitable for most organizations in the public sector. With that in mind, consider ERP solutions that offer grant disbursements, fleet management, and staffing/resourcing capabilities.

      Product-centric ERP Service-centric ERP
      What it is The product-centric ERP is suitable for organizations that manufacture, assemble, distribute, or manage material goods throughout a product lifecycle. ERP vendors and/or products that align to this use case usually cater to industries such as manufacturing, retail, aerospace and defense, distribution, and food and beverage. The service-centric ERP use case is suitable for organizations that provide and manage field services and/or professional services throughout a project lifecycle. ERP vendors and/or products that align to this use case usually cater to industries such as utilities, maintenance and repair, government, education, and professional services (i.e. consulting, legal).
      How it works Product-centric ERP has strong functionality in supply chain management, manufacturing, procurement management, and material job and project management. Service-centric ERP has strong functionality in resource job and project management, service management, and customer relationship management.

      EAS table stakes vs differentiating features

      Make sure features align with your objectives first.

      What are table stakes / standard features?

      • For every type of EAS, such as ERP, HRIS, and CRM, certain features are standard, but that doesn’t mean they are all equal.
      • The existence of features doesn’t guarantee quality or functionality to the standards you need. Never assume that yes in a features list means you don’t need to ask for a demo.

      What is differentiating/additional feature?

      • Differentiating features take two forms:
        • Some platforms offer differentiating features that are vertical specific.
        • Other platforms offer differentiating features that are considered cutting edge. These cutting-edge features may become table stakes over time.
      • These features may increase productivity but also require process changes.

      Info-Tech Insight
      If table stakes are all you need from your EAS solution, the only true differentiator for the organization is price. Otherwise, dig deeper to find the best price to value for your needs. Remove the product from your shortlist if table stakes are not met!

      Reign-In Ballooning Scope for EAS Selection Projects

      Stretching the EAS beyond its core capabilities is a short-term solution for a long-term problem. Educate stakeholders about the limits of EAS technology.

      Common pitfalls for EAS selection

      • Tangential capabilities may require separate solutions. It is common for stakeholders to list features such as content management as part of the new EAS platform. While content management goes hand in hand with the EAS’s ability to manage customer interactions, document management is best handled by a standalone platform.

      Keeping stakeholders engaged and in line

      • Ballooning scope leads to stakeholder dissatisfaction. Appeasing stakeholders by over customizing the platform will lead to integration and headaches down the road.
      • Make sure stakeholders feel heard. Do not turn down ideas in the midst of an elicitation session. Once the requirements gathering sessions are completed, the project team has the opportunity to mark requirements as “out of scope”, and communicate the reasoning behind the decision.
      • Educate stakeholders on the core functionality of EAS. Many stakeholders do not know the best-fit use cases for EAS platforms. Help end users understand what EAS is good at, and where additional technologies will be needed.

      Phase 3

      Engage, Evaluate, and Finalize Selection

      Phase 1
      1.1 Enterprise Application Landscape
      1.2 Validate Readiness
      1.3 Determine Resourcing

      Phase 2
      2.1 Capability Mapping
      2.2 Requirements Gathering Data Mapping
      2.3 Requirements Prioritizing

      Phase 3
      3.1 Understanding Product Offerings
      3.2 RFP & Demo Scripts
      3.3 Evaluation Select and Negotiate

      Phase 4
      4.1 Prepare for Implementation

      This phase will walk you through the following activities:

      In this phase of the project, you will review your RFx and build an initial list of vendors/implementors to reach out to. The final step is to build your evaluation checklist for rating the incoming responses.

      This phase involves the following participants:

      Key stakeholders from the various areas of the business that will support the project including:

      • Evaluation team
      • Vendor management team
      • Project management team
      • Core project team

      Select an Enterprise Application

      Products and vendors demystified

      Knowing who can provide the solution will shorten the selection process and provide the most suitable set of features.

      The Product The Vendor The VAR
      A product is the software, hardware, add-ins, and any value-added services or tools that are bundled together, e.g. SAP Rise (see What is RISE with SAP), SAP S4/HANA, etc. A vendor can carry and sell multiple products or lines of products (e.g. Oracle sells Oracle Fusion and NetSuite, etc.). The Value-added reseller (VAR) can sell a pre-packaged / pre-configured product. VARs are usually partners of the vendor and typically provide other packaged services including system hosting, customization, implementation, and integrations.

      Info-Tech Insight
      Selecting an Enterprise Application is much more than just selecting a software or product; it is selecting a long-term platform and partner to help achieve long-term strategic goals. Refer to our blueprint Select an ERP Implementation Partner.

      Consolidating the vendor shortlist up-front reduces downstream effort

      Put the “short” back in shortlist!

      • Radically reduce effort by narrowing the field of potential vendors earlier in the selection process. Too many organizations don’t funnel their vendor shortlist until near the end of the selection process. The result is wasted time and effort evaluating options that are patently not a good fit.
      • Leverage external data (such as SoftwareReviews) and expert opinion to consolidate your shortlist into a smaller number of viable vendors before the investigative interview stage, and eliminate time spent evaluating dozens of RFP responses.
      • Having fewer RFP responses to evaluate means you will have more time to do greater due diligence.

      Review your use cases to start your shortlist

      Your Info-Tech analysts can help you narrow down the list of vendors that will meet your requirements.

      Next steps will include:

      1. Reviewing your requirements.
      2. Checking out SoftwareReviews.
      3. Creating the RFP.
      4. Conducting demos and detailed proposal reviews.
      5. Selecting and contracting with a finalist!

      Evaluate software category leaders through vendor rankings and awards

      SoftwareReviews

      The Data Quadrant is a thorough evaluation and ranking of all software in an individual category to compare platforms across multiple dimensions.

      Vendors are ranked by their Composite Score, based on individual feature evaluations, user satisfaction rankings, vendor capability comparisons, and likeliness to recommend the platform.

      The Emotional Footprint is a powerful indicator of overall user sentiment toward the relationship with the vendor, capturing data across five dimensions.

      Vendors are ranked by their Customer Experience (CX) Score, which combines the overall Emotional Footprint rating with a measure of the value delivered by the solution.

      Speak with category experts to dive deeper into the vendor landscape

      Fact-based reviews of business software from IT professionals.

      Product and category reports with state-of-the-art data visualization.

      Top-tier data quality backed by a rigorous quality assurance process.

      User-experience insight that reveals the intangibles of working with a vendor.

      SoftwareReviews is powered by Info-Tech.

      Technology coverage is a priority for Info-Tech, and SoftwareReviews provides the most comprehensive unbiased data on today’s technology. The insights of our expert analysts provide unparalleled support to our members at every step of their buying journey.

      CLICK HERE to access SoftwareReviews

      Comprehensive software reviews to make better IT decisions.

      We collect and analyze the most detailed reviews on enterprise software from real users to give you an unprecedented view into the product and vendor before you buy.

      Case Study

      Manufacturer and retailer utilizes Info-Tech for goal of unifying four separate ERP systems

      INDUSTRY
      Manufacturing

      SOURCE
      Info-Tech Consulting

      Challenge Solution Results

      An amalgamation of eight different manufacturing, retail, and supply brands that operated four separate ERP systems and processes across the United States had poor visibility into operations.

      The organization had plans to unify the brands from a systems perspective and accommodate the company’s growth in a scalable and repeatable way.

      Info-Tech was previously engaged to perform an Establish a Concrete ERP Foundation workshop to set the groundwork for the eventual ERP selection.

      The organization engaged Info-Tech’s consulting group to assist in requirements gathering and RFP development.

      Info-Tech consultants traveled to five different states to gather ERP requirements from stakeholders and identify solution requirements.

      Info-Tech developed an ERP requirements matrix from the organization’s processes, including technical requirements and operations/support services.

      Info-Tech matched the organization with a use case and weighted requirements to assist in future scoring.

      An RFP was constructed using the organization’s requirements. and distributed to 10 qualified vendors for completion.

      Strengthen your RFP process with a thorough review

      Drive better sourcing outcomes.

      A quality SOW is the result of a quality RFI/RFP (RFx).

      Use Info-Tech’s RFP Review as a Service to review key items and ensure your RFP will generate quality responses and SOWs.

      • Is it well structured, with a consistent use of fonts and bullets?
      • Is it laid out in sections that are easily identifiable and that progress from high-level to more detailed information?
      • Can a vendor quickly identify the ten (or fewer) things that are most important to you?

      Contact Us

      3.2.1 Prepare the RFP

      1-2 hours

      1. Download Info-Tech’s ERP Request for Proposal Template or prepare internal best-practice RFP tools.
      2. Build your RFP.
        1. Complete the statement of work and general information sections to provide organizational context to your long-listed vendors.
        2. Outline the organization’s procurement instructions for vendors, including due diligence, assessment criteria, and dates.
        3. Input the business requirements document as created in Activity 1.3.1.
        4. Create a scenario overview to provide vendors with an opportunity to give an estimated price.
      3. Obtain approval for your RFP. Each organization has a unique procurement process; follow your own organization’s process as you submit your RFPs to vendors. Ensure compliance with your organization’s standard and gain approval for submitting your RFP.
      Input Output
      • Business requirements document
      • Procurement procedures
      • EAS RFP
      Materials Participants
      • Internal RFP tools/ templates (if available)
      • Info-Tech’s ERP RFP Template (optional)
      • Procurement SMEs
      • Project manager
      • Core project team (optional)

      Download the ERP Request for Proposal Template

      Streamline your evaluation of vendor responses

      Use Info-Tech’s ERP Vendor Response Template to standardize vendor responses.

      • Vendors tend to use their own standard templates when responding, which complicates evaluations.
      • Customize Info-Tech’s ERP Vendor Response Template to adjust for the scope and content of your project; input your organization’s procurement process and ERP requirements.
      • The template is meant to streamline the evaluation of vendor responses by ensuring you achieve comprehensiveness and consistency across all vendor responses. The template requires vendors to prove their organizational viability, understanding of the problem, and tested technology and implementation methodologies.

      Sections of the tool:

      1 Executive Summary

      2 About the Vendor

      3 Understanding of the Challenge

      4 Methodology

      5 Proposed Solution

      6 Project Plan and Timeline

      7 Vendor Qualifications

      8 References

      9 Additional Value-Added Services

      10 Additional Value-Added Goods

      For an explanation of how advanced features are determined, see Information Presentation – Feature Ranks (Stoplights) in the Appendix.

      What to look in vendor responses

      Vendor responses to an RFP can be very revealing about whether their product offering aligns with your EAS roadmap.

      Validate the vendor responses so that there are no misunderstandings with their offer. Here are key items to validate.

      Key items Why is this important?
      About the Vendor This is where the vendor will describe itself and prove its organizational viability.
      Understanding of the Challenge Demonstrating understanding of the problem is the first step in being able to provide a solution.
      Methodology Shows the vendor has a proven methodology to approach and solve the challenge.
      Proposed Solution Describes how the vendor will address the challenge. This is a very important section as it will articulate what you will receive from the vendor as a solution.
      Project Plan and Timeline Provides an overview of the project management methodology, phases of the project, and what will be delivered and when.
      Vendor Qualifications Provides evidence of prior experience with delivering similar projects for similar clients.
      References Provides contact information for individuals or organizations for which the vendor has worked and who can vouch for the experience and success of working with this vendor.
      Value-Added Services and Goods Allows vendors an opportunity to set themselves apart from the competition with additional services and/or goods applicable to your project but not covered elsewhere in the template.

      3.2.2 Build a vendor response template

      1-2 hours

      1. Download Info-Tech’s ERP Vendor Response Template.
      2. Validate that the provided template is comprehensive and will collect the information necessary for your organization to effectively evaluate the product and vendor and will inform a decision to invite the vendor in for a demonstration.
      3. Make the small customizations necessary to tailor the template to your organization (i.e. swap out “[Company X]” for your organization’s name).

      Download the ERP Vendor Response Template

      InputOutput
      • EAS RFP
      • ERP Vendor Response Template
      MaterialsParticipants
      • Info-Tech’s ERP Vendor Response Template
      • Procurement SMEs
      • Project manager
      • Core project team

      3.2.3 Evaluate RFP responses

      Varies

      1. Customize Info-Tech’s EAS RFP and Demonstration Scoring Tool to build a vendor and product evaluation framework for your EAS selection team.
      2. Review all RFP responses together with the core project team and stakeholders from procurement (if necessary).
      3. Input vendor solution information into the EAS RFP and Demonstration Scoring Tool.
      4. Analyze the vendors against your evaluation framework by paying specific attention to costing, overall score, and evaluation notes and comments.
      5. Identify vendors with whom you wish to arrange vendor demonstration.
      6. Contact vendors and arrange briefings.
      InputOutput
      • EAS RFP
      • ERP Vendor Response Template
      MaterialsParticipants
      • Info-Tech’s ERP Vendor Response Template
      • Procurement SMEs
      • Project manager
      • Core project team

      Download the EAS RFP and Demonstration Scoring Tool

      Identify specific use cases and develop demonstration scenarios

      These techniques can be used to gather requirements now and for vendor demos during the evaluation stage.

      Describe use cases to indicate how the various processes will operate. This technique can help end-users describe what the solution must do without needing to know how to describe requirements. Outline scenarios based on these use cases for vendors to demonstrate how their solution can fulfill business requirements.

      Define
      Define objectives for each specific use case.

      Explore
      Explore the various process paths and alternate outcomes for each use case.

      Build
      Build the details of the scenarios to describe the roles of the people involved and the detailed process steps to be accomplished.

      Use
      For each scenario, outline the expected outputs and variations.

      Info-Tech Insight
      Do not exceed three vendors when selecting participants for a product demonstration. Each vendor demonstration should last between one day and one week, depending on the scope of the project. Exceeding the threshold of three vendors can be massively time consuming and yield diminishing returns.

      Conduct vendor demos that extend beyond baseline requirements

      • Demo scripts should focus on differentiating vendor processes and capabilities that contribute to achieving your business’ strategic objectives.
      • You want vendors to show you what differentiates them and what can they do that is specific to your industry.
      • Avoid focusing on baseline EAS capabilities. While this may drive consistency across demonstrations, you will not get a clear picture of how one vendor may align with your unique business needs.
      • Ask the vendor questions pertaining to the differentiating factors listed below. Consider if the differentiating factors are worthwhile over the baseline capabilities shown.
      Adhere to this framework when crafting your scenarios:
      Simple and straightforward Series of steps
      • A straightforward narrative of what you need the product to do.
      • Once written, scenarios should be circulated to key stakeholders in the organization for validation.
      • Demonstrate how a user would interact with the system.
      • Should not be an explanation of specific features/functions.
      Specific Suitable for your business
      • Demonstrate exactly what you need the system to do, but don’t get into implementation details – don’t go too far into the how.
      • Select only critical functions that must be demonstrated.
      • Scenarios should reflect current realities within the organization, while still allowing processes to be improved.

      Add your scenarios to Info-Tech’s sample EAS demo script

      Take a holistic approach to vendor and product evaluation

      Almost – or equally – as important as evaluating vendor feature capabilities is the need to evaluate vendor viability and non-functional aspects of the EAS solution. Include an evaluation of the following criteria in your vendor scoring methodology.

      Vendor capability Description
      Usability and Intuitiveness The degree to which the system interface is easy to use and intuitive to end users.
      Ease of IT Administration The degree to which the IT administrative interface is easy to use and intuitive to IT administrators.
      Ease of Data Integration The relative ease with which the system can be integrated with an organization’s existing application environment including legacy systems, point solutions, and other large enterprise applications.
      Ease of Customization The relative ease with which a system can be customized to accommodate niche or industry-specific business or functional needs.
      Vendor Support Options The availability of vendor support options including selection consulting, application development resources, implementation assistance, and ongoing support resources.
      Availability and Quality of Training The availability of quality training services and materials that will enable users to get the most out of the product selected.
      Product Strategy, Direction, and Rate of Improvement The vendor’s proven ability for constant product improvement, deliberate strategic direction, and overall commitment to research and development efforts in responding to emerging trends.

      Info-Tech Insight
      Evaluating the vendor capabilities, not just product capabilities, is particularly important with EAS solutions. EAS solutions are typically long-term commitments; ensure that your organization is teaming up with a vendor or provider that you feel you can work well with and depend on.

      Case Study

      Structured RFP and demo processes ease the pain of vendor evaluations during the selection phase.

      INDUSTRY
      Automotive

      SOURCE
      Research Interview

      Challenge Solution Results

      This company is one of the largest automotive manufacturers worldwide and has various manufacturing facilities and distribution centers across Canada.

      With over 8,000 employees, the company has a multifaceted health and safety program. While head office enabled and used the health and safety module within the existing HRIS, some divisions within the company found the system complex and were still relying heavily on manual entry spreadsheets for incident investigations. As a result, the company decided to explore other options.

      A project team was created, led by a project manager from head office’s IT department. The team also included health and safety specialists from across the organization, who served as subject matter experts.

      The team put together a project outline, a roadmap for required functionality, and a business case to present to senior leadership, highlighting benefits and potential payback.

      After acquiring executive sponsorship, the team developed a Request for Proposal that was sent to 11 vendors.

      Among the evaluation criteria set in the RFP, injury cost analysis and analytics on safety were identified as the most critical requirements. Based on this criteria, the team narrowed down the options to four RFP responses, which were opened to 16 different sites to ensure consensus across the company.

      The team developed demo scripts to guide the product demonstrations. They also built evaluation scorecards that were used to narrow down the selection to two vendors. Ultimately, the final selection decision came down to how well the vendors’ teams knew the business, and the vendor that demonstrated greater industry expertise was selected.

      3.2.4 Build a demo script for product demonstration evaluation

      1-2 hours

      1. With the EAS selection team, use Info-Tech’s ERP Vendor Demonstration Script, HRIS Vendor Demonstration Script, or CRM Vendor Demonstration Script to write a demo script that reflects your organization’s EAS needs.
      2. Outline the logistics of the demonstration in the Introduction section of the template. Be sure to outline the total length of the demo and the amount of time that should be dedicated to the following:
        1. Product demonstration in response to the demo script.
        2. Showcase of unique product elements, not reflective of the demo script.
        3. Question and answer session.
        4. Breaks and other potential interruptions.
      3. Provide prompts for the vendor to display the capabilities by listing and describing usage scenarios by functional area. For example, when asking a vendor to demonstrate financial and accounting management capabilities, you may break scenarios out by task (e.g. general ledger, accounts payable) or user role (e.g. finance manager, administrator).

      Info-Tech Insight
      Challenge vendor project teams during product demonstrations. Asking the vendor to make adjustments or customizations on the fly will allow you to get an authentic feel for product capability and flexibility and for the degree of adaptability of the vendor project team. Ask the vendor to demonstrate how to do things not listed in your user scenarios, such as change system visualizations or design, change underlying data, add additional data sets, demonstrate collaboration capabilities, or trace an audit trail.

      3.2.4 Build a demo script for product demonstration evaluation

      Before the actual demonstrations, remember to communicate to the team the scenarios to be covered. Distribute the scripts ahead of the demonstrations so that the evaluation team know what is expected from the vendors.

      Input Output
      • Business requirements document
      • Logistical considerations
      • Usage scenarios by functional area
      • EAS demo script
      Materials Participants
      • Info-Tech’s ERP Vendor Demonstration Script, HRIS Vendor Demonstration Script, or CRM Vendor Demonstration Script
      • Business analyst(s)
      • Core project team

      A vendor scoring model provides a clear anchor point for your evaluation of EAS vendors based on a variety of inputs

      A vendor scoring model is a systematic method for effectively assessing competing vendors. A weighted-average scoring model is an approach that strikes a strong balance between rigor and evaluation speed.

      How do I build a scoring model? What are some of the best practices?
      • Start by shortlisting the key criteria you will use to evaluate your vendors. Functional capabilities should always be a critical category, but you’ll also want to look at criteria such as affordability, architectural fit, and vendor viability.
      • Depending on the complexity of the project, you may break down some criteria into sub-categories to assist with evaluation (for example, breaking down functional capabilities into constituent use cases so you can score each one).
      • One you’ve developed the key criteria for your project, the next step is weighting each criteria. Your weightings should reflect the priorities for the project at hand. For example, some projects may put more emphasis on affordability, others on vendor partnership.
      • Using the information collected in the subsequent phases of this blueprint, score each criteria from 1-100, then multiply by the weighting factor. Add up the weighted scores to arrive at the aggregate evaluation score for each vendor on your shortlist.
      • While the criteria for each project may vary, it’s helpful to have an inventory of repeatable criteria that can be used across application selection projects. The next slide contains an example that you can add or subtract from.
      • Don’t go overboard on the number of criteria: five to ten weighted criteria should be the norm for most projects. The more criteria (and sub-criteria) you must score against, the longer it will take to conduct your evaluation. Always remember – link the level of rigor to the size and complexity of your project! It’s possible to create a convoluted scoring model that takes significant time to fill out but yields little additional value.
      • Creation of the scoring model should be a consensus-driven activity between IT, procurement, and the key business stakeholders – it should not be built in isolation. Everyone should agree on the fundamental criteria and weights that are employed.
      • Consider using not just the outputs of investigative interviews and RFP responses to score vendors, but also third-party review services like SoftwareReviews.

      Info-Tech Insight
      Even the best scoring model will still involve some “art” rather than science – scoring categories such as vendor viability always entail a degree of subjective interpretation.

      Establish vendor evaluation criteria

      Vendor demonstrations are an integral part of the selection process. Having clearly defined selection criteria will help with setting up relevant demos and informing the vendor scorecards.

      Vendor evaluation criteria (weight)

      Functionality (30%) Ease of Use (25%)
      • Breadth of capability
      • Tactical capability
      • Operational capability
      • End-user usability
      • Administrative usability
      • UI attractiveness
      • Self-service options
      Cost (15%) Vendor (15%)
      • Maintenance
      • Support
      • Licensing
      • Implementation (internal and external costs)
      • Support model
      • Customer base
      • Sustainability
      • Product roadmap
      • Proof of concept
      • Implementation model
      Technology (15%)
      • Configurability options
      • Customization requirements
      • Deployment options
      • Security and authentication
      • Integration environment
      • Ubiquity of access (mobile)

      Info-Tech Insight
      Do not buy something that does not fit your functional needs just because it is the cheapest. ERP is a massive, long-term investment. If you purchase a system that does not contain the functionality that meets the organization’s business needs, not only will you face issues with user adoption, but you may also face having to revisit your ERP project down the road. In the end, this will cost you more than it will save you.

      Conduct client reference interviews to identify how other organizations have successfully used the vendor’s solution

      Request references from the vendors. Make sure the vendors deliver what they promise.

      Vendors are inevitably going to provide references that will give positive feedback, but don’t be afraid to dig into the interviews to understand some of the limitations related to the solution.

      • Even if a vendor is great for one client doesn’t necessarily mean it will fit for you. Ask the vendor to provide references from organizations in your own or a similar industry or from someone who has automated similar business processes or outlined similar expectations.
      • Use these reference calls as an opportunity to gain a more accurate understanding of the quality of the vendor’s service support and professional services.
      • If you are looking to include a high level of customization in your EAS solution, pay particular attention to this step and the client responses, as these will help you understand how easy a vendor is to work with.
      • Make the most of your client reference interviews by preparing your questions in advance and following a specific script.

      Sample Reference Check Questions

      Use Info-Tech’s Sample Reference Check Questions to provide a framework and starting point for your interviews with a vendor’s previous clients. Review the questions and customize to fit your needs.

      Determine costs of the solution

      Ensure the business case includes both internal and external costs related to the new EAS platform, allocating costs of project managers to improve accuracy of overall costs and level of success.

      EAS solutions include application costs and costs to design processes, install, and configure. These start-up costs can be a significant factor in whether the initial purchase is feasible.

      EAS vendor costs Internal costs
      • Application licensing
      • Implementation and configuration
      • Professional services
      • Maintenance and support
      • Training
      • Third-party add-ons
      • Data transformation
      • Integration
      • Project management
      • Business readiness
      • Change management
      • Resourcing (user groups, design/consulting, testing)
      • Training
      • Auditors (if regulatory requirements need vetting)
      When thinking about vendor costs, also consider the matching internal cost associated with the vendor activity (e.g. data cleansing, internal support). Project management is a top-five critical success factor at all stages of an enterprise application initiative from planning to post-implementation (Information Systems Frontiers). Ensuring that costs for such critical areas are accurately represented will contribute to success.

      Bring in the right resources to guarantee success. Work with the PMO or project manager to get creating the SOW.

      60% of IT projects are not finished “mostly or always” on time (Wellingtone, 2018).

      55% of IT personnel feel that the business objectives of their software projects are clear to them (Geneca, 2017).

      Download the blueprint Improve Your Statements of Work to Hold Your Vendors Accountable to define requirements for installation and configuration.

      3.3.1 Establish your evaluation criteria

      Time required varies

      Customize Info-Tech’s RFP and Demonstration Scoring Tool to build an evaluation framework for vendor responses based on set criteria rather than relative comparisons.

      This tool allows you to evaluate whether your organization’s requirements have been met by the vendor RFP response and provides a location for comprehensive documentation of the RFP response and demonstration details, including costing and availability/quality of product features, architecture, and vendor support.

      Finally, the tool gives you the ability to evaluate your shortlisted vendors’ demonstrations.

      InputOutput
      • Business requirements document
      • Logistical considerations
      • Usage scenarios by functional area
      • EAS evaluation criteria
      MaterialsParticipants
      • Info-Tech’s EAS RFP and Demonstration Scoring Tool
      • Procurement SMEs
      • Core project team

      3.3.1 Establish your evaluation criteria

      Time required varies

      1. With the EAS selection team, brainstorm a list of criteria against which you are going to evaluate each vendor and product.
      2. Categorize each criteria into four to eight groups.
      3. Assign ranked weightings to each category of evaluation criteria. The weightings should add up to 100%. Be sure to identify which criteria are most important to your team by assigning higher weightings to those criteria. If you are having trouble assigning ranked weightings to criteria, take your team through an exercise of ranking pairs. For example, if deciding on the ranked importance of cost, ease of use, and vendor support, break down the discussion by addressing just two criteria at a time: “Between cost and ease of use, which is more important?” If cost is selected… “Between cost and vendor support, which is more important?” If cost is selected again, decide on your second and third rankings by addressing the remaining two criteria… “Between vendor support and ease of use, which is more important?”
      4. Document the final output from this activity as an input to your EAS selection. Optionally, record it in Info-Tech’s EAS RFP and Demonstration Scoring Tool.

      Download the EAS RFP and Demonstration Scoring Tool

      Info-Tech Insight
      Do not reveal your evaluation criteria to vendors. Allowing vendors to see what matters most to your organization may sway their response and/or demo. Avoid this by keeping your decided evaluation criteria and weightings among your selection team only.

      3.3.2 Evaluate vendor product demonstrations

      Time required varies

      1. Using the demonstration script and vendor criteria previously established, customize Info-Tech’s EAS RFP and Demonstration Scoring Tool to build a scorecard that quickly evaluates vendor product demonstrations.
      2. Distribute the scorecard to every member of the team who is evaluating a particular demonstration.
      3. Evaluate each vendor product demonstration using the tool.
      4. Average all scores from each vendor demonstration to inform your selection decision. Note that the vendor with the highest overall score may not necessarily be the best fit for your organization.
      Input Output
      • Demonstration script
      • Evaluation criteria
      • ERP demonstration vendor scores
      Materials Participants
      • Info-Tech’s EAS RFP and Demonstration Scoring Tool
      • Core project team

      Download the EAS RFP and Demonstration Scoring Tool

      Decision Point: Select the Finalist

      After reviewing all vendor responses to your RFP, conducting vendor demos, and running a pilot project (if applicable) – the time has arrived to select your finalist.

      All core selection team members should hold a session to score each shortlisted vendor against the criteria enumerated on the previous slide, based on an in-depth review of proposals, the demo sessions, and any pilots or technical assessments.

      The vendor that scores the highest in aggregate is your finalist.

      Congratulations – you are now ready to proceed to final negotiation and inking a contract. This blueprint provides a detailed approach on the mechanics of a major vendor negotiation.

      Get the best value out from your EAS vendor. Negotiate on your own terms.

      Here are a few tips common to EAS vendors and its offerings.

      Vendors will give time-limited discounts to obtain your buy-in.

      • Depending on your procurement process, it is good practice to have at least two competing vendors in the running to obtain the best value.
      • Make sure that the package offered is coherent – that there are no gaps in the product offering.
      • Ask for access to a higher level of customer care or even developers to obtain quicker, specific support
      • Inquire about specific support and patching service, especially if you have customizations.
      • Ask for additional hours for training and support, pre- and post- implementation.
      • Think long-term – you want to have a good working relationship over the long haul, with a vendor that fits with your overall strategy, and not have to repeat and negotiate often.

      Use Info-Tech’s vendor services

      Info-Tech’s vendor management services has price benchmarks as well knowledgeable advisors who can help evaluate proposals to obtain the best value

      Speak to a vendor management services’ advisor today.

      Contact Us

      Communicate to the vendor whether they were accepted or rejected

      Communicate with each vendor following the demonstration and product evaluation. Ask follow-up questions, highlight areas of concern, and inform them of their status in the selection process.

      The RFP process is a standard business practice. As a customer, you are not under any obligation to educate the vendor as to the details of acceptance or rejection. However, consider every point of contact as an opportunity to build a strong network of potential vendors to help you acquire the best products for your organization.

      Use Info-Tech’s Vendor Communication Set template to communicate with the vendor following the demonstration and product evaluations. This set includes:

      Rejection Notice: Inform the vendor that they are no longer under consideration and highlight opportunities for future debrief.

      Approval Notice: Inform the vendor of its progress to the next stage of selection and identify next steps.

      Go to this link

      Phase 4

      Prepare for Implementation

      Phase 1
      1.1 Enterprise Application Landscape
      1.2 Validate Readiness
      1.3 Determine Resourcing

      Phase 2
      2.1 Capability Mapping
      2.2 Requirements Gathering Data Mapping
      2.3 Requirements Prioritizing

      Phase 3
      3.1 Understanding Product Offerings
      3.2 RFP & Demo Scripts
      3.3 Evaluation Select and Negotiate

      Phase 4
      4.1 Prepare for Implementation

      This phase will walk you through the following activities:

      Discussion on what it takes to transition to a proper implementation.

      Key stakeholders from the various areas of the business that will support the project including:

      • Project management team
      • Core project team

      Select an Enterprise Application

      Leverage Info-Tech’s research to plan and execute your EAS implementation

      Use Info-Tech Research Group’s three-phase implementation process to guide your own planning.

      Assess

      Prepare

      Govern and course correct

      Establish and execute an end-to-end, agile framework to succeed with the implementation of a major enterprise application.

      Visit this link

      External resources are available for implementations

      Organizations rarely have sufficient internal staffing to resource an EAS project on their own. Consider the options for closing the gap in internal resource availability.

      The most common project resourcing structures for enterprise projects are:

      Your own staff +

      1 Management Consultant

      2 Vendor Consultant

      3 System Integrator

      Consider the following:

      Internal vs. External Roles and Responsibilities

      Clearly delineate between internal and external team responsibilities and accountabilities, and communicate this to your technology partner upfront.

      Internal vs. External Accountabilities

      Accountability is different than responsibility. Your vendor or SI partner may be responsible for completing certain tasks, but be careful not to outsource accountability for the implementation – ultimately, the internal team will be accountable.

      Partner Implementation Methodologies

      Often vendors and/or SIs will have their own preferred implementation methodology. Consider the use of your partner's implementation methodology; however, you know what will work for your organization.

      Info-Tech Insight
      When contemplating a resourcing structure, consider:

      • Availability of in-house implementation competencies and resources.
      • Timeline and constraints.
      • Integration environment complexity.

      Review your options for external resources

      Narrow your search for a management consultant, vendor consultant, or system integrator partner by understanding under which circumstances each would be most appropriate.

      When to choose… Management consultant Vendor consultant System integrators
      • There is an existing and trusted relationship.
      • Scope of work includes consideration of internal IT operations, costing, etc.
      • Organization requires external industry expertise for strategy formulation.
      • They will have a role in overall change management within the enterprise.
      • There are no concerns with overall IT processes or capabilities.
      • The project scope is restricted to a single technology or application.
      • There is minimal integration with other systems.
      • The consultant has no role in business process change.
      • They will be a specialist reporting to other consultants.
      • Project includes products from different vendors or multiple add-ons.
      • Extensive integration is required with legacy or other applications.
      • They will be responsible for outsourced operational support or development following implementation.

      Info-Tech Insight
      Depending on your internal resourcing constraints and IT maturity, you may need to work with multiple partners. If this is the case, just be aware that working with multiple partners can complicate vendor relationship management and makes having a dedicated vendor or partner relationship manager even more important.

      4.1.1 Establish team composition

      1 – 2 hours

      Utilize Info-Tech’s Governance and Management of Enterprise Software Implementation to establish your team composition. Within that blueprint:

      1. Assess the skills necessary for an implementation. Inventory the competencies required for the implementation project team. Map your internal resources to each competency as applicable.
      2. Select your internal implementation team. Determine who needs to be involved closely with the implementation. Key stakeholders should also be considered as members of your implementation team.
      3. Identify the number of external consultants/support required for implementation. Consider your in-house skills, timeline considerations, integration environment complexity, and cost constraints as you make your team composition plan. Be sure to dedicate an internal resource to managing the vendor and partner relationships.
      4. Document the roles and responsibilities, accountabilities, and other expectations of your team as they relate to each step of the implementation.
      Input Output
      • Skills assessment
      • Stakeholder analysis
      • Vendor partner selection
      • Team composition
      Materials Participants
      • Sticky notes
      • Whiteboard
      • Markers
      • Project Team

      Governance and Management of Enterprise Software Implementation

      Follow our iterative methodology with a task list focused on the business must-have functionality to achieve rapid execution and to allow staff to return to their daily work sooner.

      Visit this link

      Ensure your implementation team has a high degree of trust and communication

      If external partners are needed, dedicate an internal resource to managing the vendor and partner relationships.

      Communication Proximity Trust
      Teams must have some type of communication strategy. This can be broken into:
      • Regularity: Having a set time each day to communicate progress and a set day to conduct retrospectives.
      • Ceremonies: Injecting awards and continually emphasizing delivery of value can encourage relationship building and constructive motivation.
      • Escalation: Voicing any concerns and having someone responsible for addressing those concerns.
      Distributed teams create complexity as communication can break down. This can be mitigated by:
      • Location: Placing teams in proximity can close the barrier of geographical distance and time zone differences.
      • Inclusion: Making a deliberate attempt to pull remote team members into discussions and ceremonies.
      • Communication tools: Having the right technology (e.g. video conference) can help bring teams closer together virtually.
      Members should trust that other members are contributing to the project and completing their required tasks on time. Trust can be developed and maintained by:
      • Accountability: Having frequent quality reviews and feedback sessions. As work becomes more transparent, people become more accountable.
      • Role clarity: Having a clear definition of what everyone’s role is.

      Create a formal communication process throughout the EAS implementation

      Establish a comprehensive communication process around the EAS enterprise roll-out to ensure that end users stay informed.

      The EAS kick-off meeting(s) should encompass:

      • Target business-user requirements
      • Target quality of service (QoS) metrics
      • Other IT department needs
      • Special consideration needs
      • Tangible business benefits of application
      • The high-level application overview

      The overall objective for inter-departmental EAS kick-off meetings is to confirm that all parties agree on certain key points and understand platform rationale and functionality.

      The kick-off process will significantly improve internal communications by inviting all affected internal IT groups, including business units, to work together to address significant issues before the application process is formally activated.

      Department groups or designated trainers should take the lead and implement a process for:

      • Scheduling EAS platform roll-out/kick-off meetings.
      • Soliciting preliminary input from the attending groups to develop further training plans.
      • Establishing communication paths and the key communication agents from each department who are responsible for keeping lines open moving forward.

      Plan for your implementation of EAS based on deployment model

      Place your EAS solution into your IT landscape by configuring and adjusting the tool based on your specific deployment method.

      On-Premises SaaS-based
      1. Identify custom features and configuration items
      2. Train developers and IT staff on new software investment
      3. Install software
      4. Configure software
      5. Test installation and configuration
      6. Test functionality
      1. Train developers and IT staff on new software investment
      2. Set up connectivity
      3. Identify VPN or internal solution
      4. Check firewalls
      5. Validate bandwidth regulations

      Integration is a top IT challenge and critical to the success of the EAS solution

      EAS solutions are most effective when they are integrated with ERP, HRIS, and CRM solutions.

      Data interchange between the EAS solution and other data sources is necessary Formulate a comprehensive map of the systems, hardware, and software with which the EAS solution must be able to integrate. Master data needs to constantly be synchronized; without this, you lose out on one of the primary benefits of integration. These connections should be bidirectional for maximum value (i.e. marketing data to the CRM, customer data to MMS).
      Specialized projects that include an intricate prospect or customer list and complex rules may need to be built by IT The more custom fields you have in your EAS and point solutions, the more schema mapping you will have to do. Include this information in the RFP to receive guidance from vendors regarding the ease with which integration can be achieved.
      Pay attention to legacy apps and databases If you have a legacy EAS and databases, more custom code will be required. Many vendors claim that custom integrations can be performed for most systems, but custom comes at a cost. Don’t just ask if they can integrate; ask how long it will take and for references from organizations which have been successful in this.

      Scenario: Failure to address EAS data integration will cost you in the long run

      A company spent $15 million implementing a new CRM system in the cloud and decided NOT to spend an additional $1.5 million to do a proper cloud DI tool procurement. The mounting costs followed.

      Cost element – Custom Data Integration $
      2 FTEs for double entry of sales order data $ 100,000/year
      One-time migration of product data to CRM $ 240,000 otc
      Product data maintenance $ 60,000/year
      Customer data synchronization interface build $ 60,000 otc
      Customer data interface maintenance $ 10,000/year
      Data quality issues $ 100,000/year
      New SaaS integration built in year 3 $ 300,000 otc
      New SaaS integration maintenance $ 150,000/year
      Cost element – Data Integration Tool $
      DI strategy and platform implementation $1,500,000 otc
      DI tool maintenance $ 15,000/year
      New SaaS integration point in year 3 $ 300,000 otc

      Comparison of Solution TCOs Chart

      Custom integration is costing this organization $300,000/year for one SaaS solution.

      The proposed integration solution would have paid for itself in 3-4 years and saved exponential costs in the long run.

      Proactively address data quality in the EAS during implementation

      Data quality is a make-or-break issue in an EAS platform; garbage in is garbage out.

      • EAS solutions are one of the leading offenders for generating poor quality data. As such, it’s important to have a plan in place for structuring your data architecture in such a way that poor data quality is minimized from the get-go.
      • Having a plan for data quality should precede data migration efforts; some types of poor data quality can be mitigated prior to migration.
      • There are five main types of poor-quality data found in EAS platforms.
        • Duplicate data: Duplicate records can be a major issue. Leverage dedicated de-dupe tools to eliminate them.
        • Stale data: Out-of-date customer information can reduce the usefulness of the platform. Use automated social listening tools to help keep data fresh.
        • Incomplete data: Records with missing info limit platform value. Specify data validation parameters to mandate that all fields are filled in.
        • Invalid and conflicting data: Can create cascading errors. Establishing conflict resolution rules in ETL tools for data integration can reduce issues.

      Info-Tech Insight
      If you have a complex EAS environment, appoint data stewards for each major domain and procure a de-dupe tool. As the complexity of EAS system-to-system integrations increase, so will the chance that data quality errors will crop up – for example, bi-directional POI with other sources of customer information dramatically increase the chances of conflicting/duplicate data.

      Profile data, eliminate dead weight, and enforce standards to protect data

      Identify and eliminate dead weight Poor data can originate in the firm’s EAS system. Custom queries, stored procedures, or profiling tools can be used to assess the key problem areas.
      Loose rules in the EAS system lead to records of no significant value in the database. Those rules need to be fixed, but if changes are made before the data is fixed, users could encounter database or application errors, which will reduce user confidence in the system.
      • Conduct a data flow analysis: map the path that data takes through the organization.
      • Use a mass cleanup to identify and destroy dead weight data. Merge duplicates either manually or with the aid of software tools. Delete incomplete data, taking care to reassign related data.
      • COTS packages typically allow power users to merge records without creating orphaned records in related tables, but custom-built applications typically require IT expertise.
      Create and enforce standards and policies Now that the data has been cleaned, it’s important to protect the system from relapsing.
      Work with business users to find out what types of data require validation and which fields should have changes audited. Whenever possible, implement drop-down lists to standardize values and make programming changes to ensure that truncation ceases.
      • Truncated data is usually caused by mismatches in data structures during either one-time data loads or ongoing data integrations.
      • Don’t go overboard on assigning required fields; users will just put key data in note fields.
      • Discourage the use of unstructured note fields: the data is effectively lost except if it gets subpoenaed.

      Info-Tech Insight
      Data quality concerns proliferate with the customization level of your platform. The more extensive the custom integration points and module/database extensions that you have made, the more you will need to have a plan in place for managing data quality from a reactive and proactive standpoint.

      Ensure requirements are met with robust user acceptance testing

      User acceptance testing (UAT) is a test procedure that helps to ensure end-user requirements are met. Test cases can reveal bugs before the suite is implemented.

      Five secrets of UAT success

      1 Create the plan With the information collected from requirements gathering, create the plan. Make sure this information is added to the main project plan documentation.
      2 Set the agenda The time allotted will vary depending on the functionality being tested. Ensure that the test schedule allows for the resolution of issues and discussion.
      3 Determine who will participate Work with relevant stakeholders to identify the people who can best contribute to system testing. Look for experienced power users who have been involved in earlier decision making about the system.
      4 Highlight acceptance criteria With the UAT group, pinpoint the criteria to determine system acceptability. Refer to requirements specified in use cases in the initial requirements-gathering stages of the project.
      5 Collect end user feedback Weaknesses in resolution workflow design, technical architecture, and existing customer service processes can be highlighted and improved with ongoing surveys and targeted interviews.

      Calculate post-deployment metrics to assess measurable value of the project

      Track the post-deployment results from the project and compare the metrics to the current state and target state.

      EAS selection and implementation metrics
      Description Formula Current or estimated Target Post-deployment
      End-user satisfaction # of satisfied users
      # of end users
      70% 90% 85%
      Percentage over/under estimated budget Amount spent – 100%
      Budget
      5% 0% 2%
      Percentage over/under estimated timeline Project length – 100%
      Estimated timeline
      10% -5% -10%
      EAS strategy metrics
      Description Formula Current or estimated Target Post-deployment
      Number of leads generated (per month) # of leads generated 150 200 250
      Average time to resolution (in minutes) Time spent on resolution
      # of resolutions
      30 minutes 10 minutes 15 minutes
      Cost per interaction by campaign Total campaign spending
      # of customer interactions
      $17.00 $12.00 $12.00

      Continue to adapt your governance model

      Your EAS and applications environment will continue to evolve. Make sure your governance model is always ready to capture the everchanging needs.

      Business needs will not stop changing whether you have an ongoing EAS or other application project. It is thus important to keep your governance efficient and streamlined to capture these needs to then make the EAS continue deliver value and remain aligned to long-term corporate objectives.

      Visit this link

      Summary of Accomplishment

      Select an Enterprise Application

      EAS technology is critical to facilitating an organization’s flow of information across business units. It allows for seamless integration of systems and creates a holistic view of the enterprise to support decision making. Having a structured approach to gathering the necessary resources, defining key requirements, and engaging with the right shortlist of vendors to pick the best finalist is crucial.

      This selection guide allows organizations to execute a structured methodology for picking an EAS that aligns with their needs. This includes:

      • Alignment and prioritization of key business and technology drivers for an EAS selection.
      • Identification and prioritization of the EAS requirements.
      • Construction of a robust EAS RFP.
      • A strong market scan of key players.
      • A survey of crucial implementation considerations.

      This formal EAS selection initiative will drive business-IT alignment, identify data and integration priorities, and allow for the rollout of a platform that’s highly likely to satisfy all stakeholder needs.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Contact your account representative for more information.
      workshops@infotech.com
      1-888-670-8889

      Research Contributors

      Name Title Organization
      Anonymous Anonymous Telecommunications industry
      Anonymous Anonymous Construction material industry
      Anonymous Anonymous Automotive industry
      Corey Tenenbaum Head of IT Taiga Motors
      Mark Earley Director, Consulting Info-Tech Research Group
      Ricardo di Olivera Research Director, Enterprise Applications Info-Tech Research Group

      Bibliography

      “2016 Report on ERP Systems and Enterprise Software.” Panorama Consulting Solutions, 2016. Web.

      “2018 Report on ERP Systems and Enterprise Software.” Panorama Consulting Solutions, 2018. Web.

      “2022 HRIS Software Report.” SoftwarePath, 2022 . Web

      Cross-Industry Process Classification Framework (PCF) Version 7.2.1. APQC, 26 Sept. 2019. Web.

      “Doomed From the Start? Why a Majority of Business and IT Teams Anticipate Their Software Development Projects Will Fail.” Geneca, 25 Jan. 2017. Web.

      Farhan, Marwa Salah, et al. “A Systematic Review for the Determination and Classification of the CRM Critical Success Factors Supporting with Their Metrics.” Future Computing and Informatics Journal, vol. 3, no. 2, Dec. 2018, pp. 398–416.

      Gheorghiu, Gabriel. “ERP Buyer’s Profile for Growing Companies.” SelectHub, 23 Sept. 2022. Web

      “Process Frameworks.” APQC, 4 Nov. 2020. Web.

      “Process vs. Capability: Understanding the Difference.” APCQ, 2017. Web.

      Savolainen, Juha, et al. “Transitioning from Product Line Requirements to Product Line Architecture.” 29th Annual International Computer Software and Applications Conference (COMPSAC'05), IEEE, vol. 1, 2005, pp. 186-195, doi: 10.1109/COMPSAC.2005.160

      Saxena, Deepak, and Joe McDonagh. "Evaluating ERP Implementations: The Case for a Lifecycle based Interpretive Approach." Electronic Journal of Information Systems Evaluation 22.1 (2019): pp29-37.

      “SOA Reference Architecture – Capabilities and the SOA RA.” The Open Group, TOGAF, n.d. Web.

      Smith, Anthony. “How To Create A Customer-Obsessed Company Like Netflix.” Forbes, 12 Dec. 2017. Web.

      "The Moscow Method", MindTools. Web.

      “The State of CRM Data Management 2020.” Validity, 2020. Web.

      “The State of Project Management Annual Survey 2018.” Wellingtone, 2018. Web.

      “Why HR Projects Fail.” Unleash, 2021. Web

      IT Project Management Lite

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      • Parent Category Name: Project Management Office
      • Parent Category Link: /project-management-office
      • Organizations want reliable project reporting and clear, consistent project management standards, but many are unwilling or unable to allocate time for it.
      • Many IT project managers are given project management responsibilities in addition to other full-time roles – without any formal allocation of time, authority, or training.
      • Most IT project managers and stakeholders actually want clear and consistent standards but resist tools and procedures they believe are too time consuming and inflexible.
      • Standard project management procedures must be “light” enough for project managers to adapt to a wide range of projects without increasing the total time required to manage projects successfully.

      Our Advice

      Critical Insight

      • Most IT project management advice is focused on the largest 10-20% of projects – projects with large enough budgets to allocate time to project management. This leaves most IT projects (and most people who manage IT projects) in limbo between high-risk ad hoc management and high-cost project management best practices.
      • Project management success doesn’t equate to project success. While formal methodologies are a key ingredient in the success of large, complex projects, most IT projects do not require the same degree of rigorous record-keeping and planning.
      • Consistent, timely, and accurate reporting is the “linchpin” in any sustainable project and portfolio management practice.

      Impact and Result

      • Maintain timely and accurate project portfolio reporting with right-sized tools and processes.
      • Establish clear and consistent project management standards that make better use of time already spent managing projects.
      • Enable project managers to manage their projects more successfully with a set of flexible and lightweight tools and templates.

      IT Project Management Lite Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Assess the value of a minimum-viable PMO strategy

      Perform a measured value assessment for building and managing a minimum-viable PMO.

      • IT Project Management Lite Storyboard

      2. Perform a project and portfolio needs assessment

      Focus on the minimum required to maintain accuracy of portfolio reporting and effectiveness in managing projects.

      • Minimum-Viable PMO Needs Assessment

      3. Establish standards for realistic, accurate, and consistent portfolio reporting

      Emphasize reporting high-level project status as a way to identify and address issues to achieve the best results with the least effort.

      • Minimum-Viable Project and Portfolio Management SOP

      4. Create a standard, right-sized project management toolkit

      Free PMs to focus on actually managing the project while still delivering accurate portfolio metrics.

      • Zero-Allocation Project Management Workbook

      5. Train PMs for zero allocation

      Ensure project manager compliance with the portfolio reporting process by incorporating activities that create value.

      • Zero-Allocation Project Manager Development Plan
      • Zero-Allocation Project Management Survival Guide

      6. Perform a post-implementation assessment

      Evaluate success and identify opportunities for further improvement.

      Infographic

      Workshop: IT Project Management Lite

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Preparation

      The Purpose

      Define goals and success criteria.

      Finalize agenda.

      Gather information: update project and resource lists (Info-Tech recommends using the Project Portfolio Workbook).

      Key Benefits Achieved

      More efficiently organized and executed workshop.

      Able to better customize and tailor content to your specific needs.

      Activities

      1.1 Discuss specific pain points with regards to project manager allocations

      1.2 Review project lists, tools and templates, and other documents

      1.3 Map existing strategies to Info-Tech’s framework

      Outputs

      Understanding of where efforts must be focused in workshop

      Assessment of what existing tools and templates may need to be included in zero-allocation workbook

      Revisions that need to be made based on existing strategies

      2 Make the Case and Assess Needs

      The Purpose

      Assess current state (including review of project and resource lists).

      Discuss and analyze SWOT around project and portfolio management.

      Define target state.

      Define standards / SOP / processes for project and portfolio management.

      Key Benefits Achieved

      Gain perspective on how well your processes match up with the amount of time your project managers have for their PM duties.

      Determine the value of the time and effort that your project teams are investing in project management activities.

      Begin to define resource optimized processes for zero-allocation project managers.

      Ensure consistent implementation of processes across your portfolio.

      Establish project discipline and best practices that are grounded in actual project capacity.

      Activities

      2.1 Perform and/or analyze Minimum-Viable PMO Needs Assessment

      2.2 SWOT analysis

      2.3 Identify target allocations for project management activities

      2.4 Begin to define resource optimized processes for zero-allocation project managers

      Outputs

      Current state analysis based on Minimum-Viable PMO Needs Assessment

      Overview of current strengths, weaknesses, opportunities and threats

      Target state analysis based on Minimum-Viable PMO Needs Assessment

      A refined Minimum-Viable Project and Portfolio Management SOP

      3 Establish Strategy

      The Purpose

      Select and customize project and portfolio management toolkit.

      Implement (test/pilot) toolkit and processes.

      Customize project manager training plan.

      Evaluate and refine toolkit and processes as needed.

      Key Benefits Achieved

      Ensure consistent implementation of processes across your portfolio.

      Establish project discipline and best practices that are grounded in actual project capacity.

      A customized training session that will suit the needs of your project managers.

      Activities

      3.1 Customize the Zero-Allocation Toolkit to accommodate the needs of your projects

      3.2 Test toolkit on projects currently underway

      3.3 Tweak project manager training to suit the needs of your team

      Outputs

      Customized Zero-Allocation Project Management Workbook

      A tested and standardized copy of the workbook

      A customized training session for your project managers (to take place on Day 4 of Info-Tech’s workshop)

      4 Train Your Zero-Allocation Project Managers

      The Purpose

      Communicate project and portfolio management SOP to Project Managers.

      Deliver project manager training: standards for portfolio reporting and toolkit.

      Key Benefits Achieved

      Equip project managers to improve their level of discipline and documentation without spending more time in record keeping and task management.

      Execute a successful training session that clearly and succinctly communicates your minimal and resource-optimized processes.

      Activities

      4.1 Project Manager Training, including communication of the processes and standard templates and reports that will be adopted by all project managers

      Outputs

      Educated and disciplined project managers, aware of the required processes for portfolio reporting

      5 Assess Strategy and Next Steps

      The Purpose

      Debrief from the training session.

      Plan for ongoing evaluation and improvement.

      Evaluate and refine toolkit and processes if needed.

      Answer any remaining questions.

      Key Benefits Achieved

      Assess portfolio and project manager performance in light of the strategy implemented.

      Understanding of how to keep living documents like the workbook and SOP up to date.

      Clearly defined next steps.

      Activities

      5.1 Review the customized tools and templates

      5.2 Send relevant documentation to relevant stakeholders

      5.3 Schedule review call

      5.4 Schedule follow-up call with analysts to discuss progress in six months

      Outputs

      Finalized workbook and processes

      Satisfied and informed stakeholders

      Scheduled review call

      Scheduled follow-up call

      Stakeholder Relations

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      • member rating average days saved: N/A
      • Parent Category Name: Strategy and Governance
      • Parent Category Link: /strategy-and-governance

      The challenge

      • Stakeholders come in a wide variety, often with competing and conflicting demands.
      • Some stakeholders are hard to identify. Those hidden agendas may derail your efforts.
      • Understanding your stakeholders' relative importance allows you to prioritize your IT agenda according to the business needs.

      Our advice

      Insight

      • Stakeholder management is an essential factor in how successful you will be.
      • Stakeholder management is a continuous process. The landscape constantly shifts.
      • You must also update your stakeholder management plan and approach on an ongoing basis.

      Impact and results 

      • Use your stakeholder management process to identify, prioritize, and manage key stakeholders effectively.
      • Continue to build on strengthening your relationships with stakeholders. It will help to gain easier buy-in and support for your future initiatives. 

      The roadmap

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      Make the case

      Identify stakeholders

      • Stakeholder Management Analysis Tool (xls)

      Analyze your stakeholders

      Assess the stakeholder's influence, interest, standing, and support to determine priority for future actions 

      Manage your stakeholders

      Develop your stakeholder management and communication plans

      • Stakeholder Management Plan Template (doc)
      • Communication Plan Template (doc)

      Monitor your stakeholder management plan performance

      Measure and monitor the success of your stakeholder management process.

       

       

      Diagnose Brand Health to Improve Business Growth

      • Buy Link or Shortcode: {j2store}564|cart{/j2store}
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      • Parent Category Name: Marketing Solutions
      • Parent Category Link: /marketing-solutions
      • Low number and quality of leads generated, poor conversion rates, and declining customer retention and loyalty
      • Higher customer acquisition vs. marketing costs
      • Difficulties attracting and keeping talent, partners, and investors
      • Slow or low growth and devaluation of the brand due to low brand equity

      Our Advice

      Critical Insight

      • The Brand: Intangible, yet a company’s most valuable asset.
      • Data-driven decisions for a strong brand.
      • Investing in brand-building efforts means investing in your success.

      Impact and Result

      • Increase brand awareness and equity.
      • Build trust and improve customer retention and loyalty.
      • Achieve higher and faster growth.

      Diagnose Brand Health to Improve Business Growth Research & Tools

      Diagnose Brand Health to Improve Business Growth Executive Brief – A deck to help diagnose brand health to improve business growth.

      In this executive brief, you will discover the importance of a strong brand on the valuation, growth, and sustainability of your company. You will also learn about SoftwareReviews' approach to assessing current performance and gaining visibility into areas of improvement.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Brand Diagnostic and Analysis Tool Kit

      A comprehensive set of tools to gather and interpret qualitative and quantitative brand performance metrics.

      • Brand Diagnostic Tool - Digital Metrics Analysis Template
      • Brand Diagnostic Tool - Financial Metrics Analysis Template
      • Brand Diagnostic Tool Survey and Interview Questionnaires and Lists Template
      • Survey Emails Best Practices Guidelines
      • Brand Diagnostic Tool - External and Internal Factors Metrics Analysis Template

      2. Brand Diagnostic Executive Presentation

      Fully customizable, pre-built PowerPoint presentation template to communicate the results of the brand performance diagnostic, areas of improvement and trends, as well as your recommendations. It will also allow you to identify and align executive members and key stakeholders on next steps, and set priorities.

      • Brand Diagnostic - Executive Presentation Template

      Infographic

      Further reading

      Diagnose Brand Health to Improve Business Growth

      Have a significant and well-targeted impact on business success and growth by knowing how your brand performs, identifying areas of improvement, and making data-driven decisions to fix it.

      EXECUTIVE BRIEF

      SoftwareReviews is a division of Info-Tech Research Group Inc., a world-class IT research and consulting firm established in 1997.
      Backed by two decades of IT research and advisory experience, SoftwareReviews offers the most comprehensive insight into the enterprise software landscape and client-vendor relationships.

      Analyst Perspective

      Brand Diagnostic and Monitoring

      In the ever-changing market landscape in which businesses operate, it is imperative to ensure that the brand stays top of mind and quickly adapts. Having a good understanding of where the brand stands and how it performs has become crucial for any company to stand out from its competitors and succeed in a crowded and very dynamic market.

      Unfortunately, the brand does not always receive the attention and importance it deserves, leaving it vulnerable to becoming outdated and unclear to the target audience and to losing its equity.

      Knowing how the brand is perceived, as opposed to how individuals within an organization perceive it, addressing any brand-related issues in a timely manner, and implementing processes to continuously monitor its performance have become key tactics for any company that wants to thrive in today's highly competitive market.

      Photo of Nathalie Vezina, Marketing Research Director, SoftwareReviews Advisory.

      Nathalie Vezina
      Marketing Research Director
      SoftwareReviews Advisory

      Executive Summary

      Your Challenge

      Because it is vulnerable to becoming outdated and unclear to the target audience and to losing its equity, it is essential to ensure that the brand is performing well and to be attentive to these signs of a weakened brand:

      • Low number and quality of leads generated, poor conversion rates, and declining customer retention and loyalty
      • Lack of understanding of the value proposition; lack of interest and interaction with the brand
      • Higher customer acquisition/marketing costs
      • Difficulties attracting and keeping talent, partners, or future investors
      • Low/slow growth; devaluation of the brand due to low brand equity
      Common Obstacles

      Building a strong brand is an everyday challenge, and brand leaders often face what may seem like overwhelming obstacles in achieving their goal. Here are some of the roadblocks they regularly face:

      • Limited visibility on brand perception and overall performance
      • Insufficient supporting information to make clear, undisputable data-driven decisions and convince key stakeholders how to improve brand performance
      • Limited resources (time, budget, headcount, tools) to diagnose, measure, and execute
      • Stakeholders may not be fully aware of the benefits of a strong brand and the impacts that a weak brand can have on the overall performance of the business
      SoftwareReviews’ Approach

      This SoftwareReviews blueprint provides the guidance and tools required to perform a thorough brand diagnostic and enable brand leaders to:

      • Know how the brand performs; pinpoint gaps and areas for improvement
      • Make clear, data-driven recommendations and decisions on how to fix and optimize the brand
      • Communicate, convince key stakeholders, and align on proposed solutions to optimize the brand’s performance
      • Continuously monitor and optimize the brand

      SoftwareReviews Advisory Insight

      The brand is a company’s most valuable asset that should never fall into disrepair. In fact, business leaders should ensure that at least half of their marketing budget is allocated to brand-building efforts.

      What is a brand?

      The brand – both intangible and the most valuable asset for businesses.

      Despite its intangible nature, the brand is at the heart of every business, small and large, around which rotates what drives business success and growth.

      While measuring its real value on the marketplace can be difficult, a brand with high salience will attract and retain customers for as long as it keeps evolving and adapting to its dynamic environment.

      Up to 90% of the total market value of companies is based on intangible assets, such as brand recognition. (Source: Ocean Tomo, 2020)

      Multiple bubbles with the biggest bubble highlighted and labelled 'BRAND'. The other bubbles say 'IDENTITY', 'LOYALTY', 'TRUST', 'STRATEGY', 'GROWTH', 'AWARENESS', and 'VALUE'.

      What makes a brand strong?

      Perception Matters

      The brand reflects the image of a company or a product. The values it conveys and how it’s being perceived have a direct impact on a brand's ability to stand out and grow.

      A brand is strong when it:

      • Projects a positive image
      • Has a clear positioning and value proposition
      • Is authentic and inspiring
      • Conveys values that resonates
      • Is socially engaged
      • Builds awareness
      • Is consistent
      • Delivers on its promise
      • Inspires trust
      “In the past, a brand is what a company told you it was. Today, a brand is what people tell each other it is.” (Source: Mark Schaefer, 2019)

      Investing in building a brand, a top priority for businesses

      Company Valuation

      Branding has become a top priority for companies to increase the value of their business in the marketplace. A good market value is essential to attract and retain investors, obtain future rounds of financing, grow by acquisition, and find buyers.

      The more equity a brand gains, the higher its market value, despite the company’s annual revenue. While annual revenue is factored in the equation, the equity of the brand has a greater impact on the market value. A brand whose market value is lower than its revenue is an important indicator that the brand is weakened and needs to be addressed.

      Revenue and Growth

      Most successful companies are investing heavily in building their brand, and for good reason. A strong brand will deliver the right messaging, and a unique and clear value proposition will resonate with its audience and directly impact customer acquisition costs, outperform competition, enable higher pricing, and increase sales volume and customer lifetime value.

      A strong brand also helps develop partner channels, attract and engage high-value partners, and allow for actionable and incremental KPIs.

      Talent Acquisition and Retention

      Brands with strong values are more attractive to highly skilled talent without having to offer above-market salaries. In addition, when a brand inspires pride and shares common values with employees, it increases their motivation and the company’s retention rate.

      Retaining employees within the company allows for the development of talent and retention of knowledge within the organization, thus contributing to the sustainability of the organization.

      It's no wonder that employer branding has become an essential element of human resources strategies.

      “Sustainable Living Brands are growing 69% faster than the rest of the business and delivering 75% of the company’s growth.” (Source: Unilever, 2019, qtd. in Deloitte, 2021)

      Symptoms of a weakened brand

      Know if your brand is suffering and needs to be fixed.

      Brand leaders experiencing one or more of these brand-related symptoms should consider rebranding or optimizing their brand:
      • Low number and quality of leads generated, poor conversion rates, and declining customer retention and loyalty
      • Higher customer acquisition vs. marketing costs
      • Difficulties attracting and keeping talent, partners, and investors
      • Slow or low growth and devaluation of the brand due to low brand equity

      With visibility into your brand and the supporting data that provides a thorough diagnostic of the brand, combined with ongoing brand performance monitoring, you will have all the information you need to help you drive the brand forward, have a significant impact on business growth, and stand out as a brand leader.

      The largest software companies have an average market cap of 18X their revenue (Source: Companies Market Cap, May 2022)

      Building a strong brand, an everyday challenge

      Brand leaders are often faced with overwhelming obstacles in building a strong brand.

      Limited visibility on brand perception and overall performance Insufficient information to make clear, undisputable data-driven decisions and convince key stakeholders how to improve brand performance Stock image of a person pulling a boulder.
      Misunderstanding of the benefits of a strong brand and negative impacts of a weak brand on business valuation and growth Limited resources (time, budget, headcount, tools) to diagnose, measure, and execute
      Only
      54%
      of businesses have a B2B brand program in place for measuring brand perceptions. (Source: B2B International, 2016) Only
      4%
      of B2B marketing teams measure the impact of their marketing/brand building efforts beyond six months. (Source: LinkedIn’s B2B Institute, 2019) 50%
      of marketing budget is what successful brands spend on average on brand-building efforts. (Source: Les Binet and Peter Field, 2018)
      82% of investors say name recognition is an important factor guiding them in their investment decisions. (Source: Global Banking & Finance Review, 2018) 77% of B2B marketers say branding is crucial for growth. (Source: Circle Research)

      Making brand performance visible

      Implement data-driven strategies and make fact-based decisions to continuously optimize brand performance.

      Diagnose your brand’s health
      Know how your brand is being perceived and have visibility on its performance.
      Cycle titled 'BRAND' with steps 'Diagnose', 'Identify', 'Fix', 'Keep Monitoring' and back to 'Diagnose'. Identify trends and areas of improvement
      Rely on undisputable and reliable data to make clear decisions and educate and communicate with key stakeholders.
      Keep monitoring your brand’s performance
      Stay on top of the game and keep away competitors by continuously monitoring your brand’s health.
      Fix issues with your brand in a timely manner
      Don’t lose the momentum. Achieve better results and have a greater impact on your success and chances to grow.

      Qualitative and quantitative brand performance measures

      Segmented by SoftwareReviews Advisory into three categories for a comprehensive diagnostic.

      Icon of a megaphone. Icon of a head with puzzle pieces. Icon of coins.
      Brand Equity
      • Awareness
      • Perception
      • Positioning
      • Recognition/recall
      • Trust
      Buyer’s Behavior
      • Interaction with the brand
      • Preference
      • Purchase intent
      • Product reviews
      • Social engagement
      • Website traffic
      • Lead generation
      Financial
      • Revenue
      • Profit margin
      • Customer lifetime value (CLV)
      • Customer acquisition cost (CAC)
      • Intangible asset market value (IAMV)

      Benefits of a strong and healthy brand

      A healthy brand is the foundation of your success.

      Ensure a better understanding of the value proposition and positioning Drive more interest, interaction, and traction Increase brand awareness and equity Generate higher number and quality of leads
      Achieve higher and faster conversion rate Build trust and improve customer retention and loyalty Attract and keep talent, partners, and investors Achieve higher and faster growth

      Visual explaining the brand diagnostic methodology: 1. data collection and analysis; and 2. presentation and alignment. Outcomes: gain visibility into the brand's performance, highlight areas for improvement, and make data-driven decisions.

      Who benefits from diagnosing the brand?

      This Research Is Designed for:

      Brand leaders who are looking to:

      • Detect and monitor brand performance, issues, trends, and areas of improvement
      • Optimize and fix their brand
      • Develop strategies, and make recommendations and decisions based on facts
      • Get the support they need from key stakeholders
      This Research Will Help You:
      • Get the visibility you need on your brand’s performance
      • Pinpoint brand issues, trends, and areas of improvement
      • Develop data-driven strategies, and make recommendations and decisions based on facts
      • Communicate with and convince key stakeholders
      • Get the support you need from key stakeholders
      • Put in place new diagnostic and monitoring processes to continually improve your brand
      This Research Will Also Assist:
      • Sales with qualified lead generation and customer retention and loyalty
      • Human Resources in their efforts to attract and retain talent
      • The overall business with growth and increased market value
      This Research Will Help Them:
      • Have a better understanding of the importance of a strong brand on business growth and valuation
      • Align on next steps

      SoftwareReviews’ Brand Diagnostic Methodology

      0. Communication & Alignment 1. Data Collection 2. Data Analysis & Interpretation 3. Report & Presentation
      Phase Steps
      1. Engage and unify the team
      2. Communicate and present
      3. Align on next steps
      1. Identify and document internal and external changes affecting the brand
      2. Conduct internal and external brand perception surveys
      3. Gather customer loyalty feedback
      4. Collect digital performance metrics
      1. Analyze data collected
      2. Identify issues, trends, gaps, and inconsistencies
      3. Compare data with current brand statement
      1. Build report with recommendations
      2. Prioritize brand fixes from high to low positive impact
      3. Build presentation
      Phase Outcomes
      • Importance of the brand is recognized
      • Endorsement and prioritization
      • Support and resources
      • All relevant data/information is collected in one place
      • Visibility on the performance of the brand
      • All the data in hand to support recommendations and make informed decisions
      • Visibility and clear understanding of the brand’s health and how to fix or improve its performance

      Insight summary

      The Brand: Intangible, yet a company’s most valuable asset

      Intangible assets, such as brand recognition, account for almost all of a company’s value.1 Despite its intangible nature, the brand is at the heart of every business and has a direct impact on business growth, profitability, and revenue. While measuring its real value on the marketplace can be difficult, a brand with high traction will attract customers and keep them for as long as it keeps evolving and adapting to its dynamic environment.

      Making brand issues visible

      Having a clear understanding of how the brand performs has become crucial for any company that wants to stand out from its competitors and succeed in a crowded and highly dynamic marketplace.

      Data-driven decisions for a strong brand

      Intuition-based or uninformed decisions are obsolete. Brand leaders must base their decisions on facts to be able to convince key stakeholders.

      Building a strong brand, an everyday challenge

      Brand leaders often face overwhelming obstacles building strong brands. They need guidance and tools to support them to drive the business forward.

      Get team buy-in and alignment

      Brand leaders must ensure that the key stakeholders are aware of the importance of a strong brand to business growth and value increase and that they are aligned and committed to the efforts required to build a successful brand.

      Investing in brand-building efforts means investing in your success

      Successful business leaders allocate at least half of their marketing budget2 to brand-building efforts, enabling them to set themselves apart, significantly increase their market share, grow their business, and thrive in a highly competitive marketplace.

      Guided Implementation

      A Guided Implementation (GI) is a series of calls with a SoftwareReviews Marketing Analyst to help implement our best practices in your organization.

      Your engagement managers will work with you to schedule analyst calls.

      What does a typical GI on this topic look like?

      Brand Diagnostic

      Data Analysis & Interpretation

      Report & Presentation Building

      Communication & Alignment

      Call #1: Discuss concept and benefits of performing a brand diagnostic. Identify key stakeholders. Anticipate concerns and objections.

      Call #2: Discuss how to use the tool. Identify resources and internal support needed.

      Call #3: Review results. Discuss how to identify brand issues, areas of improvement, and trends based on data collected and to interpret key metrics.

      Call #4 (optional): Continue discussion from call #3.

      Call #5: Discuss recommendations and best practices to fix the issues identified and resources required.

      Call #6: Discuss purpose and how to build the report and presentation, Prioritize the brand fixes from high to low positive impact.

      Call #7 (optional): Follow up with call on report and presentation preparation.

      Call #8: Discuss key points to focus on when presenting to key stakeholders and the desired outcome.

      Call #9: Discuss how to leverage brand diagnostic tools now in place and the benefits of continuously monitoring the brand.

      Call #10: Debrief and determine how we can help with next steps.

      Key deliverable:

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Brand Diagnostic Presentation Template

      Sample of the key deliverable, the Brand Diagnostic Presentation Template.

      Pre-built and fully customizable PowerPoint template to communicate key findings, areas of improvements, and recommendations to key stakeholders, align on next steps, and prioritize.

      Brand Diagnostic Report Dashboard

      Sample of the Brand Diagnostic Report Dashboard deliverable.

      Auto-filling dashboard built into the Brand Diagnostic Tool Kit. Ready to be saved and shared as a PDF.

      Brand Diagnostic Tool Kit

      Sample of the Brand Diagnostic Tool Kit deliverable.

      Comprehensive Excel Workbook to gather and interpret brand performance metrics. Includes survey questionnaires.

      Bibliography

      “71% of Consumers More Likely to Buy a Product or Service From a Name They Recognise.” Global Banking & Finance Review, 5 December 2018. Web.

      B2B Marketing Leaders Report. Circle Research, n.d. Web.

      Binet, Les, and Peter Field. Effectiveness In Context: A manual for Brand Building. Institute of Practitioners in Advertising, 12 October 2018. Ebook.

      “Current Trends in the World of B2B Marketing, 2016 Survey.” B2B International, 2016. Web.

      Intangible Asset Market Value Study. Ocean Tomo, July 2020. Web.

      Largest Software Companies By Market Cap. Companies Market Cap, May 2022. Web.

      “Unilever, purpose-led brands outperform.” Unilever, 6 October 2019. Web. qtd. in Kounkel, Suzanne, Amy Silverstein, and Kathleen Peeters. “2021 Global Marketing Trends.” Deloitte Insights, 2020. Web.

      Schaefer, Mark. “The Future Of Branding Is Human Impressions.” Mark Schaefer Blog, 3 June 2019. Web.

      The 5 Principles Of Growth In B2B Marketing - Empirical Observations on B2B Effectiveness. LinkedIn B2B Institute, 2019. Web.

      Visual explaining the brand diagnostic methodology: 1. data collection and analysis; and 2. presentation and alignment. Outcomes: gain visibility into the brand's performance, highlight areas for improvement, and make data-driven decisions.

      Who benefits from diagnosing the brand?

      This Research Is Designed for:

      Brand leaders who are looking to:

      • Detect and monitor brand performance, issues, trends, and areas of improvement
      • Optimize and fix their brand
      • Develop strategies, and make recommendations and decisions based on facts
      • Get the support they need from key stakeholders
      This Research Will Help You:
      • Get the visibility you need on your brand’s performance
      • Pinpoint brand issues, trends, and areas of improvement
      • Develop data-driven strategies, and make recommendations and decisions based on facts
      • Communicate with and convince key stakeholders
      • Get the support you need from key stakeholders
      • Put in place new diagnostic and monitoring processes to continually improve your brand
      This Research Will Also Assist:
      • Sales with qualified lead generation and customer retention and loyalty
      • Human Resources in their efforts to attract and retain talent
      • The overall business with growth and increased market value
      This Research Will Help Them:
      • Have a better understanding of the importance of a strong brand on business growth and valuation
      • Align on next steps

      SoftwareReviews’ Brand Diagnostic Methodology

      0. Communication & Alignment 1. Data Collection 2. Data Analysis & Interpretation 3. Report & Presentation
      Phase Steps
      1. Engage and unify the team
      2. Communicate and present
      3. Align on next steps
      1. Identify and document internal and external changes affecting the brand
      2. Conduct internal and external brand perception surveys
      3. Gather customer loyalty feedback
      4. Collect digital performance metrics
      1. Analyze data collected
      2. Identify issues, trends, gaps, and inconsistencies
      3. Compare data with current brand statement
      1. Build report with recommendations
      2. Prioritize brand fixes from high to low positive impact
      3. Build presentation
      Phase Outcomes
      • Importance of the brand is recognized
      • Endorsement and prioritization
      • Support and resources
      • All relevant data/information is collected in one place
      • Visibility on the performance of the brand
      • All the data in hand to support recommendations and make informed decisions
      • Visibility and clear understanding of the brand’s health and how to fix or improve its performance

      Insight summary

      The Brand: Intangible, yet a company’s most valuable asset

      Intangible assets, such as brand recognition, account for almost all of a company’s value.1 Despite its intangible nature, the brand is at the heart of every business and has a direct impact on business growth, profitability, and revenue. While measuring its real value on the marketplace can be difficult, a brand with high traction will attract customers and keep them for as long as it keeps evolving and adapting to its dynamic environment.

      Making brand issues visible

      Having a clear understanding of how the brand performs has become crucial for any company that wants to stand out from its competitors and succeed in a crowded and highly dynamic marketplace.

      Data-driven decisions for a strong brand

      Intuition-based or uninformed decisions are obsolete. Brand leaders must base their decisions on facts to be able to convince key stakeholders.

      Building a strong brand, an everyday challenge

      Brand leaders often face overwhelming obstacles building strong brands. They need guidance and tools to support them to drive the business forward.

      Get team buy-in and alignment

      Brand leaders must ensure that the key stakeholders are aware of the importance of a strong brand to business growth and value increase and that they are aligned and committed to the efforts required to build a successful brand.

      Investing in brand-building efforts means investing in your success

      Successful business leaders allocate at least half of their marketing budget2 to brand-building efforts, enabling them to set themselves apart, significantly increase their market share, grow their business, and thrive in a highly competitive marketplace.

      Guided Implementation

      A Guided Implementation (GI) is a series of calls with a SoftwareReviews Marketing Analyst to help implement our best practices in your organization.

      Your engagement managers will work with you to schedule analyst calls.

      What does a typical GI on this topic look like?

      Brand Diagnostic

      Data Analysis & Interpretation

      Report & Presentation Building

      Communication & Alignment

      Call #1: Discuss concept and benefits of performing a brand diagnostic. Identify key stakeholders. Anticipate concerns and objections.

      Call #2: Discuss how to use the tool. Identify resources and internal support needed.

      Call #3: Review results. Discuss how to identify brand issues, areas of improvement, and trends based on data collected and to interpret key metrics.

      Call #4 (optional): Continue discussion from call #3.

      Call #5: Discuss recommendations and best practices to fix the issues identified and resources required.

      Call #6: Discuss purpose and how to build the report and presentation, Prioritize the brand fixes from high to low positive impact.

      Call #7 (optional): Follow up with call on report and presentation preparation.

      Call #8: Discuss key points to focus on when presenting to key stakeholders and the desired outcome.

      Call #9: Discuss how to leverage brand diagnostic tools now in place and the benefits of continuously monitoring the brand.

      Call #10: Debrief and determine how we can help with next steps.

      Key deliverable:

      Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Brand Diagnostic Presentation Template

      Sample of the key deliverable, the Brand Diagnostic Presentation Template.

      Pre-built and fully customizable PowerPoint template to communicate key findings, areas of improvements, and recommendations to key stakeholders, align on next steps, and prioritize.

      Brand Diagnostic Report Dashboard

      Sample of the Brand Diagnostic Report Dashboard deliverable.

      Auto-filling dashboard built into the Brand Diagnostic Tool Kit. Ready to be saved and shared as a PDF.

      Brand Diagnostic Tool Kit

      Sample of the Brand Diagnostic Tool Kit deliverable.

      Comprehensive Excel Workbook to gather and interpret brand performance metrics. Includes survey questionnaires.

      Bibliography

      “71% of Consumers More Likely to Buy a Product or Service From a Name They Recognise.” Global Banking & Finance Review, 5 December 2018. Web.

      B2B Marketing Leaders Report. Circle Research, n.d. Web.

      Binet, Les, and Peter Field. Effectiveness In Context: A manual for Brand Building. Institute of Practitioners in Advertising, 12 October 2018. Ebook.

      “Current Trends in the World of B2B Marketing, 2016 Survey.” B2B International, 2016. Web.

      Intangible Asset Market Value Study. Ocean Tomo, July 2020. Web.

      Largest Software Companies By Market Cap. Companies Market Cap, May 2022. Web.

      “Unilever, purpose-led brands outperform.” Unilever, 6 October 2019. Web. qtd. in Kounkel, Suzanne, Amy Silverstein, and Kathleen Peeters. “2021 Global Marketing Trends.” Deloitte Insights, 2020. Web.

      Schaefer, Mark. “The Future Of Branding Is Human Impressions.” Mark Schaefer Blog, 3 June 2019. Web.

      The 5 Principles Of Growth In B2B Marketing - Empirical Observations on B2B Effectiveness. LinkedIn B2B Institute, 2019. Web.

      Embed Privacy and Security Culture Within Your Organization

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      • Parent Category Name: Governance, Risk & Compliance
      • Parent Category Link: /governance-risk-compliance

      Engagement with privacy and security within organizations has not kept pace with the increasing demands from regulations. As a result, organizations often find themselves saying they support privacy and security engagement but struggling to create behavioral changes in their staff.

      However, with new privacy and security requirements proliferating globally, we can’t help but wonder how much longer we can carry on with this approach.

      Our Advice

      Critical Insight

      To truly take hold, privacy and security engagement must be supported by senior leadership, aligned with business objectives, and embedded within each of the organization’s operating groups and teams.

      Impact and Result

      • Develop a defined structure for privacy and security in the context of your organization, your obligations, and your objectives.
      • Align your business goals and strategy with privacy and security to obtain support from your senior leadership team.
      • Identify and implement a set of metrics to monitor the success of each of the six engagement enablers amongst your team.

      Embed Privacy and Security Culture Within Your Organization Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should develop a culture of privacy and security at your organization, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Define privacy and security in the context of the organization

      Use the charter template to document the primary outcomes and objectives for the privacy and security engagement program within the organization and map the organizational structure to each of the respective roles to help develop a culture of privacy and security.

      • Privacy and Security Engagement Charter

      2. Map your privacy and security enablers

      This tool maps business objectives and key strategic goals to privacy and security objectives and attributes identified as a part of the overall engagement program. Leverage the alignment tool to ensure your organizational groups are mapped to their corresponding enablers and supporting metrics.

      • Privacy and Security Business Alignment Tool

      3. Identify and track your engagement indicators

      This document maps out the organization’s continued efforts in ensuring employees are engaged with privacy and security principles, promoting a strong culture of privacy and security. Use the playbook to document and present the organization’s custom plan for privacy and security culture.

      • Privacy and Security Engagement Playbook

      Infographic

      Workshop: Embed Privacy and Security Culture Within Your Organization

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Determine Drivers and Engagement Objectives

      The Purpose

      Understand the current privacy and security landscape in the organization.

      Key Benefits Achieved

      Targeted set of drivers from both a privacy and security perspective

      Activities

      1.1 Discuss key drivers for a privacy and security engagement program.

      1.2 Identify privacy requirements and objectives.

      1.3 Identify security requirements and objectives.

      1.4 Review the business context.

      Outputs

      Understanding of the role and requirements of privacy and security in the organization

      Privacy drivers and objectives

      Security drivers and objectives

      Privacy and security engagement program objectives

      2 Align Privacy and Security With the Business

      The Purpose

      Ensure that your privacy and security engagement program is positioned to obtain the buy-in it needs through business alignment.

      Key Benefits Achieved

      Direct mappings between a culture of privacy and security and the organization’s strategic and business objectives

      Activities

      2.1 Review the IT/InfoSec strategy with IT and the InfoSec team and map to business objectives.

      2.2 Review the privacy program and privacy strategic direction with the Privacy/Legal/Compliance team and map to business objectives.

      2.3 Define the four organizational groupings and map to the organization’s structure.

      Outputs

      Privacy and security objectives mapped to business strategic goals

      Mapped organizational structure to Info-Tech’s organizational groups

      Framework for privacy and security engagement program

      Initial mapping assessment within Privacy and Security Business Alignment Tool

      3 Map Privacy and Security Enablers to Organizational Groups

      The Purpose

      Make your engagement plan tactical with a set of enablers mapped to each of the organizational groups and privacy and security objectives.

      Key Benefits Achieved

      Measurable indicators through the use of targeted enablers that customize the organization’s approach to privacy and security culture

      Activities

      3.1 Define the privacy enablers.

      3.2 Define the security enablers.

      3.3 Map the privacy and security enablers to organizational structure.

      3.4 Revise and complete Privacy and Security Business Alignment Tool inputs.

      Outputs

      Completed Privacy and Security Engagement Charter.

      Completed Privacy and Security Business Alignment Tool.

      4 Identify and Select KPIs and Metrics

      The Purpose

      Ensure that metrics are established to report on what the business wants to see and what security and privacy teams have planned for.

      Key Benefits Achieved

      End-to-end, comprehensive program that ensures continued employee engagement with privacy and security at all levels of the organization.

      Activities

      4.1 Segment KPIs and metrics based on categories or business, technical, and behavioral.

      4.2 Select KPIs and metrics for tracking privacy and security engagement.

      4.3 Assign ownership over KPI and metric tracking and monitoring.

      4.4 Determine reporting cadence and monitoring.

      Outputs

      KPIs and metrics identified at a business, technical, and behavioral level for employees for continued growth

      Completed Privacy and Security Engagement Playbook

      Identify and Manage Strategic Risk Impacts on Your Organization

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      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Vendor Management
      • Parent Category Link: /vendor-management

      Moreso than any other time, our world is changing. As a result, organizations – and their vendors – need to be able to adapt their strategic plans to accommodate risk on an unprecedented level.

      A new global change will impact your organizational strategy at any given time. So, make sure your plans are flexible enough to manage the inevitable consequences.

      Our Advice

      Critical Insight

      • Identifying and managing a vendor’s potential strategic impact on your organization requires multiple people in the organization across several functions. Those people all need coaching on the potential changes in the market and how these changes affect strategic plans.
      • Organizational leadership is often taken unaware during crises, and their plans lack the flexibility needed to adjust to significant market upheavals.

      Impact and Result

      • Vendor management practices educate organizations on the different potential risks to vendors in your market and suggest creative and alternative ways to avoid and help manage them.
      • Prioritize and classify your vendors with quantifiable, standardized rankings.
      • Prioritize focus on your high-risk vendors.
      • Standardize your processes for identifying and monitoring vendor risks to manage potential impacts on your strategic plan with our Strategic Risk Impact Tool.

      Identify and Manage Strategic Risk Impacts on Your Organization Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Identify and Manage Strategic Risk Impacts to Your Organization Deck – Use the research to better understand the negative impacts of vendor actions on your strategic plans.

      Use this research to identify and quantify the potential strategic impacts caused by vendors. Use Info-Tech’s approach to look at the strategic impact from various perspectives to better prepare for issues that may arise.

      • Identify and Manage Strategic Risk Impacts on Your Organization Storyboard

      2. What If Vendor Strategic Impact Tool – Use this tool to help identify and quantify the strategic impacts of negative vendor actions

      By playing the “what if” game and asking probing questions to draw out – or eliminate – possible negative outcomes, everyone involved adds their insight into parts of the organization to gather a comprehensive picture of potential impacts.

      • Strategic Risk Impact Tool
      [infographic]

      Further reading

      Identify and Manage Strategic Risk Impacts on Your Organization

      The world is in a perpetual state of change. Organizations need to build adaptive resiliency into their strategic plans to adjust to ever-changing market dynamics.

      Analyst perspective

      Organizations need to build flexible resiliency into their strategic plans to be able to adjust to ever-changing market dynamics.

      This is a picture of Frank Sewell, Research Director, Vendor Management at Info-Tech Research Group

      Like most people, organizations are poor at assessing the likelihood of risk. If the past few years have taught us anything, it is that the probability of a risk occurring is far more flexible in the formula Risk = Likelihood * Impact than we ever thought possible. The impacts of these risks have been catastrophic, and organizations need to be more adaptive in managing them to strengthen their strategic plans.

      Frank Sewell,
      Research Director, Vendor Management
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Moreso than any other time, our world is changing. As a result, organizations – and their vendors – need to be able to adapt their strategic plans to accommodate risk on an unprecedented level.

      A new global change will impact your organizational strategy at any given time. So, make sure your plans are flexible enough to manage the inevitable consequences.

      Common Obstacles

      Identifying and managing a vendor’s potential strategic impact on your organization requires multiple people in the organization across several functions. Those people all need coaching on the potential changes in the market and how these changes affect strategic plans.

      Organizational leadership is often taken unaware during crises, and their plans lack the flexibility needed to adjust to significant market upheavals.

      Info-Tech’s Approach

      Vendor management practices educate organizations on the different potential risks to vendors in your market and suggest creative and alternative ways to avoid and help manage them.

      Prioritize and classify your vendors with quantifiable, standardized rankings.

      Prioritize focus on your high-risk vendors.

      Standardize your processes for identifying and monitoring vendor risks to manage potential impacts on your strategic plan with our Strategic Impacts Tool.

      Info-Tech Insight

      Organizations must evolve their strategic risk assessments to be more adaptive to respond to global changes in the market. Ongoing monitoring of the market and the vendors tied to company strategies is imperative to achieving success.

      Info-Tech’s multi-blueprint series on vendor risk assessment

      There are many individual components of vendor risk beyond cybersecurity.

      This image depicts a cube divided into six different coloured sections. The sections are labeled: Financial; Reputational; Operational; Strategic; Security; Regulatory & Compliance.

      This series will focus on the individual components of vendor risk and how vendor management practices can facilitate organizations’ understanding of those risks.

      Out of Scope:

      This series will not tackle risk governance, determining overall risk tolerance and appetite, or quantifying inherent risk.

      Strategic risk impacts

      Potential losses to the organization due to risks to the strategic plan

      • In this blueprint, we’ll explore strategic risks (risks to the Strategic Plans of the organization) and their impacts.
      • Identify potentially disruptive events to assess the overall impact on organizations and implement adaptive measures to correct strategic plans.
      This image depicts a cube divided into six different coloured sections. The section labeled Strategic is highlighted.

      The world is constantly changing

      The IT market is constantly reacting to global influences. By anticipating changes, leaders can set expectations and work with their vendors to accommodate them.

      When the unexpected happens, being able to adapt quickly to new priorities ensures continued long-term business success.

      Below are some things no one expected to happen in the last few years:

      62%

      of IT professionals are more concerned about being a victim of ransomware than they were a year ago.

      82%

      of Microsoft’s non-essential employees shifted to working from home in 2020, joining the 18% already remote.

      89%

      of organizations invested in web conferencing technology to facilitate collaboration.

      Source: Info-Tech Tech Trends Survey 2022

      Strategic risks on a global scale

      Odds are at least one of these is currently affecting your strategic plans

      • Vendor Acquisitions
      • Global Pandemic
      • Global Shortages
      • Gas Prices
      • Poor Vendor Performance
      • Travel Bans
      • War
      • Natural Disasters
      • Supply Chain Disruptions
      • Security Incidents

      Make sure you have the right people at the table to identify and plan to manage impacts.

      Identify & manage strategic risks

      Global Pandemic

      Very few people could have predicted that a global pandemic would interrupt business on the scale experienced today. Organizations should look at their lessons learned and incorporate adaptable preparations into their strategic planning moving forward.

      Vendor Acquisitions

      The IT market is an ever-shifting environment. Larger companies often gobble up smaller ones to control their sectors. Incorporating plans to manage those shifts in ownership will be key to many strategic plans that depend on niche vendor solutions for success. Be sure to monitor the potentially affected markets on an ongoing cadence.

      Global Shortages

      Organizations need to accept that shortages will recur periodically and that preparing for them will significantly increase the success potential of long-term strategic plans. Understand what your business needs to stock for project needs and where those supplies are located, and plan how to rapidly access and distribute them as required if supply chain disruptions occur.

      What to look for in vendors

      Identify strategic risk impacts

      • A vendor acquires many smaller, seemingly irrelevant IT products. Suddenly their revenue model includes aggressive license compliance audits.
        • Ensure that your installed software meets license compliance requirements with good asset management practices.
        • Monitor the market for such acquisitions or news of audits hitting companies.
      • A vendor changes their primary business model from storage and hardware to becoming a self-proclaimed “professional services guru,” relying almost entirely on their name recognition to build their marketing.
        • Be wary of self-proclaimed experts and review their successes and failures with other organizations before adopting them into your business strategy.
        • Review the backgrounds their “experts” have and make sure they have the industry and technical skill sets to perform the services to the required level.

      Not preparing for your growth can delay your goals

      Why can’t I get a new laptop?

      For example:

      • An IT professional services organization plans to take advantage of the growing work-from-home trend to expand its staff by 30% over the coming year.
      • Logically, this should include a review of the necessary tasks involved, including onboarding.
        • Suppose the company does not order enough equipment in preparation to cover the new staff plus routine replacement. In that case, this will delay the output of the new team members immeasurably as they wait for their company equipment and will delay existing staff whose equipment breaks, preventing them from getting back to work efficiently.

      Sometimes an organization has the right mindset to take advantage of the changes in the market but can fail to plan for the particulars.

      When your strategic plan changes, you need to revisit all the steps in the processes to ensure a successful outcome.

      Strategic risks

      Poor or uninformed business decisions can lead to organizational strategic failures

      • Supply chain disruptions and global shortages
        • Geopolitical disruptions and natural disasters have caused unprecedented interruptions to business. Incorporate forecasting of product and ongoing business continuity planning into your strategic plans to adapt as events unfold.
      • Poor vendor performance
        • Consider the impact of a vendor that fails to perform midway through the implementation. Organizations need to be able to manage the impact of replacing that vendor and cutting their losses rather than continuing to throw good money away after bad performance.
      • Vendor acquisitions
        • A lot of acquisition is going on in the market today. Large companies are buying competitors and either imposing new terms on customers or removing the competing products from the market. Prepare options for any strategy tied to a niche product.

      It is important to identify potential risks to strategic plans to manage the risk and be agile enough in planning to adapt to the changing environments.

      Info-Tech Insight
      Few organizations are good at identifying risks to their strategic plan. As a result, almost none realistically plan to monitor, manage, and adapt their strategies to those risks.

      Prepare your strategic risk management for success

      Due diligence will enable successful outcomes

      1. Obtain top-level buy-in; it is critical to success.
      2. Build enterprise risk management (ERM) through incremental improvement.
      3. Focus initial efforts on the “big wins” to prove the process works.
      4. Use existing resources.
      5. Build on any risk management activities that already exist in the organization.
      6. Socialize ERM throughout the organization to gain additional buy‑in.
      7. Normalize the process long term with ongoing updates and continuing education for the organization.

      (Adapted from COSO)

      How to assess strategic risk

      1. Review Organizational Strategy
        Understand the organizational strategy to prepare for the “What If” game exercise.
      2. Identify & Understand Potential Strategic Risks
        Play the “What If” game with the right people at the table.
      3. Create a Risk Profile Packet for Leadership
        Pull all the information together in a presentation document.
      4. Validate the Risks
        Work with leadership to ensure that the proposed risks are in line with their thoughts.
      5. Plan to Manage the Risks
        Lower the overall risk potential by putting mitigations in place.
      6. Communicate the Plan
        It is important not only to have a plan but also to socialize it in the organization for awareness.
      7. Enact the Plan
        Once the plan is finalized and socialized, put it in place with continued monitoring for success.

      Insight summary

      Insight 1

      Organizations build portions of their strategies around chosen vendors and should protect those plans against the risks of unforeseen acquisitions in the market.
      Is your vendor solvent? Does it have enough staff to accommodate your needs? Has its long-term planning been affected by changes in the market? Is it unique in its space?

      Insight 2

      Organizations’ strategic plans need to be adaptable to avoid vendors’ negative actions causing an expedited shift in priorities.
      For example, Philip's recall of ventilators impacted its products and the availability of its competitor’s products as demand overwhelmed the market.

      Insight 3

      Organizations need to become better at risk assessment and actively manage the identified risks to their strategic plans.
      Few organizations are good at identifying risks to their strategic plan. As a result, almost none realistically plan to monitor, manage, and adapt their strategies to those risks.

      Strategic risk impacts are often unanticipated, causing unforeseen downstream effects. Anticipating the potential changes in the global IT market and continuously monitoring vendors’ risk levels can help organizations modify their strategic alignment with the new norms.

      Identifying strategic risk

      Who should be included in the discussion

      • While it is true that executive-level leadership defines the strategy for an organization, it is vital for those making decisions to make informed decisions.
      • Getting input from operational experts at your organization will enhance the long-term potential for success of your strategies.
      • Involving those who directly manage vendors and understand the market will aid operational experts in determining the forward path for relationships with your current vendors and identifying new emerging potential strategic partners.

      Review your strategic plans for new risks and evolving likelihood on a regular basis.

      Keep in mind Risk = Likelihood x Impact (R=L*I).

      Impact (I) tends to remain the same, while Likelihood (L) is a very flexible variable.

      See the blueprint Build an IT Risk Management Program

      Managing strategic risk impacts

      What can we realistically do about the risks?

      • Review business continuity plans and disaster recovery testing.
      • Institute proper contract lifecycle management.
      • Re-evaluate corporate policies frequently.
      • Develop IT governance and change control.
      • Ensure strategic alignment in contracts.
      • Introduce continual risk assessment to monitor the relevant vendor markets.
        • Regularly review your strategic plans for new risks and evolving likelihood.
        • Risk = Likelihood x Impact (R=L*I)
          • Impact (I) tends to remain the same and be well understood, while Likelihood (L) turns out to be highly variable.
      • Be adaptable and allow for innovations that arise from the current needs.
        • Capture lessons learned from prior incidents to improve over time, and adjust your strategy based on the lessons.

      Organizations need to be reviewing their strategic risk plans considering the likelihood of incidents in the global market.

      Pandemics, extreme weather, and wars that affect global supply chains are a current reality, not unlikely scenarios.

      Ongoing Improvement

      Incorporating lessons learned

      • Over time, despite everyone’s best observations and plans, incidents will catch us off guard.
      • When it happens, follow your incident response plans and act accordingly.
      • An essential step is to document what worked and what did not – collectively known as the “lessons learned.”
      • Use the lessons learned document to devise, incorporate, and enact a better risk management process.

      Sometimes disasters occur despite our best plans to manage them.

      When this happens, it is important to document the lessons learned and improve our plans going forward.

      The “what if” game

      1-3 hours

      Vendor management professionals are in an excellent position to help senior leadership identify and pull together resources across the organization to determine potential risks. By playing the "what if" game and asking probing questions to draw out – or eliminate – possible adverse outcomes, everyone involved adds their insight into parts of the organization to gather a comprehensive picture of potential impacts.

      1. Break into smaller groups (or if too small, continue as a single group).
      2. Use the Strategic Risk Impact Tool to prompt discussion on potential risks. Keep this discussion flowing organically to explore all potentials but manage the overall process to keep the discussion pertinent and on track.
      3. Collect the outputs and ask the subject matter experts (SMEs) for management options for each one in order to present a comprehensive risk strategy. You will use this to educate senior leadership so that they can make an informed decision to accept or reject the solution.

      Download the Strategic Risk Impact Tool

      Input Output
      • List of identified potential risk scenarios scored by likelihood and financial impact
      • List of potential management of the scenarios to reduce the risk
      • Comprehensive strategic risk profile on the specific vendor solution
      Materials Participants
      • Whiteboard/flip charts
      • Strategic Risk Impact Tool to help drive discussion
      • Vendor Management – Coordinator
      • Organizational Leadership
      • Operations Experts (SMEs)
      • Legal/Compliance/Risk Manager

      Case Study

      Airline Industry Strategic Adaptation

      Industry: Airline

      Impact categories: Pandemic, Lockdowns, Travel Bans, Increased Fuel Prices

      • In 2019 the airline industry yielded record profits of $35.5 billion.
      • In 2020 the pandemic devastated the industry with losses around $371 billion.
      • The industry leaders engaged experts to conduct a study on how the pandemic impacted them and propose measures to ensure the survival of their industry in the future after the pandemic.
      • They determined that “[p]recise decision-making based on data analytics is essential and crucial for an effective Covid-19 airline recovery plan.”

      Results

      The pandemic prompted systemic change to the overall strategic planning of the airline industry.

      Summary

      Be vigilant and adaptable to change

      • Organizations need to learn how to assess the likelihood of potential risks in the changing global world.
      • Those organizations that incorporate adaptive risk management processes can prepare their strategic plans for greater success.
      • Bring the right people to the table to outline potential risks in the market.
      • Socialize the risk management process throughout the organization to heighten awareness and enable employees to help protect the strategic plan.
      • Incorporate lessons learned from incidents into your risk management process to build better plans for future issues.

      Organizations must evolve their strategic risk assessments to be more adaptive to respond to global changes in the market.

      Ongoing monitoring of the market and the vendors tied to company strategies is imperative to achieving success.

      Related Info-Tech Research

      Identify and Manage Financial Risk Impacts on Your Organization

      This image contains a screenshot from Info-Tech's Identify and Manage Financial Risk Impacts on Your Organization.
      • Vendor management practices educate organizations on the different potential financial impacts that vendors may incur and suggest systems to help manage them.
      • Prioritize and classify your vendors with quantifiable, standardized rankings.
      • Prioritize focus on your high-risk vendors.
      • Standardize your processes for identifying and monitoring vendor risks to manage financial impacts with our Financial Risk Impact Tool.

      Identify and Reduce Agile Contract Risk

      This image contains a screenshot from Info-Tech's Identify and Reduce Agile Contract Risk
      • Customer maturity levels with Agile are low, with 67% of organizations using Agile for less than five years.
      • Customer competency levels with Agile are also low, with 84% of organizations stating they are below a high level of competency.
      • Contract disputes are the number one or two types of disputes faced by organizations across all industries.

      Build an IT Risk Management Program

      This image contains a screenshot from Info-Tech's Build an IT Risk Management Program
      • Transform your ad hoc IT risk management processes into a formalized, ongoing program, and increase risk management success.
      • Take a proactive stance against IT threats and vulnerabilities by identifying and assessing IT’s greatest risks before they occur.
      • Involve key stakeholders including the business senior management team to gain buy-in and to focus on IT risks most critical to the organization.

      Bibliography

      Olaganathan, Rajee. “Impact of COVID-19 on airline industry and strategic plan for its recovery with special reference to data analytics technology.” Global Journal of Engineering and Technology Advances, vol 7, no 1, 2021, pp. 033-046.

      Tonello, Matteo. “Strategic Risk Management: A Primer for Directors.” Harvard Law School Forum on Corporate Governance, 23 Aug. 2012.

      Frigo, Mark L., and Richard J. Anderson. “Embracing Enterprise Risk Management: Practical Approaches for Getting Started.” COSO, 2011.

      Research Contributors and Experts

      • Frank Sewell
        Research Director, Info-Tech Research Group
      • Steven Jeffery
        Principal Research Director, Info-Tech Research Group
      • Scott Bickley
        Practice Lead, Info-Tech Research Group
      • Donna Glidden
        Research Director, Info-Tech Research Group
      • Phil Bode
        Principal Research Director, Info-Tech Research Group
      • David Espinosa
        Senior Director, Executive Services, Info-Tech Research Group
      • Rick Pittman
        Vice President, Research, Info-Tech Research Group
      • Patrick Philpot
        CISSP
      • Gaylon Stockman
        Vice President, Information Security
      • Jennifer Smith
        Senior Director

      Establish Effective Data Stewardship

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      • Data stewardship is a critical function in modern data governance. Every data-driven firm needs stewards who can tackle data issues and challenges rapidly. Data stewards help to reach agreement on data definition, quality, and usage. They direct efforts aimed at completing metadata, improving data quality, and ensuring regulatory compliance.
      • Stewards must also provide recommendations regarding data access, security, distribution, retention, archiving, and disposal.

      Our Advice

      Critical Insight

      • While the data steward role is crucial to establishing and sustaining effective governance of data, it is the role in the data governance operating structure that is often left ambiguous.
      • It is often perceived as requiring incremental IT skills and one with all new or unfamiliar functions.
      • In the ambition and haste to deliver on data governance, the various data governance role titles are communicated out to the wider organization, with data stewards especially left wondering: “Why am I being asked to be a data steward? What is expected of me? How will succeed in this role?”

      Impact and Result

      To establish effective and impactful data stewardship:

      • Clearly articulate the data stewardship value proposition.
      • Formally design and detail the data steward role, including functions, capabilities, etc.
      • Set up your data stewards for success: having a detailed role definition on paper is certainly not enough. Ensure you go the extra mile to deliver relevant training such as data stewardship onboarding, awareness program, etc.

      Establish Effective Data Stewardship Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Establish Effective Data Stewardship Storyboard – Research that provides a step-by-step approach to aid in the successful establishment of data steward role.

      Use this deck to establish a solid data governance foundation in your organization. Start by defining the value of data stewardship and data governance and demystifying the role.

      • Establish Effective Data Stewardship – Phases 1-3

      2. Data Governance Role Accelerator Kit – A brief deck that defines the clear functions for different roles in data governance.

      This brief guide outlines how to adapt a data governance organizational structure for your organization and defines the roles of data owner, data steward, and data custodian.

      • Data Governance Roles Accelerator Kit
      [infographic]

      Further reading

      Establish Effective Data Stewardship

      Leverage your organization's business subject matter experts to drive impactful data use and handling.

      Analyst perspective

      Leverage your organization's business subject matter experts to drive impactful data use and handling.

      Data stewards bring valuable expertise and knowledge about their business areas: priorities, business capabilities and processes, and challenges and opportunities with respect to data. Because this knowledge cannot be easily replicated, going outside your organization to hire a data steward is not the most effective route.

      While it may seem difficult, organizing internally to harvest the already existing institutional knowledge of your business subject matter experts (SMEs) will give a better – and faster – return when setting up and formalizing data stewardship.

      The role must be well defined and communicated. We cannot expect SMEs to wear a hat without understanding the expectations for their role. They must be set up for success – they must be empowered, recognized, and rewarded.

      Crystal Singh, Director, Research and Advisory, Data and Analytics Practice

      Crystal Singh
      Director, Research and Advisory, Data and Analytics Practice
      Info-Tech Research Group

      Phase breakdown

      Phase 1: Data Stewardship Value Proposition

      • Define the value of data stewardship and data governance, their importance, and the relationship between them.
      • Determine where data stewards fit in the bigger data governance operating structure. The data steward role will not be effective without the other data governance roles.
      • Highlight the gains of effective data stewardship: e.g. data quality management, data definition, data sharing, and the ethical use and handling of data.

      Phase breakdown

      Phase 2: Data Steward Role Design

      • Who makes a good data steward? Important knowledge and skills include subject area expertise, institutional knowledge, collaborative skills, interpersonal, and political skills, an understanding of your organization's culture, and the ability to build good partnerships across business functions and with data management.
      • Seek out SMEs from within your organization. This may require you to mold and shape individuals to step up and into the role. An external hire will give capacity but will be more difficult (and time consuming) to ramp up.
      • Consult internally in your organization. For example, consult and liaise with Human Resources (HR) to determine if job descriptions need to be updated, if there would be any impact to compensation, etc.
      • Determine if this role needs to be a full-time role.
      • Demystify the role. Clarify that this is not an IT role and therefore will not require IT skills.
      • Leverage Info-Tech data governance patterns:
        • Data Stewardship in Action – Sample Data Quality Issue Resolution Process Template and Business Term and Data Definitions
        • Sample Data Steward (and Data Owner) to Data Domain Mapping

      Phase breakdown

      Phase 3: Strategies for Data Stewardship Success

      • Establish a solid data governance foundation in your organization.
      • Develop data stewardship onboarding: e.g. literacy and training, and frequently asked questions (FAQs).
      • Gain support from data owners, the director general (DG) committee, data leadership, and executive leaders/champions.
      • Set up rewards and recognition for the role.
      • Establish a feedback loop/mechanism for data stewards so the stewardship program can be adjusted accordingly.
      • Establish communication and create awareness of the role.

      Establishing effective data stewardship

      Leverage your organization's business SMEs to drive impactful data use and handling.

      Unlock the value of data through people.

      Data Steward Value Proposition
      Clearly articulate the data stewardship value proposition. What's in it for the person, their line of business or mandate, and your organization as a whole.

      Data Steward Role Design
      Formally design and define the role of a data steward, including the functions and capabilities.

      Strategies for Success
      Set up your data stewards for success. Having a detailed role definition on paper is not enough. Ensure that you go the extra mile to deliver the relevant training, such as data stewardship onboarding and an awareness program.

      Executive summary

      Your Challenge Common Obstacles Info-Tech's Approach
      Data stewardship is a critical function in modern data governance. Every data-driven firm needs stewards who can rapidly tackle data issues and challenges. Data stewards help to reach agreement on data definition, quality, and usage. They direct efforts aimed at completing metadata, improving data quality, and ensuring regulatory compliance.
      Stewards must also provide recommendations regarding data access, security, distribution, retention, archiving, and disposal.
      While the data steward role is crucial to establishing and sustaining the effective governance of data, it is the role in the data governance operating structure that is often left unclear, ambiguous, and open to misinterpretation.
      It is often perceived as requiring incremental IT skills and one with all new or unfamiliar functions.
      In the ambition and haste to deliver on data governance, the various data governance role titles are communicated to the wider organization, often leaving data stewards wondering why they are being asked to be a data steward, what is expected of them, and how they will succeed in this role.
      Info-Tech's approach to establish effective and impactful data stewardship:
      • Clearly articulate the data stewardship value proposition.
      • Formally design and define the role of data steward, including the functions and capabilities.
      • Set up your data stewards for success. Having a detailed role definition on paper is not enough. Ensure that you go the extra mile to deliver the relevant training, such as data stewardship onboarding and an awareness program.

      Info-Tech Insight
      Effective data governance requires a solid foundation. Data stewards provide the foundation for data governance. The time and effort to define this role properly will yield sound data governance return.

      Phase 1: Data Stewardship Value Proposition

      What is the VALUE of a DATA STEWARD?

      Value of a Data Steward

      Improved Data Quality Management

      Clear and Consistent Data Definition

      Increased Data Sharing and Collaboration

      Ethical Handling of Data

      Define the strategic value of data in your organization

      Harness the value of data to power intelligent and transformative organizational performance.

      Optimize the way you serve your stakeholders.

      Respond to industry disruption.

      Develop products and services to meet ever-evolving needs.

      Manage operations and mitigate risk.

      Data governance is an enabling framework of decision rights, responsibilities, and accountabilities for data assets across an organization.

      Data governance is:

      • Executed according to agreed-upon models that describe who can take what actions with what information, when, and using what methods (CIO.com, 2021).
      • True business-IT collaboration that leads to increased consistency and confidence in data to support decision making

      If done correctly, data governance is not:

      • An annoying, finger-waving roadblock in the way of getting things done
      • An inhibitor or impediment to using and sharing data

      Data governance is about putting guard rails in place to better support the use and handling of your organization's data.

      Is there a clear definition of data accountability and responsibility in your organization?

      Build a Strategic Infrastructure Roadmap

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      • Parent Category Name: Strategy and Organizational Design
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      Getting a seat at the table is your first objective in building a strategic roadmap. Knowing what the business wants to do and understanding what it will need in the future is a challenge for most IT departments.

      This could be a challenge such as:

      • Understanding the business vision
      • Clear communications on business planning
      • Insight into what the future state should look like
      • Understanding what the IT team is spending its time on day to day

      Our Advice

      Critical Insight

      • Having a clear vision of what the future state is and knowing that creating an IT Infrastructure roadmap is never finished will give your IT team an understanding of priorities, goals, business vision, and risks associated with not planning.
      • Understand what you are currently paying for and why.

      Impact and Result

      • Understanding of the business priorities, and vision of the future
      • Know what your budget is spent on: running the business, growth, or innovation
      • Increased communication with the right stakeholders
      • Better planning based on analysis of time study, priorities, and business goals

      Build a Strategic Infrastructure Roadmap Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build a Strategic Infrastructure Roadmap Storyboard – Improve and align goals and strategy.

      In this section you will develop a vision and mission statement and set goals that align with the business vision and goals. The outcome will deliver your guiding principles and a list of goals that will determine your initiatives and their priorities.

      • Build Your Infrastructure Roadmap Storyboard
      • Strategic Infrastructure Roadmap Tool

      2. Financial Spend Analysis Template – Envision future and analyze constraints.

      Consider your future state by looking at technology that will help the business in the future. Complete an analysis of your past spending to determine your future spend. Complete a SWOT analysis to determine suitability.

      • Financial Spend Analysis Template

      3. Strategic Roadmap Initiative Template – Align and build the roadmap.

      Develop a risk framework that may slow or hinder your strategic initiatives from progressing and evaluate your technical debt. What is the current state of your infrastructure? Generate and prioritize your initiatives, and set dates for completion.

      • Strategic Roadmap Initiative Template

      4. Infrastructure and Strategy Executive Brief Template – Communicate and improve the process.

      After creating your roadmap, communicate it to your audience. Identify who needs to be informed and create an executive brief with the template download. Finally, create KPIs to measure what success looks like.

      • Infrastructure Strategy and Roadmap Executive Presentation Template
      • Infrastructure Strategy and Roadmap Report Template

      Infographic

      Further reading

      Build a Strategic Infrastructure Roadmap

      Align infrastructure investment to business-driven goals.

      Analysts' Perspectives

      Infrastructure roadmaps are an absolute necessity for all organizations. An organization's size often dictates the degree of complexity of the roadmap, but they all strive to paint the future picture of the organization's IT infrastructure.

      Infrastructure roadmaps typically start with the current state of infrastructure and work on how to improve. That thinking must change! Start with the future vision, an unimpeded vision, as if there were no constraints. Now you can see where you want to be.

      Look at your past to determine how you have been spending your infrastructure budget. If your past shows a trend of increased operational expenditures, that trend will likely continue. The same is true for capital spending and staffing numbers.

      Now that you know where you want to go, and how you ended up where you are, look at the constraints you must deal with and make a plan. It's not as difficult as it may seem, and even the longest journey begins with one step.

      Speaking of that first step, it should be to understand the business goals and align your roadmap with those same goals. Now you have a solid plan to develop a strategic infrastructure roadmap; enjoy the journey!

      There are many reasons why you need to build a strategic IT infrastructure roadmap, but your primary objectives are to set the long-term direction, build a framework for decision making, create a foundation for operational planning, and be able to explain to the business what you are planning. It is a basis for accountability and sets out goals and priorities for the future.

      Other than knowing where you are going there are four key benefits to building the roadmap.

      1. It allows you to be strategic and transformative rather than tactical and reactive.
      2. It gives you the ability to prioritize your tasks and projects in order to get them going.
      3. It gives you the ability to align your projects to business outcomes.
      4. Additionally, you can leverage your roadmap to justify your budget for resources and infrastructure.

      When complete, you will be able to communicate to your fellow IT teams what you are doing and get an understanding of possible business- or IT-related roadblocks, but overall executing on your roadmap will demonstrate to the business your competencies and ability to succeed.

      PJ Ryan

      PJ Ryan
      Research Director
      Infrastructure & Operations Practice
      Info-Tech Research Group

      John Donovan

      John Donovan
      Principal Research Director
      Infrastructure & Operations Practice
      Info-Tech Research Group

      Build a Strategic Infrastructure Roadmap

      Align infrastructure investment to business-driven goals.

      EXECUTIVE BRIEF

      Executive Summary

      Your Challenge

      When it comes to building a strategic roadmap, getting a seat at the table is your first objective. Knowing what the business wants to do and understanding its future needs is a challenge for most IT organizations.

      Challenges such as:

      • Understanding the business vision
      • Clear communications on business planning
      • Insight into what the future state should look like

      Common Obstacles

      Fighting fires, keeping the lights on, patching, and overseeing legacy debt maintenance – these activities prevent your IT team from thinking strategically and looking beyond day-to-day operations. Issues include:

      • Managing time well
      • Building the right teams
      • Setting priorities

      Procrastinating when it comes to thinking about your future state will get you nowhere in a hurry.

      Info-Tech's Approach

      Look into your past IT spend and resources that are being utilized.

      • Analyze all aspects of the operation, and resources required.
      • Be realistic with your timelines.
      • Work from the future state backward.

      Build your roadmap by setting priorities, understanding risk and gaps both in finance and resources. Overall, your roadmap is never done, so don't worry if you get it wrong on the first pass.

      Info-Tech Insight

      Have a clear vision of what the future state is, and know that when creating an IT infrastructure roadmap, it is never done. This will give your IT team an understanding of priorities, goals, business vision, and risks associated with not planning. Understand what you are currently paying for and why.

      Insight Summary

      "Planning is bringing the future into the present so that you can do something about it now."
      Source: Alan Lakein, Libquotes

      Your strategic objectives are key to building a roadmap

      Many organizations' day-to-day IT operations are tactical and reactive. This needs to change; the IT team needs to become strategic and proactive in its planning and execution. Forward thinking bridges the gap from your current state, to what the organization is, to what it wants to achieve. Your strategic objectives need to align to the business vision and goals and keep it running.

      Your future state will determine your roadmap priorities

      Identify what the business needs to meet its goals; this should be reflected in your roadmap priorities. Then identify the tasks and projects that can get you there. Business alignment is key, as these projects require prioritization. Strategic initiatives that align to business outcomes will be your foundation for planning on those priorities. If you do not align your initiatives, you will end up spinning your wheels. A good strategic roadmap will have all the elements of forward thinking and planning to execute with the right resources, right priorities, and right funding to make it happen.

      Understand what you have been paying for the last few years

      Measure the cost of "keeping the lights on" as a baseline for your budget that is earmarked and already spent. Determine if your current spend is holding back innovation due to:

      1. The high cost of maintenance
      2. Resources in operations doing low-value work due to the effort required to do tasks related to break/fix on aging hardware and software

      A successful strategic roadmap will be determined when you have a good handle on your current spending patterns and planning for future needs that include resources, budget, and know-how. Without a plan and roadmap, that plan will not get business buy-in or funding.

      Top challenges reported by Info-Tech members

      Lack of strategic direction

      • Infrastructure leadership must discover the business goals.

      Time seepage

      • Project time is constantly being tracked incorrectly.

      Technical debt

      • Aging equipment is not proactively cycled out with newer enabling technologies.

      Case Study

      The strategic IT roadmap allows Dura to stay at the forefront of automotive manufacturing.

      INDUSTRY: Manufacturing
      SOURCE: Performance Improvement Partners

      Challenge

      Following the acquisition of Dura, MiddleGround aimed to position Dura as a leader in the automotive industry, leveraging the company's established success spanning over a century.

      However, prior limited investments in technology necessitated significant improvements for Dura to optimize its processes and take advantage of digital advancements.

      Solution

      MiddleGround joined forces with PIP to assess technology risks, expenses, and prospects, and develop a practical IT plan with solutions that fit MiddleGround's value-creation timeline.

      By selecting the top 15 most important IT projects, the companies put together a feasible technology roadmap aimed at advancing Dura in the manufacturing sector.

      Results

      Armed with due diligence reports and a well-defined IT plan, MiddleGround and Dura have a strategic approach to maximizing value creation.

      By focusing on key areas such as analysis, applications, infrastructure and the IT organization, Dura is effectively transforming its operations and shaping the future of the automotive manufacturing industry.

      How well do you know your business strategy?

      A mere 25% of managers
      can list three of the company's
      top five priorities.

      Based on a study from MIT Sloan, shared understanding of strategic directives barely exists beyond the top tiers of leadership.

      An image of a bar graph showing the percentage of leaders able to correctly list a majority of their strategic priorities.

      Take your time back

      Unplanned incident response is a leading cause of the infrastructure time crunch, but so too are nonstandard service requests and service requests that should be projects.

      29%

      Less than one-third of all IT projects finish on time.

      200%

      85% of IT projects average cost overruns of 200% and time overruns of 70%.

      70%

      70% of IT workers feel as though they have too much work and not enough time to do it.

      Source: MIT Sloan

      Inventory Assessment

      Lifecycle

      Refresh strategies are still based on truisms (every three years for servers, every seven years for LAN, etc.) more than risk-based approaches.

      Opportunity Cost

      Assets that were suitable to enable business goals need to be re-evaluated as those goals change.

      See Info-Tech's Manage Your Technical Debt blueprint

      an image of info-tech's Manage your technical debt.

      Key IT strategy initiatives can be categorized in three ways

      IT key initiative plan

      Initiatives collectively support the business goals and corporate initiatives, and improve the delivery of IT services.

      1. Business support
        • Support major business initiatives
        • Each corporate initiative is supported by a major IT project and each project has unique IT challenges that require IT support.
      2. IT excellence
        • Reduce risk and improve IT operational excellence
        • These projects will increase IT process maturity and will systematically improve IT.
      3. Innovation
        • Drive technology innovation
        • These projects will improve future innovation capabilities and decrease risk by increasing technology maturity.

      Info-Tech Insight

      A CIO has three roles: enable business productivity, run an effective IT shop, and drive technology innovation. Your key initiative plan must reflect these three mandates and how IT strives to fulfill them.

      IT must accomplish many things

      Manage
      the lifecycle of aging equipment against current capacity and capability demands.

      Curate
      a portfolio of enabling technologies to meet future capacity and capability demands.

      Initiate
      a realistic schedule of initiatives that supports a diverse range of business goals.

      Adapt
      to executive feedback and changing business goals.

      an image of Info-Tech's Build your strategic roadmap

      Primary and secondary infrastructure drivers

      • Primary driver – The infrastructure component that is directly responsible for enabling change in the business metric.
      • Secondary driver – The infrastructure component(s) that primary drivers rely on.

      (Source: BMC)

      Sample primary and secondary drivers

      Business metric Source(s) Primary infrastructure drivers Secondary infrastructure drivers

      Sales revenue

      Online store

      Website/Server (for digital businesses)

      • Network
      • Data center facilities

      # of new customers

      Call center

      Physical plant cabling in the call center

      • PBX/VOIP server
      • Network
      • Data center facilities

      Info-Tech Insight

      You may not be able to directly influence the primary drivers of the business, but your infrastructure can have a major impact as a secondary driver.

      Info-Tech's approach

      1. Align strategy and goals
      • Establish the scope of your IT strategy by defining IT's mission and vision statements and guiding principles.
    • Envision future and analyze constraints
      • Envision and define your future infrastructure and analyze what is holding you back.
    • Align and build the roadmap
      • Establish a risk framework, identify initiatives, and build your strategic infrastructure roadmap.
    • Communicate and improve the process
      • Communicate the results of your hard work to the right people and establish the groundwork for continual improvement of the process.
    • Blueprint deliverables

      Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals:

      Mission and Vision Statement
      Goal Alignment (Slide 28)

      Construct your vision and mission aligned to the business.

      Mission and Vision Statement

      Strategic Infrastructure Roadmap tool

      Build initiatives and prioritize them. Build the roadmap.

      Strategic Infrastructure Roadmap tool

      Infrastructure Domain Study

      What is stealing your time from getting projects done?

      Infrastructure Domain Study

      Initiative Templates Process Maps & Strategy

      Build templates for initiates, build process map, and develop strategies.

      Initiative Templates Process Maps & Strategy

      Key Deliverable

      it infrastructure roadmap template

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Info-Tech's methodology for an infrastructure strategy and roadmap

      1. Align Strategy and Goals

      2. Envision Future and Analyze Constraints

      3. Align and Build the Roadmap

      4. Communicate and Improve the Process

      Phase steps

      1.1 Develop the infrastructure strategy

      1.2 Define the goals

      2.1 Define the future state

      2.2 Analyze constraints

      3.1 Align the roadmap

      3.2 Build the roadmap

      4.1 Identify the audience

      4.2 Improve the process

      Phase Outcomes

      • Vision statement
      • Mission statement
      • Guiding principles
      • List of goals
      • Financial spend analysis
      • Domain time study
      • Prioritized list of roadblocks
      • Future-state vision document
      • IT and business risk frameworks
      • Technical debt assessment
      • New technology analysis
      • Initiative templates
      • Initiative candidates
      • Roadmap visualization
      • Process schedule
      • Communications strategy
      • process map
      • Infrastructure roadmap report

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 0 Phase 1 Phase 2 Phase 3 Phase 4

      Call #1: Scope requirements, objectives, and your specific challenges.

      Call #2: Define mission and vision statements and guiding principles to discuss strategy scope.
      Call #3: Brainstorm goals and definition.

      Call #4: Conduct a spend analysis and a time resource study.
      Call #5: Identify roadblocks.

      Call #6: Develop a risk framework and address technical debt.
      Call #7: Identify new initiatives and SWOT analysis.
      Call #8: Visualize and identify initiatives.
      Call #9: Complete shadow IT and initiative finalization.

      Call #10: Identify your audience and communicate.
      Call #11: Improve the process.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is 8 to 12 calls over the course of 4 to 6 months.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Session 0 (Pre-workshop)

      Session 1

      Session 2

      Session 3

      Session 4

      Session 5 (Post-workshop)

      Elicit business context Align Strategy and Goals Envision Future and Analyze Constraints Align and Build the Roadmap Communicate and Improve the Process Wrap-up (offsite)

      0.1 Complete recommended diagnostic programs.
      0.2 Interview key business stakeholders, as needed, to identify business context: business goals, initiatives, and the organization's mission and vision.
      0.3 (Optional) CIO to compile and prioritize IT success stories.

      1.1 Infrastructure strategy.
      1.1.1 Review/validate the business context.
      1.1.2 Construct your mission and vision statements.
      1.1.3 Elicit your guiding principles and finalize IT strategy scope.

      1.2 Business goal alignment
      1.2.1 Intake identification and analysis.
      1.2.2 Survey results analysis.
      1.2.3 Brainstorm goals.
      1.2.4 Perform goal association and analysis.

      2.1 Define the future state.
      2.1.1 Conduct an emerging technology discussion.
      2.1.2 Document desired future state.
      2.1.3 Develop a new technology identification process.
      2.1.4 Compete SWOT analysis.

      2.2 Analyze your constraints
      2.2.1 Perform a historical spend analysis.
      2.2.2 Conduct a time study.
      2.2.3 Identify roadblocks.
      .

      3.1 Align the roadmap
      3.1.1 Develop a risk framework.
      3.1.2 Evaluate technical debt.

      3.2 Build the roadmap.
      3.2.1 Build effective initiative templates.
      3.2.2 Visualize.
      3.2.3 Generate new initiatives.
      3.2.4 Repatriate shadow IT initiatives.
      3.2.5 Finalize initiative candidates.

      4.2 Identify the audience
      4.1.1 Identify required authors and target audiences.
      4.1.2 Plan the process.
      4.1.2 Identify supporters and blockers.

      4.2 Improve the process
      4.2.1 Evaluate the value of each process output.
      4.2.2 Brainstorm improvements.
      4.2.3 Set realistic measures.

      5.1 Complete in-progress deliverables from previous four days.
      5.2 Set up time to review workshop deliverables and discuss next steps.

      1. SWOT analysis of current state
      2. Goals cascade
      3. Persona analysis
      1. Vision statement, mission statement, and guiding principles
      2. List of goals
      1. Spend analysis document
      2. Domain time study
      3. Prioritized list of roadblocks
      4. Future state vision document
      1. IT and business risk frameworks
      2. Technical debt assessment
      3. New technology analysis
      4. Initiative templates
      5. Initiative candidates
      1. Roadmap visualization
      2. Process schedule
      3. Communications strategy
      4. Process map
      1. Strategic Infrastructure Roadmap Report

      Phase 1

      Align Strategy and Goals

      Phase 1

      Phase 2

      Phase 3

      Phase 4

      1.1 Infrastructure strategy

      1.2 Goal alignment

      2.1 Define your future

      2.2 Conduct constraints analysis

      3.1 Drive business alignment

      3.2. Build the roadmap

      4.1 Identify the audience

      4.2 Process improvement

      and measurements

      This phase will walk you through the following activities:

      • How to build IT mission and vision statements
      • How to elicit IT guiding principles
      • How to finalize and communicate your IT strategy scope

      This phase involves the following participants:

      • CIO
      • Senior IT Team

      Step 1.1

      Develop the Infrastructure Strategy

      Activities

      1.1.1 Review/validate the business context

      1.1.2 Construct your mission and vision statements

      1.1.3 Elicit your guiding principles and finalize IT strategy scope

      This step requires the following inputs:

      • Business Mission Statement
      • Business Vision Statement
      • Business Goals

      This step involves the following participants:

      • Roadmap team

      Outcomes of this step

      • IT mission statement
      • IT vision statement
      • Guiding principles

      To complete this phase, you will need:

      Infrastructure Strategy and Roadmap Report Template

      Infrastructure Strategy and Roadmap Report Template

      Use the IT Infrastructure Strategy and Roadmap Report Template to document the results from the following activities:

      • Mission and Vision Statements
      • Business impact
      • Roadmap

      IT must aim to support the organization's mission and vision

      A mission statement

      • Focuses on today and what an organization does to achieve the mission.
      • Drives the company.
      • Answers: What do we do? Who do we serve? How do we service them?

      "A mission statement focuses on the purpose of the brand; the vision statement looks to the fulfillment of that purpose."

      A vision statement

      • Focuses on tomorrow and what an organization ultimately wants to become.
      • Gives the company direction.
      • Answers: What problems are we solving? Who and what are we changing?

      "A vision statement provides a concrete way for stakeholders, especially employees, to understand the meaning and purpose of your business. However, unlike a mission statement – which describes the who, what, and why of your business – a vision statement describes the desired long-term results of your company's efforts."
      Source: Business News Daily, 2020

      Characteristics of mission and vision statements

      A strong mission statement has the following characteristics:

      • Articulates the IT function's purpose and reason for existence.
      • Describes what the IT function does to achieve its vision.
      • Defines the customers of the IT function.
      • Is:
        • Compelling
        • Easy to grasp
        • Sharply focused
        • Concise

      A strong vision statement has the following characteristics:

      • Describes a desired future achievement.
      • Focuses on ends, not means.
      • Communicates promise.
      • Is:
        • Concise; no unnecessary words
        • Compelling
        • Achievable
        • Measurable

      Derive the IT mission and vision statements from the business

      Begin the process by identifying and locating the business mission and vision statements.

      • Corporate websites
      • Business strategy documents
      • Business executives

      Ensure there is alignment between the business and IT statements.

      Note: Mission statements may remain the same unless the IT department's mandate is changing.

      an image showing Business mission, IT mission, Business Vision, and IT Vison.

      1.1.2 Construct mission and vision statements

      1 hour

      Objective: Help teams define their purpose (why they exist) to build a mission statement (if one doesn't already exist).

      Step 1:

      1. Gather the IT strategy creation team and revisit your business context inputs, specifically the corporate mission statement.
      2. Begin by asking the participants:
          1. What is our job as a team?
          2. What's our goal? How do we align IT to our corporate mission?
          3. What benefit are we bringing to the company and the world?
        1. Ask them to share general thoughts in a check-in.

      Step 2:

      1. Share some examples of IT mission statements.
      2. Example: IT provides innovative product solutions and leadership that drives growth and
        success.
      3. Provide each participant with some time to write their own version of an IT mission statement.

      Download the ITRG IT Infrastructure Strategy and Roadmap Report Template and document your mission and vision statements in Section 1.

      Input

      • Business vision statement
      • Business mission statement

      Output

      • IT mission statement
      • IT vision statement

      Materials

      • Sticky notes
      • Markers
      • Whiteboard
      • Paper
      • Collaboration/brain-storming tool (whiteboard, flip chart, digital equivalent)

      Participants

      • CIO
      • Senior IT Team

      1.1.2 Construct mission and vision statements (cont'd)

      1 hour

      Objective: Help teams define their purpose (why they exist) to build a mission statement (if one doesn't already exist).

      Step 3:

      This step involves reviewing individual mission statements, combining them, and building one collective mission statement for the team.

      1. Consider the following approach to build a unified mission statement:

      Use the 20x20 rule for group decision-making. Give the group no more than 20 minutes to craft a collective team purpose with no more than 20 words.

      1. As a facilitator, provide guidelines on how to write for the intended audience. Business stakeholders need business language.
      2. Refer to the corporate mission statement periodically and ensure there is alignment.
      3. Document your final mission statement in your ITRG Infrastructure Strategy and Roadmap Report Template.

      Download the ITRG IT Infrastructure Strategy and Roadmap Report Template and document your mission and vision statements in Section 1.

      Input

      • Business vision statement
      • Business mission statement

      Output

      • IT mission statement
      • IT vision statement

      Materials

      • Sticky notes
      • Markers
      • Whiteboard
      • Paper
      • Collaboration/brain-storming tool (whiteboard, flip chart, digital equivalent)

      Participants

      • CIO
      • Senior IT Team

      1.1.2 Construct mission and vision statements (cont'd)

      1 hour

      Objective: Help teams define their purpose (why they exist) to build a mission statement (if one doesn't already exist).

      Step 4:

      1. Gather the IT strategy creation team and revisit your business context inputs, specifically the corporate vision statement.
      2. Share one or more examples of vision statements.
      3. Provide participants with sticky notes and writing materials and ask them to work individually for this step.
      4. Ask participants to brainstorm:
        1. What is the desired future state of the IT organization?
        2. How should we work to attain the desired state?
        3. How do we want IT to be perceived in the desired state?
      5. Provide participants with guidelines to build descriptive, compelling, and achievable statements regarding their desired future state.
      6. Regroup as a team and review participant answers.

      Download the ITRG IT Infrastructure Strategy and Roadmap Report Template and document your mission and vision statements in Section 1.

      Input

      • Business vision statement
      • Business mission statement

      Output

      • IT mission statement
      • IT vision statement

      Materials

      • Sticky notes
      • Markers
      • Whiteboard
      • Paper
      • Collaboration/brain-storming tool (whiteboard, flip chart, digital equivalent)

      Participants

      • CIO
      • Senior IT Team

      1.1.2 Construct mission and vision statements (cont'd)

      1 hour

      Objective: Help teams define their purpose (why they exist) to build a mission statement (if one doesn't already exist).

      Step 5:

      1. Ask the team to post their notes on the wall.
      2. Have the team group the words that have a similar meaning or feeling behind them; this will create themes.
      3. When the group is done categorizing the statements into themes, ask if there's anything missing. Did they ensure alignment to the corporate vision statement? Are there any elements missing when considering alignment back to the corporate vision statement?

      Step 6:

      1. Consider each category as a component of your vision statement.
      2. Review each category with participants; define what the behavior looks like when it is being met and what it looks like when it isn't.
      3. As a facilitator, provide guidelines on word-smithing and finessing the language.
      4. Refer to the corporate vision statement periodically and ensure there is alignment.
      5. Document your final mission statement in your IT Strategy Presentation Template.

      Download the ITRG IT Infrastructure Strategy and Roadmap Report Template and document your mission and vision statements in Section 1.

      Input

      • Business vision statement
      • Business mission statement

      Output

      • IT mission statement
      • IT vision statement

      Materials

      • Sticky notes
      • Markers
      • Whiteboard
      • Paper
      • Collaboration/brain-storming tool (whiteboard, flip chart, digital equivalent)

      Participants

      • CIO
      • Senior IT Team

      1.1.2 Construct mission and vision statements (cont'd)

      Tips for online facilitation:

      • Pick an online whiteboard tool that allows participants to use a large, zoomable canvas.
      • Set up each topic at a different area of the board; spread them out just like you would do on the walls of a room.
      • Invite participants to zoom in and visit each section and add their ideas as sticky notes once you reach that section of the exercise.
      • If you're not using an online whiteboard, we'd recommend using a collaboration tool such as Google Docs or Teams Whiteboard to collect the information for each step under a separate heading. Invite everyone into the document but be very clear regarding editing rights.
      • Pre-create your screen deck and screen share this with your participants through your videoconferencing software. We'd also recommend sharing this so participants can go through the deck again during the reflection steps.
      • When facilitating group discussion, we'd recommend that participants use non-verbal means to indicate they'd like to speak. You can use tools like Teams' hand-raising tool, a reaction emoji, or have people put their hands up. The facilitator can then invite that person to talk.

      Source: Hyper Island

      Input

      • Business vision statement
      • Business mission statement

      Output

      • IT mission statement
      • IT vision statement

      Materials

      • Sticky notes
      • Markers
      • Whiteboard
      • Paper
      • Collaboration/brainstorming tool (whiteboard, flip chart, digital equivalent)

      Participants

      • CIO
      • Senior IT Team

      IT mission statements demonstrate IT's purpose

      The IT mission statement specifies the function's purpose or reason for being. The mission should guide each day's activities and decisions. The mission statements use simple and concise terminology and speak loudly and clearly, generating enthusiasm for the organization.

      Strong IT mission statements have the following characteristics:

      • Articulate the IT function's purpose and reason for existence
      • Describe what the IT function does to achieve its vision
      • Define the customers of the IT function
      • Are:
        • Compelling
        • Easy to grasp
        • Sharply focused
        • Inspirational
        • Memorable
        • Concise

      Sample IT Mission Statements:

      • To provide infrastructure, support, and innovation in the delivery of secure, enterprise-grade information technology products and services that enable and empower the workforce at [Company Name].
      • To help fulfill organizational goals, the IT department is committed to empowering business stakeholders with technology and services that facilitate effective processes, collaboration, and communication.
      • The mission of the information technology (IT) department is to build a solid, comprehensive technology infrastructure; to maintain an efficient, effective operations environment; and to deliver high-quality, timely services that support the business goals and objectives of ABC Inc.
      • The IT department has operational, strategic, and fiscal responsibility for the innovation, implementation, and advancement of technology at ABC Inc. in three main areas: network administration and end-user support, instructional services, and information systems. The IT department provides leadership in long-range planning, implementation, and maintenance of information technology across the organization.
      • The IT group is customer-centered and driven by its commitment to management and staff. It oversees services in computing, telecommunications, networking, administrative computing, and technology training.

      Sample mission statements (cont'd)

      • To collaborate and empower our stakeholders through an engaged team and operational agility and deliver innovative technology and services.
      • To empower our stakeholders with innovative technology and services, through collaboration and agility.
      • To collaborate and empower our stakeholder, by delivering innovative technology and services, with an engaged team and operational agility.
      • To partner with departments and be technology leaders that will deliver innovative, secure, efficient, and cost-effective services for our citizens.
      • As a client-centric strategic partner, provide excellence in IM and IT services through flexible business solutions for achieving positive user experience and satisfaction.
      • Develop a high-performing global team that will plan and build a scalable, stable operating environment.
      • Through communication and collaboration, empower stakeholders with innovative technology and services.
      • Build a robust portfolio of technology services and solutions, enabling science-lead and business-driven success.
      • Guided by value-driven decision making, high-performing teams and trusted partners deliver and continually improve secure, reliable, scalable, and reusable services that exceed customer expectations.
      • Engage the business to grow capabilities and securely deliver efficient services to our users and clients.
      • Engage the business to securely deliver efficient services and grow capabilities for our users and clients.

      IT vision statements demonstrate what the IT organization aspires to be

      The IT vision statement communicates a desired future state of the IT organization. The statement is expressed in the present tense. It seeks to articulate the desired role of IT and how IT will be perceived.

      Strong IT vision statements have the following characteristics:

      • Describe a desired future
      • Focus on ends, not means
      • Communicate promise
      • Are:
        • Concise; no unnecessary words
        • Compelling
        • Achievable
        • Inspirational
        • Memorable

      Sample IT vision statements:

      • To be a trusted advisor and partner in enabling business innovation and growth through an engaged IT workforce.
      • The IT organization will strive to become a world-class value center that is a catalyst for innovation.
      • IT is a cohesive, proactive, and disciplined team that delivers innovative technology solutions while demonstrating a strong customer-oriented mindset.
      • Develop and maintain IT and an IT support environment that is secure, stable, and reliable within a dynamic environment.

      Sample vision statements (cont'd)

      • Alignment: To ensure that the IT organizational model and all related operational services and duties are properly aligned with all underlying business goals and objectives. Alignment reflects an IT operation "that makes sense," considering the business served, its interests and its operational imperatives.
      • Engagement: To ensure that all IT vision stakeholders are fully engaged in technology-related planning and the operational parameters of the IT service portfolio. IT stakeholders include the IT performing organization (IT Department), company executives and end-users.
      • Best Practices: To ensure that IT operates in a standardized fashion, relying on practical management standards and strategies properly sized to technology needs and organizational capabilities.
      • Commitment to Customer Service: To ensure that IT services are provided in a timely, high-quality manner, designed to fill the operational needs of the front-line end-users, working within the boundaries established by business interests and technology best practices.

      Quoted From ITtoolkit, 2020

      Case Study

      Acme Corp. was able to construct its IT mission and vison statements by aligning to its corporate mission and vision.

      INDUSTRY: Professional Services
      COMPANY: This case study is based on a real company but was anonymized for use in this research.

      Business

      IT

      Mission

      Vision

      Mission

      Vision

      We help IT leaders achieve measurable results by systematically improving core IT processes, governance, and critical technology projects.

      Acme Corp. will grow to become the largest research firm across the industry by providing unprecedented value to our clients.

      IT provides innovative product solutions and leadership that drives growth and success.

      We will relentlessly drive value to our customers through unprecedented innovation.

      IT guiding principles set the boundaries for your strategy

      Strategic guiding principles advise the IT organization on the boundaries of the strategy.

      Guiding principles are a priori decisions that limit the scope of strategic thinking to what is acceptable organizationally, from budgetary, people, and partnership standpoints. Guiding principles can cover other dimensions, as well.

      Organizational stakeholders are more likely to follow IT principles when a rationale is provided.

      After defining the set of IT principles, ensure that they are all expanded upon with a rationale. The rationale ensures principles are more likely to be followed because they communicate why the principles are important and how they are to be used. Develop the rationale for each IT principle your organization has chosen.

      IT guiding principles = IT strategy boundaries

      Consider these four components when brainstorming guiding principles

      Breadth

      of the IT strategy can span across the eight perspectives: people, process, technology, data, process, sourcing, location, and timing.

      Defining which of the eight perspectives is in scope for the IT strategy is crucial to ensuring the IT strategy will be comprehensive, relevant, and actionable.

      Depth

      of coverage refers to the level of detail the IT strategy will go into for each perspective. Info-Tech recommends that depth should go to the initiative level (i.e. individual projects).

      Organizational coverage

      will determine which part of the organization the IT strategy will cover.

      Planning horizon

      of the IT strategy will dictate when the target state should be reached and the length of the roadmap.

      Consider these criteria when brainstorming guiding principle statements

      Approach focused IT principles are focused on the approach, i.e. how the organization is built, transformed, and operated, as opposed to what needs to be built, which is defined by both functional and non-functional requirements.
      Business relevant Create IT principles that are specific to the organization. Tie IT principles to the organization's priorities and strategic aspirations.
      Long lasting Build IT principles that will withstand the test of time.
      Prescriptive Inform and direct decision-making with IT principles that are actionable. Avoid truisms, general statements, and observations.
      Verifiable If compliance can't be verified, the principle is less likely to be followed.
      Easily digestible IT principles must be clearly understood by everyone in IT and by business stakeholders. IT principles aren't a secret manuscript of the IT team. IT principles should be succinct; wordy principles are hard to understand and remember.
      Followed

      Successful IT principles represent a collection of beliefs shared among enterprise stakeholders. IT principles must be continuously reinforced to all stakeholders to achieve and maintain buy-in.

      In organizations where formal policy enforcement works well, IT principles should be enforced through appropriate governance processes.

      Review ten universal IT principles to determine if your organization wishes to adopt them

      IT principle name

      IT principle statement

      1. Enterprise value focus We aim to provide maximum long-term benefits to the enterprise as a whole while optimizing total costs of ownership and risks.
      2. Fit for purpose We maintain capability levels and create solutions that are fit for purpose without over engineering them.
      3. Simplicity We choose the simplest solutions and aim to reduce operational complexity of the enterprise.
      4. Reuse > buy > build We maximize reuse of existing assets. If we can't reuse, we procure externally. As a last resort, we build custom solutions.
      5. Managed data We handle data creation, modification, and use enterprise-wide in compliance with our data governance policy.
      6. Controlled technical diversity We control the variety of technology platforms we use.
      7. Managed security We manage security enterprise-wide in compliance with our security governance policy.
      8. Compliance to laws and regulations We operate in compliance with all applicable laws and regulations.
      9. Innovation We seek innovative ways to use technology for business advantage.
      10. Customer centricity We deliver best experiences to our customers with our services and products.

      1.1.3 Elicit guiding principles

      1 hour

      Objective: Generate ideas for guiding principle statements with silent sticky note writing.

      1. Gather the IT strategy creation team and revisit your mission and vision statements.
      2. Ask the group to brainstorm answers individually, silently writing their ideas on separate sticky notes. Provide the brainstorming criteria from the previous slide to all team members. Allow the team to put items on separate notes that can later be shuffled and sorted as distinct thoughts.
      3. After a set amount of time, ask the members of the group to stick their notes to the whiteboard and quickly present them. Categorize all ideas into four major buckets: breadth, depth, organizational coverage, and planning horizon. Ideally, you want one guiding principle to describe each of the four components.
      4. If there are missing guiding principles in any category or anyone's items inspire others to write more, they can stick those up on the wall too, after everyone has presented.
      5. Discuss and finalize your IT guiding principles.
      6. Document your guiding principles in the IT Strategy Presentation Template in Section 1.

      Source: Hyper Island

      Download the ITRG IT Infrastructure Strategy and Roadmap Report Template and document your mission and vision statements in Section 1.

      Input

      • Four components for eliciting guiding principles
      • Mission and vision statements

      Output

      • IT guiding principles
      • IT strategy scope

      Materials

      • Sticky notes
      • Whiteboard
      • Paper
      • Collaboration/brain-storming tool (whiteboard, flip chart, digital equivalent)

      Participants

      • CIO
      • Senior IT Team

      Guiding principle examples

      • Alignment: Our IT decisions will align with [our organization's] strategic plan.
      • Resources: We will allocate cyber-infrastructure resources based on providing the greatest value and benefit for [the community].
      • User Focus: User needs will be a key component in all IT decisions.
      • Collaboration: We will work within and across organizational structures to meet strategic goals and identify opportunities for innovation and improvement.
      • Transparency: We will be transparent in our decision making and resource use.
      • Innovation: We will value innovative and creative thinking.
      • Data Stewardship: We will provide a secure but accessible data environment.
      • IT Knowledge and Skills: We will value technology skills development for the IT community.
      • Drive reduced costs and improved services
      • Deploy packaged apps – do not develop – retain business process knowledge expertise – reduce apps portfolio
      • Standardize/Consolidate infrastructure with key partners
      • Use what we sell, and help sell
      • Drive high-availability goals: No blunders
      • Ensure hardened security and disaster recovery
      • Broaden skills (hard and soft) across the workforce
      • Improve business alignment and IT governance

      Quoted From: Office of Information Technology, 2014; Future of CIO, 2013

      Case Study

      Acme Corp. elicited guiding principles that set the scope of its IT strategy for FY21.

      INDUSTRY: Professional Services
      COMPANY: Acme Corp.

      The following guiding principles define the values that drive IT's strategy in FY23 and provide the criteria for our 12-month planning horizon.

      • We will focus on big-ticket items during the next 12 months.
      • We will keep the budget within 5%+/- YOY.
      • We will insource over outsource.
      • We will develop a cloud-first technology stack.

      Finalize your IT strategy scope

      Your mission and vision statements and your guiding principles should be the first things you communicate on your IT strategy document.

      Why is this important?

      • Communicating these elements shows how IT supports the corporate direction.
      • The vision and mission statements will clearly articulate IT's aspirations and purpose.
      • The guiding principles will clearly articulate how IT plans to support the business strategically.
      • These elements set expectations with stakeholders for the rest of your strategy.

      Input information into the IT Strategy Presentation Template.

      an image showing the IT Strategy Scope.

      Summary of Accomplishment

      Established the scope of your IT strategy

      • Constructed the IT mission statement to communicate the IT organization's reason for being.
      • Constructed the IT vision statement to communicate the desired future state of the IT organization.
      • Elicited IT's guiding principles to communicate the overall scope and time horizon for the strategy.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Step 1.2

      Business Goal Alignment

      Activities

      1.2.1 Intake identification and analysis

      1.2.2 Survey results analysis

      1.2.3 Goal brainstorming

      1.2.4 Goal association and analysis

      This step requires the following inputs:

      • Last year's accomplished project list
      • Business unit input source list
      • Goal list
      • In-flight initiatives list

      This step involves the following participants:

      • Business leadership
      • Project Management Office
      • Service Desk
      • Business Relationship Management
      • Solution or Enterprise Architecture
      • Roadmap team

      Outcomes of this step

      • Intake analysis
      • Goal list
      • Initiative-to-goal map

      Identify who is expecting what from the infrastructure

      "Typically, IT thinks in an IT first, business second, way: 'I have a list of problems and if I solve them, the business will benefit.' This is the wrong way of thinking. The business needs to be thought of first, then IT."

      – Fred Chagnon, Infrastructure Director,
      Info-Tech Research Group

      Info-Tech Insight

      If you're not soliciting input from or delivering on the needs of the various departments in your company, then who is? Be explicit and track how you communicate with each individual unit within your company.

      Mature project portfolio management and enterprise architecture practices are no substitute for understanding your business clientele.

      It may not be a democracy, but listening to everyone's voice is an essential step toward generating a useful roadmap.

      Building good infrastructure requires an understanding of how it will be used. Explicit consultation with stakeholders maximizes a roadmap's usefulness and holds the enterprise accountable in future roadmap iterations as goals change.

      Who are the customers for infrastructure?

      Internal customer examples:

      • Network Operations manager
      • IT Systems manager
      • Webmaster
      • Security manager

      External customer examples:

      • Director of Sales
      • Operations manager
      • Applications manager
      • Clients
      • Partners and consultants
      • Regulators/government

      1.2.1 Intake identification and analysis

      1 hour

      The humble checklist is the single most effective tool to ensure we don't forget someone or something:

      1. Have everyone write down their top five completed projects from last year – one project per sticky note.
      2. Organize everyone's sticky notes on a whiteboard according to input source – did these projects come from the PMO? Directly from a BRM? Service request? VP or LoB management?
      3. Make a MECE list of these sources on the left-hand side of a whiteboard.
      4. On the right-hand side list all the departments or functional business units within the company.
      5. Draw lines from right to left indicating which business units use which input source to request work.
      6. Optional: Rate the efficacy of each input channel – what is the success rate of projects per channel in terms of time, budget, and functionality?

      Discussion:

      1. How clearly do projects and initiatives arrive at infrastructure to be acted on? Do they follow the predictable formal process with all the needed information or is it more ad hoc?
      2. Can we validate that business units are using the correct input channel to request the appropriate work? Does infrastructure have to spend more time validating the requests of any one channel?
      3. Can we identify business units that are underserved? How about overserved? Infrastructure initiatives tend to be near universal in effect – are we forgetting anyone?
      4. Are all these methods passive (order taking), or is there a process for infrastructure to suggest an initiative or project?

      Input

      • Last year's accomplished project list

      Output

      • Work requested workflow and map

      Materials

      • Sticky notes
      • Whiteboard & markers

      Participants

      • Roadmap team

      Case Study

      Building IT governance and digital infrastructure for tech-enabled student experiences

      INDUSTRY: Education
      COMPANY: Collegis Education

      Challenge

      In 2019, Saint Francis University decided to expand its online program offering to reach students outside of its market.

      It had to first transform its operations to deliver a high-quality, technology-enabled student experience on and off campus. The remote location of the campus posed power outages, Wi-Fi issues, and challenges in attracting and retaining the right staff to help the university achieve its goals.

      It began working with an IT consulting firm to build a long-term strategic roadmap.

      Solution

      The consultant designed a strategic multi-year roadmap for digital transformation that would prioritize developing infrastructure to immediately improve the student experience and ultimately enable the university to scale its online programs. The consultant worked with school leadership to establish a virtual CIO to oversee the IT department's strategy and operations. The virtual CIO quickly became a key advisor to the president and board, identifying gaps between technology initiatives and enrollment and revenue targets. St. Francis staff also transitioned to the consultant's technology team, allowing the university to alleviate its talent acquisition and retention challenges.

      Results

      • $200,000 in funds reallocated to help with upgrades due to streamlined technology infrastructure
      • Updated card access system for campus staff and students
      • Active directory implementation for a secure and strong authentication technology
      • An uninterruptible power supply (UPS) backup is installed to ensure power continues in the event of a power outage
      • Upgrade to a reliable, campus-wide Wi-Fi network
      • Behind-the-scenes upgrades like state-of-the-art data centers to stabilize aging technology for greater reliability

      Track your annual activity by business unit – not by input source

      A simple graph showing the breakdown of projects by business unit is an excellent visualization of who is getting the most from infrastructure services.

      Show everyone in the organization that the best way to get anything done is by availing themselves of the roadmap process.

      An image of two bar graphs, # of initiatives requested
by customer; # of initiatives proposed to customer.

      Enable technology staff to engage in business storytelling by documenting known goals in a framework

      Without a goal framework

      Technology-focused IT staff are notoriously disconnected from the business process and are therefore often unable to explain the outcomes of their projects in terms that are meaningful to the business.

      With a goal framework

      When business, IT, and infrastructure goals are aligned, the business story writes itself as you follow the path of cascading goals upward.

      Info-Tech Best Practice

      So many organizations we speak with don't have goals written down. This rarely means that the goals aren't known, rather that they're not clearly communicated.

      When goals aren't clear, personal agendas can take precedence. This is what often leads to the disconnect between what the business wants and what IT is delivering.

      1.2.2 Survey and results analysis

      1 hour

      Infrastructure succeeds by effectively scaling shared resources for the common good. Sometimes that is a matter of aggregating similarities, sometimes by recognizing where specialization is required.

      1. Have every business unit provide their top three to five current goals or objectives for their department. Emphasize that you are requesting their operational objectives, not just the ones they think IT may be able to help them with.
      2. Put each goal on a sticky note (optional: use a unique sticky note or marker color for each department) and place them on a whiteboard.
      3. Group the sticky notes according to common themes.
      4. Rank each grouping according to number of occurrences.

      Discussion:

      1. This is very democratic. Do certain departments' goals carry more weight more than others?
      2. What is the current business prioritization process? Do the results of our activity match with the current published output of this process?
      3. Consider each business goal in the context of infrastructure activity or technology feature or capability. As infrastructure is a lift function existing only to serve the business, it is important to understand our world in context.

      Examples: The VP of Operations is looking to reduce office rental costs over the next three years. The VP of Sales is focused on increasing the number of face-to-face customer interactions. Both can potentially be served by IT activities and technologies that increase mobility.

      Input

      • Business unit input source list

      Output

      • Prioritized list of business goals

      Materials

      • Sticky notes
      • Whiteboard & markers

      Participants

      • Roadmap team

      1.2.3 Goal brainstorming – Affinity diagramming exercise

      1 hour

      Clarify how well you understand what the business wants.

      1. Ask each participant to consider: "What are the top three priorities of the company [this period]?" They should consider not what they think the priorities should be, but their understanding of what business leadership's priorities actually are.
      2. Have each participant write down their three priorities on sticky notes – one per note.
      3. Select a moderator from the group – not the infrastructure leader or the CIO. The moderator will begin by placing (and explaining) their sticky notes on the whiteboard.
      4. Have each participant place and explain their sticky notes on the whiteboard.
      5. The moderator will assist each participant in grouping sticky notes together based on theme.
      6. Groups that become overly large may be broken into smaller, more precise themes.
      7. Once everyone has placed their sticky notes, and the groups have been arranged and rearranged, you should have a visual representation of infrastructure's understanding of the business' priorities.
      8. Let the infrastructure leader and/or CIO place their sticky notes last.

      Discussion:

      Is there a lot of agreement within the group? What does it mean if there are 10 or 15 groups with equal numbers of sticky notes? What does it mean if there are a few top groups and dozens of small outliers?

      How does the group's understanding compare with that of the Director and/or CIO?

      What mechanisms are in place for the business to communicate their goals to infrastructure? Are they effective? Does the team take the time to reimagine those goals and internalize them?

      What does it mean if infrastructure's understanding differs from the business?

      Input

      • Business unit input source list

      Output

      • Prioritized list of business goals

      Materials

      • Sticky notes
      • Whiteboard & markers

      Participants

      • Roadmap team

      Additional Activity

      Now that infrastructure has a consensus on what it thinks the business' goals are, suggest a meeting with leadership to validate this understanding. Once the first picture is drawn, a 30-minute meeting can help clear up any misconceptions.

      Build your own framework or start with these three root value drivers

      With a framework of cascading goals in place, a roadmap is a Rosetta Stone. Being able to map activities back to governance objectives allows you to demonstrate value regardless of the audience you are addressing.

      An image of the framework for developing a roadmap using three root value drivers.

      (Info-Tech, Build a Business-Aligned IT Strategy 2022)

      1.2.4 Goal association exercise and analysis

      1 hour

      Wherever possible use the language of your customers to avoid confusion, but at least ensure that everyone in infrastructure is using a common language.

      1. Take your business strategy or IT strategy or survey response (Activity 1.2.3) or Info-Tech's fundamental goals list (strategic agility, improved cash flow, innovate product, safety, standardize end-user experience) and write them across the top of a whiteboard.
      2. Have everyone write, on a sticky note, their current in-flight initiatives – one per sticky note.
      3. Have each participant then place each of their sticky notes on the whiteboard and draw a line from the initiative to the goal it supports.
      4. The rest of the group should challenge any relationships that seem unsupported or questionable.

      Discussion:

      1. How many goals are you supporting? Are there too many? Are you doing enough to support the right goals?
      2. Is there a shared understanding of the business goals among the infrastructure staff? Or, do questions about meaning keep coming up?
      3. Do you have initiatives that are difficult to express in terms of business goals? Do you have a lot of them or just a few?

      Input

      • Goal list
      • In-flight initiatives list

      Output

      • Initiatives-to-goals map

      Materials

      • Whiteboard & markers

      Participants

      • Roadmap team

      Summary of Accomplishment

      Review performance from last fiscal year.

      • Analyzed and communicated the benefits and value realized from IT's strategic initiatives in the past fiscal year.
      • Analyzed and prioritized diagnostic data insights to communicate IT success stories.
      • Elicited important retrospective information such as KPIs, financials, etc. to build IT's credibility as a strategic business partner.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Phase 2

      Envision Future and Analyze Constraints

      Phase 1

      Phase 2

      Phase 3

      Phase 4

      1.1 Infrastructure strategy

      1.2 Goal alignment

      2.1 Define your future

      2.2 Conduct constraints analysis

      3.1 Drive business alignment

      3.2. Build the roadmap

      4.1 Identify the audience

      4.2 Process improvement

      and measurements

      This phase will walk you through the following activities:

      • Determine from a greenfield perspective what the future state looks like.
      • Do SWOT analysis on technology you may plan to use in the future.
      • Complete a time study.

      This phase involves the following participants:

      • Roadmap team

      Step 2.1

      Define the future state

      Activities

      2.1.1 Define your future infrastructure vision

      2.1.2 Document desired future state

      2.1.3 Develop a new technology identification process

      2.1.4 Conduct a SWOT analysis

      This step requires the following inputs:

      • Emerging technology interest

      This step involves the following participants:

      • Roadmap team
      • External SMEs

      Outcomes of this step

      • Technology discovery process
      • Technology assessment process
      • Future state vision document

      Future state discussion

      "Very few of us are lucky enough to be one of the first few employees in a new organization. Those of you who get to plan the infrastructure with a blank slate and can focus all of your efforts on doing things right the first time."

      BMC, 2018

      "A company's future state is ultimately defined as the greater vision for the business. It's where you want to be, your long-term goal in terms of the ever-changing state of technology and how that applies to your present-day business."
      "Without a definitive future state, a company will often find themselves lacking direction, making it harder to make pivotal decisions, causing misalignment amongst executives, and ultimately hindering the progression and growth of a company's mission."
      Source: Third Stage Consulting

      "When working with digital technologies, it is imperative to consider how such technologies can enhance the solution. The future state should communicate the vision of how digital technologies will enhance the solutions, deliver value, and enable further development toward even greater value creation."
      Source: F. Milani

      Info-Tech Insight

      Define your infrastructure roadmap as if you had a blank slate – no constraints, no technical debt, and no financial limitations. Imagine your future infrastructure and let that vision drive your roadmap.

      Expertise is not innate; it requires effort and research

      Evaluating new enterprise technology is a process of defining it, analyzing it, and sourcing it.

      • Understand what a technology is in order to have a common frame of reference for discussion. Just as important, understand what it is not.
      • Conduct an internal and external analysis of the technology including an adoption case study.
      • Provide an overview of the vendor landscape, identifying the leading players in the market and how they differentiate their offerings.

      This is not intended to be a thesis grade research project, nor an onerous duty. Most infrastructure practitioners came to the field because of an innate excitement about technology! Harness that excitement and give them four to eight hours to indulge themselves.

      An output of approximately four slides per technology candidate should be sufficient to decided if moving to PoC or pilot is warranted.

      Including this material in the roadmap helps you control the technology conversation with your audience.

      Info-Tech Best Practices

      Don't start from scratch. Recall the original sources from your technology watchlist. Leverage vendors and analyst firms (such as Info-Tech) to give the broad context, letting you focus instead on the specifics relevant to your business.

      Channel emerging technologies to ensure the rising tide floats all boats rather than capsizing your business

      Adopting the wrong new technology can be even more dangerous than failing to adopt any new technology.

      Implementing every new promising technology would cost prodigious amounts of money and time. Know the costs before choosing what to invest in.

      The risk of a new technology failing is acceptable. The risk of that failure disrupting adjacent core functions is unacceptable. Vet potential technologies to ensure they can be safely integrated.

      Best practices for new technologies are nonexistent, standards are in flux, and use cases are fuzzy. Be aware of the unforeseen that will negatively affect your chances of a successful implementation.

      "Like early pioneers crossing the American plains, first movers have to create their own wagon trails, but later movers can follow in the ruts."
      Harper Business, 2014

      Info-Tech Insight

      The right technology for someone else can easily be the wrong technology for your business.

      Even with a mature Enterprise Architecture practice, wrong technology bets can happen. Minimize the chance of this occurrence by making selection an infrastructure-wide activity. Leverage the practical knowledge of the day-to-day operators.

      First Mover

      47% failure rate

      Fast Follower

      8% failure rate

      2.1.1 Create your future infrastructure vision

      1 hour

      Objective: Help teams define their future infrastructure state (assuming zero constraints or limitations).

      1. Ask each participant to ponder the question: "How would the infrastructure look if there were no limitations?" They should consider all aspects of their infrastructure but keep in mind the infrastructure vision and mission statements from phase one, as well as the business goals.
      2. Have each participant write down their ideas on sticky notes – one per note.
      3. Select a moderator and a scribe from the group – not the infrastructure leader or the CIO. The moderator will begin by placing (and explaining) their sticky notes on the whiteboard. The scribe will summarize the results in short statements at the end.
      4. Have each participant place and explain their sticky notes on the whiteboard.
      5. The moderator will assist each participant in grouping sticky notes together based on theme.
      6. Once everyone has placed their sticky notes and groups have been arranged and rearranged, you should have a visual representation of infrastructure's understanding of the business' priorities.
      7. Let the infrastructure leader and/or CIO place their sticky notes last.

      Discussion:

      1. Assume a blank slate as a starting point. No technical debt or financial constraints; nothing holding you back.
      2. Can SaaS, PaaS, or other cloud-based offerings play a role in this future utopia?
      3. Do vendors play a larger or smaller role in your future infrastructure vision?

      Download the IT Infrastructure Strategy and Roadmap Report Template and document your mission and vision statements in Section 1.

      Input

      • Thoughts and ideas about how the future infrastructure should look.

      Output

      • Future state vision

      Materials

      • Sticky notes
      • Whiteboard & markers

      Participants

      • Roadmap team

      2.1.1 Document your future state vision (cont'd)

      Objective: Help teams define their future infrastructure state (assuming zero constraints or limitations).

      1 hour

      Steps:

      1. The scribe will take the groups of suggestions and summarize them in a statement or two, briefly describing the infrastructure in that group.
      2. The statements should be recorded on Tab 2 of the Infrastructure Strategy and Roadmap Tool.

      Discussion:

      • Should the points be listed in any specific order?
      • Include all suggestions in the summary. Remember this is a blank slate with no constraints, and no idea is higher or lower in weight at this stage.
      Infrastructure Future State Vision
      Item Focus Area Future Vision
      1 Email Residing on Microsoft 365
      2 Servers Hosted in cloud - nothing on prem.
      3 Endpoints virtual desktops on Microsoft Azure
      4 Endpoint hardware Chromebooks
      5 Network internet only
      6 Backups cloud based but stored in multiple cloud services
      7

      Download Info-Tech's Infrastructure Strategy and Roadmap Tool and document your future state vision in the Infrastructure Future State tab.

      Input

      • Thoughts and ideas about how the future infrastructure should look.

      Output

      • Future state vision

      Materials

      • Sticky notes
      • Whiteboard & markers

      Participants

      • Roadmap team

      2.1.2 Identification and association exercise

      1 hour

      Formalize what is likely an ad hoc process.

      1. Brainstorm with the group a list of external sources they are currently using to stay abreast of the market.
      2. Organize this list on the left-hand side of a whiteboard, in vendor and vendor-neutral groups.
        1. For each item in the list ask a series of questions:
        2. Is this a push or pull source?
        3. Is this source suited to individual or group consumption?
        4. What is the frequency of this source?
      3. What is the cost of this source to the company?
      4. On the right-hand side of the whiteboard brainstorm a list of internal mechanisms for sharing new technology information. Ask about the audience, distribution mode, and frequency for each of those mechanisms.
      5. Map which of the external sources make it over to internal distribution.

      Discussion:

      1. Are we getting the most value out of our high-cost conferences? Does that information make it from the attendees to the rest of the team?
      2. Do we share information only within our domains? Or across the whole infrastructure practice?
      3. Do we have sufficient diversity of sources? Are we in danger of believing one vendor's particular market interpretation?
      4. How do we select new technologies to explore further? Make it fun – upvotes, for example.

      Input

      • Team knowledge
      • Conference notes
      • Expense reports

      Output

      • Internal socialization process
      • Tech briefings & repository

      Materials

      • Whiteboard & markers

      Participants

      • Roadmap team

      Info-Tech Best Practices

      It is impractical for everyone to present their tech briefing at the monthly meeting. But you want to avoid a one-to-many exercise. Keep the presenter a secret until called on. Those who do not present live can still contribute their material to the technology watchlist database.

      Analyze new technologies for your future state

      Four to eight hours of research per technology can uncover a wealth of relevant information and prepare the infrastructure team for a robust discussion. Key research elements include:

      • Précis: A single page or slide that describes the technology, outlines some of the vendors, and explores the value proposition.
      • SWOT Analysis:
        • Strengths and weaknesses: What does the technology inherently do well (e.g. lots of features) and what does it do poorly (e.g. steep learning curve)?
        • Opportunities and threats: What capabilities can the technology enable (e.g. build PCs faster, remote sensing)? Why would we not want to exploit this technology (e.g. market volatility, M&As)

      a series of four screenshots from the IT Infrastructure Strategy and Roadmap Report Template

      Download the IT Infrastructure Strategy and Roadmap Report Template slides 21, 22, 23 for sample output.

      Position infrastructure as the go-to source for information about new technology

      One way or another, tech always seems to finds its way into infrastructure's lap. Better to stay in front and act as stewards rather than cleanup crew.

      Beware airline magazine syndrome!

      Symptoms

      Pathology
      • Leadership speaking in tech buzzwords
      • Urgent meetings to discuss vaguely defined topics
      • Fervent exclamations of "I don't care how – just get it done!"
      • Management showing up on at your doorstep needing help with their new toy

      Outbreaks tend to occur in close proximity to

      • Industry trade shows
      • Excessive executive travel
      • Vendor BRM luncheons or retreats with leadership
      • Executive golf outings with old college roommates

      Effective treatment options

      1. Targeted regular communication with a technology portfolio analysis customized to the specific goals of the business.
      2. Ongoing PoC and piloting efforts with detailed results reporting.

      While no permanent cure exists, regular treatment makes this chronic syndrome manageable.

      Keep your roadmap horizon in mind

      Technology doesn't have to be bleeding edge. New-to-you can have plenty of value.

      You want to present a curated landscape of technologies, demonstrating that you are actively maintaining expertise in your chosen field.

      Most enterprise IT shops buy rather than develop their technology, which means they want to focus effort on what is market available. The outcome is that infrastructure sponsors and delivers new technologies whose capabilities and features will help the business achieve its goals on this roadmap.

      If you want to think more like a business disruptor or innovator, we suggest working through the blueprint Exploit Disruptive Infrastructure Technology.
      Explore technology five to ten years into the future!

      a quadrant analysis comparing innovation and transformation, as well as two images from Exploit Disruptive Infrastructure Technology.

      Info-Tech Insight

      The ROI of any individual effort is difficult to justify – in aggregate, however, the enterprise always wins!
      Money spent on Google Glass in 2013 seemed like vanity. Certainly, this wasn't enterprise-ready technology. But those early experiences positioned some visionary firms to quickly take advantage of augmented reality in 2018. Creative research tends to pay off in unexpected and unpredictable ways.
      .

      2.1.3 Working session, presentation, and feedback

      1 hour

      Complete a SWOT analysis with future state technology.

      The best research hasn't been done in isolation since the days of da Vinci.

      1. Divide the participants into small groups of at least four people.
      2. Further split those groups into two teams – the red team and the white team.
      3. Assign a technology candidate from the last exercise to each group. Ideally the group should have some initial familiarity with the technology and/or space.
      4. The red team from each group will focus on the weaknesses and threats of the technology. The white team will focus on the strengths and opportunities of the technology.
      5. Set a timer and spend the next 30-40 minutes completing the SWOT analysis.
      6. Have each group present their analysis to the larger team. Encourage conversation and debate. Capture and refine the understanding of the analysis.
      7. Reset with the next technology candidate. Have the participants switch teams within their groups.
      8. Continue until you've exhausted your technology candidates.

      Discussion:

      1. Does working in a group make for better research? Why?
      2. Do you need specific expertise in order to evaluate a technology? Is an outsider (non-expert) view sometimes valuable?
      3. Is it easier to think of the positive or the negative qualities of a technology? What about the internal or external implications?

      Input

      • Technology candidates

      Output

      • Technology analysis including SWOT

      Materials

      • Projector
      • Templates
      • Laptops & internet

      Participants

      • Roadmap team

      Step 2.2

      Constraints analysis

      Activities

      2.2.1 Historical spend analysis

      2.2.2 Conduct a time study

      2.2.3 Identify roadblocks

      This step requires the following inputs:

      • Historical spend and staff numbers
      • Organizational design identification and thought experiment
      • Time study
      • Roadblock brainstorming session
      • Prioritization exercise

      This step involves the following participants:

      • Financial leader
      • HR Leader
      • Roadmap team

      Outcomes of this step

      • OpEx, CapEx, and staffing trends
      • Domain time study
      • Prioritized roadblock list

      2.2.1 Historical spend analysis

      "A Budget is telling your money where to go, instead of wondering where it went."
      -David Ramsay

      "Don't tell me where your priorities are. Show me where you spend your money and I'll tell you what they are"
      -James Frick, Due.com

      Annual IT budgeting aligns with business goals
      a circle showing 68%, broken down into 50% and 18%

      50% of businesses surveyed see that improvements are necessary for IT budgets to align to business goals, while 18% feel they require significant improvements to align to business goals
      Source: ITRG Diagnostics 2022

      Challenges in IT spend visibility

      68%

      Visibility of all spend data for on-prem, SaaS and cloud environments
      Source: Flexera

      The challenges that keep IT leaders up at night

      47%

      Lack of visibility in resource usage and cost
      Source: BMC, 2021

      2.2.1 Build a picture of your financial spending and staffing trends

      Follow the steps below to generate a visualization so you can start the conversation:

      1 hour

      1. Open the Info-Tech Infrastructure Roadmap Financial Spend Analysis Tool.
      2. The Instructions tab will provide guidance, or you can follow the instructions below.
      3. Insert values into the appropriate uncolored blocks in the first 4 rows of the Spend Record Entry tab to reflect the amount spent on IT OpEx, IT CapEx, or staff numbers for the present year (budgeted) as well as the previous five years.
      4. Data input populates cells in subsequent rows to quickly reveal spending ratios.

      an image of the timeline table from the Infrastructure Roadmap Financial Analysis Tool

      Download the Infrastructure Roadmap Financial Analysis Tool
      ( additional Deep Dive available if required)

      Input

      • Historical spend and staff numbers

      Output

      • OpEx, CapEx, and staffing trends for your organization

      Materials

      • Info-Tech's Infrastructure Roadmap Financial Spend Analysis Tool

      Participants

      • Infrastructure leader
      • Financial leader
      • HR leader

      2.2.1 Build a picture of your financial spending and staffing trends (cont'd)

      Continue with the steps below to generate a visualization so you can start the conversation.

      1 hour

      1. Select tab 3 (Results) to reveal a graphical analysis of your data.
      2. Trends are shown in graphs for OpEx, CapEx, and staffing levels as well as comparative graphs to show broader trends between multiple spend and staffing areas.
      3. Some observations worth noting may include the following:
        • Is OpEx spending increasing over time or decreasing?
        • Is CapEx increasing or decreasing?
        • Are OpEx and CapEx moving in the same directions?
        • Are IT staff to total staff ratios increasing or decreasing?
        • Trends will continue in the same direction unless changes are made.

      Download the Infrastructure Roadmap Financial Analysis Tool
      ( additional Deep Dive available if required)

      Input

      • Historical spend and staff numbers

      Output

      • OpEx, CapEx, and staffing trends for your organization

      Materials

      • Info-Tech's Infrastructure Roadmap Financial Spend Analysis Tool

      Participants

      • Infrastructure leader
      • Financial leader
      • HR leader

      Consider perceptions held by the enterprise when dividing infrastructure into domains

      2.2.2 Conduct a time study

      Internal divisions that seem important to infrastructure may have little or even negative value when it comes to users accessing their services.

      Domains are the logical divisions of work within an infrastructure practice. Historically, the organization was based around physical assets: servers, storage, networking, and end-user devices. Staff had skills they applied according to specific best practices using physical objects that provided functionality (computing power, persistence, connectivity, and interface).

      Modern enterprises may find it more effective to divide according to activity (analytics, programming, operations, and security) or function (customer relations, learning platform, content management, and core IT). As a rule, look to your organizational chart; managers responsible for buying, building, deploying, or supporting technologies should each be responsible for their own domain.

      Regardless of structure, poor organization leads to silos of marginally interoperable efforts working against each other, without focus on a common goal. Clearly defined domains ensure responsibility and allow for rapid, accurate, and confident decision making.

      • Server
      • Network
      • Storage
      • End User
      • DevOps
      • Analytics
      • Core IT
      • Security

      Info-Tech Insight

      The medium is the message. Do stakeholders talk about switches or storage or services? Organizing infrastructure to match its external perception can increase communication effectiveness and improve alignment.

      Case Study

      IT infrastructure that makes employees happier

      INDUSTRY: Services
      SOURCE: Network Doctor

      Challenge

      Atlas Electric's IT infrastructure was very old and urgently needed to be refreshed. Its existing server hardware was about nine years old and was becoming unstable. The server was running Windows 2008 R2 server operating systems that was no longer supported by Microsoft; security updates and patches were no longer available. They also experienced slowdowns on many older PCs.

      Recommendations for an upgrade were not approved due to budgetary constraints. Recommendations for upgrading to virtual servers were approved following a harmful phishing attack.

      Solution

      The following improvements to their infrastructure were implemented.

      • Installing a new physical host server running VMWare ESXi virtualization software and hosting four virtual servers.
      • Migration of data and applications to new virtual servers.
      • Upgrading networking equipment and deploying new relays, switches, battery backups, and network management.
      • New server racks to host new hardware.

      Results

      Virtualization, consolidating servers, and desktops have made assets more flexible and simpler to manage.

      Improved levels of efficiency, reliability, and productivity.

      Enhanced security level.

      An upgraded backup and disaster recovery system has improved risk management.

      Optimize where you spend your time by doing a time study

      Infrastructure activity is limited generally by only two variables: money and time. Money is in the hands of the CFO, which leaves us a single variable to optimize.

      Not all time is spent equally, nor is it equally valuable. Analysis lets us communicate with others and gives us a shared framework to decide where our priorities lie.

      There are lots of frameworks to help categorize our activities. Stephen Covey (Seven Habits of Highly Effective People) describes a four-quadrant system along the axes of importance and urgency. Gene Kim, through his character Erik in The Phoenix Project,speaks instead of business projects, internal IT projects, changes, and unplanned work.

      We propose a similar four-category system.

      Project Maintenance

      Administrative

      Reactive

      Planned activity spent pursuing a business objective

      Planned activity spent on the upkeep of existing IT systems

      Planned activity required as a condition of employment

      Unplanned activity requiring immediate response

      This is why we are valuable to our company

      We have it in our power to work to reduce these three in order to maximize our time available for projects

      Survey and analysis

      Perform a quick time study.

      Verifiable data sources are always preferred but large groups can hold each other's inherent biases in check to get a reasonable estimate.

      1 hour

      1. Organize the participants into the domain groups established earlier.
      2. On an index card have each participant independently write down the percentage of time they think their entire domain (not themselves personally) spends during the average month, quarter, or year on:
        1. Admin
        2. Reactive work
        3. Maintenance
      3. Draw a matrix on the whiteboard; collect the index cards and transcribe the results from participants into the matrix.
      4. Add up the three reported time estimates and subtract from 100 – the result is the percentage of time available for/spent on project work.

      Discussion

      1. Certain domains should have higher percentages of reactive work (think Service Desk and Network Operations Center) – can we shift work around to optimize resources?
      2. Why is reactive work the least desirable type? Could we reduce our reactive work by increasing our maintenance work?
      3. From a planning perspective, what are the implications of only having x% of time available for project work?
      4. Does it feel like backing into the project work from adding the other three together provides a reasonable assessment?

      Input

      • Domain groups

      Output

      • Time study

      Materials

      • Whiteboard & markers
      • Index cards

      Participants

      • Roadmap team

      Quickly and easily evaluate all your infrastructure

      Strategic Infrastructure Roadmap Tool, Tab 2, Capacity Analysis

      In order to quickly and easily build some visualizations for the eventual final report, Info-Tech has developed the Strategic Infrastructure Roadmap Tool.

      • Up to five infrastructure domains are supported.
        • For practices that cannot be reasonably collapsed into five domains, multiple copies of the tool can be used and manually stitched together.
      • The tool can be used in either an absolute (total number) or relative mode (percentage of available).
      • By design we specifically don't ask for a project work figure but rather calculate it based on other values.
      • For everything but miscellaneous duties, hard data sources can (and where appropriate should) be leveraged.
        • Reactive work – service desk tool
        • Project work – project management tool
        • Maintenance work – logs or ITSM tool
      • Individual domains' values are calculated, as well as the overall breakdown for the infrastructure practice.
      • Even these rough estimates will be useful during the planning steps throughout the rest of the roadmap process.

      an image of the source capacity analysis page from tab 2 of the Strategic Infrastructure Roadmap Tool

      Please note that this tool requires Microsoft's Power Pivot add-in to be installed if you are using Excel 2010 or 2013. The scatter plot labels on tabs 5 and 8 may not function correctly in Excel 2010.

      Build your roadmap from both the top and the bottom for best results

      Strong IT strategy favors top-down: activities enabling clearly dictated goals. The bottom-up approach aggregates ongoing activities into goals.

      Systematic approach

      External stakeholders prioritize a list of goals requiring IT initiatives to achieve.

      Roadblocks:

      • Multitudes of goals easily overwhelm scant IT resources.
      • Unglamorous yet vital maintenance activities get overlooked.
      • Goals are set without awareness of IT capacity or capabilities.

      Organic approach

      Practitioners aggregate initiatives into logical groups and seek to align them to one or more business goals.

      Roadblocks:

      • Pet initiatives can be perpetuated based on cult of personality rather than alignment to business goals.
      • Funding requests can fall flat when competing against other business units for executive support.

      A successful roadmap respects both approaches.

      an image of two arrows, intersecting with the words Infrastructure Roadmap with the top arrow labeled Systematic, and the bottom arrow being labeled Organic.

      Info-Tech Insight

      Perfection is anathema to practicality. Draw the first picture and not only expect but welcome conflicting feedback! Socialize it and drive the conversation forward to a consensus.

      2.2.3 Brainstorming – Affinity diagramming

      Identify the systemic roadblocks to executing infrastructure projects

      1 hour

      Affinity diagramming is a form of structured brainstorming that works well with larger groups and provokes discussion.

      1. Have each participant write down their top five impediments to executing their projects from last year – one roadblock per sticky note.
      2. Once everyone has written their top five, select a moderator from the group. The moderator will begin by placing (and explaining) their five sticky notes on the whiteboard.
      3. Have each participant then place and explain their sticky notes on the whiteboard.
      4. The moderator will assist participants in grouping sticky notes together based on theme.
      5. Groups that have become overly large may be broken into smaller, more precise themes.
      6. Once everyone has placed their sticky notes, you should be able to visually identify the greatest or most common roadblocks the group perceives.

      Discussion

      Categorize each roadblock identified as either internal or external to infrastructure's control.

      Attempt to understand the root cause of each roadblock. What would you need to ask for in order to remove the roadblock?

      Additional Research

      Also called the KJ Method (after its inventor, Jiro Kawakita, a 1960s Japanese anthropologist), this activity helps organize large amounts of data into groupings based on natural relationships while reducing many social biases.

      Input

      • Last years initiatives and their roadblocks

      Output

      • List of refined Roadblocks

      Materials

      • Sticky notes
      • Whiteboard & markers

      Participants

      • Roadmap team

      2.2.4 Prioritization exercise – Card sorting

      Choose your priorities wisely.

      Which roadblocks do you need to work on? How do you establish a group sense of these priorities? This exercise helps establish priorities while reducing individual bias.

      1 hour

      1. Distribute index cards that have been prepopulated with the roadblocks identified in the previous activity – one full set of cards to each participant.
      2. Have each participant sort their set-in order of perceived priority, highest on top.
      3. Where n=number of cards in the stack, take the n-3 lowest priority cards and put a tick mark in the upper-right-hand corner. Pass these cards to the person on the left, who should incorporate them into their pile (if you start with eight cards you're ticking and passing five cards). Variation: On the first pass, allow everyone to take the most important and least important cards, write "0th" and "NIL" on them, respectively, and set them aside.
      4. Repeat steps 2 and 3 for a total of n times. Treat duplicates as a single card in your hand.
      5. After the final pass, ask each participant to write the priority in the upper-left-hand corner of their top three cards.
      6. Collect all the cards, group by roadblock, count the number of ticks, and take note of the final priority.

      Discussion

      Total the number of passes (ticks) for each roadblock. A large number indicates a notionally low priority. No passes indicates a high priority.

      Are the internal or external roadblocks of highest priority? Were there similarities among participants' 0th and NILs compared to each other or to the final results?

      Input

      • Roadblock list

      Output

      • Prioritized roadblocks

      Materials

      • Index cards

      Participants

      • Roadmap team

      Summary of Accomplishment

      Review performance from last fiscal year

      • Analyzed and communicated the benefits and value realized from IT's strategic initiatives in the past fiscal year.
      • Analyzed and prioritized diagnostic data insights to communicate IT success stories.
      • Elicited important retrospective information such as KPIs, financials, etc. to build IT's credibility as a strategic business partner.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Phase 3

      Align and Build the Roadmap

      Phase 1

      Phase 2

      Phase 3

      Phase 4

      1.1 Infrastructure strategy

      1.2 Goal alignment

      2.1 Define your future

      2.2 Conduct constraints analysis

      3.1 Drive business alignment

      3.2. Build the roadmap

      4.1 Identify the audience

      4.2 Process improvement

      and measurements

      This phase will walk you through the following activities:

      • Elicit business context from the CIO & IT team
      • Identify key initiatives that support the business
      • Identify key initiatives that enable IT excellence
      • Identify initiatives that drive technology innovation
      • Build initiative profiles
      • Construct your strategy roadmap

      This phase involves the following participants:

      • Roadmap Team

      Step 3.1

      Drive business alignment

      Activities

      3.1.1 Develop a risk framework

      3.1.2 Evaluate technical debt

      This step requires the following inputs:

      • Intake identification and analysis
      • Survey results analysis
      • Goal brainstorming
      • Goal association and analysis

      This step involves the following participants:

      • Business leadership
      • Project Management Office
      • Service Desk
      • Business Relationship Management
      • Solution or Enterprise Architecture
      • Roadmap team

      Outcomes of this step

      • Intake analysis
      • Goal list
      • Initiative-to-goal map

      Speak for those with no voice – regularly review your existing portfolio of IT assets and services

      A chain is only as strong as its weakest link; while you'll receive no accolades for keeping the lights on, you'll certainly hear about it if you don't!

      Time has been a traditional method for assessing the fitness of infrastructure assets – servers are replaced every five years, core switches every seven, laptops and desktops every three. While quick, this framework of assessment is overly simplistic for most modern organizations.

      Building one that is instead based on the likelihood of asset failure plotted against the business impact of that failure is not overly burdensome and yields more practical results. Infrastructure focuses on its strength (assessing IT risk) and validates an understanding with the business regarding the criticality of the service(s) enabled by any given asset.

      Rather than fight on every asset individually, agree on a framework with the business that enables data-driven decision making.

      IT Risk Factors
      Age, Reliability, Serviceability, Conformity, Skill Set

      Business Risk Factors
      Suitability, Capacity, Safety, Criticality

      Info-Tech Insight

      Infrastructure in a cloud-enabled world: As infrastructure operations evolve it is important to keep current with the definition of an asset. Software platforms such as hypervisors and server OS are just as much an asset under the care and control of infrastructure as are cloud services, managed services from third-party providers, and traditional racks and switches.

      3.1.1 Develop a risk framework – Classification exercise

      While it's not necessary for each infrastructure domain to view IT risk identically, any differences should be intensely scrutinized.

      1 hour

      1. Divide the whiteboard along the axes of IT Risk and
        Business Risk (criticality) into quadrants:
        1. High IT Risk & High Biz Risk (upper right)
        2. Low IT Risk & Low Biz Risk (bottom left)
        3. Low IT Risk & High Biz Risk (bottom right)
        4. High IT Risk & Low Biz Risk (upper left)
      2. Have each participant write the names of two or three infrastructure assets or services they are responsible or accountable for – one name per sticky note.
      3. Have each participant come one-at-a-time and place their sticky notes in one quadrant.
      4. As each additional sticky note is placed, verify with the group that the relative positioning of the others is still accurate.

      Discussion:

      1. Most assets should end up in the lower-right quadrant, indicating that IT has lowered the risk of failure commensurate to the business consequences of a failure. What does this imply about assets in the other three quadrants?
      2. Infrastructure is foundational; do we properly document and communicate all dependencies for business-critical services?
      3. What actions can infrastructure take to adjust the risk profile of any given asset?

      Input

      • List of infrastructure assets

      Output

      • Notional risk analysis

      Materials

      • Whiteboard & markers
      • Sticky notes

      Participants

      • Roadmap team

      3.1.2 Brainstorming and prioritization exercise

      Identify the key elements that make up risk in order to refine your framework.

      A shared notional understanding is good, but in order to bring the business onside a documented defensible framework is better.

      1 hour

      1. Brainstorm (possibly using the affinity diagramming technique) the component elements of IT risk.
      2. Ensure you have a non-overlapping set of risk elements. Ensure that all the participants are comfortable with the definitions of each element. Write them on a whiteboard.
      3. Give each participant an equal number (three to five) of voting dots.
      4. As a group have the participants go the whiteboard and use their dots to cast their votes for what they consider to be the most important risk element(s). Participants are free to place any number of their dots on a single element.
      5. Based on the votes cast select a reasonable number of elements with which to proceed.
      6. For each element selected, brainstorm up to six tiers of the risk scale. You can use numbers or words, whichever is most compelling.
        • E.g. Reliability: no failures, >1 incident per year, >1 incident per quarter, >1 incident per month, frequent issues, unreliable.
      7. Repeat the above except with the components of business risk. Alternately, rely on existing business risk documentation, possibly from a disaster recovery or business continuity plan.

      Discussion
      How difficult was it to agree on the definitions of the IT risk elements? What about selecting the scale? What was the voting distribution like? Were there tiers of popular elements or did most of the dots end up on a limited number of elements? What are the implications of having more elements in the analysis?

      Input

      • Notional risk analysis

      Output

      • Risk elements
      • Scale dimensions

      Materials

      • Whiteboard & markers
      • Voting dots

      Participants

      • Roadmap team

      3.1.3 Forced ranking exercise

      Alternate: Identify the key elements that make up risk in order to refine your framework

      A shared notional understanding is good, but in order to bring the business onside a documented defensible framework is better.

      1 hour

      1. Brainstorm (possibly using the affinity diagramming technique) the component elements of IT risk.
      2. Ensure you have a non-overlapping set of risk elements. Ensure that all the participants are comfortable with the definitions of each element. Write them on a whiteboard.
      3. Distribute index cards (one per participant) with the risk elements written down one side.
      4. Ask the participants to rank the elements in order of importance, with 1 being the most important.
      5. Collect the cards and write the ranking results on the whiteboard.
      6. Look for elements with high variability. Also look for the distribution of 1, 2, and 3 ranks.
      7. Based on the results select a reasonable number of elements with which to proceed.
      8. Follow the rest of the procedure from the previous activity.

      Discussion:

      What was the total number of elements required in order to contain the full set of every participant's first-, second-, and third-ranked risks? Does this seem a reasonable number?

      Why did some elements contain both the lowest and highest rankings? Was one (or more) participant thinking consistently different from the rest of the group? Are they seeing something the rest of the group is overlooking?

      This technique automatically puts the focus on a smaller number of elements – is this effective? Or is it overly simplistic and reductionist?

      Input

      • Notional risk analysis

      Output

      • Risk elements

      Materials

      • Whiteboard & markers
      • Index cards

      Participants

      • Roadmap team

      3.1.4 Consensus weighting

      Use your previous notional assessment to inform your risk weightings:

      1 hour

      1. Distribute index cards that have been prepopulated with the risk elements from the previous activity.
      2. Have the participants independently assign a weighting to each element. The assigned weights must add up to 100.
      3. Collect the cards and transcribe the results into a matrix on the whiteboard.
      4. Look for elements with high variability in the responses.
      5. Discuss and come to a consensus figure for each element's weighting.
      6. Select a variety of assets and services from the notional assessment exercise. Ensure that you have representation from all four quadrants.
      7. Using your newly defined risk elements and associated scales, evaluate as a group the values you'd suggest for each asset. Aim for a plurality of opinion rather than full consensus.
      8. Use Info-Tech's Strategic Infrastructure Roadmap Tool to document the elements, weightings, scales, and asset analysis.
      9. Compare the output generated by the tool (Tab 4) with the initial notional assessment.

      Discussion:

      How much framework is too much? Complexity and granularity do not guarantee accuracy. What is the right balance between effort and result?

      Does your granular assessment match your notional assessment? Why or why not? Do you need to go back and change weightings? Or reduce complexity?

      Is this a more reasonable and valuable way of periodically evaluating your infrastructure?

      Input

      • Notional risk analysis

      Output

      • Weighted risk framework

      Materials

      • Whiteboard & markers
      • Index cards
      • Strategic Infrastructure Roadmap Tool

      Participants

      • Roadmap team

      3.1.5 Platform assessment set-up

      Hard work up front allows for year-over-year comparisons

      The value of a risk framework is that once the heavy lifting work of building it is done, the analysis and assessment can proceed very quickly. Once built, the framework can be tweaked as necessary, rather than recreated every year.

      • Open Info-Tech's Strategic Infrastructure Roadmap Tool, Tab 3.
      • Up to eight elements each of IT and business risk can be captured.
        • IT risk elements of end-of-life and dependencies are mandatory and do not count against the eight customizable elements.
      • Every element can have up to six scale descriptors. Populate them from left to right in increasing magnitude of risk.
        • Scale descriptors must be input as string values and not numeric.
      • Each element's scale can be customized from linear to a risk-adverse or risk-seeking curve. We recommend linear.

      an image of the Platform Assessment Setup Page from Info-Tech's Strategic Infrastructure Roadmap Tool,

      IT platform assessment

      Quickly and easily evaluate all your infrastructure.

      Once configured, individual domain teams can spend surprisingly little time answering reasonably simple questions to assess their assets. The common framework lets results be compared between teams and produces a valuable visualization to communication with the business.

      • Open the Strategic Infrastructure Roadmap Tool, Tab 4.
      • The tool has been tested successfully with up to 2,000 asset items. Don't necessarily list every asset; rather, think of the logical groups of assets you'd cycle in or out of your environment.
      • Each asset must be associated with one and only one infrastructure domain and have a defined End of Service Life date.
      • With extreme numbers of assets an additional filter can be useful – the Grouping field allows you to set any number of additional tags to make sorting and filtering easier.
      • Drop-down menus for each risk element are prepopulated with the scale descriptors from Tab 3. Unused elements are greyed out.
      • Each asset can be deemed dependent on up to four additional assets or services. Use this to highlight obscure or undervalued relationships between assets. It is generally not useful to be reminded that everything relies on Cat 6 cabling.

      A series of screenshots from the IT Platform Assessment.

      Prioritized upgrades

      Validate and tweak your framework with the business

      Once the grunt work of inputting all the assets and the associated risk data has been completed, you can tweak the risk profile and sort the data to whatever the business may require.

      • Open Info-Tech's Strategic Infrastructure Roadmap Tool, Tab 5.
      • IT platforms in the upper-right quadrant have an abundance of IT risk and are critical to the business.
      • The visualization can be sorted by selecting the slicers on the left. Sort by:
        • Infrastructure domain
        • Customized grouping tag
        • Top overall risk platforms
      • With extreme numbers of assets an additional filter can be useful. The Grouping field allows you to set any number of additional tags to make sorting and filtering easier.
      • Risk weightings can be individually adjusted to reflect changing business priorities or shared infrastructure understanding of predictive power.
        • In order to make year-over-year comparisons valuable it is recommended that changing IT risk elements should be avoided unless absolutely necessary.

      An image of a scatter plot graph titled Prioritized Upgrades.

      Step 3.2

      Build the roadmap

      Activities

      3.2.1 Build templates and visualize

      3.2.2 Generate new initiatives

      3.2.3 Repatriate shadow IT initiatives

      3.2.4 Finalize initiative candidates

      This step requires the following inputs:

      • Develop an initiative template
      • Restate the existing initiatives with the template
      • Visualize the existing initiatives
      • Brainstorm new initiatives
      • Initiative ranking
      • Solicit, evaluate, and refine shadow IT initiatives
      • Resource estimation

      This step involves the following participants:

      • Roadmap team

      Outcomes of this step

      • Initiative communication template
      • Roadmap visualization diagram

      Tell them what they really need to know

      Templates transform many disparate sources of data into easy-to-produce, easy-to-consume, business-ready documents.

      Develop a high-level document that travels with the initiative from inception through executive inquiry and project management, and finally to execution. Understand an initiative's key elements that both IT and the business need defined and that are relatively static over its lifecycle.

      Initiatives are the waypoints along a roadmap leading to the eventual destination, each bringing you one step closer. Like steps, initiatives need to be discrete: able to be conceptualized and discussed as a single largely independent item. Each initiative must have two characteristics:

      • Specific outcome: Describe an explicit change in the people, processes, or technology of the enterprise.
      • Target end date: When the described outcome will be in effect.

      "Learn a new skill"– not an effective initiative statement.

      "Be proficient in the new skill by the end of the year" – better.

      "Use the new skill to complete a project and present it at a conference by Dec 15" – best!

      Info-Tech Insight

      Bundle your initiatives for clarity and manageability.
      Ruthlessly evaluate if an initiative should stand alone or can be rolled up with another. Fewer initiatives increases focus and alignment, allowing for better communication.

      3.2.1 Develop impactful templates to sell your initiative upstream

      Step 1: Open Info-Tech's Strategic Roadmap Initiative Template. Determine and describe the goals that the initiative is enabling or supporting.
      Step 2: State the current pain points from the end-user or business perspective. Do not list IT-specific pain points here, such as management complexity.
      Step 3: List both the tangible (quantitative) and ancillary (qualitative) benefits of executing the project. These can be pain relievers derived from the pain points, or any IT-specific benefit not captured in Step 1.
      Step 4: List any enabled capability that will come as an output of the project. Avoid technical capabilities like "Application-aware network monitoring." Instead, shoot for business outcomes like "Ability to filter network traffic based on application type."

      An image of the Move to Office 365, with the numbers 1-4 superimposed over the image.  These correspond to steps 1-4 above.

      Info-Tech Insight

      Sell the project to the mailroom clerk! You need to be able to explain the outcome of the project in terms that non-IT workers can appreciate. This is done by walking as far up the goals cascade as you have defined, which gets to the underlying business outcome that the initiative supports.

      Develop impactful templates to sell your initiative upstream (cont'd)

      Strategic Roadmap Initiative Template, p. 2

      Step 5: State the risks to the business for not executing the project (and avoid restating the pain points).
      Step 6: List any known or anticipated roadblocks that may come before, during, or after executing the project. Consider all aspects of people, process, and technology.
      Step 7: List any measurable objectives that can be used to gauge the success of the projects. Avoid technical metrics like "number of IOPS." Instead think of business metrics such as "increased orders per hour."
      Step 8: The abstract is a short 50-word project description. Best to leave it as the final step after all the other aspects of the project (risks and rewards) have been fully fleshed out. The abstract acts as an executive summary – written last, read first.

      An image of the Move to Office 365, with the numbers 5-8 superimposed over the image.  These correspond to steps 5-8 above.

      Info-Tech Insight

      Every piece of information that is not directly relevant to the interests of the audience is a distraction from the value proposition.

      Working session, presentation, and feedback

      Rewrite your in-flight initiatives to ensure you're capturing all the required information:

      1 hour

      1. Have each participant select an initiative they are responsible or accountable for.
      2. Introduce the template and discuss any immediate questions they might have.
      3. Take 15-20 minutes and have each participant attempt to fill out the template for their initiative.
      4. Have each participant present their initiative to the group.
      5. The group should imagine themselves business leaders and push back with questions or clarification when IT jargon is used.
      6. Look to IT leadership in the room for cues as to what hot button items they've encountered from the business executives.
      7. Debate the merits of each section in the template. Adjust and customize as appropriate.

      Discussion:
      Did everyone use the goal framework adopted earlier? Why not?
      Are there recurring topics or issues that business leaders always seem concerned about?
      Of all the information available, what consistently seems to be the talking points when discussing an initiative?

      Input

      • In-flight initiatives

      Output

      • Completed initiatives templates

      Materials

      • Templates
      • Laptops & internet

      Participants

      • Roadmap team

      3.2.2 Visual representations are more compelling than text alone

      Being able to quickly sort and filter data allows you to customize the visualization and focus on what matters to your audience. Any data that is not immediately relevant to them risks becoming a distraction.

      1. Open the Strategic Infrastructure Roadmap Tool, Tabs 6 and 7.
      2. Up to ten goals can be supported. Input the goals into column F of the tool. Be explicit but brief.
      3. Initiatives and Obstacles can be independently defined, and the tool supports up to five subdivisions of each. Initiative by origin source makes for an interesting analysis but initially we recommend simplicity.
      4. Every Initiative and Obstacle must be given a unique name in column H. Context-sensitive drop-downs let you define the subtype and responsible infrastructure domain.
      5. Three pieces of data are captured for each initiative: Business Impact is the qualitative value to the business; Risk is the qualitative likelihood of failure – entirely or partially (e.g. significantly over budget or delayed); and Effort is a relative measure of magnitude ($ or time). Only the value for Effort must be specified.
      6. Every initiative can claim to support one or many goals by placing an "x" in the appropriate column(s).
      7. On Tab 7 you must select the initiative end date (go-live date). You can also document start date, owner, and manager if required. Remember, though, that the tool does not replace proper project management tools.

      A series of screenshots of tables, labeled A-F

      Decoding your visualization

      Strategic Infrastructure Roadmap Tool, Tab 8, "Roadmap"

      Visuals aren't always as clear as we assume them to be.

      An example of a roadmap visualization found in the Strategic Infrastructure Roadmap Tool

      If you could suggest one thing, what would it be?

      The roadmap is likely the best and most direct way to showcase our ideas to business leadership – take advantage of it.

      We've spent an awful lot of time setting the stage, deciding on frameworks so we agree on what is important. We know how to have an effective conversation – now what do we want to say?

      an image of a roadmap, including inputs passing through infrastructure & Operations; to the Move to Office 365 images found earlier in this blueprint.

      Creative thinking, presentation, and feedback

      Since we're so smart – how could we do it better?

      1 hour

      1. Introduce the Roadmap Initiative Template and discuss any immediate questions the participants might have.
      2. Take 15-20 minutes and have each participant attempt to fill out the template for their initiative candidate.
      3. Have each author present their initiative to the group.
      4. The group should imagine themselves business leaders and push back with questions or clarification when IT jargon is used.
      5. Look to IT leadership in the room for cues as to what hot button items they've encountered from the business executives
      6. Debate the merits of each section in the template. Adjust and customize as appropriate.

      Discussion:
      Did everyone use the goal framework adopted earlier? Why not?
      Do we think we can find business buy-in or sponsorship? Why or why not?
      Are our initiatives at odds with or complementary to the ones proposed through the normal channels?

      Input

      • Everything we know

      Output

      • Initiative candidates

      Materials

      • Info-Tech's Infrastructure Roadmap Initiatives Template
      • Laptops & internet

      Participants

      • Roadmap team

      Forced Ranking Exercise

      Showcase only your best and brightest ideas:

      1 hour

      1. Write the initiative titles from the previous exercise across the top of a whiteboard.
      2. Distribute index cards (one per participant) with the initiative titles written down one side.
      3. Ask each participant to rank the initiatives in order of importance, with 1 being the most important.
      4. Collect the cards and write the ranking results on the whiteboard.
      5. Look at the results with an eye toward high variability. Also look for the distribution of 1, 2, and 3 ranks.
      6. Based on the results, select (through democratic vote or authoritarian fiat – Director or CIO) a reasonable number of initiatives.
      7. Refine the selected initiative templates for inclusion in the roadmap.

      Discussion:
      Do participants tend to think their idea is the best and rank it accordingly?
      If so, then is it better to look at the second, third, and fourth rankings for consensus instead?
      What is a reasonable number of initiatives to suggest? How do we limit ourselves?

      Input

      • Infrastructure initiative candidates

      Output

      • Infrastructure initiatives

      Materials

      • Index cards

      Participants

      • Roadmap team

      Who else might be using technology to solve business problems?

      Shadow IT operates outside of the governance and control structure of Enterprise IT and so is, by definition, a problem. an opportunity!

      Except for that one thing they do wrong, that one small technicality, they may well do everything else right.

      Consider:

      1. Shadow IT evolves to solve a problem or enable an activity for a specific group of users.
      2. This infers that because stakeholders spend their own resources resolving a problem or enabling an action, it is a priority.
      3. The technology choices they've made have been based solely on functionality for value, unrestrained by any legacy of previous decisions.
      4. Staffing demands and procedural issues must be modest or nonexistent.
      5. The users must be engaged, receptive to change, and tolerant of stutter steps toward a goal.

      In short, shadow IT can provide fully vetted infrastructure initiatives that with a little effort can be turned into easy wins on the roadmap.

      Info-Tech Insight

      Shadow IT can include business-ready initiatives, needing only minor tweaking to align with infrastructure's best practices.

      3.2.3 Survey and hack-a-thon

      Negotiate amnesty with shadow IT by evaluating their "hacks" for inclusion on the roadmap.

      1 hour

      1. Put out an open call for submissions across the enterprise. Ask "How do you think technology could help you solve one of your pain points?" Be specific.
      2. Gather the responses into a presentable format and assemble the roadmap team.
      3. Use voting dots (three per person) to filter out a shortlist.
      4. Invite the original author to come in and work with a roadmap team member to complete the template.
      5. Reassemble the roadmap team and use the forced ranking exercise to select initiatives to move forward.

      Discussion:
      Did you learn anything from working directly with in-the-trenches staff? Can those learnings be used elsewhere in infrastructure? Or in larger IT?

      Input

      • End-user ideas

      Output

      • Roadmap initiatives

      Materials

      • Whiteboard & markers
      • Voting dots
      • Index cards
      • Templates

      Participants

      • Enthusiastic end users
      • Roadmap team
      • Infrastructure leader

      3.2.4 Consensus estimation

      Exploit the wisdom of groups to develop reasonable estimates.

      1 hour

      Also called scrum poker (in Agile software circles), this method reduces anchoring bias by requiring all participants to formulate and submit their estimates independently and simultaneously.

      Equipment: A typical scrum deck shows the Fibonacci sequence of numbers, or similar progression, with the added values of ∞ (project too big and needs to be subdivided), and a coffee cup (need a break). Use of the (mostly) Fibonacci sequence helps capture the notional uncertainty in estimating larger values.

      1. The infrastructure leader, who will not play, moderates the activity. A "currency" of estimation is selected. This could be person, days, or weeks, or a dollar value in the thousands or tens of thousands – whatever the group feels they can speak to authoritatively.
      2. The author of each initiative gives a short overview, and the participants are given the chance to ask questions and clarify assumptions and risks.
      3. Participants lay a card representing their estimate face down on the table. Estimates are revealed simultaneously.
      4. Participants with the highest and lowest estimates are given a soapbox to offer justification. The author is expected to provide clarifications. The moderator drives the conversation.
      5. The process is repeated until consensus is reached (decided by the moderator).
      6. To structure discussion, the moderator can impose time limits between rounds.

      Discussion:

      How often was the story unclear? How often did participants have to ask for additional information to make their estimate? How many rounds were required to reach consensus?
      Does number of person, days, or weeks, make more sense than dollars? Should we estimate both independently?
      Source: Scrum Poker

      Input

      • Initiative candidates from previous activity

      Output

      • Resourcing estimates

      Materials

      • Scrum poker deck

      Participants

      • Roadmap team

      Hard work up front allows for year-over-year comparisons

      Open the Strategic Infrastructure Roadmap Tool, Tab 6, "Initiatives & Goals" and Tab 7, "Timeline"

      Add your ideas to the visualization.

      • An initiative subtype can be useful here to differentiate infrastructure-sponsored initiatives from traditional ones.
      • Goal alignment is as important as always – ideally you want your sponsored initiatives to fill gaps or support the highest-priority business goals.
      • The longer-term roadmap is an excellent parking lot for ideas, especially ones the business didn't even know they wanted. Make sure to pull those ideas forward, though, as you repeat the process periodically.

      An image containing three screenshots of timeline tables from the Strategic Infrastructure Roadmap Tool

      Pulling it all together – the published report

      We started with eight simple questions. Logically, the answers suggest sections for a published report. Developing those answers in didactic method is effective and popular among technologists as answers build upon each other. Business leaders and journalists, however, know never to bury the lead.

      Report Section Title Roadmap Activity or Step
      Sunshine diagram Visualization
      Priorities Understand business goals
      Who we help Evaluate intake process
      How we can help Create initiatives
      What we're working on Review initiatives
      How you can help us Assess roadblocks
      What is new Assess new technology
      How we spend our day Conduct a time study
      What we have Assess IT platform
      We can do better! Identify process optimizations

      Summary of Accomplishment

      Review performance from last fiscal year

      • Analyzed and communicated the benefits and value realized from IT's strategic initiatives in the past fiscal year.
      • Analyzed and prioritized diagnostic data insights to communicate IT success stories.
      • Elicited important retrospective information such as KPIs, financials, etc. to build IT's credibility as a strategic business partner.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Phase 4

      Communicate and Improve the Process

      Phase 1

      Phase 2

      Phase 3

      Phase 4

      1.1 Infrastructure strategy

      1.2 Goal alignment

      2.1 Define your future

      2.2 Conduct constraints analysis

      3.1 Drive business alignment

      3.2. Build the roadmap

      4.1 Identify the audience

      4.2 Process improvement

      and measurements

      This phase will walk you through the following activities:

      • Identify authors and target audiences
      • Understand the planning process
      • Identify if the process outputs have value
      • Set up realistic KPIs

      This phase involves the following participants:

      • CIO
      • Roadmap team

      Step 4.1

      Identify the audience

      Activities

      4.1.1 Identify required authors and target audiences

      4.1.2 Planning the process

      4.1.3 Identifying supporters and blockers

      This step requires the following inputs:

      • Identify required authors and target audiences
      • Plan the process
      • Identify supporters and blockers

      This step involves the following participants:

      • CIO
      • Roadmap team

      Outcomes of this step

      • Process schedule
      • Communication strategy

      Again! Again!

      And you thought we were done. The roadmap is a process. Set a schedule and pattern to the individual steps.

      Publishing an infrastructure roadmap once a year as a lead into budget discussion is common practice. But this is just the last in a long series of steps and activities. Balance the effort of each activity against its results to decide on a frequency. Ensure that the frequency is sufficient to allow you to act on the results if required. Work backwards from publication to develop the schedule.

      an image of a circle of questions around the Infrastructure roadmap.

      A lot of work has gone into creating this final document. Does a single audience make sense? Who else may be interested in your promises to the business? Look back at the people you've asked for input. They probably want to know what this has all been about. Publish your roadmap broadly to ensure greater participation in subsequent years.

      4.1.1 Identify required authors and target audiences

      1 hour

      Identification and association

      Who needs to hear (and more importantly believe) your message? Who do you need to hear from? Build a communications plan to get the most from your roadmap effort.

      1. Write your eight roadmap section titles in the middle of a whiteboard.
      2. Make a list of everyone who answered your questions during the creation of this roadmap. Write these names on a single color of sticky notes and place them on the left side.
      3. Make a list of everyone who would be (or should be) interested in what you have to say. Write these names on a different single color of sticky notes and place them on the right side.
      4. Draw lines between the stickies and the relevant section of the roadmap. Solid lines indicate a must have communication while dashed lines indicate a nice-to-have communication.
      5. Come to a consensus.

      Discussion:

      How many people appear in both lists? What are the implications of that?

      Input

      • Roadmap sections

      Output

      • Roadmap audience and contributors list

      Materials

      • Whiteboard & markers
      • Sticky notes

      Participants

      • Roadmap team

      4.1.2 Planning the process and scheduling

      The right conversation at the right time

      Due Date (t) Freq Mode Participants Infrastructure Owner
      Update & Publish

      Start of Budget Planning

      Once

      Report

      IT Steering Committee

      Infrastructure Leader or CIO

      Evaluate Intakes

      (t) - 2 months

      (t) - 8 months

      Biannually

      Review

      PMO

      Service Desk

      Domain Heads

      Assess Roadblocks

      (t) - 2 months

      (t) - 5 months

      (t) - 8 months

      (t) - 11 months

      Quarterly

      Brainstorming & Consensus

      Domain Heads

      Infrastructure Leader

      Time Study

      (t) - 1 month

      (t) - 4 months

      (t) - 7 months

      (t) - 10 months

      Quarterly

      Assessment

      Domain Staff

      Domain Heads

      Inventory Assessment

      (t) - 2 months

      Annually

      Assessment

      Domain Staff

      Domain Heads

      Business Goals

      (t) - 1 month

      Annually

      Survey

      Line of Business Managers

      Infrastructure Leader or CIO

      New Technology Assessment

      monthly

      (t) - 2 months

      Monthly/Annually

      Process

      Domain Staff

      Infrastructure Leader

      Initiative Review

      (t) - 1 month

      (t) - 4 months

      (t) - 7 months

      (t) - 10 months

      Quarterly

      Review

      PMO

      Domain Heads

      Infrastructure Leader

      Initiative Creation

      (t) - 1 month

      Annually

      Brainstorming & Consensus

      Roadmap Team

      Infrastructure Leader

      The roadmap report is just a point-in-time snapshot, but to be most valuable it needs to come at the end of a full process cycle. Know your due date, work backwards, and assign responsibility.

      Discussion:

      1. Do each of the steps make sense? Is the outcome clear and does it flow naturally to where it will be useful?
      2. Is the effort required for each step commensurate with its value? Are we doing to much for not enough return?
      3. Are we acting on the information we're gathering? Is it informing or changing decisions throughout the year or period?

      Input

      • Roadmap sections

      Output

      • Roadmap process milestones

      Materials

      • Whiteboard & markers
      • Template

      Participants

      • Roadmap team

      Tailor your messaging to secure stakeholders' involvement and support

      If your stakeholders aren't on board, you're in serious trouble.

      Certain stakeholders will not only be highly involved and accountable in the process but may also be responsible for approving the roadmap and budget, so it's essential that you get their buy-in upfront.

      an image of a quadrant analysis, comparing levels of influence and support.

      an image of a quadrant analysis, comparing levels of influence and support.

      4.1.3 Identifying supporters and blockers

      Classification and Strategy

      1 hour

      You may want to restrict participation to senior members of the roadmap team only.

      This activity requires a considerable degree of candor in order to be effective. It is effectively a political conversation and as such can be sensitive.

      Steps:

      1. Review your sticky notes from the earlier activity (list of input and output names).
      2. Place each name in the corresponding quadrant of a 2x2 matrix like the one on the right.
      3. Come to a consensus on the placement of each sticky note.

      Input

      • Roadmap audience and contributors list

      Output

      • Communications strategy & plan

      Materials

      • Whiteboard & markers
      • Sticky notes

      Participants

      • Senior roadmap team

      Step 4.2

      Process improvement

      Activities

      4.2.1 Evaluating the value of each process output

      4.2.2 Brainstorming improvements

      4.2.3 Setting realistic measures

      This step requires the following inputs:

      • Evaluating the efficacy of each process output
      • Brainstorming improvements
      • Setting realistic measures

      This step involves the following participants:

      • Roadmap team

      Outcomes of this step

      • Process map
      • Process improvement plan

      Continual improvement

      Not just for the DevOps hipsters!

      You started with a desire – greater satisfaction with infrastructure from the business. All of the inputs, processes, and outputs exist only, and are designed solely, to serve the attainment of that outcome.

      The process outlined is not dogma; no element is sacrosanct. Ruthlessly evaluate the effectiveness of your efforts so you can do better next time.

      You would do no less after a server migration, network upgrade, or EUC rollout.

      Consider these four factors to help make your infrastructure roadmap effort more successful.

      Leadership
      If infrastructure leaders aren't committed, then this will quickly become an exercise of box-checking rather than candid communication.

      Data
      Quantitative or qualitative – always try to go where the data leads. Reduce unconscious bias and be surprised by the insight uncovered.

      Metrics
      Measurement allows management but if you measure the wrong thing you can game the system, cheating yourself out of the ultimate prize.

      Focus
      Less is sometimes more.

      4.2.1 Evaluating the value of each process output

      Understanding why and how individual steps are effective (or not) is how we improve the outcome of any process.

      1 hour

      1. List each of the nine roadmap steps on the left-hand side of a whiteboard.
      2. Ask the participants "Why was this step included? Did it accomplish its objective?" Consider using a reduced scale affinity diagramming exercise for this step.
      3. Consider the priority characteristics of each step; try to be as universal as possible (every characteristic will ideally apply to each step).
      4. Include two columns at the far right: "Improvement" and "Expected Change."
      5. Populate the table. If this is your first time, brainstorm reasonable objectives for your left-hand columns. Otherwise, document the reality of last year and focus on brainstorming the right-hand columns.
      6. Optional: Conduct a thought experiment and brainstorm tension metrics to establish whether the process is driving the outcomes we desire.
      7. Optional: Consider Info-Tech's assertion about the four things a roadmap can do. Brainstorm KPIs that you can measure yearly. What else would you want the roadmap to be able to do?

      Discussion:

      Did the group agree on the intended outcome of each step? Did the group think the step was effective? Was the outcome clear and did it flow naturally to where it was useful?
      Is the effort required for each step commensurate with its value? Are we doing too much for not enough return?
      Are we acting on the information we're gathering? Is it informing or changing decisions throughout the year or period?

      Input

      • Roadmap process steps

      Output

      • Process map
      • Improvement targets & metrics

      Materials

      • Whiteboard & markers
      • Sticky notes
      • Process Map Template (see next slide)

      Participants

      • Roadmap team

      Process map template

      Replace the included example text with your inputs.

      Freq.MethodMeasuresSuccess criteria

      Areas for improvement

      Expected change

      Evaluate intakesBiannuallyPMO Intake & Service RequestsProjects or Initiatives% of departments engaged

      Actively reach out to underrepresented depts.

      +10% engagement

      Assess roadblocksQuarterlyIT All-Staff MeetingRoadblocks% of identified that have been resolved

      Define expected outcomes of removing roadblock

      Measurable improvements

      Time studyQuarterly IT All-Staff MeetingTimeConfidence value of data

      Real data sources (time sheets, tools, etc.)

      85% of sources defensible

      Legacy asset assessmentAnnuallyDomain effortAsset Inventory Completeness of Inventory
      • Compare against Asset Management database
      • Track business activity by enabling asset(s)
      • > 95% accuracy/
        completeness
      • Easier business risk framework conversations
      Understand business goalsAnnuallyRoadmap MeetingGoal listGoal specificity

      Survey or interview leadership directly

      66% directly attributable participation

      New technology assessmentMonthly/AnnuallyTeam/Roadmap MeetingTechnologies Reviewed IT staff participation/# SWOTs

      Increase participation from junior members

      50% presentations from junior members

      Initiative review

      Quarterly

      IT All-Staff Meeting

      • Status Review
      • Template usage
      • Action taken upon review
      • Template uptake
      • Identify predictive factors
      • Improve template
      • 25% of yellow lights to green
      • -50% requests for additional info

      Initiative creation

      Annually Roadmap MeetingInitiatives# of initiatives proposedBusiness uptake+25% sponsorship in 6 months (biz)

      Update and publish

      AnnuallyPDF reportRoadmap Final ReportLeadership engagement Improve audience reach+15% of LoB managers have read the report

      Establish baseline metrics

      Baseline metrics will improve through:

      1. Increased communication. More information being shared to more people who need it.
      2. Better planning. More accurate information being shared.
      3. Reduced lead times. Less due diligence or discovery work required as part of project implementations.
      4. Faster delivery times. Less less-valuable work, freeing up more time to project work.
      Metric description Current metric Future goal
      # of critical incidents resulting from equipment failure per month
      # of service provisioning delays due to resource (non-labor) shortages
      # of projects that involve standing up untested (no prior infrastructure PoC) technologies
      # of PoCs conducted each year
      # of initiatives proposed by infrastructure
      # of initiatives proposed that find business sponsorship in >1yr
      % of long-term projects reviewed as per goal framework
      # of initiatives proposed that are the only ones supporting a business goal
      # of technologies deployed being used by more than the original business sponsor
      # of PMO delays due to resource contention

      Insight Summary

      Insight 1

      Draw the first picture.

      Highly engaged and effective team members are proactive rather than reactive. Instead of waiting for clear inputs from the higher ups, take what you do know, make some educated guesses about the rest, and present that to leadership. Where thinking diverges will be crystal clear and the necessary adjustments will be obvious.

      Insight 2

      Infrastructure must position itself as the broker for new technologies.

      No man is an island; no technology is a silo. Infrastructure's must ensure that everyone in the company benefits from what can be shared, ensure those benefits are delivered securely and reliably, and prevent the uninitiated from making costly technological mistakes. It is easier to lead from the front, so infrastructure must stay on top of available technology.

      Insight 3

      The roadmap is a process that is business driven and not a document.

      In an ever-changing world the process of change itself changes. We know the value of any specific roadmap output diminishes quickly over time, but don't forget to challenge the process itself from time to time. Striving for perfection is a fool's game; embrace constant updates and incremental improvement.

      Insight 4

      Focus on the framework, not the output.

      There usually is no one right answer. Instead make sure both the business and infrastructure are considering common relevant elements and are working from a shared set of priorities. Data then, rather than hierarchical positioning or a d20 Charisma roll, becomes the most compelling factor in making a decision. But since your audience is in hierarchical ascendency over you, make the effort to become familiar with their language.

      4.2.3 Track metrics throughout the project to keep stakeholders informed

      An effective strategic infrastructure roadmap should help to:

      1. Initiate a schedule of infrastructure projects to achieve business goals.
      2. Adapt to feedback from executives on changing business priorities.
      3. Curate a portfolio of enabling technologies that align to the business whether growing or stabilizing.
      4. Manage the lifecycle of aging equipment in order to meet capacity demands.
      Metric description

      Metric goal

      Checkpoint 1

      Checkpoint 2

      Checkpoint 3

      # of critical incidents resulting from equipment failure per month >1
      # of service provisioning delays due to resource (non-labor) shortages >5
      # of projects that involve standing up untested (no prior infrastructure PoC) technologies >10%
      # of PoCs conducted each year 4
      # of initiatives proposed by infrastructure 4
      # of initiatives proposed that find business sponsorship in >1 year 1
      # of initiatives proposed that are the only ones supporting a business goal 1
      % of long-term projects reviewed as per goal framework 100%

      Summary of Accomplishment

      Review performance from last fiscal year

      • Analyzed and communicated the benefits and value realized from IT's strategic initiatives in the past fiscal year.
      • Analyzed and prioritized diagnostic data insights to communicate IT success stories.
      • Elicited important retrospective information such as KPIs, financials, etc. to build IT's credibility as a strategic business partner.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

      Related Info-Tech Research

      Build a Business-Aligned IT Strategy
      Success depends on IT initiatives clearly aligned to business goals, IT excellence, and driving technology innovation.

      Document your Cloud Strategy
      A cloud strategy might seem like a big project, but it's just a series of smaller conversations. The methodology presented here is designed to facilitate those conversations using a curated list of topics, prompts, participant lists, and sample outcomes. We have divided the strategy into four key areas.

      Develop an IT Asset Management Strategy
      ITAM is a foundational IT service that provides accurate, accessible, actionable data on IT assets. But there's no value in data for data's sake. Enable collaboration between IT asset managers, business leaders, and IT leaders to develop an ITAM strategy that maximizes the value they can deliver as service provider.

      Infrastructure & Operations Research Center
      Practical insights, tools, and methodologies to systematically improve IT Infrastructure & Operations.

      Summary of Accomplishment

      Knowledge gained

      • Deeper understanding of business goals and priorities
      • Key data the business requires for any given initiative
      • Quantification of risk
      • Leading criteria for successful technology adoption

      Processes optimized

      • Infrastructure roadmap
      • Initiative creation, estimation, evaluation, and prioritization
      • Inventory assessment for legacy infrastructure debt
      • Technology adoption

      Deliverables completed

      • Domain time study
      • Initiative intake analysis
      • Prioritized roadblock list
      • Goal listing
      • IT and business risk frameworks
      • Infrastructure inventory assessment
      • New technology analyzes
      • Initiative templates
      • Initiative candidates
      • Roadmap visualization
      • Process schedule
      • Communications strategy
      • Process map
      • Roadmap report

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop

      Contact your account representative for more information.
      workshops@infotech.com 1-888-670-8889

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      Create a Post-Implementation Plan for Microsoft 365

      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: End-User Computing Applications
      • Parent Category Link: /end-user-computing-applications

      M365 projects are fraught with obstacles. Common mistakes organizations make include:

      • Not having a post-migration plan in place.
      • Treating user training as an afterthought.
      • Inadequate communication to end users.

      Our Advice

      Critical Insight

      There are three primary areas where organizations fail in a successful implementation of M365: training, adoption, and information governance. While it is not up to IT to ensure every user is well trained, it is their initial responsibility to find champions, SMEs, and business-based trainers and manage information governance from the backup, retention, and security aspects of data management.

      Impact and Result

      Migrating to M365 is a disruptive move for most organizations. It poses risk to untrained IT staff, including admins, help desk, and security teams. The aim for organizations, especially in this new hybrid workspace, is to maintain efficiencies through collaboration, share information in a secure environment, and work from anywhere, any time.

      Create a Post-Implementation Plan for Microsoft 365 Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Create a Post-Implementation Plan for Microsoft 365 Storyboard – A deck that guides you through the important considerations that will help you avoid common pitfalls and make the most of your investment.

      There are three primary goals when deploying Microsoft 365: productivity, security and compliance, and collaborative functionality. On top of these you need to meet the business KPIs and IT’s drive for adoption and usage. This research will guide you through the important considerations that are often overlooked as this powerful suite of tools is rolled out to the organization.

      [infographic]

      Further reading

      Create a Post-Implementation Plan for Microsoft 365

      You’ve deployed M365. Now what? Look at your business goals and match your M365 KPIs to meet those objectives.

      Analyst perspective

      You’ve deployed M365. Now what?

      John Donovan

      There are three primary objectives when deploying Microsoft 365: from a business perspective, the expectations are based on productivity; from an IT perspective, the expectations are based on IT efficiencies, security, and compliance; and from an organizational perspective, they are based on a digital employee experience and collaborative functionality.

      Of course, all these expectations are based on one primary objective, and that is user adoption of Teams, OneDrive, and SharePoint Online. A mass adoption, along with a high usage rate and a change in the way users work, is required for your investment in M365 to be considered successful.

      So, adoption is your first step, and that can be tracked and analyzed through analytics in M365 or other tools. But what else needs to be considered once you have released M365 on your organization? What about backup? What about security? What about sharing data outside your business? What about self-service? What about ongoing training? M365 is a powerful suite of tools, and taking advantage of all that it entails should be IT’s primary goal. How to accomplish that, efficiently and securely, is up to you!

      John Donovan
      Principal Research Director, I&O
      Info-Tech Research Group

      Insight summary

      Collaboration, efficiencies, and cost savings need to be earned

      Migrating to M365 is a disruptive move for most organizations. Additionally, it poses risk to untrained IT staff, including admins, help desk, and security teams. The aim for organizations, especially in this new hybrid workspace, is to maintain efficiencies through collaboration, share information in a secure environment, and work from anywhere, any time. However, organizations need to manage their licensing and storage costs and build this new way of working through post-deployment planning. By reducing their hardware and software footprint they can ensure they have earned these savings and efficiencies.

      Understand any shortcomings in M365 or pay the price

      Failing to understand any shortcomings M365 poses for your organization can ruin your chances at a successful implementation. Commonly overlooked expenses include backup and archiving, especially for regulated organizations; spending on risk mitigation through third-party tools for security; and paying a premium to Microsoft to use its Azure offerings with Microsoft Sentinel, Microsoft Defender, or any security add-on that comes at a price above your E5 license, which is expensive in itself.

      Spend time with users to understand how they will use M365

      Understanding business processes is key to anticipating how your end users will adopt M365. By spending time with the staff and understanding their day-to-day activities and interactions, you can build better training scenarios to suit their needs and help them understand how the apps in M365 can help them do their job. On top of this you need to meet the business KPIs and IT’s drive for adoption and usage. Encourage early adopters to become trainers and champions. Success will soon follow.

      Executive summary

      Your Challenge

      Common Obstacles

      Info-Tech’s Approach

      M365 is a full suite of tools for collaboration, communication, and productivity, but organizations find the platform is not used to its full advantage and fail to get full value from their license subscription.

      Many users are unsure which tool to use when: Do you use Teams or Viva Engage, MS Project or Planner? When do you use SharePoint versus OneDrive?

      From an IT perspective, finding time to help users at the outset is difficult – it’s quite the task to set up governance, security, and backup. Yet training staff must be a priority if the implementation is to succeed.

      M365 projects are fraught with obstacles. Common mistakes organizations make include:

      • No post-migration plan in place.
      • User training is an afterthought.
      • Lack of communication to end users.
      • No C-suite promotion and sponsorship.
      • Absence of a vision and KPIs to meet that vision.

      To define your post-migration tasks and projects:

      • List all projects in a spreadsheet and rank them according to difficulty and impact.
      • Look for quick wins with easy tasks that have high impact and low difficulty.
      • Build a timeline to execute your plans and communicate clearly how these plans will impact the business and meet that vision.

      Failure to take meaningful action will not bode well for your M365 journey.

      Info-Tech Insight

      There are three primary areas where organizations fail in a successful implementation of M365: training, adoption, and information governance. While it is not up to IT to ensure every user is well trained, it is their initial responsibility to find champions, SMEs, and business-based trainers and to manage information governance from backup, retention, and security aspects of data management.

      Business priorities

      What priorities is IT focusing on with M365 adoption?

      What IT teams are saying

      • In a 2019 SoftwareONE survey, the biggest reason IT decision makers gave for adopting M365 was to achieve a “more collaborative working style.”
      • Organizations must plan and execute a strategy for mass adoption and training to ensure processes match business goals.
      • Cost savings can only be achieved through rightsizing license subscriptions, retiring legacy apps, and building efficiencies within the IT organization.
      • With increased mobility comes with increased cybersecurity risk. Make sure you take care of your security before prioritizing mobility. Multifactor authentication (MFA), conditional access (CA), and additional identity management will maintain a safe work-from-anywhere environment.

      Top IT reasons for adopting M365

      61% More collaborative working style

      54% Cost savings

      51% Improved cybersecurity

      49% Greater mobility

      Source: SoftwareONE, 2019; N=200 IT decision makers across multiple industries and organization sizes

      Define & organize post-implementation projects

      Key areas to success

      • Using Microsoft’s M365 adoption guide, we can prioritize and focus on solutions that will bring about better use of the M365 suite.
      • Most of your planning and prioritizing should be done before implementation. Many organizations, however, adopted M365 – and especially Teams, SharePoint Online, and OneDrive – in an ad hoc manner in response to the pandemic measures that forced users to work from home.
      • Use a Power BI Pro license to set up dashboards for M365 usage analytics. Install GitHub from AppSource and use the templates that will give you good insight and the ability to create business reports to show adoption and usage rates on the platform.
      • Reimagine your working behavior. Remember, you want to bring about a more collective and open framework for work. Take advantage of a champion SME to show the way. Every organization is different, so make sure your training is aligned to your business processes.
      The image contains a screenshot of the M365 post-implementation tasks.

      Process steps

      Define Vision

      Build Team

      Plan Projects

      Execute

      Define your vision and what your priorities are for M365. Understand how to reach your vision.

      Ensure you have an executive sponsor, develop champions, and build a team of SMEs.

      List all projects in a to-be scenario. Rank and prioritize projects to understand impact and difficulty.

      Build your roadmap, create timelines, and ensure you have enough resources and time to execute and deliver to the business.

      Info-Tech’s approach

      Use the out-of-the-box tools and take advantage of your subscription.

      The image contains a screenshot of the various tools and services Microsoft provides.

      Info-Tech Insight

      A clear understanding of the business purpose and processes, along with insight into the organizational culture, will help you align the right apps with the right tasks. This approach will bring about better adoption and collaboration and cancel out the shadow IT products we see in every business silo.

      Leverage built-in usage analytics

      Adoption of services in M365

      To give organizations insight into the adoption of services in M365, Microsoft provides built-in usage analytics in Power BI, with templates for visualization and custom reports. There are third-party tools out there, but why pay more? However, the template app is not free; you do need a Power BI Pro license.

      Usage Analytics pulls data from ActiveDirectory, including location, department, and organization, giving you deeper insight into how users are behaving. It can collect up to 12 months of data to analyze.

      Reports that can be created include Adoption, Usage, Communication, Collaboration (how OneDrive and SharePoint are being used), Storage (cloud storage for mailboxes, OneDrive, and SharePoint), and Mobility (which clients and devices are used to connect to Teams, email, Yammer, etc.).

      Source: Microsoft 365 usage analytics

      Understand admin roles

      Prevent intentional or unintentional internal breaches

      Admin Roles

      Best Practices

      • Global admin: Assign this role only to users who need the most access to management features and data across your tenant. Only global admins can modify an admin role.
      • Exchange admin: Assign this role to users who need to view and manage user mailboxes, M365 groups, and Exchange Online and handle Microsoft support requests.
      • Groups admin: These users can create, edit, delete, and restore M365 groups as well as create expiration and naming policies.
      • Helpdesk admin: These users can resets passwords, force user sign-out, manage Microsoft support requests, and monitor service health.
      • Teams/SharePoint Online admin: Assign these roles for users who manage the Teams and SharePoint Admin Center.
      • User admin: These users can assign licenses, add users and groups, manage user properties, and create and manage user views.

      Only assign two to four global admins, depending on the size of the organization. Too many admins increases security risk. In larger organizations, segment admin roles using role-based access control.

      Because admins have access to sensitive data, you’ll want to assign the least permissive role so they can access only the tools and data they need to do their job.

      Enable MFA for all admins except one break-glass account that is stored in the cloud and not synced. Ensure a complex password, stored securely, and use only in the event of an MFA outage.

      Due to the large number of admin roles available and the challenges that brings with it, Microsoft has a built-in tool to compare roles in the admin portal. This can help you determine which role should be used for specific tasks.

      Secure your M365 tenant

      A checklist to ensure basic security coverage post M365

      • Multifactor Authentication: MFA is part of your M365 tenant, so using it should be a practical identity security. If you want additional conditional access (CA), you will require an Azure AD (AAD) Premium P1+ license. This will ensure adequate identity security protecting the business.
      • Password Protection: Use the AAD portal to set this up under Security > Authentication Methods. Microsoft provides a list of over 2,000 known bad passwords and variants to block.
      • Legacy Authentication: Disable legacy protocols; check to see if your legacy apps/workflows/scripts use them in the AAD portal. Once identified, update them and turn the protocols off. Use CA policies.
      • Self-Service Password Reset: Enable self-service to lower the helpdesk load for password resets. Users will have to initially register and set security questions. Hybrid AD businesses must write back to AD from AAD once changes are made.
      • Security Defaults: For small businesses, turn on default settings. To enable additional security settings, such as break- glass accounts, go into Manage Security Defaults in your AAD properties.
      • Conditional Access (CA) Policies: Use CA policies if strong identity security and zero trust are required. To create policies in AAD go to Security > Conditional Access > New Policies.

      Identity Checklist

      • Enable MFA for Admins
      • Enable MFA for Users
      • Disable App Passwords
      • Configure Trusted IPs
      • Disable Text/Phone MFA
      • Remember MFA on Trusted Devices for 90 Days
      • Train Staff in Using MFA Correctly
      • Integrate Apps Into Azure AD

      Training guidelines

      Identify business scenarios and training adoption KPIs

      • Customize your training to meet your organizational goals, align with your business culture, and define how users will work inside the world of M365.
      • Create scenario templates that align to your current day-to-day operations in each department. These can be created by individual business unit champions.
      • Make sure you have covered must-have capabilities and services within M365 that need to be rolled out post-pilot.
      • Phase in large transitions rather than multiple small ones to ensure collaboration between departments meets business scenarios.
      • Ensure your success metrics are being measured and continue to communicate and train after deployment using tools available in M365. See Microsoft’s adoption guidelines and template for training.

      Determine your training needs and align with your business processes. Choose training modalities that will give users the best chance of success. Consider one or many training methods, such as:

      • Online training
      • In-person classroom
      • Business scenario use cases
      • Mentoring
      • Department champion/Early adopter
      • Weekly bulletin fun facts

      Don’t forget backup!

      Providing 99% uptime and availability is not enough

      Why is M365 backup so important?

      Accidental Data Deletion.

      If a user is deleted, that deletion gets replicated across the network. Backup can save you here by restoring that user.

      Internal and External Security Threats.

      Malicious internal deletion of data and external threats including viruses, ransomware, and malware can severely damage a business and its reputation. A clean backup can easily restore the business’ uninfected data.

      Legal and Compliance Requirements.

      While e-discovery and legal hold are available to retain sensitive data, a third-party backup solution can easily search and restore all data to meet regulatory requirements – without depending on someone to ensure a policy was set.

      Retention Policy Gaps.

      Retention policies are not a substitute for backup. While they can be used to retain or delete content, they are difficult to keep track of and manage. Backups offer greater latitude in retention and better security for that data.

      Retire your legacy apps to gain adoption

      Identify like for like and retire your legacy apps

      Legacy

      Microsoft 365

      SharePoint 2016/19

      SharePoint Online

      Microsoft Exchange Server

      Microsoft Exchange in Azure

      Skype for Business Server

      Teams

      Trello

      Planner 2022

      System Center Configuration Manager (SCCM)

      Endpoint Manager, Intune, Autopilot

      File servers

      OneDrive

      Access

      Power Apps

      To meet the objectives of cost reduction and rationalization, look at synergies that M365 brings to the table. Determine what you are currently using to meet collaboration, storage, and security needs and plan to use the equivalent in your Microsoft entitlement.

      Managing M365’s hidden costs

      Licenses and storage limits TCO

      • Email security. Ninety-one percent of all cyberattacks come from phishing on email. Microsoft Defender for M365 is a bolt-on, so it is an additional cost.
      • Backup. This will bring additional cost to M365. Plan to spend more to ensure data is backed up and stored.
      • Email archiving. Archiving is different than backup. See our research on the subject. Archiving is needed for compliance purposes. Email archiving solutions are available through third-party software, which is an added cost.
      • Email end-to-end encryption. This is a requirement for all organizations that are serious about security. The enterprise products from Microsoft come at an additional cost.
      • Cybersecurity training. IT needs to ramp up on training, another expense.
      • Microsoft 365 Power Platform Licencing. From low-code and no-code developer tools (Power Apps), workflow tools (Power Automate), and business intelligence (Power BI) – while the E5 license gives you Power BI Pro, there are limitations and costs. Power BI Pro has limitations for data volume, data refresh, and query response time, so your premium license comes at a considerably marked up cost.

      M365 is not standalone

      • While Microsoft 365 is a platform that is ”just good enough,” it is actually not good enough in today’s cyberthreat environment. Microsoft provides add-ons with Defender for 365, Purview, and Sentinel, which pose additional costs, just like a third-party solution would. See the Threat Intelligence & Incident Response research in our Security practice.
      • The lack of data archiving, backup, and encryption means additional costs that may not have been budgeted for at the outset. Microsoft provides 30-60-90-day recovery, but anything else is additional cost. For more information see Understand the Difference between Backups and Archiving.

      Compliance and regulations

      Security and compliance features out of the box

      There are plenty of preconfigured security features contained in M365, but what’s available to you depends on your license. For example, Microsoft Defender, which has many preset policies, is built-in for E5 licenses, but if you have E3 licenses Defender is an add-on.

      Three elements in security policies are profiles, policies, and policy settings.

      • Preset Profiles come in the shape of:
        • Standard – baseline protection for most users
        • Strict – aggressive protection for profiles that may be high-value targets
        • Built-in Protection – turned on by default; it is not recommended to make exceptions based on users, groups, or domains
      • Preset Security Policies
        • Exchange Online Protection Policies – anti-spam, -malware, and -phishing policies
        • Microsoft Defender Policies – safe links and safe attachments policies
      • Policy Settings
        • User impersonation protection for internal and external domains
        • Select priorities from strict, standard, custom, and built-in

      Info-Tech Insight

      Check your license entitlement before you start purchasing add-ons or third-party solutions. Security and compliance are not optional in today’s cybersecurity risk world. With many organizations offering hybrid and remote work arrangements and bring-your-own-device (BYOD) policies, it is necessary to protect your data at the tenant level. Defender for Microsoft 365 is a tool that can protect both your exchange and collaboration environments.

      More information: Microsoft 365 Defender

      Use Intune and Autopilot

      Meet the needs of your hybrid workforce

      • Using the tools available in M365 can help you develop your hybrid or remote work strategy.
      • This strategy will help you maintain security controls for mobile and BYOD.
      • Migrating to Intune and Autopilot will give rise to the opportunity to migrate off SCCM and further reduce your on-premises infrastructure.

      NOTE: You must have Azure AD Premium and Windows 10 V1703 or later as well as Intune or other MDM service to use Autopilot. There is a monthly usage fee based on volume of data transmitted. These fees can add up over time.

      For more details visit the following Microsoft Learn pages:

      Intune /Autopilot Overview

      The image contains a screenshot of the Intune/Autopilot Overview.

      Info-Tech’s research on zero-touch provisioning goes into more detail on Intune and Autopilot:
      Simplify Remote Deployment With Zero-Touch Provisioning

      M365 long-term strategies

      Manage your costs in an inflationary world

      • Recent inflation globally, whether caused by supply chain woes or political uncertainty, will impact IT and cloud services along with everything else. Be prepared to pay more for your existing services and budget accordingly.
      • Your long-term strategies must include ongoing cost management, data management, security risks, and license and storage costs.
      • Continually investigate efficiencies, overlaps, and new tools in M365 that can get the job done for the business. Use as many of the applications as you can to ensure you are getting the best bang for your buck.
      • Watch for upgrades in the M365 suite of tools. As Microsoft continues to improve and deliver on most business applications well after their first release, you may find that something that was previously inefficient could work in your environment today and replace a tool you currently use.

      Ongoing Activities You Need to Maintain

      • Be aware of increased license costs and higher storage costs.
      • Keep an eye on Teams sprawl.
      • Understand your total cost of ownership.
      • Continue to look at legacy apps and get rid of your infrastructure debt.

      Activity

      Build your own M365 post-migration plan

      1. Using slide 6 as your guideline, create your own project list using impact and difficulty as your weighting factors.
      2. Do this exercise as a whiteboard sticky note exercise to agree on impact and difficulty as a team.
      3. Identify easy wins that have high impact.
      4. Place the projects into a project plan with time lines.
      5. Agree on start and completion dates.
      6. Ensure you have the right resources to execute.

      The image contains a screenshot of the activity described in the above text.

      Related Info-Tech Research

      Govern Office 365

      • Office 365 is as difficult to wrangle as it is valuable. Leverage best practices to produce governance outcomes aligned with your goals.

      Drive Ongoing Adoption With an M365 Center of Excellence

      • Accelerate business processes change and get more value from your subscription by building and sharing, thanks to an effective center of excellence.

      Simplify Remote Deployment With Zero-Touch Provisioning

      • Adopt zero-touch provisioning to provide better services to your end users.
      • Save time and resources during device deployment while providing a high-quality experience to remote end users.

      Bibliography

      “5 Reasons Why Microsoft Office 365 Backup Is Important.” Apps 4Rent, Dec 2021, Accessed Oct 2022 .
      Chandrasekhar, Aishwarya. “Office 365 Migration Best Practices & Challenges 2022.” Saketa, 31 Mar 2022. Accessed Oct. 2022.
      Chronlund, Daniel. “The Fundamental Checklist – Secure your Microsoft 365 Tenant”. Daniel Chronlund Cloud Tech Blog,1 Feb 2019. Accessed 1 Oct 2022.
      Davies, Joe. “The Microsoft 365 Enterprise Deployment Guide.” Tech Community, Microsoft, 19 Sept 2018. Accessed 2 Oct 2022.
      Dillaway, Kevin. “I Upgraded to Microsoft 365 E5, Now What?!.” SpyGlassMTG, 10 Jan 2022. Accessed 4 Oct. 2022.
      Hartsel, Joe. “How to Make Your Office 365 Implementation Project a Success.” Centric, 20 Dec 2021. Accessed 2 Oct. 2022.
      Jha, Mohit. “The Ultimate Microsoft Office 365 Migration Checklist for Pre & Post Migration.” Office365 Tips.Org, 24 June 2022. Accessed Sept. 2022.
      Lang, John. “Why organizations don't realize the full value of Microsoft 365.“Business IT, 29 Nov 202I. Accessed 10 Oct 2022.
      Mason, Quinn. “How to increase Office 365 / Microsoft 365 user adoption.” Sharegate, 19 Sept 2019. Accessed 3 Oct 2022.
      McDermott, Matt. “6-Point Office 365 Post-Migration Checklist.” Spanning , 12 July 2019 . Accessed 4 Oct 2022.
      “Microsoft 365 usage analytics.” Microsoft 365, Microsoft, 25 Oct 2022. Web.
      Sharma, Megha. “Office 365 Pre & Post Migration Checklist.’” Kernel Data Recovery, 26 July 2022. Accessed 30 Sept. 2022.
      Sivertsen, Per. “How to avoid a failed M365 implementation? Infotechtion, 19 Dec 2021. Accessed 2 Oct. 2022.
      St. Hilaire, Dan. “Most Common Mistakes with Office 365 Deployment (and How to Avoid Them).“ KnowledgeWave, 4Mar 2019. Accessed Oct. 2022.
      “Under the Hood of Microsoft 365 and Office 365 Adoption.” SoftwareONE, 2019. Web.

      Design and Build a User-Facing Service Catalog

      • Buy Link or Shortcode: {j2store}395|cart{/j2store}
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      • Parent Category Name: Service Management
      • Parent Category Link: /service-management
      • Business users don’t know what breadth of services are available to them.
      • It is difficult for business users to obtain useful information regarding services because they are often described in technical language.
      • Business users have unrealistic expectations of what IT can do for them.
      • There is no defined agreement on what is available, so the business assumes everything is.

      Our Advice

      Critical Insight

      • Define services from the business user’s perspective, not IT’s perspective.
        • A service catalog is of no use if a user looks at it and sees a significant amount of information that doesn’t apply to them.
      • Separate the enterprise services from the Line of Business (LOB) services.
        • This will simplify the process of documenting your service definitions and make it easier for users to navigate, which leads to a higher chance of user acceptance.

      Impact and Result

      • Our program helps you organize your services in a way that is relevant to the users, and practical and manageable for IT.
      • Our approach to defining and categorizing services ensures your service catalog remains a living document. You may add or revise your service records with ease.
      • Our program creates a bridge between IT and the business. Begin transforming IT’s perception within the organization by communicating the benefits of the service catalog.

      Design and Build a User-Facing Service Catalog Research & Tools

      Start here – read the Executive Brief

      Read our concise executive brief to understand why building a Service Catalog is a good idea for your business, and how following our approach will help you accomplish this difficult task.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Launch the project

      The Launch the Project phase will walk through completing Info-Tech's project charter template. This phase will help build a balanced project team, create a change message and communication plan, and achieve buy-in from key stakeholders.

      • Design & Build a User-Facing Service Catalog – Phase 1: Launch the Project
      • Service Catalog Project Charter

      2. Identify and define enterprise services

      The Identify and Define Enterprise Services phase will help to target enterprise services offered by the IT team. They are offered to everyone in the organization, and are grouped together in logical categories for users to access them easily.

      • Design & Build a User-Facing Service Catalog – Phase 2: Identify and Define Enterprise Services
      • Sample Enterprise Services

      3. Identify and define Line of Business (LOB) services

      After completing this phase, all services IT offers to each LOB or functional group should have been identified. Each group should receive different services and display only these services in the catalog.

      • Design & Build a User-Facing Service Catalog – Phase 3: Identify and Define Line of Business Services
      • Sample LOB Services – Industry Specific
      • Sample LOB Services – Functional Group

      4. Complete the Services Definition Chart

      Completing the Services Definition Chart will help the business pick which information to include in the catalog. This phase also prepares the catalog to be extended into a technical service catalog through the inclusion of IT-facing fields.

      • Design & Build a User-Facing Service Catalog – Phase 4: Complete Service Definitions
      • Services Definition Chart
      [infographic]

      Workshop: Design and Build a User-Facing Service Catalog

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Launch the Project

      The Purpose

      The purpose of this module is to help engage IT with business decision making.

      Key Benefits Achieved

      This module will help build a foundation for the project to begin. The buy-in from key stakeholders is key to having them take onus on the project’s completion.

      Activities

      1.1 Assemble the project team.

      1.2 Develop a communication plan.

      1.3 Establish metrics for success.

      1.4 Complete the project charter.

      Outputs

      A list of project members, stakeholders, and a project leader.

      A change message, communication strategy, and defined benefits for each user group.

      Metrics used to monitor the usefulness of the catalog, both from a performance and monetary perspective.

      A completed project charter to engage users in the initiative.

      2 Identify and Define Enterprise Services

      The Purpose

      The purpose of this module is to review services which are offered across the entire organization.

      Key Benefits Achieved

      A complete list of enterprise services defined from the user’s perspective to help them understand what is available to them.

      Activities

      2.1 Identify enterprise services used by almost everyone across the organization.

      2.2 Categorize services into logical groups.

      2.3 Define the services from the user’s perspective.

      Outputs

      A complete understanding of enterprise services for both IT service providers and business users.

      Logical groups for organizing the services in the catalog.

      Completed definitions in business language, preferably reviewed by business users.

      3 Identify and Define Line of Business (LOB) Services

      The Purpose

      The purpose of this module is to define the remaining LOB services for business users, and separate them into functional groups.

      Key Benefits Achieved

      Business users are not cluttered with LOB definitions that do not pertain to their business activities.

      Business users are provided with only relevant IT information.

      Activities

      3.1 Identify the LOBs.

      3.2 Determine which one of two methodologies is more suitable.

      3.3 Identify LOB services using appropriate methodology.

      3.4 Define services from a user perspective.

      Outputs

      A structured view of the different functional groups within the business.

      An easy to follow process for identifying all services for each LOB.

      A list of every service for each LOB.

      Completed definitions in business language, preferably reviewed by business users.

      4 Complete the Full Service Definitions

      The Purpose

      The purpose of this module is to guide the client to completing their service record definitions completely.

      Key Benefits Achieved

      This module will finalize the deliverable for the client by defining every user-facing service in novice terms.

      Activities

      4.1 Understand the components to each service definition (information fields).

      4.2 Pick which information to include in each definition.

      4.3 Complete the service definitions.

      Outputs

      A selection of information fields to be included in the service catalog.

      A selection of information fields to be included in the service catalog.

      A completed service record design, ready to be implemented with the right tool.

      Further reading

      Design and Build a User-Facing Service Catalog

      Improve user satisfaction with IT with a convenient menu-like catalog.

      Our understanding of the problem

      This Research Is Designed For:

      • CIOs
      • Directors and senior managers within IT and the business

      This Research Will Help You:

      • Articulate all of the services IT provides to the business in a language the business users understand.
      • Improve IT and business alignment through a common understanding of service features and IT support.

      This Research Will Help Them

      • Standardize and communicate how users request access to services.
      • Standardize and communicate how users obtain support for services.
      • Clearly understand IT’s role in providing each service.

      What is a service catalog?

      The user-facing service catalog is the go-to place for IT service-related information.

      The catalog defines, documents, and organizes the services that IT delivers to the organization. The catalog also describes the features of the services and how the services are intended to be used.

      The user-facing service catalog creates benefits for both the business and IT.

      For business users, the service catalog:

      1. Documents how to request access to the service, hours of availability, delivery timeframes, and customer responsibilities.
      2. Specifies how to obtain support for the services, support hours, and documentation.

      For IT, the service catalog:

      1. Identifies who owns the services and who is authorized to use the services.
      2. Specifies IT support requirements for the services, including support hours and documentation.

      What is the difference between a user-facing service catalog and a technical service catalog?

      This blueprint is about creating a user-facing service catalog written and organized in a way that focuses on the services from the business’ view.

      User facing

      User-friendly, intuitive, and simple overview of the services that IT provides to the business.

      The items you would see on the menu at a restaurant are an example of User Facing. The content is relatable and easy to understand.

      Technical

      Series of technical workflows, supporting services, and the technical components that are required to deliver a service.

      The recipe book with cooking instructions is an example of Technical Facing. This catalog is intended for the IT teams and is “behind the scene.”

      What is a service and what does it mean to be service oriented?

      The sum of the people, processes, and technologies required to enable users to achieve a business outcome is a Service.

      A service is used directly by the end users and is perceived as a coherent whole.

      Business Users →Service = Application & Systems + People & Processes

      Service Orientation is…

      • A focus on business requirements and business value, rather than IT driven motives.
      • Services are designed to enable required business activities.
      • Services are defined from the business perspective using business language.

      In other words, put on your user hat and leave behind the technical jargons!

      A lack of a published user-facing service catalog could be the source of many pains throughout your organization

      IT Pains

      • IT doesn’t understand all the services they provide.
      • Business users would go outside of IT for solutions, proliferating shadow IT.
      • Business users have a negative yet unrealistic perception of what IT is capable of.
      • IT has no way of managing expectations for their users, which tend to inflate.
      • There is often no defined agreement on services; the business assumes everything is available.

      Business Pains

      • Business users don’t know what services are available to them.
      • It is difficult to obtain useful information regarding a service because IT always talks in technical language.
      • Without a standard process in place, business users don’t know how to request access to a service with multiple sources of information available.
      • Receiving IT support is a painful, long process and IT doesn’t understand what type of support the business requires.

      An overwhelming majority of IT organizations still need to improve how they demonstrate their value to the business

      This image contains a pie chart with a slice representing 23% of the circle This image contains a pie chart with a slice representing 47% of the circle This image contains a pie chart with a slice representing 92% of the circle

      23% of IT is still viewed as a cost center.

      47% of business executives believe that business goals are going unsupported by IT.

      92% of IT leaders see the need to prove the business value of IT’s contribution.

      How a Service Catalog can help:

      Use the catalog to demonstrate how IT is an integral part of the organization and IT services are essential to achieve business objectives.

      Source: IT Communication in Crisis Report

      Transform the perception of IT by articulating all the services that are provided through the service catalog in a user-friendly language.

      Source: Info-Tech Benchmarking and Diagnostic Programs

      Increase IT-business communication and collaboration through the service catalog initiative. Move from technology focused to service-oriented.

      Source: IT Communication in Crisis Report

      Project Steps

      Phase 1 – Project Launch

      1.2 Project Team

      The team must be balanced between representatives from the business and IT.

      1.2 Communication Plan

      Communication plan to facilitate input from both sides and gain adoption.

      1.3 Identify Metrics

      Metrics should reflect the catalog benefits. Look to reduced number of service desk inquiries.

      1.4 Project Charter

      Project charter helps walk you through project preparation.

      This blueprint separates enterprise service from line of business service.

      This image contains a comparison between Enterprise IT Service and Line of Business Service, which will be discussed in further detail later in this blueprint.

      Project steps

      Phase 2 – Identify and Define Enterprise Services

      2.1 Identify the services that are used across the entire organization.

      2.2 Users must be able to identify with the service categories.

      2.3 Create basic definitions for enterprise services.

      Phase 3 – Identify and Define Line of Business Services

      3.1 Identify the different lines of business (LOBs) in the organization.

      3.2 Understand the differences between our two methodologies for identifying LOB services.

      3.3 Use methodology 1 if you have thorough knowledge of the business.

      3.4 Use methodology 2 if you only have an IT view of the LOB.

      Phase 4 – Complete Service Definitions

      4.1 Understand the different components to each service definition, or the fields in the service record.

      4.2 Identify which information to include for each service definition.

      4.3 Define each enterprise service according to the information and field properties.

      4.3 Define each LOB service according to the information and field properties.

      Define your service catalog in bundles to achieve better catalog design in the long run

      Trying to implement too many services at once can be overwhelming for both IT and the users. You don’t have to define and implement all of your services in one release of the catalog.

      Info-Tech recommends implementing services themselves in batches, starting with enterprise, and then grouping LOB services into separate releases. Why? It benefits both IT and business users:

      • It enables a better learning experience for IT – get to test the first release before going full-scale. In other words, IT gets a better understanding of all components of their deliverable before full adoption.
      • It is easier to meet customer agreements on what is to be delivered early, and easier to be able to meet those deadlines.
      This image depicts how you can use bundles to simplify the process of catalog design using bundles. The cycle includes the steps: Identify Services; Select a Service Bundle; Review Record Design; followed by a cycle of: Pick a service; Service X; Service Data Collection; Create Service Record, followed by Publish the bundle; Communicate the bundle; Rinse and Repeat.

      After implementing a service catalog, your IT will be able to:

      Use the service catalog to communicate all the services that IT provides to the business.

      Improve IT’s visibility within the organization by creating a single source of information for all the value creating services IT has to offer. The service catalog helps the business understand the value IT brings to each service, each line of business, and the overall organization.

      Concentrate more on high-value IT services.

      The service catalog contains information which empowers business users to access IT services and information without the help of IT support staff. The reduction in routine inquiries decreases workload and increases morale within the IT support team, and allows IT to concentrate on providing higher value services.

      Reduce shadow IT and gain control of services.

      Service catalog brings more control to your IT environment by reducing shadow IT activities. The service catalog communicates business requests responsively in a language the business users understand, thus eliminating the need for users to seek outside help.

      After implementing a service catalog, your business will be able to:

      Access IT services with ease.

      The language of IT is often confusing for the business and the users don’t know what to do when they have a concern. With a user-facing service catalog, business users can access information through a single source of information, and better understand how to request access or receive support for a service through clear, consistent, and business-relevant language.

      Empower users to self-serve.

      The service catalog enables users to “self-serve” IT services. Instead of calling the service desk every time an issue occurs, the users can rely on the service catalog for information. This simplified process not only reduces routine service requests, but also provides information in a faster, more efficient manner that increases productivity for both IT and the business.

      Gain transparency on the IT services provided.

      With every service clearly defined, business users can better understand the current support level, communicate their expectation for IT accountability, and help IT align services with critical business strategies.

      Leverage the different Info-Tech deliverable tools to help you along the way

      1. Project Charter

      A project charter template with a few samples completed. The project charter helps you govern the project progress and responsibilities.

      2. Enterprise Service Definitions

      A full list of enterprise definitions with features and descriptions pre-populated. These are meant to get you on your feet defining your own enterprise services, or editing the ones already there.

      3. Basic Line of Business Service Definitions

      Similar to the enterprise services deliverable, but with two separate deliverables focusing on different perspectives – functional groups services (e.g. HR and finance) and industry-specific services (e.g. education and government).

      Service Definitions & Service Record Design

      Get a taste of a completed service catalog with full service definitions and service record design. This is the final product of the service catalog design once all the steps and activities have been completed.

      The service catalog can be the foundation of your future IT service management endeavors

      After establishing a catalog of all IT services, the following projects are often pursued for other objectives. Service catalog is a precursor for all three.

      1. Technical Service Catalog

      Need an IT-friendly breakdown of each service?
      Keep better record of what technical components are required to deliver a service. The technical service catalog is the IT version of a user-facing catalog.

      2. Service-Based Costing

      Want to know how much each IT service is costing you?
      Get a better grip on the true cost of IT. Using service-based costing can help justify IT expenses and increase budgetary allotment.

      3. Chargeback

      Want to hold each business unit accountable for the IT services they use?
      Some business units abuse their IT services because they are thought to be free. Keep them accountable and charge them for what they use.

      The service catalog need not be expensive – organizations of all sizes (small, medium, large) can benefit from a service catalog

      No matter what size organization you may be, every organization can create a service catalog. Small businesses can benefit from the catalog the same way a large organization can. We have an easy step-by-step methodology to help introduce a catalog to your business.

      It is common that users do not know where to go to obtain services from IT… We always end up with a serious time-crunch at the beginning of a new school year. With automated on- and off-boarding services, this could change for the better.Dean Obermeyer, Technology Coordinator, Los Alamos Public Schools

      CIO Call to Action

      As the CIO and the project sponsor, you need to spearhead the development of the service catalog and communicate support to drive engagement and adoption.

        Start

      1. Select an experienced project leader
      2. Identify stakeholders and select project team members with the project leader
      3. Throughout the project

      4. Attend or lead the project kick-off meeting
      5. Create checkpoints to regularly touch base with the project team
      6. Service catalog launch

      7. Communicate the change message from beginning to implementation

      Identify a project leader who will drive measurable results with this initiative

      The project leader acts on behalf of the CIO and must be a senior level staff member who has extensive knowledge of the organization and experiences marshalling resources.

      Influential & Impactful

      Developing a service catalog requires dedication from many groups within IT and outside of IT.
      The project leader must hold a visible, senior position and can marshal all the necessary resources to ensure the success of the project. Ability to exert impact and influence around both IT and the business is a must.

      Relationship with the Business

      The user-facing service catalog cannot be successful if business input is not received.
      The project leader must leverage his/her existing relationship with the business to test out the service definitions and the service record design.

      Results Driven

      Creating a service catalog is not an easy job and the project leader must continuously engage the team members to drive results and efficiency.
      The highly visible nature of the service catalog means the project leader must produce a high-quality outcome that satisfies the business users.

      Info-Tech’s methodology helps organization to standardize how to define services

      CASE STUDY A
      Industry Municipal Government
      Source Onsite engagement

      Municipal Government
      The IT department of a large municipal government in the United States provides services to a large number of customers in various government agencies.
      Service Catalog Initiative
      The municipal government allocated a significant amount of resources to answer routine inquiries that could have been avoided through user self-service. The government also found that they do not organize all the services IT provides, and they could not document and publish them to the customer. The government has already begun the service catalog initiative, but was struggling with how to identify services. Progress was slow because people were arguing amongst themselves – the project team became demoralized and the initiative was on the brink of failure.
      Results
      With Info-Tech’s onsite support, the government was able to follow a standardized methodology to identify and define services from the user perspective. The government was able to successfully communicate the initiative to the business before the full adoption of the service catalog.

      We’re in demos with vendors right now to purchase an ITSM tool, and when the first vendor looked at our finished catalog, they were completely impressed.- Client Feedback

      [We feel] very confident. The group as a whole is pumped up and empowered – they're ready to pounce on it. We plan to stick to the schedule for the next three months, and then review progress/priorities. - Client Feedback

      CASE STUDY B
      Industry Healthcare
      Source Onsite engagement

      Healthcare Provider
      The organization is a healthcare provider in Canada. It treats patients with medical emergencies, standard operations, and manages a faculty of staff ranging from nurses and clerks, to senior doctors. This organization is run across several hospitals, various local clinics, and research centers.
      Service Catalog Initiative
      Because the organization is publicly funded, it is subject to regular audit requirements – one of which is to have a service catalog in place.
      The organization also would like to charge back its clients for IT-related costs. In order to do this, the organization must be able to trace it back to each service. Therefore, the first step would be to create a user-facing service catalog, followed by the technical service catalog, which then allows the organization to do service-based costing and chargeback.
      Results
      By leveraging Info-Tech’s expertise on the subject, the healthcare provider was able to fast-track its service catalog development and establish the groundwork for chargeback abilities.

      "There is always some reticence going in, but none of that was apparent coming out. The group dynamic was very good. [Info-Tech] was able to get that response, and no one around the table was silent.
      The [expectation] of the participants was that there was a purpose in doing the workshop. Everybody knew it was for multiple reasons, and everyone had their own accountability/stakes in the development of it. Highly engaged."
      - Client Feedback

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Launch the Project

      Identify Enterprise Services

      Identify Line of Business Services

      Complete Service Definitions

      Best-Practice Toolkit

      1.1 Assemble the project team.

      1.2 Develop a communication plan.

      1.3 Establish metrics for success.

      1.4 Complete the project charter.

      2.1 Identify services available organization-wide.

      2.2 Categorize services into logical groups.

      2.3 Define the services.

      3.1 Identify different LOBs.

      3.2 Pick one of two methodologies.

      3.3 Use method to identify LOB services.

      4.1 Learn components to each service definition.

      4.2 Pick which information to include in each definition.

      4.3 Define each service accordingly.

      Guided Implementations Identify the project leader with the appropriate skills.

      Assemble a well-rounded project team.

      Develop a mission statement and change messages.

      Create a comprehensive list of enterprise services that are used across the organization.

      Create a categorization scheme that is based on the needs of the business users.

      Walk through the two Info-Tech methodologies and understand which one is applicable.

      Define LOB services using the appropriate methodology.

      Decide what should be included and what should be kept internal for the service record design.

      Complete the full service definitions.

      Onsite Workshop Phase 1 Results:

      Clear understanding of project objectives and support obtained from the business.

      Phase 2 Results:

      Enterprise services defined and categorized.

      Phase 3 Results:

      LOB services defined based on user perspective.

      Phase 4 Results:

      Service record designed according to how IT wishes to communicate to the business.

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Workshop Day 1 Workshop Day 2 Workshop Day 3 Workshop Day 4
      Activities

      Launch the Project

      Identify Enterprise Services

      Identify Line of Business Services

      Complete Service Definitions

      1.1 Assemble the project team.

      1.2 Develop a communication plan.

      1.3 Establish metrics for success.

      1.4 Complete the project charter.

      2.1 Identify services available organization-wide.

      2.2 Categorize services into logical groups.

      2.3 Define the services.

      3.1 Identify different LOBs.

      3.2 Pick one of two methodologies.

      3.3 Use method to identify LOB services.

      4.1 Learn components to each service definition.

      4.2 Pick which information to include in each definition.

      4.3 Define each service accordingly.

      Deliverables
      • Service Catalog Project Charter
      • Enterprise Service Definitions
      • LOB Service Definitions – Functional groups
      • LOB Service Definitions – Industry specific
      • Service Definitions Chart

      PHASE 1

      Launch the Project

      Design & Build a User-Facing Service Catalog

      Step 1 – Create a project charter to launch the initiative

      1. Complete the Project Charter
      2. Create Enterprise Services Definitions
      3. Create Line of Business Services Definitions
      4. Complete Service Definitions

      This step will walk you through the following activities:

      • Develop a mission statement to obtain buy-ins from both IT and business stakeholders.
      • Assemble a well-rounded project team to increase the success of the project.
      • Identify and obtain support from stakeholders.
      • Create an impactful change message to the organization to promote the service catalog.
      • Determine project metrics to measure the effectiveness and value of the initiative.

      Step Insights

      • The project leader must have a strong relationship with the business, the ability to garner user input, and the authority to lead the team in creating a user-facing catalog that is accessible and understandable to the user.
      • Having two separate change messages prepared for IT and the business is a must. The business change message advocates how the catalog will make IT more accessible to users, and the IT message centers around how the catalog will make IT’s life easier through a standardized request process.

      Phase 1 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Launch the project
      Proposed Time to Completion: 2 weeks
      Step 1.2: Create change messages

      Step 1.2: Create change messages

      Start with an analyst kick off call:

      • Identify the key objectives of creating a user-facing service catalog.
      • Identify the necessary members of the project team.

      Review findings with analyst:

      • Prioritize project stakeholders according to their involvement and influence.
      • Create a change message for IT and the business articulating the benefits.

      Then complete these activities…

    • Assemble a team with representatives from all areas of IT.
    • Identify the key project stakeholders.
    • Create a project mission statement.
    • Then complete these activities…

    • Create a separate change message for IT and the business.
    • Determine communication methods and channels.
    • With these tools & templates: Service

      Catalog Project Charter

      With these tools & templates:

      Service Catalog Project Charter

      Use Info-Tech’s Service Catalog Project Charter to begin your initiative

      1.1 Project Charter

      The following section of slides outline how to effectively use Info-Tech’s sample project charter.

      The Project Charter is used to govern the initiative throughout the project. IT should provide the foundation for project communication and monitoring.

      It has been pre-populated with information appropriate for Service Catalog projects. Please review this sample text and change, add, or delete information as required.

      Building the charter as a group will help you to clarify your key messages and help secure buy-in from critical stakeholders upfront.

      You may feel like a full charter isn’t necessary, and depending on your organizational size, it might not be. However, the exercise of building the charter is important none-the-less. No matter your current climate, some elements of communicating the value and plans for implementing the catalog will be necessary.

      The Charter includes the following sections:

      • Mission Statement
      • Project team members
      • Project stakeholders
      • Change message
      • Communication and organizational plan
      • Metrics

      Use Info-Tech’s Service Catalog Project Charter.

      Create a mission statement to articulate the purpose of this project

      The mission statement must be compelling because embarking on creating a service catalog is no easy task. It requires significant commitment from different people in different areas of the business.

      Good mission statements are directive, easy to understand, narrow in focus, and favor substance over vagueness.

      While building your mission statement, think about what it is intended to do, i.e. keep the project team engaged and engage others to adopt the service catalog. Included in the project charter’s mission statement section is a brief description of the goals and objectives of the service catalog.

      Ask yourself the following questions:

      1. What frustrations does your business face regarding IT services?
      2. f our company continues growing at this rate, will IT be able to manage service levels?
      3. How has IT benefited from consolidating IT services into a user perspective?

      Project Charter

      Info-Tech’s project charter contains two sample mission statements, along with additional tips to help you create yours.

      Tackle the project with a properly assembled team to increase the speed and quality in which the catalog will be created

      Construct a well-balanced project team to increase your chances of success.

      Project Leader

      Project leader will be the main catalyst for the creation of the catalog. This person is responsible for driving the whole initiative.

      Project Participants

      IT project participants’ input and business input will be pivotal to the creation of the catalog.

      Project Stakeholders

      The project stakeholders are the senior executives who have a vested interest in the service catalog. IT must produce periodic and targeted communication to these stakeholders.

      Increase your chances of success by creating a dynamic group of project participants

      Your project team will be a major success factor for your service catalog. Involvement from IT management and the business is a must.

      IT Team Member

      IT Service Desk Manager

      • The Service Desk team will be an integral part of the service catalog creation. Because of their client-facing work, service desk technicians can provide real feedback about how users view and request services.

      Senior Manager/Director of Application

      • The Application representative provides input on how applications are used by the business and supported by IT.

      Senior Manager/Director of Infrastructure

      • The infrastructure representative provides input on services regarding data storage, device management, security, etc.

      Business Team Member

      Business IT Liaison

      • This role is responsible for bridging the communication between IT and the business. This role could be fulfilled by the business relationship manager, service delivery manager, or business analyst. It doesn’t have to be a dedicated role; it could be part of an existing role.

      Business representatives from different LOBs

      • Business users need to validate the service catalog design and ensure the service definitions are user facing and relevant.

      Project Charter

      Input your project team, their roles, and relevant contact information into your project charter, Section 2.

      Identify the senior managers who are the stakeholders for the service catalog

      Obtain explicit buy-in from both IT and business stakeholders.

      The stakeholders could be your biggest champions for the service catalog initiative, or they could pull you back significantly. Engage the stakeholders at the start of the project and communicate the benefits of the service catalog to them to gain their approval.

      Stakeholders

      Benefits

      CIO
      • Improved visibility and perception for IT
      • Ability to better manage business expectation

      Manager of Service Desk

      • Reduced number of routine inquires
      • Respond to business needs faster and uniformly

      Senior Manager/Director of Application & Infrastructure

      • Streamlined and standardized request/support process
      • More effective communication with the business

      Senior Business Executives from Major LOBs

      • Self-service increases user productivity for business users
      • Better quality of services provided by IT

      Project Charter

      Document a list of stakeholders, their involvement in the process (why they are stakeholders), and their contact information in Section 3.

      Articulate the creation of the service catalog to the organization

      Spread the word of service catalog implementation. Bring attention to your change message through effective mediums and organizational changes.

      Key aspects of a communication plan

      The methods of communication (e.g. newsletters, email broadcast, news of the day, automated messages) notify users of implementation.

      In addition, it is important to know who will deliver the message (delivery strategy). Talking to the business leaders is very important, and you need IT executives to deliver the message. Work hard on obtaining their support as they are the ones communicating to their staff and could be your project champions.

      Recommended organizational changes

      The communication plan should consist of changes that will affect the way users interact with the catalog. Users should know of any meetings pertinent to the maintenance and improvement of the catalog, and ways to access the catalog (e.g. link on desktop/start menu).

      This image depicts the cycle of communicating change. the items in the cycle include: What is the change?; Why are we doing it?; How are we going to go about it?; What are we trying to achieve?; How often will we be updated?

      The Qualities of Leadership: Leading Change

      Project Charter

      Your communication plan should serve as a rough guide. Communication happens in several unpredictable happenstances, but the overall message should be contained within.

      Ensure you get the whole company on board for the service catalog with a well practiced change message

      The success of your catalog implementation hinges on the business’ readiness.

      One of the top challenges for organizations that are implementing a service catalog is the acceptance and adoption of the change. Effective planning for implementation and communication is pivotal. Ensure you create tailored plans for communication and understand how the change will impact staff.

      1. Draft your change message
      2. “Better Service, Better Value.” It is important to have two change messages prepared: one for the IT department and one for business users.
        Outline a few of the key benefits each user group will gain from adopting the service catalog (e.g. Faster, ease of use, convenient, consistent…)

      3. Address feedback
      4. Anticipate some resistances of service catalog adoption and prepare responses. These may be the other benefits which were not included in the change message (e.g. IT may be reluctant to think in business language.)

      5. Conduct training sessions
      6. Host lunch & learns to demonstrate the value of the service catalog to both business and IT user groups.
        These training sessions also serve as a great way to gather feedback from users regarding style and usability.

      Project Charter

      Pick your communication medium, and then identify your target audience. You should have a change message for each: the IT department and the business users. Pay careful consideration to wording and phrasing with regard for each.

      Track metrics throughout the project to keep stakeholders informed

      In order to measure the success of your service catalog, you must establish baseline metrics to determine how much value the catalog is creating for your business.

      1. Number of service requests via the service catalog
      2. The number of service catalog requests should be carefully monitored so that it does not fluctuate too greatly. In general, the number of requests via the service catalog should increase, which indicates a higher level of self-serve.

      3. Number of inquiry calls to the service desk
      4. The number of inquiry calls should decrease because customers are able to self-serve routine IT inquiries that would otherwise have gone through the service desk.

      5. Customer satisfaction – specific questions
      6. The organization could adopt the following sample survey questions:
        From 0-5: How satisfied are you with the functionality of the service catalog? How often do you turn to the service catalog first to solve IT problems?

      7. Number of non-standard requests
      8. The number of non-standard requests should decrease because a majority of services should eventually be covered in the service catalog. Users should be able to solve nearly any IT related problem through navigating the service catalog.

      Metric Description Current Metric Future Goal
      Number of service requests via the Service Catalog
      Number of inquiry calls to the service desk
      Customer Satisfaction – specific question
      Number of non-standard requests

      Use metrics to monitor the monetary improvements the service catalog creates for the business

      When measuring against your baseline, you should expect to see the following two monetary improvements:

      1. Improved service desk efficiency
      2. (# of routine inquiry calls reduced) x (average time for a call) x (average service desk wage)

        Routine inquiries often take up a significant portion of the service desk’s effort, and the majority of them can be answered via the service catalog, thus reducing the amount of time required for a service desk employee to engage in routine solutions. The reduction in routine inquiries allows IT to allocate resources to high-value services and provide higher quality of support.

      Example

      Originally, the service desk of an organization answers 850 inquiries per month, and around 540 of them are routine inquiries requesting information on when a service is available, who they can contact if they want to receive a service, and what they need to do if they want access to a service, etc.

      IT successfully communicated the introduction of the service catalog to the business and 3 months after the service catalog was implemented, the number of routine inquiries dropped to 60 per month. Given that the average time for IT to answer the inquiry is 10 minutes (0.167 hour) and the hourly wage of a service desk technician is $25, the monthly monetary cost saving of the service catalog is:

      (540 – 60) x 0.167 x 25 = $2004.00

      • Reduced expense by eliminating non-standard requests

      (Average additional cost of non-standard request) x (Reduction of non-standard request)
      +
      (Extra time IT spends on non-standard request fulfilment) x (Average wage)

      Non-standard requests require a lot of time, and often a lot of money. IT frequently incurs additional cost because the business is not aware of how to properly request service or support. Not only can the service catalog standardize and streamline the service request process, it can also help IT define its job boundary and say no to the business if needed.

      Example

      The IT department of an organization often finds itself dealing with last-minute, frustrating service requests from the business. For example, although equipment requests should be placed a week in advance, the business often requests equipment to be delivered the next day, leaving IT to pay for additional expedited shipping costs and/or working fanatically to allocate the equipment. Typically, these requests happen 4 times a month, with an additional cost of $200.00. IT staff work an extra 6 hours per each non-standard request at an hourly wage of $30.00.

      With the service catalog, the users are now aware of the rules that are in place and can submit their request with more ease. IT can also refer the users to the service catalog when a non-standard request occurs, which helps IT to charge the cost to the department or not meet the terms of the business.

      The monthly cost saving in this case is:

      $200.00 x 4 + 6 hours x 30 = $980.00

      Create your project charter for the service catalog initiative to get key stakeholders to buy in

      1.1 2-3 hours

      The project charter is an important document to govern your project process. Support from the project sponsors is important and must be documented. Complete the following steps working with Info-Tech’s sample Project Charter.

      1. The project leader and the core project team must identify key reasons for creating a service catalog. Document the project objectives and benefits in the mission statement section.
      2. Identify and document your project team. The team must include representatives from the Infrastructure, Applications, Service desk, and a Business-IT Liaison.
      3. Identify and document your project stakeholders. The stakeholders are those who have interest in seeing the service catalog completed. Stakeholders for IT are the CIO and management of different IT practices. Stakeholders for the business are executives of different LOBs.
      4. Identify your target audience and choose the communication medium most effective to reach them. Draft a communication message hitting all key elements.
        Info-Tech’s project charter contains sample change messages for the business and IT.
      5. Develop a strategy as to how the change message will be distributed, i.e. the communication and organizational change plan.
      6. Use the metrics identified as a base to measure your service catalog’s implementation. If you have identified any other objectives, add new metrics to monitor your progress from the baseline to reaching those objectives.
      7. Sign and date the project charter to officiate commitment to completing the project and reaching your objectives. Have the signed and dated charter available to members of the project team.

      INPUT

      • A collaborative discussion between team members

      OUTPUT

      • Thorough briefing for project launch
      • A committed team

      Materials

      • Communication message and plan
      • Metric tracking

      Participants

      • Project leader
      • Core project team

      Obtain buy-in from business users at the beginning of the service catalog initiative

      CASE STUDY A
      Industry Government
      Source Onsite engagement

      Challenge

      The nature of government IT is quite complex: there are several different agencies located in a number of different areas. It is extremely important to communicate the idea of the service catalog to all the users, no matter the agency or location.

      The IT department had yet to let business leaders of the various agencies know about the initiative and garner their support for the project. This has proven to be prohibitive for gaining adoption from all users.

      Solution

      The IT leaders met and identified all the opportunities to communicate the service catalog to the business leaders and end users.

      To meet with the business leaders, IT leaders hosted a service level meeting with the business directors and managers. They adopted a steering committee for the continuation of the project.

      To communicate with business users, IT leaders published announcements on the intranet website before releasing the catalog there as well.

      Results

      Because IT communicated the initiative, support from business stakeholders was obtained early and business leaders were on board shortly after.

      IT also managed to convince key business stakeholders to become project champions, and leveraged their network to communicate the initiative to their employees.

      With this level of adoption, it meant that it was easier for IT to garner business participation in the project and to obtain feedback throughout.

      Info-Tech assists project leader to garner support from the project team

      CASE STUDY A
      Industry Government
      Source Onsite engagement

      Challenge

      The project received buy-in from the CIO and director of infrastructure. Together they assembled a team and project leader.

      The two struggled to get buy-in from the rest of the team, however. They didn’t understand the catalog or its benefits and objectives. They were reluctant to change their old ways. They didn’t know how much work was required from them to accomplish the project.

      Solution

      With the Info-Tech analyst on site, the client was able to discuss the benefits within their team as well as the project team responsibilities.

      The Info-Tech analyst convinced the group to move towards focusing on a business- and service-oriented mindset.

      The workshop discussion was intended to get the entire team on board and engaged with meeting project objectives.

      Results

      The project team had experienced full buy-in after the workshop. The CIO and director relived their struggles of getting project members on-board through proper communication and engagement.

      Engaging the members of the project team with the discussion was key to having them take ownership in accomplishing the project.

      The business users understood that the service catalog was to benefit their long-term IT service development.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.
      The following are sample activities that will be conducted by Info-Tech analysts with your team:
      1.1 this image contains a screenshot from section 1.1 of this blueprint. Begin your project with a mission statement
      A strong mission statement that outlines the benefits of the project is needed to communicate the purpose of the project. The onsite Info-Tech analysts will help you customize the message and establish the foundation of the project charter.
      1.2 this image contains a screenshot from section 1.2 of this blueprint.

      Identify project team members

      Our onsite analysts will help you identify high-value team members to contribute to this project.

      1.3 This image contains a screenshot from section 1.3 of this blueprint.

      Identify important business and IT stakeholders

      Buy-in from senior IT and business management is a must. Info-Tech will help you identify the stakeholders and determine their level of influence and impact.

      1.4 This image contains a screenshot from section 1.4 of this blueprint.

      Create a change message for the business and IT

      It is important to communicate changes early and the message must be tailored for each target audience. Our analysts will help you create an effective message by articulating the benefits of the service catalog to the business and to IT.

      1.5 This image contains a screenshot from section 1.5 of this blueprint.

      Determine service project metrics

      To demonstrate the value of the service catalog, IT must come up with tangible metrics. Info-Tech’s analysts will provide some sample metrics as well as facilitate a discussion around which metrics should be tracked and monitored.

      PHASE 2

      Identify and Define Enterprise Services

      Design & Build a User-Facing Service Catalog

      Step 2 – Create Enterprise Services Definitions

      1. Complete the Project Charter
      2. Create Enterprise Services Definitions
      3. Create Line of Business Services Definitions
      4. Complete Service Definitions

      This step will walk you through the following activities:

      • Identify and define enterprise services that are commonly used across the organization.
      • Create service descriptions and features to accurately sum up the functionality of each service.
      • Create service categories and assign each service to a category.

      Step Insights

      • When defining services, be sure to carefully distinguish between what is a feature and what is a service. Often, separate services are defined in situations when they would be better off as features of existing services, and vice versa.
      • When coming up with enterprise services categories, ensure the categories group the services in a way that is intuitive. The users should be able to find a service easily based on the names of the categories.

      Phase 2 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Define Enterprise Services
      Proposed Time to Completion: 4 weeks

      Step 2.1: Identify enterprise services

      Step 2.2: Create service categories

      Start with an analyst kick off call:

      • Identify enterprise services that are commonly used.
      • Ensure the list is comprehensive and capture common IT needs.
      • Create service descriptions and features.

      Review findings with analyst:

      • Review full list of identified enterprise services.
      • Identify service categories that are intuitive to the users.

      Then complete these activities…

      • Use Info-Tech’s sample enterprise service definitions as a guide, and change/add/delete the service definitions to customize them to your organization.

      Then complete these activities…

      • Group identified services into categories that are intuitive to the users.

      With these tools & templates: Service

      Sample Enterprise Services

      With these tools & templates:

      Sample Enterprise Services

      Identify enterprise services in the organization apart from the services available to lines of business

      Separating enterprise services from line of business services helps keep things simple to organize the service catalog. -

      Documentation of all business-facing IT services is an intimidating task, and a lack of parameters around this process often leads to longer project times and unsatisfactory outcomes.

      To streamline this process, separating enterprise services from line of business services allows IT to effectively and efficiently organize these services. This method increases the visibility of the service catalog through user-oriented communication plans.

      Enterprise Services are common services that are used across the organization.

      1. Common Services for all users within the organization (e.g. Email, Video Conferencing, Remote Access, Guest Wireless)
      2. Service Requests organized into Service Offerings (e.g. Hardware Provisioning, Software Deployment, Hardware Repair, Equipment Loans)
      3. Consulting Services (e.g. Project Management, Business Analysis, RFP Preparation, Contract Negotiation)

      All user groups access Enterprise Services

      Enterprise Services

      • Finance
      • IT
      • Sales
      • HR

      Ensure your enterprise services are defined from the user perspective and are commonly used

      If you are unsure whether a service is enterprise wide, ask yourself these two questions:

      This image contains an example of how you would use the two questions: Does the user directly use the service themselves?; and; Is the service used by the entire organization (or nearly everyone)?. The examples given are: A. Video Conferencing; B. Exchange Server; C. Email & Fax; D. Order Entry System

      Leverage Info-Tech’s Sample Enterprise Services definition

      2.1 Info-Tech’s Sample Enterprise Services definitions

      Included with this blueprint is Info-Tech’s Sample Enterprise Services definitions.

      The sample contains dozens of services common across most organizations; however, as a whole, they are not complete for every organization. They must be modified according to the business’ needs. Phase two will serve as a guide to identifying an enterprise service as well as how to fill out the necessary fields.

      This image contains a screenshot of definitions from Info-Tech's Sample Enterprises services

      Info-Tech Insight

      Keep track of which services you either modify or delete. You will have to change the same services in the final Info-Tech deliverable.

      The next slide will introduce you to the information for each service record that can be edited.

      Info-Tech’s Sample Enterprise Services definitions is designed to be easily customized

      2.1 Info-Tech’s Sample Enterprise Services definitions

      Below is an example of a service record and its necessary fields of information. This is information that can be kept, deleted, or expanded upon.

      Name the service unambiguously and from the user’s perspective.

      Brief description of how the service allows users to perform tasks.

      Describe the functionality of the service and how it helps users to achieve their business objectives.

      Cluster the services into logical groups.

      Service Name Description Features Category
      Email Email communication to connect with other employees, suppliers, and customers
      • Inbox
      • Calendar
      • Resource Scheduling (meeting rooms)
      • Access to shared mailboxes
      • Limit on mailbox size (‘x’ GB)
      • Address book/external contacts
      • Spam filtering, virus protection
      • Archiving and retrieval of older emails
      • Web/browser access to email
      • Mass email/notification (emergency, surveys, reporting)
      • Setting up a distribution list
      • Setting up Active Sync for email access on mobile devices
      Communications

      Distinguish between a feature and a unique service

      It can be difficult to determine what is considered a service itself, and what is a feature of another service. Use these tips and examples below to help you standardize this judgement.

      Example 1

      Web Conferencing has already been defined as a service. Is Audio Conferencing its own service or a feature of Web Conferencing?

      Info-Tech Tip: Is Audio Conferencing run by the same application as the Web Conferencing? Does it use the same equipment? If not, Audio Conferencing is probably its own service.

      Example 2

      Web Conferencing has already been defined as a service. Is “Screen Sharing” its own service or a feature of Web Conferencing?

      Info-Tech Tip: It depends on how the user interacts with Screen Sharing. Do they only screen share when engaged in a Web Conference? If so, Screen Sharing is a feature and not a service itself.

      Example 3

      VoIP is a popular alternative to landline telephone nowadays, but should it be part of the telephony service or a separate service?

      Info-Tech Tip: It depends on how the VoIP phone is set up.

      If the user uses the VoIP phone the same way they would use a landline phone – because the catalog is user facing – consider the VoIP as part of the telephone service.

      If the user uses their computer application to call and receive calls, consider this a separate service on its own.

      Info-Tech Insight

      While there are some best practices for coming up with service definitions, it is not an exact science and you cannot accommodate everyone. When in doubt, think how most users would perceive the service.

      Change or delete Info-Tech’s enterprise services definitions to make them your own

      2.1 3 hours

      You need to be as comprehensive as possible and try to capture the entire breadth of services IT provides to the business.

      To achieve this, a three-step process is recommended.

      1. First, assemble your project team. It is imperative to have representatives from the service desk. Host two separate workshops, one with the business and one with IT. These workshops should take the form of focus groups and should take no more than 1-2 hours.
      2. Business Focus Group:
      • In an open-forum setting, discuss what the business needs from IT to carry out their day-to-day activities.
      • Engage user-group representatives and business relationship managers.

      IT Focus Group:

      • In a similar open-forum setting, determine what IT delivers to the business. Don’t think about it from a support perspective, but from an “ask” perspective – e.g. “Service Requests.
      • Engage the following individuals: team leads, managers, directors.
    • Review results from the focus groups and compare with your service desk tickets – are there services users inquire about frequently that are not included? Finalize your list of enterprise services as a group.
    • INPUT

      • Modify Info-Tech’s sample services

      OUTPUT

      • A list of some of your business’ enterprise services

      Materials

      • Whiteboard/marker
      • Info-Tech sample enterprise services

      Participants

      • Key members of the project team
      • Service desk rep
      • Business rep

      Using Info-Tech’s Sample Enterprise Services, expand upon the services to add those that we did not include

      2.2 1-3 hours (depending on size and complexity of the IT department)

      Have your user hat on when documenting service features and descriptions. Try to imagine how the users interact with each service.

      1. Once you have your service name, start with the service feature. This field lists all the functionality the service provides. Think from the user’s perspective and document the IT-related activities they need to complete.
      2. Review the service feature fields with internal IT first to make sure there isn’t any information that IT doesn’t want to publish. Afterwards, review with business users to ensure the language is easy to understand and the features are relatable.
      3. Lastly, create a high-level service description that defines the nature of the service in one or two sentences.

      INPUT

      • Collaborate and discuss to expand on Info-Tech’s example

      OUTPUT

      • A complete list of your business’ enterprise services

      Materials

      • Whiteboard/marker
      • Info-Tech sample enterprise services

      Participants

      • Key members of the project team
      • Service desk rep
      • Business rep

      Follow Info-Tech’s guidelines to establish categories for the enterprise services that IT provides to the business

      Similar to the services and their features, there is no right or wrong way to categorize. The best approach is to do what makes sense for your organization and understand what your users think.

      What are Service Categories?

      Categories organize services into logical groups that the users can identify with. Services with similar functions are grouped together in a common category.

      When deciding your categories, think about:

      • What is best for the users?
      • Look at the workflows from the user perspective: how and why do they use the service?
      • Will the user connect with the category name?
      • Will they think about the services within the category?
      Enterprise Service Categories
      Accounts and Access
      Collaboration
      Communication
      Connectivity
      Consulting
      Desktop, Equipment, & Software
      Employee Services
      Files and Documents
      Help & Support
      Training

      Sample categories

      Categorize the services from the list below; how would you think to group them?

      There is no right or wrong way to categorize services; it is subjective to how they are provided by IT and how they are used by the business. Use the aforementioned categories to group the following services. Sample solutions are provided on the following slide.

      Service Name
      Telephone
      Email
      Remote access
      Internet
      BYOD (wireless access)
      Instant Messaging
      Video Conferencing
      Audio Conferencing
      Guest Wi-Fi
      Document Sharing

      Tips and tricks:

      1. Think about the technology behind the service. Is it the same application that provides the services? For example: is instant messaging run by the same application as email?
      2. Consider how the service is used by the business. Are two services always used together? If instant messaging is always used during video conferencing, then they belong in the same category.
      3. Consider the purpose of the services. Do they achieve the same outcomes? For example, document sharing is different from video conferencing, though they both support a collaborative working environment.

      This is a sample of different categorizations – use these examples to think about which would better suit your business

      Example 1 Example 2

      Desktop, Equipment, & Software Services

      Connectivity

      Mobile Devices

      Communications

      Internet

      Telephone

      BYOD (wireless access)

      Telephone

      Guest Wi-Fi

      Internet

      Email

      Remote Access

      Instant Messaging

      Video Conferencing

      Audio Conferencing

      Communications

      Collaboration

      Storage and Retrieval

      Accounts and Access

      Telephone

      Email

      Document Sharing

      Remote access

      Email

      Instant Messaging

      Connectivity

      Mobile Devices

      Video Conferencing

      Internet

      BYOD (wireless access)

      Audio Conferencing

      Guest Wi-Fi

      Guest Wi-Fi

      Document Sharing

      Info-Tech Insight

      Services can have multiple categories only if it means the users will be better off. Try to limit this as much as possible.

      Neither of these two examples are the correct answer, and no such thing exists. The answers you came up with may well be better suited for the users in your business.

      With key members of your project team, categorize the list of enterprise services you have created

      2.3 1 hour

      Before you start, you must have a modified list of all defined enterprise services and a modified list of categories.

      1. Write down the service names on sticky notes and write down the categories either on the whiteboard or on the flipchart.
      2. Assign the service to a category one at a time. For each service, obtain consensus on how the users would view the service and which category would be the most logical choice. In some cases, discuss whether a service should be included in two categories to create better searchability for the users.
      3. If a consensus could not be reached on how to categorize a service, review the service features and category name. In some cases, you may go back and change the features or modify or create new categories if needed.

      INPUT

      • Collaborate and discuss to expand on Info-Tech’s example

      OUTPUT

      • A complete list of your business’ enterprise services

      Materials

      • Whiteboard/marker
      • Info-Tech sample enterprise services

      Participants

      • Key members of the project team
      • Service desk rep
      • Business rep

      Accounts & Access Services

      • User ID & Access
      • Remote Access
      • Business Applications Access

      Communication Services

      • Telephone
      • Email
      • Mobile devices

      Files & Documents

      • Shared Folders
      • File Storage
      • File Restoration
      • File Archiving

      Collaboration

      • Web Conferencing
      • Audio Conferencing
      • Video Conferencing
      • Chat
      • Document Sharing

      Employee Services

      • Onboarding & Off Boarding
      • Benefits Self Service
      • Time and Attendance
      • Employee Records Management

      Help & Support

      • Service Desk
      • Desk Side Support
      • After Hours Support

      Desktop, Equipment, & Software

      • Printing
      • Hardware Provisioning
      • Software Provisioning
      • Software Support
      • Device Move
      • Equipment Loaner

      Education & Training Services

      • Desktop Application Training
      • Corporate Application Training
      • Clinical Application Training
      • IT Training Consultation

      Connectivity

      • BYOD (wireless access)
      • Internet
      • Guest Wi-Fi

      IT Consulting Services

      • Project Management
      • Analysis
      • RFP Reviews
      • Solution Development
      • Business Analysis/Requirements Gathering
      • RFI/RFP Evaluation
      • Security Consulting & Assessment
      • Contract Management
      • Contract Negotiation

      IT department identifies a comprehensive list of enterprise services

      CASE STUDY A
      Industry Government
      Source Onsite engagement

      Challenge

      Because of the breadth of services IT provides across several agencies, it was challenging to identify what was considered enterprise beyond just the basic ones (email, internet, etc.)

      IT recognized that although the specific tasks of service could be different, there are many services that are offered universally across the organization and streamlining the service request and delivery process would reduce the burden on IT.

      Solution

      The client began with services that users interact with on a daily basis; this includes email, wireless, telephone, internet, printing, etc.

      Then, they focused on common service requests from the users, such as software and hardware provisioning, as well as remote access.

      Lastly, they began to think of other IT services that are provided across the organization, such as RFP/RFI support, project management analysis, employee onboarding/off-boarding, etc.

      Results

      By going through the lists and enterprise categories, the government was able to come up with a comprehensive list of all services IT provides to the business.

      Classifying services such as onboarding meant that IT could now standardize IT services for new recruits and employee termination.

      By capturing all enterprise services offered to the organization, IT centralized its management of services instead of having scattered request processes.

      Organization distinguishes features from services using Info-Tech’s tips and techniques

      CASE STUDY B
      Industry Government
      Source Onsite engagement

      Challenge

      For some services, the project team had difficulty deciding on what was a service and what was a feature. They found it hard to distinguish between a service with features or multiple services.

      For example, the client struggled to define the Wi-Fi services because they had many different user groups and different processes to obtain the service. Patients, visitors, doctors, researchers, and corporate employees all use Wi-Fi, but the service features for each user group were different.

      Solution

      The Info-Tech analyst came on-site and engaged the project team in a discussion around how the users would view the services.

      The analyst also provided tips and techniques on identifying services and their features.

      Because patients and visitors do not access Wi-Fi or receive support for the service in the same way as clinical or corporate employees, Wi-Fi was separated into two services (one for each user group).

      Results

      Using the tips and techniques that were provided during the onsite engagement, the project team was able to have a high degree of clarity on how to define the services by articulating who the authorized users are, and how to access the process.

      This allowed the group to focus on the users’ perspective and create clear, unambiguous service features so that users could clearly understand eligibility requirements for the service and how to request them.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts

      this is a picture of an Info-Tech Analyst

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.
      The following are sample activities that will be conducted by Info-Tech analysts with your team:
      2.1 This image contains a screenshot from section 2.1 of this blueprint.

      Understand what enterprise services are

      The project team must have a clear understanding of what qualifies as an enterprise service. The onsite analysts will also promote a user-oriented mindset so the catalog focuses on business needs.

      2.2 this image contains a screenshot from section 2.2 of this blueprint.

      Identify enterprise services

      The Info-Tech analysts will provide a list of ready-to-use services and will work with the project team to change, add, and delete service definitions and to customize the service features.

      2.3 this image contains a screenshot from section 2.3 of this blueprint.

      Identify categories for enterprise services

      The Info-Tech analyst will again emphasize the importance of being service-oriented rather than IT-oriented. This will allow the group to come up with categories that are intuitive to the users.

      PHASE 3

      Identify and Define Line of Business Services

      Design & Build a User-Facing Service Catalog

      Step 3 – Create Line of Business Services Definitions

      1. Complete the Project Charter
      2. Create Enterprise Services Definitions
      3. Create Line of Business Services Definitions
      4. Complete Service Definitions

      This step will walk you through the following activities:

      • Identify lines of business (LOB) within the organization as well as the user groups within the different LOBs.
      • Determine which one of Info-Tech’s two approaches is more suitable for your IT organization.
      • Define and document LOB services using the appropriate approach.
      • Categorize the LOB services based on the organization’s functional structure.

      Step Insights

      • Collaboration with the business significantly strengthens the quality of line of business service definitions. A significant amount of user input is crucial to create impactful and effective service definitions.
      • If a strong relationship with the business is not in place, IT can look at business applications and the business activities they support in order to understand how to define line of business services.

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Define LOB Services

      Proposed Time to Completion: 4 weeks

      Step 3.1: Identify LOB services

      Step 3.2: Define LOB services

      Start with an analyst kick off call:

      • Identify enterprise services that are commonly used.
      • Ensure the list is comprehensive and capture common IT needs.
      • Create service descriptions and features.

      Review findings with analyst:

      • Use either the business view or the IT view methodology to identify and define LOB services.

      Then complete these activities…

      • Select one of the methodologies and either compile a list of business applications or a list of user groups/functional departments.

      Then complete these activities…

      • Validate the service definitions and features with business users.

      With these tools & templates: Service

      LOB Services – Functional Group
      LOB Services – Industry Specific

      With these tools & templates:

      LOB Services – Functional Group
      LOB Services – Industry Specific

      Communicate with your business users to get a clear picture of each line of business

      Within a business unit, there are user groups that use unique applications and IT services to perform business activities. IT must understand which group is consuming each service to document to their needs and requirements. Only then is it logical to group services into lines of business.

      Covering every LOB service is a difficult task. Info-Tech offers two approaches to identifying LOB services, though we recommend working alongside business user groups to have input on how each service is used directly from the users. Doing so makes the job of completing the service catalog easier, and the product more detailed and user friendly.

      Some helpful questions to keep in mind when characterizing user groups:

      • Where do they fall on the organizational chart?
      • What kind of work do they do?
      • What is included in their job description?
      • What are tasks that they do in addition to their formal responsibilities?
      • What do they need from IT to do their day-to-day tasks?
      • What does their work day look like?
      • When, why, and how do they use IT services?

      Info-Tech Insight

      With business user input, you can answer questions as specific as “What requirements are necessary for IT to deliver value to each line of business?” and “What does each LOB need in order to run their operation?”

      Understand when it is best to use one of Info-Tech’s two approaches to defining LOB services

      1. Business View

      Business View is the preferred method for IT departments with a better understanding of business operations. This is because they can begin with input from the user, enabling them to more successfully define every service for each user group and LOB.

      In addition, IT will also have a chance to work together with the business and this will improve the level of collaboration and communication. However, in order to follow this methodology, IT needs to have a pre-established relationship with the business and can demonstrate their knowledge of business applications.

      2. IT View

      The IT view begins with considering each business application used within the organization’s lines of business. Start with a broad view, following with a process of narrowing down, and then iterate for each business application.

      This process leads to each unique service performed by every application within the business’ LOBs.

      The IT view does not necessarily require a substantial amount of information about the business procedures. IT staff are capable of deducing what business users often require to maintain their applications’ functionality.

      Use one of Info-Tech’s two methodologies to help you identify each LOB service

      Choose the methodology that fits your IT organization’s knowledge of the business.

      This image demonstrates a comparison between the business view of service and the IT View of Service. Under the Business View, the inputs are LOB; User Groups; and Business Activity. Under the IT View, the inputs are Business Application and Functionality, and the outputs are Business Activity; User Groups; and LOB.

      1. Business View

      If you do have knowledge of business operations, using the business view is the better option and the service definition will be more relatable to the users.

      2. IT View

      For organizations that don’t have established relationships with the business or detailed knowledge of business activities, IT can decompose the application into services. They have more familiarity and comfort with the business applications than with business activities.

      It is important to continue after the service is identified because it helps confirm and solidify the names and features. Determining the business activity and the user groups can help you become more user-oriented.

      Identifying LOB services using Info-Tech’s Business View method

      We will illustrate the two methodologies with the same example.

      If you have established an ongoing relationship with the business and you are familiar with their business operations, starting with the LOB and user groups will ensure you cover all the services IT provides to the business and create more relatable service names.

      This is a screenshot of an example of the business view of Service.

      Identifying LOB services using Info-Tech’s IT View method

      If you want to understand what services IT provides to the Sales functional group, and you don’t have comprehensive knowledge of the department, you need to start with the IT perspective.

      This is a screenshot of an example of the business view of Service.

      Info-Tech Insight

      If you are concerned about the fact that people always associate a service with an application, you can include the application in the service name or description so users can find the service through a search function.

      Group LOB services into functional groups as you did enterprise services into categories

      3.1 Sample Line of Business Services Definitions – Functional Groups & Industry Examples

      Like categories for enterprise services in Phase Two, LOB services are grouped into functional groups. Functional groups are the components of an organizational chart (HR, Finance, etc.) that are found in a company’s structure.

      Functional Groups

      Functional groups enable a clear view for business users of what services they need, while omitting services that do not apply to them. This does not overwhelm them, and provides them with only relevant information.

      Industry Services

      To be clear, industry services can be put into functional groups.

      Info-Tech provides a few sample industry services (without their functional group) to give an idea of what LOB service is specific to these industries. Try to extrapolate from these examples to create LOB services for your business.

      Use Info-Tech’s Sample LOB Services – Functional Group and Sample LOB Services – Industry Specific documents.

      This is a screenshot of Info-Tech's Functional Group Services

      Info-Tech Insight

      Keep track of which services you either modify or delete. You will have to change the same services in the final Info-Tech deliverable.

      Identify the user group and business activity within each line of business – Business view

      3.1 30-45 minutes per line of business

      Only perform this activity if you have a relationship with the business that can enable you to generate business input on service identifications and definitions.

      In a group of your project participants, repeat the sequence for each LOB.

      1. Brainstorm each user group within the LOB that is creating value for the business by performing functional activities.
      2. Think of what each individual end user must do to create their value. Think of the bigger picture rather than specifics at this point. For example, sales representatives must communicate with clients to create value.
      3. Now that you have each user group and the activities they perform, consider the specifics of how they go about doing that activity. Consider each application they use and how much they use that application. Think of any and all IT services that could occur as a result of that application usage.

      INPUT

      • A collaborative discussion (with a business relationship)

      OUTPUT

      • LOB services defined from the business perspective

      Materials

      • Sticky notes
      • Whiteboard/marker

      Participants

      • Members of the project team
      • Representatives from the LOBs

      Identify the user group and business activity within each line of business – IT view

      3.1 30-45 minutes per application

      Only perform this activity if you cannot generate business input through your relationships, and must begin service definitions with business applications.

      In a group of your project participants, repeat the sequence for each application.

      1. Brainstorm all applications that the business provides through IT. Cross out the ones that provide enterprise services.
      2. In broad terms, think about what the application is accomplishing to create value for the business from IT’s perspective. What are the modules? Is it recording interactions with the clients? Each software can have multiple functionalities.
      3. Narrow down each functionality performed by the application and think about how IT helps deliver that value. Create a name for the service that the users can relate to and understand.
      4. → Optional

      5. Now go beyond the service and think about the business activities. They are always similar to IT’s application functionality, but from the user perspective. How would the user think about what the application’s functionality to accomplish that particular service is? At this point, focus on the service, not the application.
      6. Determine the user groups for each service. This step will help you complete the service record design in phase 4. Keep in mind that multiple user groups may access one service.

      INPUT

      • A collaborative discussion (without a business relationship)

      OUTPUT

      • LOB services defined from the IT perspective

      Materials

      • Sticky notes
      • Whiteboard/marker

      Participants

      • Members of the project team

      You must review your LOB service definitions with the business before deployment

      Coming up with LOB service definitions is challenging for IT because it requires comprehension of all lines of business within the organization as well as direct interaction with the business users.

      After completing the LOB service definitions, IT must talk to the business to ensure all the user groups and business activities are covered and all the features are accurate.

      Here are some tips to reviewing your LOB Service Catalog generated content:

      • If you plan to talk to a business SME, plan ahead to help complete the project in time for rollout.
      • Include a business relationship manager on the project team to facilitate discussion if you do not have an established relationship with the business.

      Sample Meeting Agenda

      Go through the service in batches. Present 5-10 related services to the business first. Start with the service name and then focus on the features.

      In the meeting, discuss whether the service features accurately sum up the business activities, or if there are missing key activities. Also discuss whether certain services should be split up into multiple services or combined into one.

      Organization identifies LOB services using Info-Tech’s methodologies

      CASE STUDY A
      Industry Government
      Source Onsite engagement

      Challenge

      There were many users from different LOBs, and IT provided multiple services to all of them. Tracking them and who had access to what was difficult.

      IT didn’t understand who provided the services (service owner) and who the customers were (business owner) for some of the services.

      Solution

      After identifying the different Lines of Business, they followed the first approach (Business View) for those that IT had sufficient knowledge of in terms of business operations:

      1. Identified lines of business
      2. Identified user groups
      3. Identified business activities

      For the LOBs they weren’t familiar with, they used the IT view method, beginning with the application:

      1. Identified business apps
      2. Deduced the functionalities of each application
      3. Traced the application back to the service and identified the service owner and business owner

      Results

      Through these two methodologies, IT was able to define services according to how the users both perceive and utilize them.

      IT was able to capture all the services it provides to each line of business effectively without too much help from the business representatives.

      By capturing all enterprise services offered to the organization, IT centralized its management of services instead of having scattered request processes.

      Info-Tech helps organization to identify LOB services using the IT View

      CASE STUDY B
      Industry Healthcare
      Source Onsite engagement

      Challenge
      The organization uses a major application containing several modules used by different users for various business activities.

      The challenge was to break down the application into multiple services in a way that makes sense to the business users. Users should be able to find services specific to them easily.

      Therefore, the project team must understand how to map the modules to different services and user groups.


      Solution
      The project team identified the major lines of business and took various user groups such as nurses and doctors, figured out their daily tasks that require IT services, and mapped each user-facing service to the functionality of the application.

      The project team then went back to the application to ensure all the modules and functionalities within the application were accounted for. This helped to ensure that services for all user groups were covered and prepared to be released in the catalog.


      Results
      Once the project team had come up with a comprehensive list of services for each line of business, they were able to sit with the business and review the services.

      IT was also able to use this opportunity to demonstrate all the services it provides. Having all the LOB services demonstrates IT has done its preparation and can show the value they help create for the business in a language the users can understand. The end result was a strengthened relationship between the business and the IT department.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts

      This is a picture of an Info-Tech Analyst

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.
      The following are sample activities that will be conducted by Info-Tech analysts with your team:
      3.1 this image contains a screenshot from section 3.1 of this blueprint.

      Understand what Line of Business services are

      The onsite analysts will provide a clear distinction between enterprise services and LOB services. The analysts will also articulate the importance of validating LOB services with the business.

      3.2 this image contains a screenshot from section 3.2 of this blueprint.

      Identify LOB services using the business’ view

      There are two methods for coming up with LOB services. If IT has comprehensive knowledge of the business, they can identify the services by outlining the user groups and their business activities.

      3.3 This image contains a screenshot from section 3.3 of this blueprint.

      Identify LOB services using IT’s view

      If IT does not understand the business and cannot obtain business input, Info-Tech’s analysts will present the second method, which allows IT to identify services with more comfortability through business applications/systems.

      3.4 This image contains a screenshot from section 3.4 of this blueprint.

      Categorize the LOB services into functional groups

      The analysts will help the project team categorize the LOB services based on user groups or functional departments.

      PHASE 4

      Complete Service Definitions

      Design & Build a User-Facing Service Catalog

      Step 4: Complete service definitions and service record design

      1. Complete the Project Charter
      2. Create Enterprise Services Definitions
      3. Create Line of Business Services Definitions
      4. Complete Service Definitions

      This step will walk you through the following activities:

      • Select which fields of information you would like to include in your service catalog design.
      • Determine which fields should be kept internal for IT use only.
      • Complete the service record design with business input if possible.

      Step Insights

      • Don’t overcomplicate the service record design. Only include the pieces of information the users really need to see.
      • Don’t publish anything that you don’t want to be held accountable for. If you are not ready, keep the metrics and costs internal.
      • It is crucial to designate a facilitator and a decision maker so confusions and disagreements regarding service definitions can be resolved efficiently.

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 4: Complete service definitions
      Proposed Time to Completion (in weeks): 4 weeks

      Step 4.1: Design service record

      Step 4.2: Complete service definitions

      Start with an analyst kick off call:

      • Review Info-Tech’s sample service record and determine which fields to add/change/delete.
      • Determine which fields should be kept internal.

      Review findings with analyst:

      • Complete all fields in the service record for each identified service.

      Then complete these activities…

      • Finalize the design of the service record and bring over enterprise services and LOB services.

      Then complete these activities…

      • Test the service definitions with business users prior to catalog implementation.

      With these tools & templates: Service

      Services Definition Chart

      With these tools & templates:

      Services Definition Chart

      Utilize Info-Tech’s Services Definition Chart to map out your final service catalog design

      Info-Tech’s Sample Services Definition Chart

      Info-Tech has provided a sample Services Definition Chart with standard service definitions and pre-populated fields. It is up to you throughout this step to decide which fields are necessary to your business users, as well as how much detail you wish to include in each of them.

      This image contains a screenshot from Info-Tech's Services Definition Chart.

      Info-Tech Insight

      Keep track of which services you either modify or delete. You will have to change the same services in the final Info-Tech deliverable.

      Tips and techniques for service record design

      The majority of the fields in the service catalog are user facing, which means they must be written in business language that the users can understand.

      If there is any confusion or disagreement in filling out the fields, a facilitator is required to lead the working groups in coming up with a definitive answer. If a decision is still not reached, it should be escalated to the decision maker (usually the service owner).

      IT-Facing Fields

      There are IT facing fields that should not be published to the business users – they are for the benefit of IT. For example, you may want to keep Performance Metrics internal to IT until you are ready to discuss it with the business.

      If the organization is interested in creating a Technical Service Catalog following this initiative, these fields will provide a helpful starting place for IT to identify the people, process, and technology required to support user-facing services.

      Info-Tech Insight

      It is important for IT-facing fields to be kept internal. If business users are having trouble with a service and the service owner’s name is available to them, they will phone them for support even if they are not the support owner.

      Design your service catalog with business input: have the user in mind

      When completing the service record, adopt the principle that “Less is More.” Keep it simple and write the service description from the user’s perspective, without IT language. From the list below, pick which fields of information are important to your business users.

      What do the users need to access the service quickly and with minimal assistance?

      The depicted image contains an example of an analysis of what users need to access the service quickly and with minimal assistance. The contents are as follows. Under Service Overview, Name; Description; Features; Category; and Supporting Services. Under Owners, are Service Owner; Business Owner. Under Access Policies and Procedures, are Authorized Users; Request Process; Approval Requirements/Process; Turnaround Time; User Responsibility. Under Availability and Service Levels are Support Hours; Hours of Availability; Planned Downtime; and Metrics. Under Support Policies & Procedures are Support Process; Support Owner; Support Documentation. Under Costs are Internal Cost; Customer Cost. The items which are IT Facing are coloured Red. These include Supporting Services; Service Owner; Business Owner; Metrics; Support Owner; and Internal Cost.

      Identify service overview

      “What information must I have in each service record? What are the fundamentals required to define a service?”

      Necessary Fields – Service Description:

      • Service name → a title for the service that gives a hint of its purpose.
      • Service description → what the service does and expected outcomes.
      • Service features → describe functionality of the service.
      • Service category → an intuitive way to group the service.
      • Support services → applications/systems required to support the service.

      Description: Delivers electronic messages to and from employees.

      Features:

      • Desk phone
      • Teleconference phones (meeting rooms)
      • Voicemail
      • Recover deleted voicemails
      • Team line: call rings multiple phones/according to call tree
      • Employee directory
      • Caller ID, Conference calling

      Category: Communications

      This image contains an example of a Service overview table. The headings are: Description; Features; Category; Supporting Services (Systems, Applications).

      Identify owners

      Who is responsible for the delivery of the service and what are their roles?

      Service Owner and Business Owner

      Service owner → the IT member who is responsible and accountable for the delivery of the service.

      Business owner → the business partner of the service owner who ensures the provided service meets business needs.

      Example: Time Entry

      Service Owner: Manager of Business Solutions

      Business Owner: VP of Human Resources

      This image depicts a blank table with the headings Service Owner, and Business Owner

      Info-Tech Insight

      For enterprise services that are used by almost everyone in the organization, the business owner is the CIO.

      Identify access policies and procedures

      “Who is authorized to access this service? How do they access it?”

      Access Policies & Procedures

      Authorized users → who can access the service.

      Request process → how to request access to the service.

      Approval requirement/process → what the user needs to have in place before accessing the service.

      Example: Guest Wi-Fi

      Authorized Users: All people on site not working for the company

      Request Process: Self-Service through website for external visitors

      Approval Requirement/Process: N/A

      This image depicts a blank table with the headings: Authorized Users; Request Process; Approval Requirement/Process

      Info-Tech Insight

      Clearly defining how to access a service saves time and money by decreasing calls to the service desk and getting users up and running faster. The result is higher user productivity.

      Identify access policies and procedures

      “Who is authorized to access this service? How do they access it?”

      Access Policies & Procedures

      Requirements & pre-requisites → details of what must happen before a service can be provided.

      Turnaround time → how much time it will take to grant access to the service.

      User responsibility → What the user is expected to do to acquire the service.

      Example: Guest Wi-Fi

      Requirements & Pre-requisites: Disclaimer of non-liability and acceptance

      Turnaround time: Immediate

      User Responsibility: Adhering to policies outlined in the disclaimer

      This image depicts a blank table with the headings: Authorized Users; Request Process; Approval Requirement/Process

      Info-Tech Insight

      Clearly defining how to access a service saves time and money by decreasing calls to the service desk and getting users up and running faster. The result is higher user productivity.

      Identify availability and service levels

      “When is this service available to users? What service levels can the user expect?”

      Availability & Service Levels

      Support hours → what days/times is this service available to users?

      Hours of availability/planned downtime → is there scheduled downtime for maintenance?

      Performance metrics → what level of performance can the user expect for this service?

      Example: Software Provisioning

      Support Hours: Standard business hours

      Hours of Availability/Planned Downtime: Standard business hours; can be agreed to work beyond operating hours either earlier or later

      Performance Metrics: N/A

      This image depicts a blank table with the headings: Support hours; Hours of availability/planned downtime; Performance Metrics.

      Info-Tech Insight

      Manage user expectations by clearly documenting and communicating service levels.

      Identify support policies and procedures

      “How do I obtain support for this service?”

      Support Policies & Procedures

      Support process → what is the process for obtaining support for this service?

      Support owner → who can users contact for escalations regarding this service?

      Support documentation → where can users find support documentation for this service?

      Example: Shared Folders

      Support Process: Contact help desk or submit a ticket via portal

      Support Owner: Manager, client support

      Support Documentation: .pdf of how-to guide

      This image depicts a blank table with the headings: Support Process; Support Owner; Support Documentation

      Info-Tech Insight

      Clearly documenting support procedures enables users to get the help they need faster and more efficiently.

      Identify service costs and approvals

      “Is there a cost for this service? If so, how much and who is expensing it?”

      Costs

      Internal Cost → do we know the total cost of the service?

      Customer Cost → a lot of services are provided without charge to the business; however, certain service requests will be charged to a department’s budget.

      Example: Hardware Provisioning

      Internal Cost: For purposes of audit, new laptops will be expensed to IT.

      Customer Cost: Cost to rush order 10 new laptops with retina displays for the graphics team. Charged for extra shipment cost, not for cost of laptop.

      This image depicts a blank table with the headings: Internal Costs; Customer costs

      Info-Tech Insight

      Set user expectations by clearly documenting costs associated with a service and how to obtain approval for these costs if required.

      Complete the service record design fields for every service

      4.1 3 Hours

      This is the final activity to completing the service record design. It has been a long journey to make it here; now, all that is left is completing the fields and transferring information from previous activities.

      1. Organize the services however you think is most appropriate. A common method of organization is alphabetically by enterprise category, and then each LOB functional group.
      2. Determine which fields you would like to keep or edit to be part of your design. Also add any other fields you can think of which will add value to the user or IT. Remember to keep them IT facing if necessary.
      3. Complete the fields for each service one by one. Keep in mind that for some services, a field or two may not apply to the nature of that service and may be left blank or filled with a null value (e.g. N/A).

      INPUT

      • A collaborative discussion

      OUTPUT

      • Completed service record design ready for a catalog

      Materials

      • Info-Tech sample service record design.

      Participants

      • Project stakeholders, business representatives

      Info-Tech Insight

      Don’t forget to delete or bring over the edited LOB and Enterprise services from the phase 2 and 3 deliverables.

      Complete the service definitions and get them ready for publication

      Now that you have completed the first run of service definitions, you can go back and complete the rest of the identified services in batches. You should observe increased efficiency and effectiveness in filling out the service definitions.

      This image depicts how you can use bundles to simplify the process of catalog design using bundles. The cycle includes the steps: Identify Services; Select a Service Bundle; Review Record Design; followed by a cycle of: Pick a service; Service X; Service Data Collection; Create Service Record, followed by Publish the bundle; Communicate the bundle; Rinse and Repeat.

      This blueprint’s purpose is to help you design a service catalog. There are a number of different platforms to build the catalog offered by application vendors. The sophistication of the catalog depends on the size of your business. It may be as simple as an Excel book, or something as complex as a website integrated with your service desk.

      Determine how you want to publish the service catalog

      There are various levels of maturity to consider when you are thinking about how to deploy your service catalog.

      1. Website/User Portal 2. Catalog Module Within ITSM Tool

      3. Homegrown Solution

      Prerequisite

      An internet website, or a user portal

      An existing ITSM tool with a built-in service catalog module

      Database development capabilities

      Website development capabilities

      Pros

      Low cost

      Low effort

      Easy to deploy

      Customized solution tailored for the organization

      High flexibility regarding how the service catalog is published

      Cons

      Not aesthetically appealing

      Lacking sophistication

      Difficult to customize to organization’s needs

      Limitation on how the service catalog info is published

      High effort

      High cost

      → Maturity Level →

      Organization uses the service catalog to outline IT’s and users’ responsibilities

      CASE STUDY A
      Industry Government
      Source Onsite engagement

      Challenge

      The client had collected a lot of good information, but they were not sure about what to include to ensure the users could understand the service clearly.

      They were also not sure what to keep internal so the service catalog did not increase IT’s workload. They want to help the business, but not appear as if they are capable of solving everything for everyone immediately. There was a fear of over-commitment.

      Solution

      The government created a Customer Responsibility field for each service, so it was not just IT who was providing solutions. Business users needed to understand what they had to do to receive some services.

      The Service Owner and Business Owner fields were also kept internal so users would go through the proper request channel instead of calling Service Owners directly.

      Lastly, the Performance Metrics field was kept internal until IT was ready to present service metrics to the business.

      Results

      The business was provided clarity on their responsibility and what was duly owed to them by IT staff. This established clear boundaries on what was to be expected of IT services projected into the future.

      The business users knew what to do and how to obtain the services provided to them. In the meantime, they didn’t feel overwhelmed by the amount of information provided by the service catalog.

      Organization leverages the service catalog as a tool to define IT workflows and business processes

      CASE STUDY B
      Industry Healthcare
      Source Onsite engagement

      Challenge

      There is a lack of clarity and a lack of agreement between the client’s team members regarding the request/approval processes for certain services. This was an indication that there is a level of ambiguity around process. Members were not sure what was the proper way to access a service and could not come up with what to include in the catalog.

      Different people from different teams had different ways of accessing services. This could be true for both enterprise and LOB services.

      Solution

      The Info-Tech analyst facilitated a discussion about workflows and business processes.

      In particular, the discussion focused around the approval/authorization process, and IT’s workflows required to deliver the service. The Info-Tech analyst on site walked the client through their different processes to determine which one should be included in the catalog.

      Results

      The discussion brought clarity to the project team around both IT and business process. Using this new information, IT was able to communicate to the business better, and create consistency for IT and the users of the catalog.

      The catalog design was a shared space where IT and business users could confer what the due process and responsibilities were from both sides. This increased accountability for both parties.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts

      this is a picture of an Info-Tech Analyst

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.
      The following are sample activities that will be conducted by Info-Tech analysts with your team:
      4.1 this image contains a screenshot from section 4.1 of this blueprint.

      Determine which fields should be included in the record design

      The analysts will present the sample service definitions record and facilitate a discussion to customize the service record so unique business needs are captured.

      4.2 this image contains a screenshot from section 4.2.1 of this blueprint.

      Determine which fields should be kept internal

      The onsite analysts will explain why certain fields are used but not published. The analysts will help the team determine which fields should be kept internal.

      4.3 this image contains a screenshot from section 4.3 of this blueprint.

      Complete the service definitions

      The Info-Tech analysts will help the group complete the full service definitions. This exercise will also provide the organization with a clear understanding of IT workflows and business processes.

      Summary of accomplishment

      Knowledge Gained

      • Understanding why it is important to identify and define services from the user’s perspective.
      • Understand the differences between enterprise services and line of business services.
      • Distinguish service features from services.
      • Involve the business users to define LOB services using either IT’s view or LOB’s view.

      Processes Optimized

      • Enterprise services identification and documentation.
      • Line of business services identification and documentation.

      Deliverables Completed

      • Service catalog project charter
      • Enterprise services definitions
      • Line of business service definitions – functional groups
      • Line of business service definitions – industry specific
      • Service definition chart

      Project step summary

      Client Project: Design and Build a User-Facing Service Catalog

      1. Launch the Project – Maximize project success by assembling a well-rounded team and managing all important stakeholders.
      2. Identify Enterprise Services – Identify services that are used commonly across the organization and categorize them in a user-friendly way.
      3. Identify Line of Business Services – Identify services that are specific to each line of business using one of two Info-Tech methodologies.
      4. Complete the Service Definitions – Determine what should be presented to the users and complete the service definitions for all identified services.

      Info-Tech Insight

      This project has the ability to fit the following formats:

      • Onsite workshop by Info-Tech Research Group consulting analysts.
      • Do-it-yourself with your team.
      • Remote delivery (Info-Tech Guided Implementation).

      Related Info-Tech research

      Establish a Service-Based Costing Model

      Develop the right level of service-based costing capability by applying our methodology.

      Define Your Cloud Vision

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      • Parent Category Name: Cloud Strategy
      • Parent Category Link: /cloud-strategy

      The cloud permeates the enterprise technology discussion. It can be difficult to separate the hype from the value. Should everything go to the cloud, or is that sentiment stoked by vendors looking to boost their bottom lines? Not everything should go to the cloud, but coming up with a systematic way to determine what belongs where is increasingly difficult as offerings get more complex.

      Our Advice

      Critical Insight

      Don’t think about the cloud as an inevitable next step for all workloads. The cloud is merely another tool in the toolbox, ready to be used when appropriate and put away when it’s not needed. Cloud-first isn’t always the way to go.

      Impact and Result

      • Evaluate workloads’ suitability for the cloud using Info-Tech’s methodology to select the optimal migration (or non-migration) path based on the value of cloud characteristics.
      • Codify risks tied to workloads’ cloud suitability and plan mitigations.
      • Build a roadmap of initiatives for actions by workload and risk mitigation.
      • Define a cloud vision to share with stakeholders.

      Define Your Cloud Vision Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Define Your Cloud Vision – A step-by-step guide to generating, validating, and formalizing your cloud vision.

      The cloud vision storyboard walks readers through the process of generating, validating and formalizing a cloud vision, providing a framework and tools to assess workloads for their cloud suitability and risk.

      • Define Your Cloud Vision – Phases 1-4

      2. Cloud Vision Executive Presentation – A document that captures the results of the exercises, articulating use cases for cloud/non-cloud, risks, challenges, and high-level initiative items.

      The executive summary captures the results of the vision exercise, including decision criteria for moving to the cloud, risks, roadblocks, and mitigations.

      • Cloud Vision Executive Presentation

      3. Cloud Vision Workbook – A tool that facilitates the assessment of workloads for appropriate service model, delivery model, support model, and risks and roadblocks.

      The cloud vision workbook comprises several assessments that will help you understand what service model, delivery model, support model, and risks and roadblocks you can expect to encounter at the workload level.

      • Cloud Vision Workbook
      [infographic]

      Workshop: Define Your Cloud Vision

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Understand the Cloud

      The Purpose

      Align organizational goals to cloud characteristics.

      Key Benefits Achieved

      An understanding of how the characteristics particular to cloud can support organizational goals.

      Activities

      1.1 Generate corporate goals and cloud drivers.

      1.2 Identify success indicators.

      1.3 Explore cloud characteristics.

      1.4 Explore cloud service and delivery models.

      1.5 Define cloud support models and strategy components.

      1.6 Create state summaries for the different service and delivery models.

      1.7 Select workloads for further analysis.

      Outputs

      Corporate cloud goals and drivers

      Success indicators

      Current state summaries

      List of workloads for further analysis

      2 Assess Workloads

      The Purpose

      Evaluate workloads for cloud value and action plan.

      Key Benefits Achieved

      Action plan for each workload.

      Activities

      2.1 Conduct workload assessment using the Cloud Strategy Workbook tool.

      2.2 Discuss assessments and make preliminary determinations about the workloads.

      Outputs

      Completed workload assessments

      Workload summary statements

      3 Identify and Mitigate Risks

      The Purpose

      Identify and plan to mitigate potential risks in the cloud project.

      Key Benefits Achieved

      A list of potential risks and plans to mitigate them.

      Activities

      3.1 Generate a list of risks and potential roadblocks associated with the cloud.

      3.2 Sort risks and roadblocks and define categories.

      3.3 Identify mitigations for each identified risk and roadblock

      3.4 Generate initiatives from the mitigations.

      Outputs

      List of risks and roadblocks, categorized

      List of mitigations

      List of initiatives

      4 Bridge the Gap and Create the Strategy

      The Purpose

      Clarify your vision of how the organization can best make use of cloud and build a project roadmap.

      Key Benefits Achieved

      A clear vision and a concrete action plan to move forward with the project.

      Activities

      4.1 Review and assign work items.

      4.2 Finalize the decision framework for each of the following areas: service model, delivery model, and support model.

      4.3 Create a cloud vision statement

      Outputs

      Cloud roadmap

      Finalized task list

      Formal cloud decision rubric

      Cloud vision statement

      5 Next Steps and Wrap-Up

      The Purpose

      Complete your cloud vision by building a compelling executive-facing presentation.

      Key Benefits Achieved

      Simple, straightforward communication of your cloud vision to key stakeholders.

      Activities

      5.1 Build the Cloud Vision Executive Presentation

      Outputs

      Completed cloud strategy executive presentation

      Completed Cloud Vision Workbook.

      Further reading

      Define Your Cloud Vision

      Define your cloud vision before it defines you

      Analyst perspective

      Use the cloud’s strengths. Mitigate its weaknesses.

      The cloud isn’t magic. It’s not necessarily cheaper, better, or even available for the thing you want it to do. It’s not mysterious or a cure-all, and it does take a bit of effort to systematize your approach and make consistent, defensible decisions about your cloud services. That’s where this blueprint comes in.

      Your cloud vision is the culmination of this effort all boiled down into a single statement: “This is how we want to use the cloud.” That simple statement should, of course, be representative of – and built from – a broader, contextual strategy discussion that answers the following questions: What should go to the cloud? What kind of cloud makes sense? Should the cloud deployment be public, private, or hybrid? What does a migration look like? What risks and roadblocks need to be considered when exploring your cloud migration options? What are the “day 2” activities that you will need to undertake after you’ve gotten the ball rolling?

      Taken as a whole, answering these questions is difficult task. But with the framework provided here, it’s as easy as – well, let’s just say it’s easier.

      Jeremy Roberts

      Research Director, Infrastructure and Operations

      Info-Tech Research Group

      Executive Summary

      Your Challenge

      • You are both extrinsically motivated to move to the cloud (e.g. by vendors) and intrinsically motivated by internal digital transformation initiatives.
      • You need to define the cloud’s true value proposition for your organization without assuming it is an outsourcing opportunity or will save you money.
      • Your industry, once cloud-averse, is now normalizing the use of cloud services, but you have not established a basic cloud vision from which to develop a strategy at a later point.

      Common Obstacles

      • Organizations jump to the cloud before defining their cloud vision and without any clear plan for realizing the cloud’s benefits.
      • Many organizations have a foot in the cloud already, but these decisions have been made in an ad hoc rather than systematic fashion.
      • You lack a consistent framework to assess your workloads’ suitability for the cloud.

      Info-Tech's Approach

      • Evaluate workloads’ suitability for the cloud using Info-Tech’s methodology to select the optimal migration (or non-migration) path based on the value of cloud characteristics.
      • Codify risks tied to workloads’ cloud suitability and plan mitigations.
      • Build a roadmap of initiatives for actions by workload and risk mitigation.
      • Define a cloud vision to share with stakeholders.

      Info-Tech Insight: 1) Base migration decisions on cloud characteristics. If your justification for the migration is simply getting your workload out of the data center, think again. 2) Address the risks up front in your migration plan. 3) The cloud changes roles and calls for different skill sets, but Ops is here to stay.

      Your challenge

      This research is designed to help organizations who need to:

      • Identify workloads that are good candidates for the cloud.
      • Develop a consistent, cost-effective approach to cloud services.
      • Outline and mitigate risks.
      • Define your organization’s cloud archetype.
      • Map initiatives on a roadmap.
      • Communicate your cloud vision to stakeholders so they can understand the reasons behind a cloud decision and differentiate between different cloud service and deployment models.
      • Understand the risks, roadblocks, and limitations of the cloud.

      “We’re moving from a world where companies like Oracle and Microsoft and HP and Dell were all critically important to a world where Microsoft is still important, but Amazon is now really important, and Google also matters. The technology has changed, but most of the major vendors they’re betting their business on have also changed. And that’s super hard for people..” –David Chappell, Author and Speaker

      Common obstacles

      These barriers make this challenge difficult to address for many organizations:

      • Organizations jump to the cloud before defining their cloud vision and without any clear plan for realizing the cloud’s benefits.
      • Many organizations already have a foot in the cloud, but the choice to explore these solutions was made in an ad hoc rather than systematic fashion. The cloud just sort of happened.
      • The lack of a consistent assessment framework means that some workloads that probably belong in the cloud are kept on premises or with hosted services providers – and vice versa.
      • Securing cloud expertise is remarkably difficult – especially in a labor market roiled by the global pandemic and the increasing importance of cloud services.

      Standard cloud challenges

      30% of all cloud spend is self-reported as waste. Many workloads that end up in the cloud don’t belong there. Many workloads that do belong in the cloud aren’t properly migrated. (Flexera, 2021)

      44% of respondents report themselves as under-skilled in the cloud management space. (Pluralsight, 2021)

      Info-Tech’s approach

      Goals and drivers

      • Service model
        • What type of cloud makes the most sense for workload archetypes? When does it make sense to pick SaaS over IaaS, for example?
      • Delivery model
        • Will services be delivered over the public cloud, a private cloud, or a hybrid cloud? What challenges accompany this decision?
      • Migration Path
        • What does the migration path look like? What does the transition to the cloud look like, and how much effort will be required? Amazon’s 6Rs framework captures migration options: rehosting, repurchasing, replatforming, and refactoring, along with retaining and retiring. Each workload should be assessed for its suitability for one or more of these paths.
      • Support model
        • How will services be provided? Will staff be trained, new staff hired, a service provider retained for ongoing operations, or will a consultant with cloud expertise be brought on board for a defined period? The appropriate support model is highly dependent on goals along with expected outcomes for different workloads.

      Highlight risks and roadblocks

      Formalize cloud vision

      Document your cloud strategy

      The Info-Tech difference:

      1. Determine the hypothesized value of cloud for your organization.
      2. Evaluate workloads with 6Rs framework.
      3. Identify and mitigate risks.
      4. Identify cloud archetype.
      5. Plot initiatives on a roadmap.
      6. Write action plan statement and goal statement.

      What is the cloud, how is it deployed, and how is service provided?

      Cloud Characteristics

      1. On-demand self-service: the ability to access reosurces instantly without vendor interaction
      2. Broad network access: all services delivered over the network
      3. Resource pooling: multi-tenant environment (shared)
      4. Rapid elasticity: the ability to expand and retract capabilities as needed
      5. Measured service: transparent metering

      Service Model:

      1. Software-as-a-Service: all but the most minor configuration is done by the vendor
      2. Platform-as-a-Service: customer builds the application using tools provided by the provider
      3. Infrastructure-as-a-Service: the customer manages OS, storage, and the application

      Delivery Model

      1. Public cloud: accessible to anyone over the internet; multi-tenant environment
      2. Private cloud: provisioned for a single organization with multiple units
      3. Hybrid cloud: two or more connected clouds; data is portage across them
      4. Community cloud: provisioned for a specific group of organizations

      (National Institute of Standards and Technology)

      A workload-first approach will allow you to take full advantage of the cloud’s strengths

      • Under all but the most exceptional circumstances, good cloud strategies will incorporate different service models. Very few organizations are “IaaS shops” or “SaaS shops,” even if they lean heavily in one direction.
      • These different service models (including non-cloud options like colocation and on-premises infrastructure) each have different strengths. Part of your cloud strategy should involve determining which of the services makes the most sense for you.
      • Own the cloud by understanding which cloud (or non-cloud!) offering makes the most sense for you given your unique context.

      Migration paths

      In a 2016 blog post, Amazon introduced a framework for understanding cloud migration strategies. The framework presented here is slightly modified – including a “relocate” component rather than a “retire” component – but otherwise hews close to the standard.

      These migration paths reflect organizational capabilities and desired outcomes in terms of service models – cloud or otherwise. Retention means keeping the workload where it is, in a datacenter or a colocation service, or relocating to a colocation or hosted software environment. These represent the “non-cloud” migration paths.

      In the graphic on the right, the paths within the red box lead to the cloud. Rehosting means lifting and shifting to an infrastructure environment. Migrating a virtual machine from your VMware environment on premises to Azure Virtual machines is a quick way to realize some benefits from the cloud. Migrating from SQL Server on premises to a cloud-based SQL solution looks a bit more like changing platforms (replatforming). It involves basic infrastructure modification without a substantial architectural component.

      Refactoring is the most expensive of the options and involves engaging the software development lifecycle to build a custom solution, fundamentally rewriting the solution to be cloud native and take advantage of cloud-native architectures. This can result in a PaaS or an IaaS solution.

      Finally, repurchasing means simply going to market and procuring a new solution. This may involve migrating data, but it does not require the migration of components.

      Migration Paths

      Retain (Revisit)

      • Keep the application in its current form, at least for now. This doesn’t preclude revisiting it in the future.

      Relocate

      • Move the workload between datacenters or to a hosted software/colocation provider.

      Rehost

      • Move the application to the cloud (IaaS) and continue to run it in more or less the same form as it currently runs.

      Replatform

      • Move the application to the cloud and perform a few changes for cloud optimizations.

      Refactor

      • Rewrite the application, taking advantage of cloud-native architectures.

      Repurchase

      • Replace with an alternative, cloud-native application and migrate the data.

      Support model

      Support models by characteristic

      Duration of engagement Specialization Flexibility
      Internal IT Indefinite Varies based on nature of business Fixed, permanent staff
      Managed Service Provider Contractually defined General, some specialization Standard offering
      Consultant Project-based Specific, domain-based Entirely negotiable

      IT services, including cloud services, can be delivered and managed in multiple ways depending on the nature of the workload and the organization’s intended path forward. Three high-level options are presented here and may be more or less valuable based on the duration of the expected engagement with the service (temporary or permanent), the skills specialization required, and the flexibility necessary to complete the job.

      By way of example, a highly technical, short-term project with significant flexibility requirements might be a good fit for an expensive consultant, whereas post-implementation maintenance of a cloud email system requires relatively little specialization and flexibility and would therefore be a better fit for internal management.

      There is no universally applicable rule here, but there are some workloads that are generally a good fit for the cloud and others that are not as effective, with that fit being conditional on the appropriate support model being employed.

      Risks, roadblocks, and strategy components

      No two cloud strategies are exactly alike, but all should address 14 key areas. A key step in defining your cloud vision is an assessment of these strategy components. Lower maturity does not preclude an aggressive cloud strategy, but it does indicate that higher effort will be required to make the transition.

      Component Description Component Description
      Monitoring What will system owners/administrators need visibility into? How will they achieve this? Vendor Management What practices must change to ensure effective management of cloud vendors?
      Provisioning Who will be responsible for deploying cloud workloads? What governance will this process be subject to? Finance Management How will costs be managed with the transition away from capital expenditure?
      Migration How will cloud migrations be conducted? What best practices/standards must be employed? Security What steps must be taken to ensure that cloud services meet security requirements?
      Operations management What is the process for managing operations as they change in the cloud? Data Controls How will data residency, compliance, and protection requirements be met in the cloud?
      Architecture What general principles must apply in the cloud environment? Skills and roles What skills become necessary in the cloud? What steps must be taken to acquire those skills?
      Integration and interoperability How will services be integrated? What standards must apply? Culture and adoption Is there a cultural aversion to the cloud? What steps must be taken to ensure broad cloud acceptance?
      Portfolio Management Who will be responsible for managing the growth of the cloud portfolio? Governing bodies What formal governance must be put in place? Who will be responsible for setting standards?

      Cloud archetypes – a cloud vision component

      Once you understand the value of the cloud, your workloads’ general suitability for cloud, and your proposed risks and mitigations, the next step is to define your cloud archetype.

      Your organization’s cloud archetype is the strategic posture that IT adopts to best support the organization’s goals. Info-Tech’s model recognizes seven archetypes, divided into three high-level archetypes.

      After consultation with your stakeholders, and based on the results of the suitability and risk assessment activities, define your archetype. The archetype feeds into the overall cloud vision and provides simple insight into the cloud future state for all stakeholders.

      The cloud vision itself is captured in a “vision statement,” a short summary of the overall approach that includes the overall cloud archetype.

      We can best support the organization's goals by:

      More Cloud

      Less Cloud

      Cloud Focused Cloud-Centric Providing all workloads through cloud delivery.
      Cloud-First Using the cloud as our default deployment model. For each workload, we should ask “why NOT cloud?”
      Cloud Opportunistic Hybrid Enabling the ability to transition seamlessly between on-premises and cloud resources for many workloads.
      Integrated Combining cloud and traditional infrastructure resources, integrating data and applications through APIs or middleware.
      Split Using the cloud for some workloads and traditional infrastructure resources for others.
      Cloud Averse Cloud-Light Using traditional infrastructure resources and limiting our use of the cloud to when it is absolutely necessary.
      Anti-Cloud Using traditional infrastructure resources and avoiding use of the cloud wherever possible.

      Info-Tech’s methodology for defining your cloud vision

      1. Understand the Cloud 2. Assess Workloads 3. Identify and Mitigate Risks 4. Bridge the Gap and Create the Vision
      Phase Steps
      1. Generate goals and drivers
      2. Explore cloud characteristics
      3. Create a current state summary
      4. Select workloads for analysis
      1. Conduct workload assessments
      2. Determine workload future state
      1. Generate risks and roadblocks
      2. Mitigate risks and roadblocks
      3. Define roadmap initiatives
      1. Review and assign work items
      2. Finalize cloud decision framework
      3. Create cloud vision
      Phase Outcomes
      1. List of goals and drivers
      2. Shared understanding of cloud terms
      3. Current state of cloud in the organization
      4. List of workloads to be assessed
      1. Completed workload assessments
      2. Defined workload future state
      1. List of risks and roadblocks
      2. List of mitigations
      3. Defined roadmap initiatives
      1. Cloud roadmap
      2. Cloud decision framework
      3. Completed Cloud Vision Executive Presentation

      Insight summary

      The cloud may not be right for you – and that’s okay!

      Don’t think about the cloud as an inevitable next step for all workloads. The cloud is merely another tool in the toolbox, ready to be used when appropriate and put away when it’s not needed. Cloud first isn’t always the way to go.

      Not all clouds are equal

      It’s not “should I go to the cloud?” but “what service and delivery models make sense based on my needs and risk tolerance?” Thinking about the cloud as a binary can force workloads into the cloud that don’t belong (and vice versa).

      Bottom-up is best

      A workload assessment is the only way to truly understand the cloud’s value. Work from the bottom up, not the top down, understand what characteristics make a workload cloud suitable, and strategize on that basis.

      Your accountability doesn’t change

      You are still accountable for maintaining available, secure, functional applications and services. Cloud providers share some responsibility, but the buck stops where it always has: with you.

      Don’t customize for the sake of customization

      SaaS providers make money selling the same thing to everyone. When migrating a workload to SaaS, work with stakeholders to pursue standardization around a selected platform and avoid customization where possible.

      Best of both worlds, worst of both worlds

      Hybrid clouds are in fashion, but true hybridity comes with additional cost, administration, and other constraints. A convoy moves at the speed of its slowest member.

      The journey matters as much as the destination

      How you get there is as important as what “there” actually is. Any strategy that focuses solely on the destination misses out on a key part of the value conversation: the migration strategy.

      Blueprint benefits

      Cloud Vision Executive Presentation

      This presentation captures the results of the exercises and presents a complete vision to stakeholders including a desired target state, a rubric for decision making, the results of the workload assessments, and an overall risk profile.

      Cloud Vision Workbook

      This workbook includes the standard cloud workload assessment questionnaire along with the results of the assessment. It also includes the milestone timeline for the implementation of the cloud vision.

      Blueprint benefits

      IT Benefits

      • A consistent approach to the cloud takes the guesswork out of deployment decisions and makes it easier for IT to move on to the execution stage.
      • When properly incorporated, cloud services come with many benefits, including automation, elasticity, and alternative architectures (micro-services, containers). The cloud vision project will help IT readers articulate expected benefits and work towards achieving them.
      • A clear framework for incorporating organizational goals into cloud plans.

      Business benefits

      • Simple, well-governed access to high-quality IT resources.
      • Access to the latest and greatest in technology to facilitate remote work.
      • Framework for cost management in the cloud that incorporates OpEx and chargebacks/showbacks. A clear understanding of expected changes to cost modeling is also a benefit of a cloud vision.
      • Clarity for stakeholders about IT’s response (and contribution to) IT strategic initiatives.

      Measure the value of this blueprint

      Don’t take our word for it:

      • The cloud vision material in various forms has been offered for several years, and members have generally benefited substantially, both from cloud vision workshops and from guided implementations led by analysts.
      • After each engagement, we send a survey that asks members how they benefited from the experience. Of 30 responses, the cloud vision research has received an average score of 9.8/10. Real members have found significant value in the process.
      • Additionally, members reported saving between 2 and 120 days (for an average of 17), and financial savings ranged from $1,920 all the way up to $1.27 million, for an average of $170,577.90! If we drop outliers on both ends, the average reported value of a cloud vision engagement is $37, 613.
      • Measure the value by calculating the time saved from using Info-Tech’s framework vs. a home-brewed cloud strategy alternative and by comparing the overall cost of a guided implementation or workshop with the equivalent offering from another firm. We’re confident you’ll come out ahead.

      9.8/10 Average reported satisfaction

      17 Days Average reported time savings

      $37, 613 Average cost savings (adj.)

      Executive Brief Case Study

      Industry: Financial

      Source: Info-Tech workshop

      Anonymous financial institution

      A small East Coast financial institution was required to develop a cloud strategy. This strategy had to meet several important requirements, including alignment with strategic priorities and best practices, along with regulatory compliance, including with the Office of the Comptroller of the Currency.

      The bank already had a significant cloud footprint and was looking to organize and formalize the strategy going forward.

      Leadership needed a comprehensive strategy that touched on key areas including the delivery model, service models, individual workload assessments, cost management, risk management and governance. The output had to be consumable by a variety of audiences with varying levels of technical expertise and had to speak to IT’s role in the broader strategic goals articulated earlier in the year.

      Results

      The bank engaged Info-Tech for a cloud vision workshop and worked through four days of exercises with various IT team members. The bank ultimately decided on a multi-cloud strategy that prioritized SaaS while also allowing for PaaS and IaaS solutions, along with some non-cloud hosted solutions, based on organizational circumstances.

      Bank cloud vision

      [Bank] will provide innovative financial and related services by taking advantage of the multiplicity of best-of-breed solutions available in the cloud. These solutions make it possible to benefit from industry-level innovations, while ensuring efficiency, redundancy, and enhanced security.

      Bank cloud decision workflow

      • SaaS
        • Platform?
          • Yes
            • PaaS
          • No
            • Hosted
          • IaaS
            • Other

      Non-cloud

      Cloud

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      "Our team has already made this crticial project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      Guided Implementation

      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track."

      Workshop

      "We need to hit the ground running and get this project kicked off imediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting

      "Our team does not have the time or the knowledge the take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      What does a typical GI on this topic look like?

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is between 8 to 12 calls over the course of 4 to 6 months.

      Phase 1

      • Call #1: Discuss current state, challenges, etc.
      • Call #2: Goals, drivers, and current state.

      Phase 2

      • Call #3: Conduct cloud suitability assessment for selected workloads.

      Phase 3

      • Call #4: Generate and categorize risks.
      • Call #5: Begin the risk mitigation conversation.

      Phase 4

      • Call #6: Complete the risk mitigation process
      • Call #7: Finalize vision statement and cloud decision framework.

      Workshop Overview

      Contact your account representative for more information.

      workshops@infotech.com 1-888-670-8889

      Day 1 Day 2 Day 3 Day 4 Offsite day
      Understand the cloud Assess workloads Identify and mitigate risks Bridge the gap and create the strategy Next steps and wrap-up (offsite)
      Activities

      1.1 Introduction

      1.2 Generate corporate goals and cloud drivers

      1.3 Identify success indicators

      1.4 Explore cloud characteristics

      1.5 Explore cloud service and delivery models

      1.6 Define cloud support models and strategy components

      1.7 Create current state summaries for the different service and delivery models

      1.8 Select workloads for further analysis

      2.1 Conduct workload assessments using the cloud strategy workbook tool

      2.2 Discuss assessments and make preliminary determinations about workloads

      3.1 Generate a list of risks and potential roadblocks associated with the cloud

      3.2 Sort risks and roadblocks and define categories

      3.3 Identify mitigations for each identified risk and roadblock

      3.4 Generate initiatives from the mitigations

      4.1 Review and assign work items

      4.2 Finalize the decision framework for each of the following areas:

      • Service model
      • Delivery model
      • Support model

      4.3 Create a cloud vision statement

      5.1 Build the Cloud Vision Executive Presentation
      Deliverables
      1. Corporate goals and cloud drivers
      2. Success indicators
      3. Current state summaries
      4. List of workloads for further analysis
      1. Completed workload assessments
      2. Workload summary statements
      1. List of risks and roadblocks, categorized
      2. List of mitigations
      3. List of initiatives
      1. Finalized task list
      2. Formal cloud decision rubric
      3. Cloud vision statement
      1. Completed cloud strategy executive presentation
      2. Completed cloud vision workbook

      Understand the cloud

      Build the foundations of your cloud vision

      Phase 1

      Phase 1

      Understand the Cloud

      Phase 1

      1.1 Generate goals and drivers

      1.2 Explore cloud characteristics

      1.3 Create a current state summary

      1.4 Select workloads for analysis

      Phase 2

      2.1 Conduct workload assessments

      2.2 Determine workload future states

      Phase 3

      3.1 Generate risks and roadblocks

      3.2 Mitigate risks and roadblocks

      3.3 Define roadmap initiatives

      Phase 4

      4.1 Review and assign work items

      4.2 Finalize cloud decision framework

      4.3 Create cloud vision

      This phase will walk you through the following activities:

      1.1.1 Generate organizational goals

      1.1.2 Define cloud drivers

      1.1.3 Define success indicators

      1.3.1 Record your current state

      1.4.1 Select workloads for further assessment

      This phase involves the following participants:

      IT management, the core working group, security, infrastructure, operations, architecture, engineering, applications, non-IT stakeholders.

      It starts with shared understanding

      Stakeholders must agree on overall goals and what “cloud” means

      The cloud is a nebulous term that can reasonably describe services ranging from infrastructure as a service as delivered by providers like Amazon Web Services and Microsoft through its Azure platform, right up to software as a service solutions like Jira or Salesforce. These solutions solve different problems – just because your CRM would be a good fit for a migration to Salesforce doesn’t mean the same system would make sense in Azure or AWS.

      This is important because the language we use to talk about the cloud can color our approach to cloud services. A “cloud-first” strategy will mean something different to a CEO with a concept of the cloud rooted in Salesforce than it will to a system administrator who interprets it to mean a transition to cloud-hosted virtual machines.

      Add to this the fact that not all cloud services are hosted externally by providers (public clouds) and the fact that multiple delivery models can be engaged at once through hybrid or multi-cloud approaches, and it’s apparent that a shared understanding of the cloud is necessary for a coherent strategy to take form.

      This phase proceeds in four steps, each governed by the principle of shared understanding. The first requires a shared understanding of corporate goals and drivers. Step 2 involves coming to a shared understanding of the cloud’s unique characteristics. Step 3 requires a review of the current state. Finally, in Step 4, participants will identify workloads that are suitable for analysis as candidates for the cloud.

      Step 1.1

      Generate goals and drivers

      Activities

      1.1.1 Define organizational goals

      1.1.2 Define cloud drivers

      1.1.3 Define success indicators

      Generate goals and drivers

      Explore cloud characteristics

      Create a current state summary

      Select workloads for analysis

      This step involves the following participants:

      • IT management
      • Core working group
      • Security
      • Applications
      • Infrastructure
      • Service management
      • Leadership

      Outcomes of this step

      • List of organizational goals
      • List of cloud drivers
      • Defined success indicators

      What can the cloud do for you?

      The cloud is not valuable for its own sake, and not all users derive the same value

      • The cloud is characterized by on-demand self-service, broad network access, resource pooling, rapid elasticity, and measured service. Any or all of those characteristics might be enough to make the cloud appealing, but in most cases, there is an overriding driver.
      • Multiple paths may lead to the cloud. Consider an organization with a need to control costs by showing back to business units, or perhaps by reducing capital expenditure – the cloud may be the most appropriate way to effect these changes. Conversely, an organization expanding rapidly and with a need to access the latest and greatest technology might benefit from the elasticity and pooled resources that major cloud providers can offer.
      • In these cases, the destination might be the same (a cloud solution) but the delivery model – public, private, or hybrid – and the decisions made around the key strategy components, including architecture, provisioning, and cost management, will almost certainly be different.
      • Defining goals, understanding cloud drivers, and – crucially – understanding what success means, are all therefore essential elements of the cloud vision process.

      1.1.1 Generate organizational goals

      1-3 hours

      Input

      • Strategy documentation

      Output

      • Organizational goals

      Materials

      • Whiteboard (digital/physical)

      Participants

      • IT leadership
      • Infrastructure
      • Applications
      • Security
      1. As a group, brainstorm organizational goals, ideally based on existing documentation
        • Review relevant corporate and IT strategies.
        • If you do not have access to internal documentation, review the standard goals on the next slide and select those that are most relevant for you.
      2. Record the most important business goals in the Cloud Vision Executive Presentation. Include descriptions where possible to ensure wide readability.
      3. Make note of these goals. They should inform the answers to prompts offered in the Cloud Vision Workbook and should be a consistent presence in the remainder of the visioning exercise. If you’re conducting the session in person, leave the goals up on a whiteboard and make reference to them throughout the workshop.

      Cloud Vision Executive Presentation

      Standard COBIT 19 enterprise goals

      1. Portfolio of competitive products and services
      2. Managed business risk
      3. Compliance with external laws and regulations
      4. Quality of financial information
      5. Customer-oriented service culture
      6. Business service continuity and availability
      7. Quality of management information
      8. Optimization of internal business process functionality
      9. Optimization of business process costs
      10. Staff skills, motivation, and productivity
      11. Compliance with internal policies
      12. Managed digital transformation programs
      13. Product and business innovation

      1.1.2 Define cloud drivers

      30-60 minutes

      Input

      • Organizational goals
      • Strategy documentation
      • Management/staff perspective

      Output

      • List of cloud drivers

      Materials

      • Sticky notes
      • Whiteboard
      • Markers

      Participants

      • IT leadership
      • Infrastructure
      • Applications
      • Security
      1. Cloud drivers sit at a level of abstraction below organizational goals. Keeping your organizational goals in mind, have each participant in the session write down how they expect to benefit from the cloud on a sticky note.
      2. Solicit input one at a time and group similar responses. Encourage participants to bring forward their cloud goals even if similar goals have been mentioned previously. The number of mentions is a useful way to gauge the relative weight of the drivers.
      3. Once this is done, you should have a few groups of similar drivers. Work with the group to name each category. This name will be the driver reported in the documentation.
      4. Input the results of the exercise into the Cloud Vision Executive Presentation, and include descriptions based on the constituent drivers. For example, if a driver is titled “do more valuable work,” the constituent drivers might be “build cloud skills,” “focus on core products,” and “avoid administration work where possible.” The description would be based on these components.

      Cloud Vision Executive Presentation

      1.1.3 Define success indicators

      1 hour

      Input

      • Cloud drivers
      • Organizational goals

      Output

      • List of cloud driver success indicators

      Materials

      • Whiteboard
      • Markers

      Participants

      • IT leadership
      • Infrastructure
      • Applications
      • Security
      1. On a whiteboard, draw a table with each of the cloud drivers (identified in 1.1.2) across the top.
      2. Work collectively to generate success indicators for each cloud driver. In this case, a success indicator is some way you can report your progress with the stated driver. It is a real-world proxy for the sometimes abstract phenomena that make up your drivers. Think about what would be true if your driver was realized.
        1. For example, if your driver is “faster access to resources,” you might consider indicators like developer satisfaction, project completion time, average time to provision, etc.
      3. Once you are satisfied with your list of indicators, populate the slide in the Cloud Vision Executive Presentation for validation from stakeholders.

      Cloud Vision Executive Presentation

      Step 1.2

      Explore cloud characteristics

      Activities

      Understand the value of the cloud:

      • Review delivery models
      • Review support models
      • Review service models
      • Review migration paths

      Understand the Cloud

      Generate goals and drivers

      Explore cloud characteristics

      Create a current state summary

      Select workloads for analysis

      This step involves the following participants:

      • Core working group
      • Architecture
      • Engineering
      • Security

      Outcomes of this step

      • Understanding of cloud service models and value

      Defining the cloud

      Per NIST, the cloud has five fundamental characteristics. All clouds have these characteristics, even if they are executed in somewhat different ways between delivery models, service models, and even individual providers.

      Cloud characteristics

      On-demand self-service

      Cloud customers are capable of provisioning cloud resources without human interaction (e.g. contacting sales), generally through a web console.

      Broad network access

      Capabilities are designed to be delivered over a network and are generally intended for access by a wide variety of platform types (cloud services are generally device-agnostic).

      Resource pooling

      Multiple customers (internal, in the case of private clouds) make use of a highly abstracted shared infrastructure managed by the cloud provider.

      Rapid elasticity

      Customers are capable of provisioning additional resources as required, pulling from a functionally infinite pool of capacity. Cloud resources can be spun-down when no longer needed.

      Measured service

      Consumption is metered based on an appropriate unit of analysis (number of licenses, storage used, compute cycles, etc.) and billing is transparent and granular.

      Cloud delivery models

      The NIST definition of cloud computing outlines four cloud delivery models: public, private, hybrid, and community clouds. A community cloud is like a private cloud, but it is provisioned for the exclusive use of a like-minded group of organizations, usually in a mutually beneficial, non-competitive arrangement. Universities and hospitals are examples of organizations that can pool their resources in this way without impacting competitiveness. The Info-Tech model covers three key delivery models – public, private, and hybrid, and an overarching model (multi-cloud) that can comprise more than one of the other models – public + public, public + hybrid, etc.

      Public

      The cloud service is provisioned for access by the general public (customers).

      Private

      A private cloud has the five key characteristics, but is provisioned for use by a single entity, like a company or organization.

      Hybrid

      Hybridity essentially refers to interoperability between multiple cloud delivery models (public +private).

      Multi

      A multi-cloud deployment requires only that multiple clouds are used without any necessary interoperability (Nutanix, 2019).

      Public cloud

      This is what people generally think about when they talk about cloud

      • The public cloud is, well, public! Anyone can make use of its resources, and in the case of the major providers, capacity is functionally unlimited. Need to store exabytes of data in the cloud? No problem! Amazon will drive a modified shipping container to your datacenter, load it up, and “migrate” it to a datacenter.
      • Public clouds offer significant variety on the infrastructure side. Major IaaS providers, like Microsoft and Amazon, offer dozens of services across many different categories including compute, networking, and storage, but also identity, containers, machine learning, virtual desktops, and much, much more. (See a list from Microsoft here, and Amazon here)
      • There are undoubtedly strengths to the public cloud model. Providers offer the “latest and greatest” and customers need not worry about the details, including managing infrastructure and physical locations. Providers offer built-in redundancy, multi-regional deployments, automation tools, management and governance solutions, and a variety of leading-edge technologies that would not be feasible for organizations to run in-house, like high performance compute, blockchain, or quantum computing.
      • Of course, the public cloud is not all sunshine and rainbows – there are downsides as well. It can be expensive; it can introduce regulatory complications to have to trust another entity with your key information. Additionally, there can be performance hiccups, and with SaaS products, it can be difficult to monitor at the appropriate (per-transaction) level.

      Prominent examples include:

      AWS

      Microsoft

      Azure

      Salesforce.com

      Workday

      SAP

      Private cloud

      A lower-risk cloud for cloud-averse customers?

      • A cloud is a cloud, no matter how small. Some IT shops deploy private clouds that make use of the five key cloud characteristics but provisioned for the exclusive use of a single entity, like a corporation.
      • Private clouds have numerous benefits. Some potential cloud customers might be uncomfortable with the shared responsibility that is inherent in the public cloud. Private clouds allow customers to deliver flexible, measured services without having to surrender control, but they require significant overhead, capital expenditure, administrative effort, and technical expertise.
      • According to the 2021 State of the Cloud Report, private cloud use is common, and the most frequently cited toolset is VMware vSphere, followed by Azure Stack, OpenStack, and AWS Outposts. Private cloud deployments are more common in larger organizations, which makes sense given the overhead required to manage such an environment.

      Private cloud adoption

      The images shows a graph titled Private Cloud Adoption for Enterprises. It is a horizontal bar graph, with three segments in each bar: dark blue marking currently use; mid blue marking experimenting; and light blue marking plan to use.

      VMware and Microsoft lead the pack among private cloud customers, with Amazon and Red Hat also substantially present across private cloud environments.

      Hybrid cloud

      The best of both worlds?

      Hybrid cloud architectures combine multiple cloud delivery models and facilitate some level of interoperability. NIST suggests bursting and load balancing as examples of hybrid cloud use cases. Note: it is not sufficient to simply have multiple clouds running in parallel – there must be a toolset that allows for an element of cross-cloud functionality.

      This delivery model is attractive because it allows users to take advantage of the strengths of multiple service models using a single management pane. Bursting across clouds to take advantage of additional capacity or disaster recovery capabilities are two obvious use cases that appeal to hybrid cloud users.

      But while hybridity is all the rage (especially given the impact Covid-19 has had on the workplace), the reality is that any hybrid cloud user must take the good with the bad. Multiple clouds and a management layer can be technically complex, expensive, and require maintaining a physical infrastructure that is not especially valuable (“I thought we were moving to the cloud to get out of the datacenter!”).

      Before selecting a hybrid approach through services like VMware Cloud on AWS or Microsoft’s Azure Stack, consider the cost, complexity, and actual expected benefit.

      Amazon, Microsoft, and Google dominate public cloud IaaS, but IBM is betting big on hybrid cloud:

      The image is a screencap of a tweet from IBM News. The tweet reads: IBM CEO Ginni Rometty: Hybrid cloud is a trillion dollar market and we'll be number one #Think2019.

      With its acquisition of Red Hat in 2019 for $34 billion, Big Blue put its money where its mouth is and acquired a substantial hybrid cloud business. At the time of the acquisition, Red Hat’s CEO, Jim Whitehurst, spoke about the benefit IBM expected to receive:

      “Joining forces with IBM gives Red Hat the opportunity to bring more open source innovation to an even broader range of organizations and will enable us to scale to meet the need for hybrid cloud solutions that deliver true choice and agility” (Red Hat, 2019).

      Multi-cloud

      For most organizations, the multi-cloud is the most realistic option.

      Multi-cloud is popular!

      The image shows a graph titled Multi-Cloud Architectures Used, % of all Respondents. The largest percentage is Apps siloed on different clouds, followed by DAta integration between clouds.

      Multi-cloud solutions exist at a different layer of abstraction from public, private, and even hybrid cloud delivery models. A multi-cloud architecture, as the name suggests, requires the user to be a customer of more than one cloud provider, and it can certainly include a hybrid cloud deployment, but it is not bound by the same rules of interoperability.

      Many organizations – especially those with fewer resources or a lack of a use case for a private cloud – rely on a multi-cloud architecture to build applications where they belong, and they manage each environment separately (or occasionally with the help of cloud management platforms).

      If your data team wants to work in AWS and your enterprise services run on basic virtual machines in Azure, that might be the most effective architecture. As the Flexera 2021 State of the Cloud Report suggests, this architecture is far more common than the more complicated bursting or brokering architectures characteristic of hybrid clouds.

      NIST cloud service models

      Software as a service

      SaaS has exploded in popularity with consumers who wish to avail themselves of the cloud’s benefits without having to manage underlying infrastructure components. SaaS is simple, generally billed per-user per-month, and is almost entirely provider-managed.

      Platform as a service

      PaaS providers offer a toolset for their customers to run custom applications and services without the requirement to manage underlying infrastructure components. This service model is ideal for custom applications/services that don’t benefit from highly granular infrastructure control.

      Infrastructure as a service

      IaaS represents the sale of components. Instead of a service, IaaS providers sell access to components, like compute, storage, and networking, allowing for customers to build anything they want on top of the providers’ infrastructure.

      Cloud service models

      • This research focuses on five key service models, each of which has its own strengths and weaknesses. Moving right from “on-prem,” customers gradually give up more control over their environments to cloud service providers.
      • An entirely premises-based environment means that the customer is responsible for everything ranging from the dirt under the datacenter to application-level configurations. Conversely, in a SaaS environment, the provider is responsible for everything but those top-level application configurations.
      • A managed service provider or other third party can manage any or of the components of the infrastructure stack. A service provider may, for example, build a SaaS solution on top of another provider’s IaaS, or might offer configuration assistance with a commercially available SaaS.

      Info-Tech Insight

      Not all workloads fit well in the cloud. Many environments will mix service models (e.g. SaaS for some workloads, some in IaaS, some on-premises), and this can be perfectly effective. It must be consistent and intentional, however.

      On-prem Co-Lo IaaS PaaS SaaS
      Application Application Application Application Application
      Database Database Database Database Database
      Runtime/ Middleware Runtime/ Middleware Runtime/ Middleware Runtime/ Middleware Runtime/ Middleware
      OS OS OS OS OS
      Hypervisor Hypervisor Hypervisor Hypervisor Hypervisor
      Server Network Storage Server Network Storage Server Network Storage Server Network Storage Server Network Storage
      Facilities Facilities Facilities Facilities Facilities

      Organization has control

      Organization or vendor may control

      Vendor has control

      Analytics folly

      SaaS is good, but it’s not a panacea

      Industry: Healthcare

      Source: Info-Tech workshop

      Situation

      A healthcare analytics provider had already moved a significant number of “non-core workloads” to the cloud, including email, HRIS, and related services.

      The company CEO was satisfied with the reduced effort required by IT to manage SaaS-based workloads and sought to extend the same benefits to the core analytics platform where there was an opportunity to reduce overhead.

      Complication

      Many components of the health analytics service were designed to run specifically in a datacenter and were not ready to be migrated to the cloud without significant effort/refactoring. SaaS was not an option because this was a core platform – a SaaS provider would have been the competition.

      That left IaaS, which was expensive and would not bring the expected benefits (reduced overhead).

      Results

      The organization determined that there were no short-term gains from migrating to the cloud. Due to the nature of the application (its extensive customization, the fact that it was a core product sold by the company) any steps to reduce operational overhead were not feasible.

      The CEO recognized that the analytics platform was not a good candidate for the cloud and what distinguished the analytics platform from more suitable workloads.

      Migration paths

      In a 2016 blog post, Amazon Web Services articulated a framework for cloud migration that incorporates elements of the journey as well as the destination. If workload owners do not choose to retain or retire their workloads, there are four alternatives. These alternatives all stack up differently along five key dimensions:

      1. Value: does the workload stand to benefit from unique cloud characteristics? To what degree?
      2. Effort: how much work would be required to make the transition?
      3. Cost: how much money is the migration expected to cost?
      4. Time: how long will the migration take?
      5. Skills: what skills must be brought to bear to complete the migration?

      Not all migration paths can lead to all destinations. Rehosting generally means IaaS, while repurchasing leads to SaaS. Refactoring and replatforming have some variety of outcomes, and it becomes possible to take advantage of new IaaS architectures or migrate workloads over fully to SaaS.

      As part of the workload assessment process, use the five dimensions (expanded upon on the next slide) to determine what migration path makes sense. Preferred migration paths form an important part of the overall cloud vision process.

      Retain (Revisit)

      • Keep the application in its current form, at least for now. This doesn’t preclude revisiting it in the future.

      Retire

      • Get rid of the application completely.

      Rehost

      • Move the application to the cloud (IaaS) and continue to run it in more or less the same form as it currently runs.

      Replatform

      • Move the application to the cloud and perform a few changes for cloud optimizations.

      Refactor

      • Rewrite the application, taking advantage of cloud native architectures.

      Repurchase

      • Replace with an alternative, cloud-native application and migrate the data.

      Migration paths – relative value

      Migration path Value Effort Cost Time Skills
      Retain No real change in the absolute value of the workload if it is retained. No effort beyond ongoing workload maintenance. No immediate hard dollar costs, but opportunity costs and technical debt abound. No time required! (At least not right away…) Retaining requires the same skills it has always required (which may be more difficult to acquire in the future).
      Rehire A retired workload can provide no value, but it is not a drain! Spinning a service down requires engaging that part of the lifecycle. N/A Retiring the service may be simple or complicated depending on its current role. N/A
      Rehost Some value comes with rehosting, but generally components stay the same (VM here vs. a VM there). Minimal effort required, especially with automated tools. The effort will depend on the environment being migrated. Relatively cheap compared to other options. Rehosting infrastructure is the simplest cloud migration path and is useful for anyone in a hurry. Rehosting is the simplest cloud migration path for most workloads, but it does require basic familiarity with cloud IaaS.

      Replatform

      Replatformed workloads can take advantage of cloud-native services (SQL vs. SQLaaS). Replatforming is more effortful than rehosting, but less effortful than refactoring. Moderate cost – does not require fundamental rearchitecture, just some tweaking. Relatively more complicated than a simple rehost, but less demanding than a refactor. Platform and workload expertise is required; more substantial than a simple rehost.
      Refactor A fully formed, customized cloud-based workload that can take advantage of cloud-native architectures is generally quite valuable. Significant effort required based on the requirement to engage the full SDLC. Significant cost required to engage SDLC and rebuild the application/service. The most complicated and time-consuming. The most complicated and time-consuming.
      Repurchase Repurchasing is the quickest way to achieve cloud-native value. There are compromises, however (high cost, vendor-lock-in). Repurchasing is the quickest way to achieve cloud-native value. There are compromises, however (high cost, vendor-lock-in). Repurchasing is the quickest way to achieve cloud-native value. There are compromises, however (high cost, vendor-lock-in). Configuration – especially for massive projects – can be time consuming, but in general repurchasing can be quite fast. Buying software does require knowledge of requirements and integrations, but is otherwise quite simple.

      Where should you get your cloud skills?

      Cloud skills are certainly top of mind right now. With the great upheaval in both work patterns and in the labor market more generally, expertise in cloud-related areas is simultaneously more valuable and more difficult to procure. According to Pluralsight’s 2021 “State of Upskilling” report, 44% of respondents report themselves under-skilled in the cloud management area, making cloud management the most significant skill gap reported on the survey.

      Everyone left the office. Work as we know it is fundamentally altered for a generation or more. Cloud services shot up in popularity by enabling the transition. And yet there is a gap – a prominent gap – in skilling up for this critically important future. What is the cloud manager to do?

      Per the framework presented here, that manager has three essential options. They may take somewhat different forms depending on specific requirements and the quirks of the local market, but the options are:

      1. Train or hire internal resources: This might be easier said than done, especially for more niche skills, but makes sense for workloads that are critical to operations for the long term.
      2. Engage a managed service provider: MSPs are often engaged to manage services where internal IT lacks bandwidth or expertise.
      3. Hire a consultant: Consultants are great for time-bound implementation projects where highly specific expertise is required, such as a migration or implementation project.

      Each model makes sense to some degree. When evaluating individual workloads for cloud suitability, it is critical to consider the support model – both immediate and long term. What makes sense from a value perspective?

      Cloud decisions – summary

      A key component of the Info-Tech cloud vision model is that it is multi-layered. Not every decision must be made at every level. At the workload level, it makes sense to select service models that make sense, but each workload does not need its own defined vision. Workload-level decisions should be guided by an overall strategy but applied tactically, based on individual workload characteristics and circumstances.

      Conversely, some decisions will inevitably be applied at the environment level. With some exceptions, it is unlikely that cloud customers will build an entire private/hybrid cloud environment around a single solution; instead, they will define a broader strategy and fit individual workloads into that strategy.

      Some considerations exist at both the workload and environment levels. Risks and roadblocks, as well as the preferred support model, are concerns that exist at both the environment level and at the workload level.

      The image is a Venn diagram, with the left side titled Workload level, and the right side titled Environment Level. In the left section are: service model and migration path. On the right section are: Overall vision and Delivery model. In the centre section are: support model and Risks and roadblocks.

      Step 1.3

      Create a current state summary

      Activities

      1.3.1 Record your current state

      Understand the Cloud

      Generate goals and drivers

      Explore cloud characteristics

      Create a current state summary

      Select workloads for analysis

      This step involves the following participants: Core working group

      Outcomes of this step

      • Current state summary of cloud solutions

      1.3.1 Record your current state

      30 minutes

      Input

      • Knowledge of existing cloud workloads

      Output

      • Current state cloud summary for service, delivery, and support models

      Materials

      • Whiteboard

      Participants

      • Core working group
      • Infrastructure team
      • Service owners
      1. On a whiteboard (real or virtual) draw a table with each of the cloud service models across the top. Leave a cell below each to list examples.
      2. Under each service model, record examples present in your environment. The purpose of the exercise is to illustrate the existence of cloud services in your environment or the lack thereof, so there is no need to be exhaustive. Complete this in turn for each service model until you are satisfied that you have created an effective picture of your current cloud SaaS state, IaaS state, etc.
      3. Input the results into their own slide titled “current state summary” in the Cloud Vision Executive Presentation.
      4. Repeat for the cloud delivery models and support models and include the results of those exercises as well.
      5. Create a short summary statement (“We are primarily a public cloud consumer with a large SaaS footprint and minimal presence in PaaS and IaaS. We retain an MSP to manage our hosted telephony solution; otherwise, everything is handled in house.”

      Cloud Vision Executive Presentation

      Step 1.4

      Select workloads for current analysis

      Activities

      1.4.1 Select workloads for assessment

      This step involves the following participants:

      • Core working group

      Outcomes of this step

      • List of workloads for assessment

      Understand the cloud

      Generate goals and drivers

      Explore cloud characteristics

      Create a current state summary

      Select workloads for analysis

      1.4.1 Select workloads for assessment

      30 minutes

      Input

      • Knowledge of existing cloud workloads

      Output

      • List of workloads to be assessed

      Materials

      • Whiteboard
      • Cloud Vision Workbook

      Participants

      • Core working group
      • IT management
      1. In many cases, the cloud project is inspired by a desire to move a particular workload or set of workloads. Solicit feedback from the core working group about what these workloads might be. Ask everyone in the meeting to suggest a workload and record each one on a sticky note or white board (virtual or physical).
      2. Discuss the results with the group and begin grouping similar workloads together. They will be subject to the assessments in the Cloud Vision Workbook, so try to avoid selecting too many workloads that will produce similar answers. It might not be obvious, but try to think about workloads that have similar usage patterns, risk levels, and performance requirements, and select a representative group.
      3. You should embrace counterintuition by selecting a workload that you think is unlikely to be a good fit for the cloud if you can and subjecting it to the assessment as well for validation purposes.
      4. When you have a list of 4-6 workloads, record them on tab 2 of the Cloud Vision Workbook.

      Cloud Vision Workbook

      Assess your cloud workloads

      Build the foundations of your cloud vision

      Phase 2

      Phase 2

      Evaluate Cloud Workloads

      Phase 1

      1.1 Generate goals and drivers

      1.2 Explore cloud characteristics

      1.3 Create a current state summary

      1.4 Select workloads for analysis

      Phase 2

      2.1 Conduct workload assessments

      2.2 Determine workload future states

      Phase 3

      3.1 Generate risks and roadblocks

      3.2 Mitigate risks and roadblocks

      3.3 Define roadmap initiatives

      Phase 4

      4.1 Review and assign work items

      4.2 Finalize cloud decision framework

      4.3 Create cloud vision

      This phase will walk you through the following activities:

      • Conduct workload assessments
      • Determine workload future state

      This phase involves the following participants:

      • Subject matter experts
      • Core working group
      • IT management

      Define Your Cloud Vision

      Work from the bottom up and assess your workloads

      A workload-first approach will help you create a realistic vision.

      The concept of a cloud vision should unquestionably be informed by the nature of the workloads that IT is expected to provide for the wider organization. The overall cloud vision is no greater than the sum of its parts. You cannot migrate to the cloud in the abstract. Workloads need to go – and not all workloads are equally suitable for the transition.

      It is therefore imperative to understand which workloads are a good fit for the cloud, which cloud service models make the most sense, how to execute the migration, what support should look like, and what risks and roadblocks you are likely to encounter as part of the process.

      That’s where the Cloud Vision Workbook comes into play. You can use this tool to assess as many workloads as you’d like – most people get the idea after about four – and by the end of the exercise, you should have a pretty good idea about where your workloads belong, and you’ll have a tool to assess any net new or previously unconsidered workloads.

      It’s not so much about the results of the assessment – though these are undeniably important – but about the learnings gleaned from the collaborative assessment exercise. While you can certainly fill out the assessment without any additional input, this exercise is most effective when completed as part of a group.

      Introducing the Cloud Vision Workbook

      • The Cloud Vision Workbook is an Excel tool that answers the age old question: “What should I do with my workloads?”
      • It is divided into eight tabs, each of which offers unique value. Start by reading the introduction and inputting your list of workloads. Work your way through tabs 3-6, completing the suitability, migration, management, and risk and roadblock assessments, and review the results on tab 7.
      • If you choose to go through the full battery of assessments for each workload, expect to answer and weight 111 unique questions across the four assessments. This is an intensive exercise, so carefully consider which assessments are valuable to you, and what workloads you have time to assess.
      • Tab 8 hosts the milestone timeline and captures the results of the phase 3 risk and mitigation exercise.

      Understand Cloud Vision Workbook outputs

      The image shows a graphic with several graphs and lists on it, with sections highlighted with notes. At the top, there's the title Database with the note Workload title (populated from tab 2). Below that, there is a graph with the note Relative suitability of the five service models. The Risks and roadblocks section includes the note: The strategy components – the risks and roadblocks – are captured relative to one another to highlight key focus areas. To the left of that, there is a Notes section with the note Notes populated based on post-assessment discussion. At the bottom, there is a section titled Where should skills be procured?, with the note The radar diagram captures the recommended support model relative to the others (MSP, consultant, internal IT). To the right of that, there is a section titled Migration path, with the note that Ordered list of migration paths. Note: a disconnect here with the suggested service model may indicate an unrealistic goal state.

      Step 2.1

      Conduct workload assessments

      Activities

      2.1.1 Conduct workload assessments

      2.1.2 Interpret your results

      Phase Title

      Conduct workload assessments

      Determine workload future state

      This step involves the following participants:

      • Core working group
      • Workload subject matter experts

      Outcomes of this step

      • Completed workload assessments

      2.1.1 Conduct workload assessments

      2 hours per workload

      Input

      • List of workloads to be assessed

      Output

      • Completed cloud vision assessments

      Materials

      • Cloud Vision Workbook

      Participants

      • Core working group
      • Service owners/workload SMEs
      1. The Cloud Vision Workbook is your one stop shop for all things workload assessment. Open the tool to tab 2 and review the workloads you identified at the end of phase 1. Ensure that these are correct. Once satisfied, project the tool (virtually, if necessary) so that all participants can see the assessment questions.
      2. Work through tabs 3-6, answering the questions and assigning a multiplier for each one. A higher multiplier increases the relative weight of the question, giving it a greater impact on the overall outcome.
      3. Do your best to induce participants to offer opinions. Consensus is not absolutely necessary, but it is a good goal. Ask your participants if they agree with initial responses and occasionally take the opposite position (“I’m surprised you said agree – I would have thought we didn’t care about CapEx vs. OpEx”). Stimulate discussion.
      4. Highlight any questions that you will need to return to or run by someone not present. Include a placeholder answer, as the tool requires all cells to be filled for computation.

      Cloud Vision Workbook

      2.1.2 Interpret your results

      10 minutes

      Input

      • Completed cloud vision assessments

      Output

      • Shared understanding of implications

      Materials

      • Cloud Vision Workbook

      Participants

      • Core working group
      • Service owners/workload SMEs
      1. Once you’ve completed all 111 questions for each workload, you can review your results on tab 7. On tab 7, you will see four populated graphics: cloud suitability, migration path, “where should skills be procured?”, and risks and roadblocks. These represent the components of the overall cloud vision that you will present to stakeholders.
      2. The “cloud suitability” chart captures the service model that the assessment judges to be most suitable for the workload. Ask those present if any are surprised by the output. If there is any disagreement, discuss the source of the surprise and what a more realistic outcome would be. Revisit the assessment if necessary.
      3. Conduct a similar exercise with each of the other outputs. Does it make sense to refactor the workload based on its cloud suitability? Does the fact that we scored so highly on the “consultant” support model indicate something about how we handle upskilling internally? Does the profile of risks and roadblocks identified here align with expectations? What should be ranked higher? What about lower?
      4. Once everyone is generally satisfied with the results, close the tool and take a break! You’ve earned it.

      Cloud Vision Workbook

      Understand the cloud strategy components

      Each cloud strategy will take a slightly different form, but all should contain echoes of each of these components. This process will help you define your vision and direction, but you will need to take steps to execute on that vision. The remainder of the cloud strategy, covered in the related blueprint Document Your Cloud Strategy comprises these fourteen topics divided across three categories: people, governance, and technology. The workload assessment covers these under risks and roadblocks and highlights areas that may require specific additional attention. When interpreting the results, think of these areas as comprising things that you will need to do to make your vision a reality.

      People

      • Skills and roles
      • Culture and adoption
      • Governing bodies

      Governance

      • Architecture
      • Integration and interoperability
      • Operations management
      • Cloud portfolio management
      • Cloud vendor management
      • Finance management
      • Security
      • Data controls

      Technology

      • Monitoring
      • Provisioning
      • Migration

      Strategy component: People

      People form the core of any good strategy. As part of your cloud vision, you will need to understand the implications a cloud transition will have on your staff and users, whether those users are internal or external.

      Component Description Challenges
      Skills and roles The move to the cloud will require staff to learn how to handle new technology and new operational processes. The cloud is a different way of procuring IT resources and may require the definition of new roles to handle things like cost management and provisioning. Staff may not have the necessary experience to migrate to a cloud environment or to effectively manage resources once the cloud transition is made. Cloud skills are difficult to hire for, and with the ever-changing nature of the platforms themselves, this shows no sign of abating. Redefining roles can also be politically challenging and should be done with due care and consideration.
      Culture and adoption If you build it, they will come…right? It is not always the case that a new service immediately attracts users. Ensuring that organizational culture aligns with the cloud vision is a critical success factor. Equally important is ensuring that cloud resources are used as intended. Those unfamiliar with cloud resources may be less willing to learn to use them. If alternatives exist (e.g. a legacy service that has not been shut down), or if those detractors are influential, this resistance may impede your cloud execution. Also, if the cloud transition involves significant effort or a fundamental rework (e.g. a DevOps transition) this role redefinition could cause some internal turmoil.
      Governing bodies A large-scale cloud deployment requires formal governance. Formal governance requires a governing body that is ultimately responsible for designing the said governance. This could take the form of a “center of excellence” or may rest with a single cloud architect in a smaller, less complicated environment. Governance is difficult. Defining responsibilities in a way that includes all relevant stakeholders without paralyzing the decision-making process is difficult. Implementing suggestions is a challenge. Navigating the changing nature of service provision (who can provision their own instances or assign licenses?) can be difficult as well. All these concerns must be addressed in a cloud strategy.

      Strategy component: Governance

      Without guardrails, the cloud deployment will grow organically. This has strengths (people tend to adopt solutions that they select and deploy themselves), but these are more than balanced out by the drawbacks that come with inconsistency, poor administration, duplication of services, suboptimal costing, and any number of other unique challenges. The solution is to develop and deploy governance. The following list captures some of the necessary governance-related components of a cloud strategy.

      Component Description Challenges
      Architecture Enterprise architecture is an important function in any environment with more than one interacting workload component (read: any environment). The cloud strategy should include an approach to defining and implementing a standard cloud architecture and should assign responsibility to an individual or group. Sometimes the cloud transition is inspired by the desire to rearchitect. The necessary skills and knowledge may not be readily available to design and transition to a microservices-based environment, for example, vs. a traditional monolithic application architecture. The appropriateness of a serverless environment may not be well understood, and it may be the case that architects are unfamiliar with cloud best practices and reference architectures.
      Integration and interoperability Many services are only highly functional when integrated with other services. What is a database without its front-end? What is an analytics platform without its data lake? For the cloud vision to be properly implemented, a strategy for handling integration and interoperability must be developed. It may be as simple as “all SaaS apps must be compatible with Okta” but it must be there. Migration to the cloud may require a fundamentally new approach to integration, moving away from a point-to-point integrations and towards an ESB or data lake. In many cases, this is easier said than done. Centralization of management may be appealing, but legacy applications – or those acquired informally in a one-off fashion – might not be so easy to integrate into a central management platform.
      Operations management Service management (ITIL processes) must be aligned with your overall cloud strategy. Migrating to the cloud (where applicable) will require refining these processes, including incident, problem, request, change, and configuration management, to make them more suitable for the cloud environment. Operations management doesn’t go away in the cloud, but it does change in line with the transition to shared responsibility. Responding to incidents may be more difficult on the cloud when troubleshooting is a vendor’s responsibility. Change management in a SaaS environment may be more receptive than staff are used to as cloud providers push changes out that cannot be rolled back.

      Strategy component: Governance (cont.)

      Component Description Challenges
      Cloud portfolio management This component refers to the act of managing the portfolio of cloud services that is available to IT and to business users. What requirements must a SaaS service meet to be onboarded into the environment? How do we account for exceptions to our IaaS policy? What about services that are only available from a certain provider? Rationalizing services offers administrative benefits, but may make some tasks more difficult for end users who have learned things a certain way or rely on niche toolsets. Managing access through a service catalog can also be challenging based on buy-in and ongoing administration. It is necessary to develop and implement policy.
      Cloud vendor management Who owns the vendor management function, and what do their duties entail? What contract language must be standard? What does due diligence look like? How should negotiations be conducted? What does a severing of the relationship look like? Cloud service models are generally different from traditional hosted software and even from each other (e.g. SaaS vs. PaaS). There is a bit of a learning curve when it comes to dealing with vendors. Also relevant: the skills that it takes to build and maintain a system are not necessarily the same as those required to coherently interact with a cloud vendor.
      Finance management Cloud services are, by definition, subject to a kind of granular, operational billing that many shops might not be used to. Someone will need to accurately project and allocate costs, while ensuring that services are monitored for cost abnormalities. Cloud cost challenges often relate to overall expense (“the cloud is more expensive than an alternative solution”), expense variability (“I don’t know what my budget needs to be this quarter”), and cost complexity (“I don’t understand what I’m paying for – what’s an Elastic Beanstalk?”).
      Security The cloud is not inherently more or less secure than a premises-based alternative, though the risk profile can be different. Applying appropriate security governance to ensure workloads are compliant with security requirements is an essential component of the strategy.

      Technical security architecture can be a challenge, as well as navigating the shared responsibility that comes with a cloud transition. There are also a plethora of cloud-specific security tools like cloud access security brokers (CASBs), cloud security posture management (CSPM) solutions, and even secure access services edge (SASE) technology.

      Data controls Data residency, classification, quality, and protection are important considerations for any cloud strategy. With cloud providers taking on outsized responsibility, understanding and governing data is essential. Cloud providers like to abstract away from the end user, and while some may be able to guarantee residency, others may not. Additionally, regulations may prevent some data from going to the cloud, and you may need to develop a new organizational backup strategy to account for the cloud.

      Strategy component: Technology

      Good technology will never replace good people and effective process, but it remains important in its own right. A migration that neglects the undeniable technical components of a solid cloud strategy is doomed to mediocrity at best and failure at worst. Understanding the technical implications of the cloud vision – particularly in terms of monitoring, provisioning, and migration – makes all the difference. You can interpret the results of the cloud workload assessments by reviewing the details presented here.

      Component Description Challenges
      Monitoring The cloud must be monitored in line with performance requirements. Staff must ensure that appropriate tools are in place to properly monitor cloud workloads and that they are capturing adequate and relevant data. Defining requirements for monitoring a potentially unfamiliar environment can be difficult, as can consolidating on a monitoring solution that both meets requirements and covers all relevant areas. There may be some upskilling and integration work required to ensure that monitoring works as required.
      Provisioning How will provisioning be done? Who will be responsible for ensuring the right people have access to the right resources? What tooling must be deployed to support provisioning goals? What technical steps must be taken to ensure that the provisioning is as seamless as possible? There is the inevitable challenge of assigning responsibility and accountability in a changing infrastructure and operations environment, especially if the changes are substantial (e.g. a fundamental operating model shift, reoriented around the cloud). Staff may also need to familiarize themselves with cloud-based provisioning tools like Ansible, Terraform, or even CloudFormation.
      Migration The act of migrating is important as well. In some cases, the migration is as simple as configuring the new environment and turning it up (e.g. with a net new SaaS service). In other cases, the migration itself can be a substantial undertaking, involving large amounts of data, a complicated replatforming/refactoring, and/or a significant configuration exercise.

      Not all migration journeys are created equal, and challenges include a general lack of understanding of the requirements of a migration, the techniques that might be necessary to migrate to a particular cloud (there are many) and the disruption/risk associated with moving large amounts of data. All of these challenges must be considered as part of the overall cloud strategy, whether in terms of architectural principles or skill acquisition (or both!).

      Step 2.2

      Determine workload future state

      Activities

      2.2.1 Determine workload future state

      Conduct workload assessments

      Determine workload future state

      This step involves the following participants:

      • IT management
      • Core working group

      Outcomes of this step

      • Completed workload assessments
      • Defined workload future state

      2.2.1 Determine workload future state

      1-3 hours

      Input

      • Completed workload assessments

      Output

      • Preliminary future state outputs

      Materials

      • Cloud Vision Workbook
      • Cloud Vision Executive Presentation

      Participants

      • Core working group
      • Service owners
      • IT management
      1. After you’ve had a chance to validate your results, refer to tab 7 of the tool, where you will find a blank notes section.
      2. With the working group, capture your answers to each of the following questions:
        1. What service model is the most suitable for the workload? Why?
        2. How will we conduct the migration? Which of the six models makes the most sense? Do we have a backup plan if our primary plan doesn’t work out?
        3. What should the support model look like?
        4. What are some workload-specific risks and considerations that must be taken into account for the workload?
      3. Once you’ve got answers to each of these questions for each of the workloads, include your summary in the “notes” section of tab 7.

      Cloud Vision Executive Presentation

      Paste the output into the Cloud Vision Executive Presentation

      • The Cloud Vision Workbook output is a compact, consumable summary of each workload’s planned future state. Paste each assessment in as necessary.
      • There is no absolutely correct way to present the information, but the output is a good place to start. Do note that, while the presentation is designed to lead with the vision statement, because the process is workload-first, the assessments are populated prior to the overall vision in a bottom-up manner.
      • Be sure to anticipate the questions you are likely to receive from any stakeholders. You may consider preparing for questions like: “What other workloads fit this profile?” “What do we expect the impact on the budget to be?” “How long will this take?” Keep these and other questions in mind as you progress through the vision definition process.

      The image shows the Cloud Vision Workbook output, which was described in an annotated version in an earlier section.

      Info-Tech Insight

      Keep your audience in mind. You may want to include some additional context in the presentation if the results are going to be presented to non-technical stakeholders or those who are not familiar with the terms or how to interpret the outputs.

      Identify and Mitigate Risks

      Build the foundations of your cloud vision

      PHASE 3

      Phase 3

      Identify and Mitigate Risks

      Phase 1

      1.1 Generate goals and drivers

      1.2 Explore cloud characteristics

      1.3 Create a current state summary

      1.4 Select workloads for analysis

      Phase 2

      2.1 Conduct workload assessments

      2.2 Determine workload future states

      Phase 3

      3.1 Generate risks and roadblocks

      3.2 Mitigate risks and roadblocks

      3.3 Define roadmap initiatives

      Phase 4

      4.1 Review and assign work items

      4.2 Finalize cloud decision framework

      4.3 Create cloud vision

      This phase will walk you through the following activities:

      • Generate risks and roadblocks
      • Mitigate risks and roadblocks
      • Define roadmap initiatives

      This phase involves the following participants:

      • Core working group
      • Workload subject matter experts

      You know what you want to do, but what do you have to do?

      What questions remain unanswered?

      There are workload-level risks and roadblocks, and there are environment-level risks. This phase is focused primarily on environment-level risks and roadblocks, or those that are likely to span multiple workloads (but this is not hard and fast rule – anything that you deem worth discussing is worth discussing). The framework here calls for an open forum where all stakeholders – technical and non-technical, pro-cloud and anti-cloud, management and individual contributor – have an opportunity to articulate their concerns, however specific or general, and receive feedback and possible mitigation.

      Start by soliciting feedback. You can do this over time or in a single session. Encourage anyone with an opinion to share it. Focus on those who are likely to have a perspective that will become relevant at some point during the creation of the cloud strategy and the execution of any migration. Explain the preliminary direction; highlight any major changes that you foresee. Remind participants that you are not looking for solutions (yet), but that you want to make sure you hear any and every concern as early as possible. You will get feedback and it will all be valuable.

      Before cutting your participants loose, remind them that, as with all business decisions, the cloud comes with trade-offs. Not everyone will have every wish fulfilled, and in some cases, significant effort may be needed to get around a roadblock, risks may need to be accepted, and workloads that looked like promising candidates for one service model or another may not be able to realize that potential. This is a normal and expected part of the cloud vision process.

      Once the risks and roadblocks conversation is complete, it is the core working group’s job to propose and validate mitigations. Not every risk can be completely resolved, but the cloud has been around for decades – chances are someone else has faced a similar challenge and made it through relatively unscathed. That work will inevitably result in initiatives for immediate execution. Those initiatives will form the core of the initiative roadmap that accompanies the completed Cloud Vision Executive Presentation.

      Step 3.1

      Generate risks and roadblocks

      Activities

      3.1.1 Generate risks and roadblocks

      3.1.2 Generate mitigations

      Identify and mitigate risks

      Generate risks and roadblocks

      Mitigate risks and roadblocks

      Define roadmap initiatives

      This step involves the following participants:

      • Core working group
      • IT management
      • Infrastructure
      • Applications
      • Security
      • Architecture

      Outcomes of this step

      • List of risks and roadblocks

      Understand risks and roadblocks

      Risk

      • Something that could potentially go wrong.
      • You can respond to risks by mitigating them:
        • Eliminate: take action to prevent the risk from causing issues.
        • Reduce: take action to minimize the likelihood/severity of the risk.
        • Transfer: shift responsibility for the risk away from IT, towards another division of the company.
        • Accept: where the likelihood or severity is low, it may be prudent to accept that the risk could come to fruition.

      Roadblock

      • There are things that aren’t “risks” that we care about when migrating to the cloud.
      • We know, for example, that a complicated integration situation will create work items for any migration – this is not an “unknown.”
      • We respond to roadblocks by generating work items.

      3.1.1 Generate risks and roadblocks

      1.5 hours

      Input

      • Completed cloud vision assessments

      Output

      • List of risks and roadblocks

      Materials

      • Whiteboard
      • Sticky notes

      Participants

      • Core working group
      • Service owners/workload SMEs
      • Anyone with concerns about the cloud
      1. Gather your core working group – and really anyone with an intelligent opinion on the cloud – into a single meeting space. Give the group 5-10 minutes to list anything they think could present a difficulty in transitioning workloads to the cloud. Write each risk/roadblock on its own sticky note. You will never be 100% exhaustive, but don’t let anything your users care about go unaddressed.
      2. Once everyone has had time to write down their risks and roadblocks, have everyone share one by one. Make sure you get them all. Overlap in risks and roadblocks is okay! Group similar concerns together to give a sort of heat map of what your participants are concerned about. (This is called “affinity diagramming.”)
      3. Assign names to these categories. Many of these categories will align with the strategy components discussed in the previous phase (governance, security, etc.) but some will be specific whether by nature or by degree.
      4. Sort each of the individual risks into its respective category, collapsing any exact duplicates, and leaving room for notes and mitigations (see the next slide for a visual).

      Understand risks and roadblocks

      The image is two columns--on the left, the column is titled Affinity Diagramming. Below the title, there are many colored blocks, randomly arranged. There is an arrow pointing right, to the same coloured blocks, now sorted by colour. In the right column--titled Categorization--each colour has been assigned a category, with subcategories.

      Step 3.2

      Mitigate risks and roadblocks

      Activities

      3.2.1 Generate mitigations

      Identify and mitigate risks

      Generate risks and roadblocks

      Mitigate risks and roadblocks

      Define roadmap initiatives

      This step involves the following participants:

      • Core working group

      Outcomes of this step

      • List of mitigations

      Is the public cloud less secure?

      This is the key risk-related question that most cloud customers will have to answer at some point: does migrating to the cloud for some services increase their exposure and create a security problem?

      As with all good questions, the answer is “it depends.” But what does it depend on? Consider these cloud risks and potential mitigations:

      1. Misconfiguration: An error grants access to unauthorized parties (as happened to Capital One in 2019). This can be mitigated by careful configuration management and third-party tooling.
      2. Unauthorized access by cloud provider/partner employees: Though rare, it is possible that a cloud provider or partner can be a vector for a breach. Careful contract language, choosing to own your own encryption keys, and a hybrid approach (storing data on-premises) are some possible ways to address this problem.
      3. Unauthorized access to systems: Cloud services are designed to be accessed from anywhere and may be accessed by malicious actors. Possible mitigations include risk-based conditional access, careful identity access management, and logging and detection.

      “The cloud is definitely more secure in that you have much more control, you have much more security tooling, much more visibility, and much more automation. So it is more secure. The caveat is that there is more risk. It is easier to accidentally expose data in the cloud than it is on-premises, but, especially for security, the amount of tooling and visibility you get in cloud is much more than anything we’ve had in our careers on-premises, and that’s why I think cloud in general is more secure.” –Abdul Kittana, Founder, ASecureCloud

      Breach bests bank

      No cloud provider can protect against every misconfiguration

      Industry: Finance

      Source: The New York Times, CNET

      Background

      Capital One is a major Amazon Web Services customer and is even featured on Amazon’s site as a case study. That case study emphasizes the bank’s commitment to the cloud and highlights how central security and compliance were. From the CTO: “Before we moved a single workload, we engaged groups from across the company to build a risk framework for the cloud that met the same high bar for security and compliance that we meet in our on-premises environments. AWS worked with us every step of the way.”

      Complication

      The cloud migration was humming along until July 2019, when the bank suffered a serious breach at the hands of a hacker. That hacker was able to steal millions of credit card applications and hundreds of thousands of Social Security numbers, bank account numbers, and Canadian social insurance numbers.

      According to investigators and to AWS, the breach was caused by an open reverse proxy attack against a misconfigured web app firewall, not by an underlying vulnerability in the cloud infrastructure.

      Results

      Capital One reported that the breach was expected to cost it $150 million, and AWS fervently denied any blame. The US Senate got involved, as did national media, and Capital One’s CEO issued a public apology, writing, “I sincerely apologize for the understandable worry this incident must be causing those affected, and I am committed to making it right.”

      It was a bad few months for IT at Capital One.

      3.2.1 Generate mitigations

      3-4.5 hours

      Input

      • Completed cloud vision assessments

      Output

      • List of risks and roadblocks

      Materials

      • Whiteboard
      • Sticky notes

      Participants

      • Core working group
      • Service owners/workload SMEs
      • Anyone with concerns about the cloud
      1. Recall the four mitigation strategies: eliminate, reduce, transfer, or accept. Keep these in mind as you work through the list of risks and roadblocks with the core working group. For every individual risk or roadblock raised in the initial generation session, suggest a specific mitigation. If the concern is “SaaS providers having access to confidential information,” a mitigation might be encryption, specific contract language, or proof of certifications (or all the above).
      2. Work through this for each of the risks and roadblocks, identifying the steps you need to take that would satisfy your requirements as you understand them.
      3. Once you have gone through the whole list – ideally with input from SMEs in particular areas like security, engineering, and compliance/legal – populate the Cloud Vision Workbook (tab 8) with the risks, roadblocks, and mitigations (sorted by category). Review tab 8 for an example of the output of this exercise.

      Cloud Vision Workbook

      Cloud Vision Workbook – mitigations

      The image shows a large chart titled Risks, roadblocks, and mitigations, which has been annotated with notes.

      Step 3.3

      Define roadmap initiatives

      Activities

      3.3.1 Generate roadmap initiatives

      Identify and mitigate risks

      Generate risks and roadblocks

      Mitigate risks and roadblocks

      Define roadmap initiatives

      This step involves the following participants:

      • Core working group

      Outcomes of this step

      • Defined roadmap initiatives

      3.3.1 Generate roadmap initiatives

      1 hour

      Input

      • List of risk and roadblock mitigations

      Output

      • List of cloud initiatives

      Materials

      • Cloud Vision Workbook

      Participants

      • Core working group
      1. Executing on your cloud vision will likely require you to undertake some key initiatives, many of which have already been identified as part of your mitigation exercise. On tab 8 of the Cloud Vision Workbook, review the mitigations you created in response to the risks and roadblocks identified. Initiatives should generally be assignable to a party and should have a defined scope/duration. For example, “assess all net new applications for cloud suitability” might not be counted as an initiative, but “design a cloud application assessment” would likely be.
      2. Design a timeline appropriate for your specific needs. Generally short-term (less than 3 months), medium-term (3-6 months), and long-term (greater than 6 months) will work, but this is entirely based on preference.
      3. Review and validate the parameters with the working group. Consider creating additional color-coding (highlighting certain tasks that might be dependent on a decision or have ongoing components).

      Cloud Vision Workbook

      Bridge the gap and create the vision

      Build the foundations of your cloud vision

      Phase 4

      Phase 4

      Bridge the Gap and Create the Vision

      Phase 1

      1.1 Generate goals and drivers

      1.2 Explore cloud characteristics

      1.3 Create a current state summary

      1.4 Select workloads for analysis

      Phase 2

      2.1 Conduct workload assessments

      2.2 Determine workload future states

      Phase 3

      3.1 Generate risks and roadblocks

      3.2 Mitigate risks and roadblocks

      3.3 Define roadmap initiatives

      Phase 4

      4.1 Review and assign work items

      4.2 Finalize cloud decision framework

      4.3 Create cloud vision

      This phase will walk you through the following activities:

      • Assign initiatives and propose timelines
      • Build a delivery model rubric
      • Build a service model rubric
      • Built a support model rubric
      • Create a cloud vision statement
      • Map cloud workloads
      • Complete the Cloud Vision presentation

      This phase involves the following participants:

      • IT management, the core working group, security, infrastructure, operations, architecture, engineering, applications, non-IT stakeholders

      Step 4.1

      Review and assign work items

      Activities

      4.1.1 Assign initiatives and propose timelines

      Bridge the gap and create the vision

      Review and assign work items

      Finalize cloud decision framework

      Create cloud vision

      This step involves the following participants:

      • Core working group
      • IT management

      Outcomes of this step

      • Populated cloud vision roadmap

      4.1.1 Assign initiatives and propose timelines

      1 hour

      Input

      • List of cloud initiatives

      Output

      • Initiatives assigned by responsibility and timeline

      Materials

      • Cloud Vision Workbook

      Participants

      • Core working group
      1. Once the list is populated, begin assigning responsibility for execution. This is not a RACI exercise, so focus on the functional responsibility. Once you have determined who is responsible, assign a timeline and include any notes. This will form the basis of a more formal project plan.
      2. To assign the initiative to a party, consider 1) who will be responsible for execution and 2) if that responsibility will be shared. Be as specific as possible, but be sure to be consistent to make it easier for you to sort responsibility later on.
      3. When assigning timelines, we suggest including the end date (when you expect the project to be complete) rather than the start date, though whatever you choose, be sure to be consistent. Make use of the notes column to record anything that you think any other readers will need to be aware of in the future, or details that may not be possible to commit to memory.

      Cloud Vision Workbook

      Step 4.2

      Finalize cloud decision framework

      Activities

      4.2.1 Build a delivery model rubric

      4.2.2 Build a service model rubric

      4.2.3 Build a support model rubric

      Bridge the gap and create the vision

      Review and assign work items

      Finalize cloud decision framework

      Create cloud vision

      This step involves the following participants:

      • Core working group

      Outcomes of this step

      • Cloud decision framework

      4.2.1 Build a delivery model rubric

      1 hour

      Input

      • List of cloud initiatives

      Output

      • Initiatives assigned by responsibility and timeline

      Materials

      Participants

      • Core working group
      1. Now that we have a good understanding of the cloud’s key characteristics, the relative suitability of different workloads for the cloud, and a good understanding of some of the risks and roadblocks that may need to be overcome if a cloud transition is to take place, it is time to formalize a delivery model rubric. Start by listing the delivery models on a white board vertically – public, private, hybrid, and multi-cloud. Include a community cloud option as well if that is feasible for you. Strike any models that do not figure into your vision.
      2. Create a table style rubric for each delivery model. Confer with the working group to determine what characteristics best define workloads suitable for each model. If you have a hybrid cloud option, you may consider workloads that are highly dynamic; a private cloud hosted on-premises may be more suitable for workloads that have extensive regulatory requirements.
      3. Once the table is complete, include it in the Cloud Vision Executive Presentation.

      Cloud Vision Executive Presentation

      Vision for the cloud future state (example)

      Delivery model Decision criteria
      Public cloud
      • Public cloud is the primary destination for all workloads as the goal is to eliminate facilities and infrastructure management
      • Offers features, broad accessibility, and managed updates along with provider-managed facilities and hardware
      Legacy datacenter
      • Any workload that is not a good fit for the public cloud
      • Dependency (like a USB key for license validation)
      • Performance requirements (e.g. workloads highly sensitive to transaction thresholds)
      • Local infrastructure components (firewall, switches, NVR)

      Summary statement: Everything must go! Public cloud is a top priority. Anything that is not compatible (for whatever reason) with a public cloud deployment will be retained in a premises-based server closet (downgraded from a full datacenter). The private cloud does not align with the overall organizational vision, nor does a hybrid solution.

      4.2.2 Build a service model rubric

      1 hour

      Input

      • Output of workload assessments
      • Output of risk and mitigation exercise

      Output

      • Service model rubric

      Materials

      • Whiteboard
      • Cloud Vision Executive Presentation

      Participants

      • Core working group
      1. This next activity is like the delivery model activity, but covers the relevant cloud service models. On a whiteboard, make a vertical list of the cloud service models (SaaS, PaaS, IaaS, etc.) that will be considered for workloads. If you have an order of preference, place your most preferred at the top, your least preferred at the bottom.
      2. Describe the circumstances under which you would select each service model. Do your best to focus on differentiators. If a decision criterion appears for multiple service models, consider refining or excluding it. (For additional information, check out Info-Tech’s Reimagine IT Operations for a Cloud-First World blueprint.)
      3. Create a summary statement to capture your overall service model position. See the next slide for an example. Note: this can be incorporated into your cloud vision statement, so be sure that it reflects your genuine cloud preferences.
      4. Record the results in the Cloud Vision Executive Presentation.

      Cloud Vision Executive Presentation

      Vision for the cloud future state (example)

      Service model Decision criteria
      SaaS

      SaaS first; opt for SaaS when:

      • A SaaS option exists that meets all key business requirements
      • There is a strong desire to have someone else (the vendor) manage infrastructure components/the platform
      • Not particularly sensitive to performance thresholds
      • The goal is to transition management of the workload outside of IT
      • SaaS is the only feasible way to consume the desired service
      PaaS
      • Highly customized service/workload – SaaS not feasible
      • Still preferable to offload as much management as possible to third parties
      • Customization required, but not at the platform level
      • The workload is built using a standard framework
      • We have the time/resources to replatform
      IaaS
      • Service needs to be lifted and shifted out of the datacenter quickly
      • Customization is required at the platform level/there is value in managing components
      • There is no need to manage facilities
      • Performance is not impacted by hosting the workload offsite
      • There is value in right-sizing the workload over time
      On-premises Anything that does not fit in the cloud for performance or other reasons (e.g. licensing key)

      Summary statement: SaaS will be the primary service model. All workloads will migrate to the public cloud where possible. Anything that cannot be migrated to SaaS will be migrated to PaaS. IaaS is a transitory step.

      4.2.3 Build a support model rubric

      1 hour

      Input

      • Results of the cloud workload assessments

      Output

      • Support model rubric

      Materials

      • Whiteboard
      • Cloud Vision Executive Presentation

      Participants

      • Core working group
      1. The final rubric covered here is that for the support model. Where will you procure the skills necessary to ensure the vision’s proper execution? Much like the other rubric activities, write the three support models vertically (in order of preference, if you have one) on a whiteboard.
      2. Next to each model, describe the circumstances under which you would select each support model. Focus on the dimensions: the duration of the engagement, specialization required, and flexibility required. If you have existing rules/practices around hiring consultants/MSPs, consider those as well.
      3. Once you have a good list of decision criteria, form a summary statement. This should encapsulate your position on support models and should mention any notable criteria that will contribute to most decisions.
      4. Record the results in the Cloud Vision Executive Presentation.

      Cloud Vision Executive Presentation

      Vision for the cloud future state (example)

      Support model Decision criteria
      Internal IT

      The primary support model will be internal IT going forward

      • Chosen where the primary work required is administrative
      • Where existing staff can manage the service in the cloud easily and effectively
      • Where the chosen solution fits the SaaS service model
      Consultant
      • Where the work required is time-bound (e.g. a migration/refactoring exercise)
      • Where the skills do not exist in house, and where the skills cannot easily be procured (specific technical expertise required in areas of the cloud unfamiliar to staff)
      • Where opportunities for staff to learn from consultant SMEs are valuable
      • Where ongoing management and maintenance can be handled in house
      MSP
      • Where an ongoing relationship is valued
      • Where ongoing administration and maintenance are disproportionately burdensome on IT staff (or where this administration and maintenance is likely to be burdensome)
      • Where the managed services model has already been proven out
      • Where specific expertise in an area of technology is required but this does not rise to the need to hire an FTE (e.g. telephony)

      Summary statement: Most workloads will be managed in house. A consultant will be employed to facilitate the transition to micro-services in a cloud container environment, but this will be transitioned to in-house staff. An MSP will continue to manage backups and telephony.

      Step 4.3

      Create cloud vision

      Activities

      4.3.1 Create a cloud vision statement

      4.3.2 Map cloud workloads

      4.3.3 Complete the Cloud Vision Presentation

      Review and assign work items

      Finalize cloud decision framework

      Create cloud vision

      This step involves the following participants:

      • Core working group
      • IT management

      Outcomes of this step

      Completed Cloud Vision Executive Presentation

      4.3.1 Create a cloud vision statement

      1 hour

      Input

      • List of cloud initiatives

      Output

      • Initiatives assigned by responsibility and timeline

      Materials

      • Cloud Vision Workbook

      Participants

      • Core working group
      1. Now that you know what service models are appropriate, it’s time to summarize your cloud vision in a succinct, consumable way. A good vision statement should have three components:
        • Scope: Which parts of the organization will the strategy impact?
        • Goal: What is the strategy intended to accomplish?
        • Key differentiator: What makes the new strategy special?
      2. On a whiteboard, make a chart with three columns (one column for each of the features of a good mission statement). Have the group generate a list of words to describe each of the categories. Ideally, the group will produce multiple answers for each category.
      3. Once you’ve gathered a few different responses for each category, have the team put their heads down and generate pithy mission statements that capture the sentiments underlying each category.
      4. Have participants read their vision statements in front of the group. Use the rest of the session to produce a final statement. Record the results in the Cloud Strategy Executive Presentation.

      Example vision statement outputs

      “IT at ACME Corp. hereby commits to providing clients and end users with an unparalleled, productivity-enabling technology experience, leveraging, insofar as it is possible and practical, cloud-based services.”

      “At ACME Corp. our employees and customers are our first priority. Using new, agile cloud services, IT is devoted to eliminating inefficiency, providing cutting-edge solutions for a fast-paced world, and making a positive difference in the lives of our colleagues and the people we serve.”

      As a global leader in technology, ACME Corp. is committed to taking full advantage of new cloud services, looking first to agile cloud options to optimize internal processes wherever efficiency gaps exist. Improved efficiency will allow associates to spend more time on ACME’s core mission: providing an unrivalled customer experience.”

      Scope

      Goal

      Key differentiator

      4.3.2 Map cloud workloads

      1 hour

      Input

      • List of workloads
      • List of acceptable service models
      • List of acceptable migration paths

      Output

      • Workloads mapped by service model/migration path

      Materials

      • Whiteboard
      • Sticky notes

      Participants

      • Core working group
      1. Now that you have defined your overall cloud vision as well as your service model options, consider aligning your service model preferences with your migration path preferences. Draw a table with your expected migration strategies across the top (retain, retire, rehost, replatform, refactor, repurchase, or some of these) and your expected service models across the side.
      2. On individual sticky notes, write a list of workloads in your environment. In a smaller environment, this list can be exhaustive. Otherwise take advantage of the list you created as part of phase 1 along with any additional workloads that warrant discussion.
      3. As a group, go through the list, placing the sticky notes first in the appropriate row based on their characteristics and the decision criteria that have already been defined, and then in the appropriate column based on the appropriate migration path. (See the next slide for an example of what this looks like.)
      4. Record the results in the Cloud Vision Executive Presentation. Note: not every cell will be filled; some migration path/service model combinations are impossible or otherwise undesirable.

      Cloud Vision Executive Presentation

      Example cloud workload map

      Repurchase Replatform Rehost Retain
      SaaS

      Office suite

      AD

      PaaS SQL Database
      IaaS File Storage DR environment
      Other

      CCTV

      Door access

      4.3.3 Complete the Cloud Vision Presentation

      1 hour

      Input

      • List of cloud initiatives

      Output

      • Initiatives assigned by responsibility and timeline

      Materials

      • Cloud Vision Workbook

      Participants

      • Core working group
      1. Open the Cloud Vision Executive Presentation to the second slide and review the templated executive brief. This comprises several sections (see the next slide). Populate each one:
        • Summary of the exercise
        • The cloud vision statement
        • Key cloud drivers
        • Risks and roadblocks
        • Top initiatives and next steps
      2. Review the remainder of the presentation. Be sure to elaborate on any significant initiatives and changes (where applicable) and to delete any slides that you no longer require.

      Cloud Vision Workbook

      Sample cloud vision executive summary

      • From [date to date], a cross-functional group representing IT and its constituents met to discuss the cloud.
      • Over the course of the week, the group identified drivers for cloud computing and developed a shared vision, evaluated several workloads through an assessment framework, identified risks, roadblocks, and mitigations, and finally generated initiatives and next steps.
      • From the process, the group produced a summary and a cloud suitability assessment framework that can be applied at the level of the workload.

      Cloud Vision Statement

      [Organization] will leverage public cloud solutions and retire existing datacenter and colocation facilities. This transition will simplify infrastructure administration, support, and security, while modernizing legacy infrastructure and reducing the need for additional capital expenditure.

      Cloud Drivers Retire the datacenter Do more valuable work
      Right-size the environment Reduce CapEx
      Facilitate ease of mgmt. Work from anywhere
      Reduce capital expenditure Take advantage of elasticity
      Performance and availability Governance Risks and roadblocks
      Security Rationalization
      Cost Skills
      Migration Remaining premises resources
      BC, backup, and DR Control

      Initiatives and next steps

      • Close the datacenter and colocation site in favor of a SaaS-first cloud approach.
      • Some workloads will migrate to infrastructure-as-a-service in the short term with the assistance of third-party consultants.

      Document your cloud strategy

      You did it!

      Congratulations! If you’ve made it this far, you’ve successfully articulated a cloud vision, assessed workloads, developed an understanding (shared with your team and stakeholders) of cloud concepts, and mitigated risks and roadblocks that you may encounter along your cloud journey. From this exercise, you should understand your mission and vision, how your cloud plans will interact with any other relevant strategic plans, and what successful execution looks like, as well as developing a good understanding of overall guiding principles. These are several components of your overall strategy, but they do not comprise the strategy in its entirety.

      How do you fix this?

      First, validate the results of the vision exercise with your stakeholders. Socialize it and collect feedback. Make changes where you think changes should be made. This will become a key foundational piece. The next step is to formally document your cloud strategy. This is a separate project and is covered in the Info-Tech blueprint Document Your Cloud Strategy.

      The vision exercise tells you where you want to go and offers some clues as to how to get there. The formal strategy exercise is a formal documentation of the target state, but also captures in detail the steps you’ll need to take, the processes you’ll need to refine, and the people you’ll need to hire.

      A cloud strategy should comprise your organizational stance on how the cloud will change your approach to people and human resources, technology, and governance. Once you are confident that you can make and enforce decisions in these areas, you should consider moving on to Document Your Cloud Strategy. This blueprint, Define Your Cloud Vision, often serves as a prerequisite for the strategy documentation conversation(s).

      Appendix

      Summary of Accomplishment

      Additional Support

      Research Contributors

      Related Info-Tech Research

      Vendor Resources

      Bibliography

      Summary of Accomplishment

      Problem Solved

      You have now documented what you want from the cloud, what you mean when you say “cloud,” and some preliminary steps you can take to make your vision a reality.

      You now have at your disposal a framework for identifying and evaluating candidates for their cloud suitability, as well as a series of techniques for generating risks and mitigations associated with your cloud journey. The next step is to formalize your cloud strategy using the takeaways from this exercise. You’re well on your way to a completed cloud strategy!

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Contact your account representative for more information.

      workshops@infotech.com

      1-888-670-8889

      Additional Support

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech Workshop.

      Contact your account representative for more information.

      workshops@infotech.com 1-888-670-8889

      To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.

      Info-Tech analysts will join you and your team at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      Generate drivers for cloud adoption

      Work with stakeholders to understand the expected benefits of the cloud migration and how these drivers will impact the overall vision.

      Conduct workload assessments

      Assess your individual cloud workloads for their suitability as candidates for the cloud migration.

      Bibliography

      “2021 State of the Cloud Report.” Flexera, 2021. Web.

      “2021 State of Upskilling Report.” Pluralsight, 2021. Web.

      “AWS Snowmobile.” Amazon Web Services, n.d. Web.

      “Azure products.” Microsoft, n.d. Web.

      “Azure Migrate Documentation.” Microsoft, n.d. Web.

      Bell, Harold. “Multi-Cloud vs. Hybrid Cloud: What’s the Difference?” Nutanix, 2019. Web.

      “Cloud Products.” Amazon Web Services, n.d. Web.

      “COBIT 2019 Framework: Introduction and Methodology.” ISACA, 2019. Web.

      Edmead, Mark T. “Using COBIT 2019 to Plan and Execute an Organization’s Transformation Strategy.” ISACA, 2020. Web.

      Flitter, Emily, and Karen Weise. “Capital One Data Breach Compromises Data of Over 100 Million.” The New York Times, 29 July 2019. Web.

      Gillis, Alexander S. “Cloud Security Posture Management (CSPM).” TechTarget, 2021. Web.

      “’How to Cloud’ with Capital One.” Amazon Web Services, n.d. Web.

      “IBM Closes Landmark Acquisition of Red Hat for $34 Billion; Defines Open, Hybrid Cloud Future.” Red Hat, 9 July 2019. Web.

      Mell, Peter, and Timothy Grance. “The NIST Definition of Cloud Computing.” National Institute of Standards and Technology, Sept. 2011. Web.

      Ng, Alfred. “Amazon Tells Senators it Isn't to Blame for Capital One Breach.” CNET, 2019. Web.

      Orban, Stephen. “6 Strategies for Migrating Applications to the Cloud.” Amazon Web Services, 2016. Web.

      Sullivan, Dan. “Cloud Access Security Broker (CASB).” TechTarget, 2021. Web.

      “What Is Secure Access Service Edge (SASE)?” Cisco, n.d. Web.

      Build a Data Classification MVP for M365

      • Buy Link or Shortcode: {j2store}67|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
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      • Parent Category Name: End-User Computing Applications
      • Parent Category Link: /end-user-computing-applications
      • Resources are the primary obstacle to getting a foot hold in O365 governance, whether it is funding or FTE resources.
      • Data is segmented and is difficult to analyze when you can’t see it or manage the relationships between sources.
      • Organizations expect results early and quickly and a common obstacle is that building a proper data classification framework can take more than two years and the business can't wait that long.

      Our Advice

      Critical Insight

      • Data classification is the lynchpin to ANY effective governance of O/M365 and your objective is to navigate through this easily and effectively and build a robust, secure, and viable governance model.
      • Start your journey by identifying what and where your data is and how much data you have. You need to understand what sensitive data you have and where it is stored before you can protect it or govern that data.
      • Ensure there is a high-level leader who is the champion of the governance objective.

      Impact and Result

      • Using least complex sensitivity labels in your classification are your building blocks to compliance and security in your data management schema; they are your foundational steps.

      Build a Data Classification MVP for M365 Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build a Data Classification MVP for M365 Deck – A guide for how to build a minimum-viable product for data classification that end users will actually use.

      Discover where your data resides, what governance helps you do, and what types of data you're classifying. Then build your data and security protection baselines for your retention policy, sensitivity labels, workload containers, and both forced and unforced policies.

      • Build a Data Classification MVP for M365 Storyboard
      [infographic]

      Further reading

      Build a Data Classification MVP for M365

      Kickstart your governance with data classification users will actually use!

      Executive Summary

      Info-Tech Insight

      • Creating an MVP gets you started in data governance
        Information protection and governance are not something you do once and then you are done. It is a constant process where you start with the basics (a minimum-viable product or MVP) and enhance your schema over time. The objective of the MVP is reducing obstacles to establishing an initial governance position, and then enabling rapid development of the solution to address a variety of real risks, including data loss prevention (DLP), data retention, legal holds, and data labeling.
      • Define your information and protection strategy
        The initial strategy is to start looking across your organization and identifying your customer data, regulatory data, and sensitive information. To have a successful data protection strategy you will include lifecycle management, risk management, data protection policies, and DLP. All key stakeholders need to be kept in the loop. Ensure you keep track of all available data and conduct a risk analysis early. Remember, data is your highest valued intangible asset.
      • Planning and resourcing are central to getting started on MVP
        A governance plan and governance decisions are your initial focus. Create a team of stakeholders that include IT and business leaders (including Legal, Finance, HR, and Risk), and ensure there is a top-level leader who is the champion of the governance objective, which is to ensure your data is safe, secure, and not prone to leakage or theft, and maintain confidentiality where it is warranted.

      Executive Summary

      Your Challenge
      • Today, the amount of data companies are gathering is growing at an explosive rate. New tools are enabling unforeseen channels and ways of collaborating.
      • Combined with increased regulatory oversight and reporting obligations, this makes the discovery and management of data a massive undertaking. IT can’t find and protect the data when the business has difficulty defining its data.
      • The challenge is to build a framework that can easily categorize and classify data yet allows for sufficient regulatory compliance and granularity to be useful. Also, to do it now because tomorrow is too late.
      Common Obstacles

      Data governance has several obstacles that impact a successful launch, especially if governing M365 is not a planned strategy. Below are some of the more common obstacles:

      • Resources are the primary obstacle to starting O365 governance, whether it is funding or people.
      • Data is segmented and is difficult to analyze when you can’t see it or manage the relationships between sources.
      • Organizations expect results early and quickly and a common obstacle is that building a "proper data classification framework” is a 2+ year project and the business can't wait that long.
      Info-Tech’s Approach
      • Start with the basics: build a minimum-viable product (MVP) to get started on the path to sustainable governance.
      • Identify what and where your data resides, how much data you have, and understand what sensitive data needs to be protected.
      • Create your team of stakeholders, including Legal, records managers, and privacy officers. Remember, they own the data and should manage it.
      • Categorization comes before classification, and discovery comes before categorization. Use easy-to-understand terms like high, medium, or low risk.

      Info-Tech Insight

      Data classification is the lynchpin to any effective governance of O/M365 and your objective is to navigate through this easily and effectively and build a robust, secure, and viable governance model. Start your journey by identifying what and where your data is and how much data do you have. You need to understand what sensitive data you have and where it is stored before you can protect or govern it. Ensure there is a high-level leader who is the champion of the governance objectives. Data classification fulfills the governance objectives of risk mitigation, governance and compliance, efficiency and optimization, and analytics.

      Questions you need to ask

      Four key questions to kick off your MVP.

      1

      Know Your Data

      Do you know where your critical and sensitive data resides and what is being done with it?

      Trying to understand where your information is can be a significant project.

      2

      Protect Your Data

      Do you have control of your data as it traverses across the organization and externally to partners?

      You want to protect information wherever it goes through encryption, etc.

      3

      Prevent Data Loss

      Are you able to detect unsafe activities that prevent sharing of sensitive information?

      Data loss prevention (DLP) is the practice of detecting and preventing data breaches, exfiltration, or unwanted destruction of sensitive data.

      4

      Govern Your Data

      Are you using multiple solutions (or any) to classify, label, and protect sensitive data?

      Many organizations use more than one solution to protect and govern their data, making it difficult to determine if there are any coverage gaps.

      Classification tiers

      Build your schema.

      Pyramid visualization for classification tiers. The top represents 'Simplicity', and the bottom 'Complexity' with the length of the sides at each level representing the '# of policies' and '# of labels'. At the top level is 'MVP (Minimum-Viable Product) - Confidential, Internal (Subcategory: Personal), Public'. At the middle level is 'Regulated - Highly Confidential, Confidential, Sensitive, General, Internal, Restricted, Personal, Sub-Private, Public'. And a the bottom level is 'Government (DOD) - Top Secret (TS), Secret, Confidential, Restricted, Official, Unclassified, Clearance'

      Info-Tech Insight

      Deciding on how granular you go into data classification will chiefly be governed by what industry you are in and your regulatory obligations – the more highly regulated your industry, the more classification levels you will be mandated to enforce. The more complexity you introduce into your organization, the more operational overhead both in cost and resources you will have to endure and build.

      Microsoft MIP Topology

      Microsoft Information Protection (MIP), which is Microsoft’s Data Classification Services, is the key to achieving your governance goals. Without an MVP, data classification will be overwhelming; simplifying is the first step in achieving governance.

      A diagram of multiple offerings all connected to 'MIP Data Classification Service'. Circled is 'Sensitivity Labels' with an arrow pointing back to 'MIP' at the center.
      (Source: Microsoft, “Microsoft Purview compliance portal”)

      Info-Tech Insight

      Using least-complex sensitivity labels in your classification are your building blocks to compliance and security in your data management schema; they are your foundational steps.

      MVP RACI Chart

      Data governance is a "takes a whole village" kind of effort.

      Clarify who is expected to do what with a RACI chart.

      End User M365 Administrator Security/ Compliance Data Owner
      Define classification divisions R A
      Appy classification label to data – at point of creation A R
      Apply classification label to data – legacy items R A
      Map classification divisions to relevant policies R A
      Define governance objectives R A
      Backup R A
      Retention R A
      Establish minimum baseline A R

      What and where your data resides

      Data types that require classification.

      Logos for 'Microsoft', 'Office 365', and icons for each program included in that package.
      M365 Workload Containers
      Icon for MS Exchange. Icon for MS SharePoint.Icon for MS Teams. Icon for MS OneDrive. Icon for MS Project Online.
      Email
      • Attachments
      Site Collections, Sites Sites Project Databases
      Contacts Teams and Group Site Collections, Sites Libraries and Lists Sites
      Metadata Libraries and Lists Documents
      • Versions
      Libraries and Lists
      Teams Conversations Documents
      • Versions
      Metadata Documents
      • Versions
      Teams Chats Metadata Permissions
      • Internal Sharing
      • External Sharing
      Metadata
      Permissions
      • Internal Sharing
      • External Sharing
      Files Shared via Teams Chats Permissions
      • Internal Sharing
      • External Sharing

      Info-Tech Insight

      Knowing where your data resides will ensure you do not miss any applicable data that needs to be classified. These are examples of the workload containers; you may have others.

      Discover and classify on- premises files using AIP

      AIP helps you manage sensitive data prior to migrating to Office 365:
      • Use discover mode to identify and report on files containing sensitive data.
      • Use enforce mode to automatically classify, label, and protect files with sensitive data.
      Can be configured to scan:
      • SMB files
      • SharePoint Server 2016, 2013
      Stock image of a laptop uploading to the cloud with a padlock and key in front of it.
      • Map your network and find over-exposed file shares.
      • Protect files using MIP encryption.
      • Inspect the content in file repositories and discover sensitive information.
      • Classify and label file per MIP policy.
      Azure Information Protection scanner helps discover, classify, label, and protect sensitive information in on-premises file servers. You can run the scanner and get immediate insight into risks with on-premises data. Discover mode helps you identify and report on files containing sensitive data (Microsoft Inside Track and CIAOPS, 2022). Enforce mode automatically classifies, labels, and protects files with sensitive data.

      Info-Tech Insight

      Any asset deployed to the cloud must have approved data classification. Enforcing this policy is a must to control your data.

      Understanding governance

      Microsoft Information Governance

      Information Governance
      • Retention policies for workloads
      • Inactive and archive mailboxes

      Arrow pointing down-right

      Records Management
      • Retention labels for items
      • Disposition review

      Arrow pointing down-left

      Retention and Deletion

      ‹——— Connectors for Third-Party Data ———›

      Information governance manages your content lifecycle using solutions to import, store, and classify business-critical data so you can keep what you need and delete what you do not. Backup should not be used as a retention methodology since information governance is managed as a “living entity” and backup is a stored information block that is “suspended in time.” Records management uses intelligent classification to automate and simplify the retention schedule for regulatory, legal, and business-critical records in your organization. It is for that discrete set of content that needs to be immutable.
      (Source: Microsoft, “Microsoft Purview compliance portal”)

      Retention and backup policy decision

      Retention is not backup.

      Info-Tech Insight

      Retention is not backup. Retention means something different: “the content must be available for discovery and legal document production while being able to defend its provenance, chain of custody, and its deletion or destruction” (AvePoint Blog, 2021).

      Microsoft Responsibility (Microsoft Protection) Weeks to Months Customer Responsibility (DLP, Backup, Retention Policy) Months to Years
      Loss of service due to natural disaster or data center outage Loss of data due to departing employees or deactivated accounts
      Loss of service due to hardware or infrastructure failure Loss of data due to malicious insiders or hackers deleting content
      Short-term (30 days) user error with recycle bin/ version history (including OneDrive “File Restore”) Loss of data due to malware or ransomware
      Short-term (14 days) administrative error with soft- delete for groups, mailboxes, or service-led rollback Recovery from prolonged outages
      Long-term accidental deletion coverage with selective rollback

      Understand retention policy

      What are retention policies used for? Why you need them as part of your MVP?

      Do not confuse retention labels and policies with backup.

      Remember: “retention [policies are] auto-applied whereas retention label policies are only applied if the content is tagged with the associated retention label” (AvePoint Blog, 2021).

      E-discovery tool retention policies are not turned on automatically.

      Retention policies are not a backup tool – when you activate this feature you are unable to delete anyone.

      “Data retention policy tools enable a business to:

      • “Decide proactively whether to retain content, delete content, or retain and then delete the content when needed.
      • “Apply a policy to all content or just content meeting certain conditions, such as items with specific keywords or specific types of sensitive information.
      • “Apply a single policy to the entire organization or specific locations or users.
      • “Maintain discoverability of content for lawyers and auditors, while protecting it from change or access by other users. […] ‘Retention Policies’ are different than ‘Retention Label Policies’ – they do the same thing – but a retention policy is auto-applied, whereas retention label policies are only applied if the content is tagged with the associated retention label.

      “It is also important to remember that ‘Retention Label Policies’ do not move a copy of the content to the ‘Preservation Holds’ folder until the content under policy is changed next.” (Source: AvePoint Blog, 2021)

      Definitions

      Data classification is a focused term used in the fields of cybersecurity and information governance to describe the process of identifying, categorizing, and protecting content according to its sensitivity or impact level. In its most basic form, data classification is a means of protecting your data from unauthorized disclosure, alteration, or destruction based on how sensitive or impactful it is.

      Once data is classified, you can then create policies; sensitive data types, trainable classifiers, and sensitivity labels function as inputs to policies. Policies define behaviors, like if there will be a default label, if labeling is mandatory, what locations the label will be applied to, and under what conditions. A policy is created when you configure Microsoft 365 to publish or automatically apply sensitive information types, trainable classifiers, or labels.

      Sensitivity label policies show one or more labels to Office apps (like Outlook and Word), SharePoint sites, and Office 365 groups. Once published, users can apply the labels to protect their content.

      Data loss prevention (DLP) policies help identify and protect your organization's sensitive info (Microsoft Docs, April 2022). For example, you can set up policies to help make sure information in email and documents is not shared with the wrong people. DLP policies can use sensitive information types and retention labels to identify content containing information that might need protection.

      Retention policies and retention label policies help you keep what you want and get rid of what you do not. They also play a significant role in records management.

      Data examples for MVP classification

      • Examples of the type of data you consider to be Confidential, Internal, or Public.
      • This will help you determine what to classify and where it is.
      Internal Personal, Employment, and Job Performance Data
      • Social Security Number
      • Date of birth
      • Marital status
      • Job application data
      • Mailing address
      • Resume
      • Background checks
      • Interview notes
      • Employment contract
      • Pay rate
      • Bonuses
      • Benefits
      • Performance reviews
      • Disciplinary notes or warnings
      Confidential Information
      • Business and marketing plans
      • Company initiatives
      • Customer information and lists
      • Information relating to intellectual property
      • Invention or patent
      • Research data
      • Passwords and IT-related information
      • Information received from third parties
      • Company financial account information
      • Social Security Number
      • Payroll and personnel records
      • Health information
      • Self-restricted personal data
      • Credit card information
      Internal Data
      • Sales data
      • Website data
      • Customer information
      • Job application data
      • Financial data
      • Marketing data
      • Resource data
      Public Data
      • Press releases
      • Job descriptions
      • Marketing material intended for general public
      • Research publications

      New container sensitivity labels (MIP)

      New container sensitivity labels

      Public Private
      Privacy
      1. Membership to group is open; anyone can join
      2. “Everyone except external guest” ACL onsite; content available in search to all tenants
      1. Only owner can add members
      2. No access beyond the group membership until someone shares it or changes permissions
      Allowed Not Allowed
      External guest policy
      1. Membership to group is open; anyone can join
      2. “Everyone except external guest” ACL onsite; content available in search to all tenants
      1. Only owner can add members
      2. No access beyond the group membership until someone shares it or changes permissions

      What users will see when they create or label a Team/Group/Site

      Table of what users will see when they create or label a team/group/site highlighting 'External guest policy' and 'Privacy policy options' as referenced above.
      (Source: Microsoft, “Microsoft Purview compliance portal”)

      Info-Tech Insights

      Why you need sensitivity container labels:
      • Manage privacy of Teams Sites and M365 Groups
      • Manage external user access to SPO sites and teams
      • Manage external sharing from SPO sites
      • Manage access from unmanaged devices

      Data protection and security baselines

      Data Protection Baseline

      “Microsoft provides a default assessment in Compliance Manager for the Microsoft 365 data protection baseline" (Microsoft Docs, June 2022). This baseline assessment has a set of controls for key regulations and standards for data protection and general data governance. This baseline draws elements primarily from NIST CSF (National Institute of Standards and Technology Cybersecurity Framework) and ISO (International Organization for Standardization) as well as from FedRAMP (Federal Risk and Authorization Management Program) and GDPR (General Data Protection Regulation of the European Union).

      Security Baseline

      The final stage in M365 governance is security. You need to implement a governance policy that clearly defines storage locations for certain types of data and who has permission to access it. You need to record and track who accesses content and how they share it externally. “Part of your process should involve monitoring unusual external sharing to ensure staff only share documents that they are allowed to” (Rencore, 2021).

      Info-Tech Insights

      • Controls are already in place to set data protection policy. This assists in the MVP activities.
      • Finally, you need to set your security baseline to ensure proper permissions are in place.

      Prerequisite baseline

      Icon of crosshairs.
      Security

      MFA or SSO to access from anywhere, any device

      Banned password list

      BYOD sync with corporate network

      Icon of a group.
      Users

      Sign out inactive users automatically

      Enable guest users

      External sharing

      Block client forwarding rules

      Icon of a database.
      Resources

      Account lockout threshold

      OneDrive

      SharePoint

      Icon of gears.
      Controls

      Sensitivity labels, retention labels and policies, DLP

      Mobile application management policy

      Building baselines

      Sensitivity Profiles: Public, Internal, Confidential; Subcategory: Highly Confidential

      Microsoft 365 Collaboration Protection Profiles

      Sensitivity Public External Collaboration Internal Highly Confidential
      Description Data that is specifically prepared for public consumption Not approved for public consumption, but OK for external collaboration External collaboration highly discouraged and must be justified Data of the highest sensitivity: avoid oversharing, internal collaboration only
      Label details
      • No content marking
      • No encryption
      • Public site
      • External collaboration allowed
      • Unmanaged devices: allow full access
      • No content marking
      • No encryption
      • Private site
      • External collaboration allowed
      • Unmanaged devices: allow full access
      • Content marking
      • Encryption
      • Private site
      • External collaboration allowed but monitored
      • Unmanaged devices: limited web access
      • Content marking
      • Encryption
      • Private site
      • External collaboration disabled
      • Unmanaged devices: block access
      Teams or Site details Public Team or Site open discovery, guests are allowed Private Team or Site members are invited, guests are allowed Private Team or Site members are invited, guests are not allowed
      DLP None Warn Block

      Please Note: Global/Compliance Admins go to the 365 Groups platform, the compliance center (Purview), and Teams services (Source: Microsoft Documentation, “Microsoft Purview compliance documentation”)

      Info-Tech Insights

      • Building baseline profiles will be a part of your MVP. You will understand what type of information you are addressing and label it accordingly.
      • Sensitivity labels are a way to classify your organization's data in a way that specifies how sensitive the data is. This helps you decrease risks in sharing information that shouldn't be accessible to anyone outside your organization or department. Applying sensitivity labels allows you to protect all your data easily.

      MVP activities

      PRIMARY
      ACTIVITIES
      Define Your Governance
      The objective of the MVP is reducing barriers to establishing an initial governance position, and then enabling rapid progression of the solution to address a variety of tangible risks, including DLP, data retention, legal holds, and labeling.
      Decide on your classification labels early.

      CATEGORIZATION





      CLASSIFICATION

      MVP
      Data Discovery and Management
      AIP (Azure Information Protection) scanner helps discover, classify, label, and protect sensitive information in on-premises file servers. You can run the scanner and get immediate insight into risks with on-premises data.
      Baseline Setup
      Building baseline profiles will be a part of your MVP. You will understand what type of information you are addressing and label it accordingly. Microsoft provides a default assessment in Compliance Manager for the Microsoft 365 data protection baseline.
      Default M365 settings
      Microsoft provides a default assessment in Compliance Manager for the Microsoft 365 data protection baseline. This baseline assessment has a set of controls for key regulations and standards for data protection and general data governance.
      SUPPORT
      ACTIVITIES
      Retention Policy
      Retention policy is auto-applied. Decide whether to retain content, delete content, or retain and then delete the content.
      Sensitivity Labels
      Automatically enforce policies on groups through labels; classify groups.
      Workload Containers
      M365: SharePoint, Teams, OneDrive, and Exchange, where your data is stored for labels and policies.
      Unforced Policies
      Written policies that are not enforceable by controls in Compliance Manager such as acceptable use policy.
      Forced Policies
      Restrict sharing controls to outside organizations. Enforce prefix or suffix to group or team names.

      ACME Company MVP for M/O365

      PRIMARY
      ACTIVITIES
      Define Your Governance


      Focus on ability to use legal hold and GDPR compliance.

      CATEGORIZATION





      CLASSIFICATION

      MVP
      Data Discovery and Management


      Three classification levels (public, internal, confidential), which are applied by the user when data is created. Same three levels are used for AIP to scan legacy sources.

      Baseline Setup


      All data must at least be classified before it is uploaded to an M/O365 cloud service.

      Default M365 settings


      Turn on templates 1 8 the letter q and the number z

      SUPPORT
      ACTIVITIES
      Retention Policy


      Retention policy is auto-applied. Decide whether to retain content, delete content, or retain and then delete the content.

      Sensitivity Labels


      Automatically enforce policies on groups through labels; classify groups.

      Workload Containers


      M365: SharePoint, Teams, OneDrive, and Exchange, where your data is stored for labels and policies.

      Unforced Policies


      Written policies that are not enforceable by controls in Compliance Manager such as acceptable use policy.

      Forced Policies


      Restrict sharing controls to outside organizations. Enforce prefix or suffix to group or team names.

      Related Blueprints

      Govern Office 365

      Office 365 is as difficult to wrangle as it is valuable. Leverage best practices to produce governance outcomes aligned with your goals.

      Map your organizational goals to the administration features available in the Office 365 console. Your governance should reflect your requirements.

      Migrate to Office 365 Now

      Jumping into an Office 365 migration project without careful thought of the risks of a cloud migration will lead to project halt and interruption. Intentionally plan in order to expose risk and to develop project foresight for a smooth migration.

      Microsoft Teams Cookbook

      Remote work calls for leveraging your Office 365 license to use Microsoft Teams – but IT is unsure about best practices for governance and permissions. Moreover, IT has few resources to help train end users with Teams best practices

      IT Governance, Risk & Compliance

      Several blueprints are available on a broader topic of governance, from Make Your IT Governance Adaptable to Improve IT Governance to Drive Business Results and Build an IT Risk Management Program.

      Bibliography

      “Best practices for sharing files and folders with unauthenticated users.” Microsoft Build, 28 April 2022. Accessed 2 April 2022.

      “Build and manage assessments in Compliance Manager.” Microsoft Docs, 15 June 2022. Web.

      “Building a modern workplace with Microsoft 365.” Microsoft Inside Track, n.d. Web.

      Crane, Robert. “June 2020 Microsoft 365 Need to Know Webinar.” CIAOPS, SlideShare, 26 June 2020. Web.

      “Data Classification: Overview, Types, and Examples.” Simplilearn, 27 Dec. 2021. Accessed 11 April 2022.

      “Data loss prevention in Exchange Online.” Microsoft Docs, 19 April 2022. Web.

      Davies, Nahla. “5 Common Data Governance Challenges (and How to Overcome Them).” Dataversity. 25 October 2021. Accessed 5 April 2022.

      “Default labels and policies to protect your data.” Microsoft Build, April 2022. Accessed 3 April 2022.

      M., Peter. "Guide: The difference between Microsoft Backup and Retention." AvePoint Blog, 9 Oct. 2021. Accessed 4 April 2022.

      Meyer, Guillaume. “Sensitivity Labels: What They Are, Why You Need Them, and How to Apply Them.” nBold, 6 October 2021. Accessed 2 April 2022.

      “Microsoft 365 guidance for security & compliance.” Microsoft, 27 April 2022. Accessed 28 April 2022.

      “Microsoft Purview compliance portal.” Microsoft, 19 April 2022. Accessed 22 April 2022.

      “Microsoft Purview compliance documentation.” Microsoft, n.d. Accessed 22 April 2022.

      “Microsoft Trust Center: Products and services that run on trust.” Microsoft, 2022. Accessed 3 April 2022.

      “Protect your sensitive data with Microsoft Purview.” Microsoft Build, April 2022. Accessed 3 April 2022.

      Zimmergren, Tobias. “4 steps to successful cloud governance in Office 365.” Rencore, 9 Sept. 2021. Accessed 5 April 2022.

      Develop Infrastructure & Operations Policies and Procedures

      • Buy Link or Shortcode: {j2store}452|cart{/j2store}
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      • Parent Category Name: Operations Management
      • Parent Category Link: /i-and-o-process-management
      • Time and money are wasted dealing with mistakes or missteps that should have been addressed by procedures or policies.
      • Standard operating procedures are less effective without a policy to provide a clear mandate and direction.
      • Adhering to policies is rarely a priority, as compliance often feels like an impediment to getting work done.
      • Processes aren’t measured or audited to assess policy compliance, which makes enforcing the policies next to impossible.

      Our Advice

      Critical Insight

      • Document what you need to document and forget the rest. Always check to see if you can use a previously approved policy before you create a new one. You may only need to create new guidelines or standards rather than approve a new policy.

      Impact and Result

      • Start with a comprehensive policy framework to help you identify policy gaps. Prioritize and address those policy gaps.
      • Create effective policies that are reasonable, measurable, auditable, and enforceable.
      • Create and document procedures to support policy changes.

      Develop Infrastructure & Operations Policies and Procedures Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should change your approach to developing Infrastructure & Operations policies and procedures, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Identify policy and procedure gaps

      Create a prioritized action plan for documentation based on business need.

      • Develop Infrastructure & Operations Policies and Procedures – Phase 1: Identify Policy and Procedure Gaps

      2. Develop policies

      Adapt policy templates to meet your business requirements.

      • Develop Infrastructure & Operations Policies and Procedures – Phase 2: Develop Policies
      • Availability and Capacity Management Policy
      • Business Continuity Management Policy
      • Change Control – Freezes & Risk Evaluation Policy
      • Change Management Policy
      • Configuration Management Policy
      • Firewall Policy
      • Hardware Asset Management Policy
      • IT Triage and Support Policy
      • Release Management Policy
      • Software Asset Management Policy
      • System Maintenance Policy – NIST
      • Internet Acceptable Use Policy

      3. Document effective procedures

      Improve policy adherence and service effectiveness through procedure standardization and documentation.

      • Develop Infrastructure & Operations Policies and Procedures – Phase 3: Document Effective Procedures
      • Capacity Plan Template
      • Change Management Standard Operating Procedure
      • Configuration Management Standard Operation Procedures
      • Incident Management and Service Desk SOP
      • DRP Summary Template
      • Service Desk Standard Operating Procedure
      • HAM Standard Operating Procedures
      • SAM Standard Operating Procedures
      [infographic]

      Further reading

      Develop Infrastructure & Operations Policies and Procedures

      Document what you need to document and forget the rest.

      Table of contents

      Project Rationale

      Project Outlines

      • Phase 1: Identify Policy and Procedure Gaps
      • Phase 2: Develop Policies
      • Phase 3: Document Effective Procedures

      Bibliography

      ANALYST PERSPECTIVE

      Document what you need to document now and forget the rest.

      "Most IT organizations struggle to create and maintain effective policies and procedures, despite known improvements to consistency, compliance, knowledge transfer, and transparency.

      The numbers are staggering. Fully three-quarters of IT professionals believe their policies need improvement, and the same proportion of organizations don’t update procedures as required.

      At the same time, organizations that over-document and under-document perform equally poorly on key measures such as policy quality and policy adherence. Take a practical, step-by-step approach that prioritizes the documentation you need now. Leave the rest for later."

      (Andrew Sharp, Research Manager, Infrastructure & Operations Practice, Info-Tech Research Group)

      Our understanding of the problem

      This Research Is Designed For:

      • Infrastructure Managers
      • Chief Technology Officers
      • IT Security Managers

      This Research Will Help You:

      • Address policy gaps
      • Develop effective procedures and procedure documentation to support policy compliance

      This Research Will Also Assist:

      • Chief Information Officers
      • Enterprise Risk and Compliance Officers
      • Chief Human Resources Officers
      • Systems Administrators and Engineers

      This Research Will Help Them:

      • Understand the importance of a coherent approach to policy development
      • Understand the importance of Infrastructure & Operations policies
      • Support Infrastructure & Operations policy development and enforcement

      Info-Tech Best Practice

      This blueprint supports templates for key policies and procedures that help Infrastructure & Operations teams to govern and manage internal operations. For security policies, see the NIST SP 800-171 aligned Info-Tech blueprint, Develop and Deploy Security Policies.

      Executive Summary

      Situation

      • Time and money are wasted dealing with mistakes or missteps that should have been addressed by procedures or policies.
      • Standard operating procedures are less effective without a policy to provide a clear mandate and direction.

      Complication

      • Existing policies were written, approved, signed – and forgotten for years because no one has time to maintain them.
      • Adhering to policies is rarely a priority, as compliance often feels like an impediment to getting work done.
      • Processes aren’t measured or audited to assess policy compliance, which makes enforcing the policies next to impossible.

      Resolution

      • Start with a comprehensive policy framework to help you identify policy gaps. Prioritize and address those policy gaps.
      • Create effective policies that are reasonable, measurable, auditable, and enforceable.
      • Create and document procedures to support policy changes.

      Info-Tech Insight

      1. Document what you need to document and forget the rest.
        Always check if a previously approved policy exists before you create a new one. You may only need to create new guidelines or standards rather than approve a new policy.
      2. Support policies with documented procedures.
        Build procedures that embed policy adherence in daily operations. Find opportunities to automate policy adherence (e.g. removing local admin rights from user computers).

      What are policies, procedures, and processes?

      A policy is a governing document that states the long-term goals of the organization and in broad strokes outlines how they will be achieved (e.g. a Data Protection Policy).

      In the context of policies, a procedure is composed of the steps required to complete a task (e.g. a Backup and Restore Procedure). Procedures are informed by required standards and recommended guidelines. Processes, guidelines, and standards are three pillars that support the achievement of policy goals.

      A process is higher level than a procedure – a set of tasks that deliver on an organizational goal.

      Better policies and procedures reduce organizational risk and, by strengthening the ability to execute processes, enhance the organization’s ability to execute on its goals.

      Visualization of policies, procedures, and processes using pillars. Two separate structures, 'Policy A' and 'Policy B', are each held up by three pillars labelled 'Standards', 'Procedures', and 'Guidelines'. Two lines pass through the pillars of both structures and are each labelled 'Value-creating process'.

      Document to improve governance and operational processes

      Deliver value

      Build, deliver, and support Infrastructure assets in a consistent way, which ultimately reduces costs associated with downtime, errors, and rework. A good manual process is the foundation for a good automated process.

      Simplify Training

      Use documentation for knowledge transfer. Routine tasks can be delegated to less-experienced staff.

      Maintain compliance

      Comply with laws and regulations. Policies are often required for compliance, and formally documented and enforced policies help the organization maintain compliance by mandating required due diligence, risk reduction, and reporting activities.

      Provide transparency

      Build an open kitchen. Other areas of the organization may not understand how Infra & Ops works. Your documentation can provide the answer to the perennial question: “Why does that take so long?”

      Info-Tech Best Practice

      Governance goals must be supported with effective, well-aligned procedures and processes. Use Info-Tech’s research to support the key Infrastructure & Operations processes that enable your business to create value.

      Document what you need to document – and forget the rest

      Half of all organizations believe their policy suite is insufficient. (Info-Tech myPolicies Survey Data (N=59))

      Pie chart with three sections labelled 'Too Many Policies and Procedures 14%', 'Adequate Policies and Procedures 37%', 'Insufficient Policies and Procedures 49%'

      Too much documentation and a lack of documentation are both ineffective. (Info-Tech myPolicies Survey Data (N=59))

      Two bar charts labelled 'Policy Adherence' and 'Policy Quality' each with three bars representing 'Too Many Policies and Procedures', 'Insufficient Policies and Procedures', and 'Adequate Policies and Procedures'. The values shown are an average score out of 5. For Policy Adherence: Too Many is 2.4, Insufficient is 2.1, and Adequate is 3.2. For Policy Quality: Too Many is 2.9, Insufficient is 2.6, and Adequate is 4.1.

      77% of IT professionals believe their policies require improvement. (Kaspersky Lab)

      Presenting: A COBIT-aligned policy suite

      We’ve developed a suite of effective policy templates for every Infra & Ops manager based on Info-Tech’s IT Management & Governance Framework.

      Policy templates and the related aspects of Info-Tech's IT Management & Governance Framework

      Info-Tech Best Practice

      Look for these symbols as you work through the deck. Prioritize and focus on the policies you work on first based on the value of the policy to the enterprise and the existing gaps in your governance structure.

      Project outline

      Phases

      1. Identify policy and procedure gaps 2. Develop policies 3. Document effective procedures

      Steps

      • Review and right-size the existing policy set
      • Create an action plan to address policy gaps
      • Modify policy templates and gather feedback
      • Implement, enforce, measure, and maintain new policies
      • Scope and outline procedures
      • Document and maintain procedures

      Outcomes

      Action list of policy and procedure gaps New or updated Infrastructure & Operations policies Procedure documentation

      Use these icons to help direct you as you navigate this research

      Use these icons to help guide you through each step of the blueprint and direct you to content related to the recommended activities.

      A small monochrome icon of a wrench and screwdriver creating an X.

      This icon denotes a slide where a supporting Info-Tech tool or template will help you perform the activity or step associated with the slide. Refer to the supporting tool or template to get the best results and proceed to the next step of the project.

      A small monochrome icon depicting a person in front of a blank slide.

      This icon denotes a slide with an associated activity. The activity can be performed either as part of your project or with the support of Info-Tech team members, who will come onsite to facilitate a workshop for your organization.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      Guided Implementation

      Workshop

      Consulting

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track." "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place." "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks used throughout all four options

      Accelerate policy development with a Guided Implementation

      Your trusted advisor is just a call away.

      • Identify Policy and Procedure Gaps (Calls 1-2)
        Assess current policies, operational challenges, and gaps. Mitigate significant risks first.
      • Create and Review Policies (Calls 2-4)
        Modify and review policy templates with an Info-Tech analyst.
      • Create and Review Procedures (Calls 4-6)
        Workflow procedures, using templates wherever possible. Review documentation best practices.

      Contact Info-Tech to set up a Guided Implementation with a dedicated advisor who will walk you through every stage of your policy development project.

      Develop Infrastructure & Operations Policies and Procedures

      Phase 1

      Identify Policy and Procedure Gaps

      PHASE 1: Identify Policy and Procedure Gaps

      Step 1.1: Review and right-size the existing policy set

      This step will walk you through the following activities:

      • Identify gaps in your existing policy suite
      • Document challenges to core Infrastructure & Operations processes
      • Identify documentation that can close gaps
      • Prioritize your documentation effort

      This step involves the following participants:

      • Infrastructure & Operations Manager
      • Infrastructure Supervisors

      Results & Insights

      • Results: A review of the existing policy suite and identification of opportunities for improvement.
      • Insights: Not all gaps necessarily require a fresh policy. Repurpose, refresh, or supplement existing documentation wherever appropriate.

      Conduct a policy review

      Associated Activity icon 1(a) 30 minutes per policy

      You’ve got time to review your policy suite. Make the most of it.

      1. Start with organizational requirements.
        • What initiatives are on the go? What policies or procedures do you have a mandate to create?
      2. Weed out expired and dated policies.
        • Gather your existing policies. Identify when each one was published or last reviewed.
        • Decide whether to retire, merge, or update expired or obviously dated policy.
      3. Review policy statements.
        • Check that the organization is adequately supporting policy statements with SOPs, standards, and guidelines. Ensure role-related information is up to date.
      4. Document and bring any gaps forward to the next activity. If no action is required, indicate that you have completed a review and submit the findings for approval.

      But they just want one policy...

      A review of your policy suite is good practice, especially when it hasn’t been done for a while. Why?
      • Existing policies may address what you’re trying to do with a new policy. Using or modifying an existing policy avoids overlap and contradiction and saves you the effort required to create, communicate, approve, and maintain a new policy.
      • Review the suite to validate that you’re addressing the most important challenges first.

      Brainstorm improvements for core Infrastructure & Operations processes

      Associated Activity icon 1(b) 1 hour

      Supplement the list of gaps from your policy review with process challenges.

      1. Write out key Infra & Ops–related processes – one piece of flipchart paper per process. You can work through all of these processes or cherry-pick the processes you want to improve first.
      2. With participants, write out in point form how you currently execute on these processes (e.g. for Asset Management, you might be tagging hardware, tracking licenses, etc.)
      3. Work through a “Start – Stop – Continue” exercise. Ask participants: What should we start doing? What must we stop doing? What do we do currently that’s valuable and must continue? Write ideas on sticky notes.
      4. Once you’ve worked through the “Start – Stop – Continue” exercise for all processes, group similar suggestions for improvements.

      Asset Management: Manage hardware and software assets across their lifecycle to protect assets and manage costs.

      Availability and Capacity Management: Balance current and future availability, capacity, and performance needs with cost-to-serve.

      Business Continuity Management: Continue operation of critical business processes and IT services.

      Change Management: Deliver technical changes in a controlled manner.

      Configuration Management: Define and maintain relationships between technical components.

      Problem Management: Identify incident root cause.

      Operations Management: Coordinate operations.

      Release and Patch Management: Deliver updates and manage vulnerabilities in a controlled manner.

      Service Desk: Respond to user requests and all incidents.

      PHASE 1: Identify Policy and Procedure Gaps

      Step 1.2: Create an action plan to address policy gaps

      This step will walk you through the following activities:

      • Identify challenges and gaps that can be addressed via documentation
      • Prioritize high-value, high-risk gaps

      This step involves the following participants:

      • Infrastructure & Operations Manager
      • Infrastructure Supervisors

      Results & Insights

      • Results: An action plan to tackle policy and procedures gaps, aligned with business requirements and business value.
      • Insights: Not all documentation is equally valuable. Prioritize documentation that delivers value and mitigates risk.

      Support policies with procedures, standards, and guidelines

      Use a working definition for each type of document.

      Policy: Directives, rules, and mandates that support the overarching, long-term goals of the organization.

      • Standards: Prescriptive, uniform requirements.
      • Procedures: Specific, detailed, step-by-step instructions for completing a task.
      • Guidelines: Non-enforceable, recommended best practices.

      Info-Tech Best Practice

      Take advantage of your Info-Tech advisory membership by scheduling review sessions with an analyst. We provide high-level feedback to ensure your documentation is clear, concise, and consistent and aligns with the governance objectives you’ve identified.

      Answer the following questions to decide if governance documentation can help close gaps

      Associated Activity icon 1(c) 30 minutes

      Documentation supports knowledge sharing, process consistency, compliance, and transparency. Ask the following questions:

      1. What is the purpose of the documentation?
        Procedures support task completion. Policies set direction and manage organizational risk.
      2. Should it be enforceable?
        Policies and standards are enforceable; guidelines are not. Procedures are enforceable in that they should support policy enforcement.
      3. What is the scope?
        To document a task, create a procedure. Set overarching rules with policies. Use standards and guidelines to set detailed rules and best practices.
      4. What’s the expected cadence for updates?
        Policies should be revisited and revised less frequently than procedures.

      Info-Tech Best Practice

      Reinvent the wheel? I don’t think so!

      Always check to see if a gap can be addressed with existing tools before drafting a new policy

      • Is there an existing policy that could be supported with new or updated procedures, technical standards, or guidelines?
      • Is there a technical control you can deploy that would enforce the terms of an existing, approved policy?
      • It may be simpler to amend an existing policy instead of creating a new one.

      Some problems can’t be solved by better documentation (or by documentation alone). Consider additional strategies that address people, process, and technology.

      Tackle high-value, high-risk gaps first

      Associated Activity icon 1(d) 30 minutes

      Prioritize your documentation effort.

      1. List each proposed piece of documentation on the board.
      2. Assign a score to the risk posed to the business by the lack of documentation and to the expected benefit of completing the documentation. Use a scoring scale between 1 and 3 such as the one on the right.
      3. Prioritize documentation that mitigates risks and maximizes benefits.
      4. If you need to break ties, consider effort required to develop, implement, and enforce policies or procedures.

      Example Scoring Scale

      Score Business risk of missing documentation Business benefit of value of documentation

      1

      Low: Affects ad hoc activities or non-critical data. Low: Minimal impact.

      2

      Moderate: Impacts productivity or internal goodwill. Moderate: Required periodically; some cross-training opportunities.

      3

      High: Impacts revenue, safety, or external goodwill. High: Save time for common or ongoing processes; extensive improvement to training/knowledge transfer.

      Info-Tech Insight

      Documentation pulls resources away from other important programs and projects, so ultimately it must be a demonstrably higher priority than other work. This exercise is designed to align documentation efforts with business goals.

      Phase 1: Review accomplishments

      Policy pillars: Standards, Procedures, Guidelines

      Summary of Accomplishments

      • Identified gaps in the existing policy suite and identified pain points in existing Infra & Ops processes.
      • Developed a list of policies and procedures that can address existing gaps and prioritized the documentation effort.

      Develop Infrastructure & Operations Policies and Procedures

      Phase 2

      Develop Policies

      PHASE 2: Develop Policies

      Step 2.1: Modify policy templates and gather feedback

      This step will walk you through the following activities:

      • Modify policy templates

      This step involves the following participants:

      • Infrastructure & Operations Manager
      • Technical Writer

      Results & Insights

      • Results: Your own COBIT-aligned policies built by modifying Info-Tech templates.
      • Insights: Effective policies are easy to read and navigate.

      Write Good-er: Be Clear, Consistent, and Concise

      Effective policies adhere to the three Cs of documentation.

      1. Be clear. Make it as easy as possible for a user to learn how to comply with your policy.
      2. Be consistent. Write policies that complement each other, not contradict each other.
      3. Be concise. Make it as quick and easy as possible to read and understand your policy.

      Info-Tech Best Practice

      To download the full suite of templates all at once, click the “Download Research” button on the research landing page on the website.

      Use the three Cs: Be Clear

      Understanding makes compliance possible. Create policy with the goal of making compliance as easy as possible. Use positive, simple language to convey your intentions and rationale to your audience. Staff will make an effort adhere to your policy when they understand the need and are able to comply with the terms.

      1. Choose a skilled writer. Select a writer who can write clearly and succinctly.
      2. Default to simple language and define key terms. Define scope and key terms upfront. Avoid using technical terms outside of technical documentation; if they’re necessary be sure to define them as well.
      3. Use active, positive language. Where possible, tell people what they can do, not what they can’t.
      4. Keep the structure simple. Complicated documents are less likely to be understood and read. Use short sentences and paragraphs. Lists are a helpful way to summarize important information. Guide your reader through the document with appropriately named section headers, tables of contents, and numeration.
      5. Add a process for handling exceptions. Refer to procedures, standards, and guidelines documentation. Try to keep these links as static as possible. Also, refer to a process for handling exceptions.
      6. Manage the integrity of electronic documents. When published electronically, the policy should have restricted editing access or should be published in a non-editable format. Access to the procedure and policy storage database for employees should be read-only.

      Info-Tech Insight

      Highly effective policies are easy to navigate. Your policies should be “skimmable.” Very few people will fully read a policy before accepting it. Make it easy to navigate so the reader can easily find the policy statements that apply to them.

      Use the three Cs: Be Consistent

      Ensure that policies are aligned with other organizational policies and procedures. It detracts from compliance if different policies prescribe different behavior in the same situation. Moreover, your policies should reflect the corporate culture and other company standards. Use your policies to communicate rules and get employees aligned with how your company works.

      1. Use standard sentences and paragraphs. Policies are usually expressed in short, standard sentences. Lists should also be used when necessary or appropriate.
      2. Remember the three Ws. When writing a policy, always be sure to clearly state what the rule is, when it should be applied, and who needs to follow it. Policies should clearly define their scope of application and whether directives are mandatory or recommended.
      3. Use an outline format. Using a numbered or outline format will make a document easier to read and will make content easier to look up when referring back to the document at a later time.
      4. Avoid amendments. Avoid the use of information that is quickly outdated and requires regular amendment (e.g. names of people).
      5. Reference a set of supplementary documents. Codify your tactics outside of the policy document, but make reference to them within the text. This makes it easier to ensure consistency in the behavior prescribed by your policies.

      "One of the issues is the perception that policies are rules and regulations. Instead, your policies should be used to say ‘this is the way we do things around here.’" (Mike Hughes CISA CGEIT CRISC, Principal Director, Haines-Watts GRC)

      Use the three Cs: Be Concise

      Reading and understanding policies shouldn’t be challenging, and it shouldn’t significantly detract from productive time. Long policies are more difficult to read and understand, increasing the work required for employees to comply with them. Put it this way: How often do you read the Terms and Conditions of software you’ve installed before accepting them?

      1. Be direct. The quicker you get to the point, the easier it is for the reader to interpret and comply with your policy.
      2. Your policy is a rule, not a recipe. Your policy should outline what needs to be accomplished and why – your standards, guidelines, and SOPs address the how.
      3. Keep policies short. Nobody wants to read a huge policy book, so keep your policies short.
      4. Use additional documentation where needed. In addition to making consistency easier, this shortens the length of your policies, making them easier to read.
      5. Policy still too large? Modularize it. If you have an extremely large policy, it’s likely that it’s too widely scoped or that you’re including statements that should be part of procedure documentation. Consider breaking your policy into smaller, focused, more digestible documents.

      "If the policy’s too large, people aren’t going to read it. Why read something that doesn’t apply to me?" (Carole Fennelly, Owner and Principal, cFennelly Consulting)

      "I always try to strike a good balance between length and prescriptiveness when writing policy. Your policies … should be short and describe the problem and your approach to solving it. Below policies, you write standards, guidelines, and SOPs." (Michael Deskin, Policy and Technical Writer, Canadian Nuclear Safety Commission)

      Customize policy documents

      Associated Activity icon 2(a) 1-2 hours per policy

      Use the policies templates to support key Infrastructure & Operations programs.

      INPUT: List of prioritized policies

      OUTPUT: Written policy drafts ready for review

      Materials: Policy templates

      Participants: Policy writer, Signing authority

      No policy template will be a perfect fit for your organization. Use Info-Tech’s research to develop your organization’s program requirements. Customize the policy templates to support those requirements.

      1. Work through policies from highest to lowest priority as defined in Phase 1.
      2. Follow the instructions written in grey text to customize the policy. Follow the three Cs when you write your policy.
      3. When your draft is finished, prepare to request signoff from your signing authority by reviewing the draft with an Info-Tech analyst.
      4. Complete the highest ranked three or four draft policies. Review all these policies with relevant stakeholders and include all relevant signing authorities in the signoff process.
      5. Rinse and repeat. Iterate until all relevant polices are complete.

      Request, Incident, and Problem Management

      An effective, timely service desk correlates with higher overall end-user satisfaction across all other IT services. (Info-Tech Research Group, 2016 (N=25,998))

      An icon for the 'DSS02 Service Desk' template. An icon for the 'DSS03 Incident and Problem Management' template.

      Use the following template to create a policy that outlines the goals and mandate for your service and support organization:

      • IT Triage and Support Policy

      Support the program and associated policy statements using Info-Tech’s research:

      • Standardize the Service Desk
      • Incident and Problem Management
      • Design & Build a User-Facing Service Catalog

      Embrace Standardization

      • Outline the support and service mandate with the policy. Support the policy with the methodology in Info-Tech’s research.
      • Over time, organizations without standardized processes face confusion, redundancies, and cost overruns. Standardization avoids wasting energy and effort building new solutions to solved issues.
      • Standard processes for IT services define repeatable approaches to work and sandbox creative activities.
      • Create tickets for every task and categorize them using a standard classification system. Use the resulting data to support root-cause analysis and long-term trend management.
      • Create a single point of contact for users for all incidents and requests. Escalate and resolve tickets faster.
      • Empower end users and technicians with knowledge bases that help them solve problems without intervention.

      Change, Release, and Patch Management

      Slow turnaround, unauthorized changes, and change-related incidents are all too familiar to many managers.

      An icon for the 'BAI06 Change Management' template. An icon for the 'BAI07 Release Management' template.

      Use the following templates to create policies that define effective patch, release, and change management:

      • Change Management Policy
      • Release and Patch Management Policy
      • Change Control – Freezes & Risk Evaluation Policy

      Ensure the policy is supported by using the following Info-Tech research:

      • Optimize Change Management

      Embrace Change

      • IT system owners resist change management when they see it as slow and bureaucratic.
      • At the same time, an increasingly interlinked technical environment may cause issues to appear in unexpected places. Configuration management systems are often not kept up to date, so preventable conflicts get missed.
      • No process exists to support the identification and deployment of critical security patches. Tracking down users to find a maintenance window takes significant, dedicated effort and intervention from the management team.
      • Create a unified change management process that reduces risk and is balanced in its approach toward deploying changes, while also maintaining throughput of patches, fixes, enhancements, and innovation.

      IT Asset Management (ITAM)

      A proactive, dynamic ITAM program will pay dividends in support, contract management, appropriate provisioning, and more.

      An icon for the 'BAI09 Asset Management' template.

      Start by outlining the requirements for effective asset management:

      • Hardware Asset Management Policy
      • Software Asset Management Policy

      Support ITAM policies with the following Info-Tech research:

      • Implement IT Asset Management

      Leverage Asset Data

      • Create effective, directional policies for your asset management program that provide a mandate for action. Support the policies with robust procedures, capable staff, and right-fit technology solutions.
      • Poor management of assets generally leads to higher costs due to duplicated purchases, early replacement, loss, and so on.
      • Visibility into asset location and ownership improves security and accountability.
      • A centralized repository of asset data supports request fulfilment and incident management.
      • Asset management is an ongoing program, not a one-off project, and must be resourced accordingly. Organizations often implement an asset management program and let it stagnate.

      "Many of the large data breaches you hear about… nobody told the sysadmin the client data was on that server. So they weren’t protecting and monitoring it." (Carole Fennelly, Owner and Principal, cFennelly Consulting)

      Business Continuity Management (BCM)

      Streamline the traditional approach to make BCM practical and repeatable.

      An icon for the 'DSS04 DR and Business Continuity' template.

      Set the direction and requirements for effective BCM:

      • Business Continuity Management Policy

      Support the BCM policy with the following Info-Tech research:

      • Create a Right-Sized Disaster Recovery Plan
      • Develop a Business Continuity Plan

      Build Organizational Resilience

      • Evidence of disaster recovery and business continuity planning is increasingly required to comply with regulations, mitigate business risk, and meet customer demands.
      • IT leaders are often asked to take the lead on business continuity, but overall accountability for business continuity rests with the board of directors, and each business unit must create and maintain its business continuity plan.
      • Set an organizational mandate for BCM with the policy.
      • Divide the business continuity mandate into manageable parcels of work. Follow Info-Tech’s practical methodology to tackle key disaster recovery and business continuity planning activities one at a time.

      Info-Tech Best Practice

      Governance goals must be supported with effective, well-aligned procedures and processes. Use Info-Tech’s research to support the key Infrastructure & Operations processes that enable your business to create value.

      Availability, Capacity, and Operations Management

      What was old is new again. Use time-tested techniques to manage and plan cloud capacity and costs.

      An icon for the 'BAI04 Availability and Capacity Management' template. An icon for the 'DSS01 Operations Management' template. An icon for the 'BAI10 Configuration Management' template.

      Set the direction and requirements for effective availability and capacity management:

      • Availability and Capacity Management Policy
      • System Maintenance Policy – NIST

      Support the policy with the following Info-Tech research:

      • Develop an Availability and Capacity Management Plan
      • Improve IT Operations Management
      • Develop an IT Infrastructure Services Playbook

      Mature Service Delivery

      • Hybrid IT deployments – managing multiple locations, delivery models, and service providers – are the future of IT. Hybrid deployments significantly complicate capacity planning and operations management.
      • Effective operations management practices develop structured processes to automate activities and increase process consistency across the IT organization, ultimately improving IT efficiency.
      • Trying to add mature service delivery can feel like playing whack-a-mole. Systematically improve your service capabilities using the tactical, iterative approach outlined in Improve IT Operations Management.

      Enhance your overall security posture with a defensible, prescriptive policy suite

      Align your security policy suite with NIST Special Publication 800-171.

      Security policies support the organization’s larger security program. We’ve created a dedicated research blueprint and a set of templates that will help you build security policies around a robust framework.

      • Start with a security charter that aligns the security program with organizational objectives.
      • Prioritize security policies that address significant risks.
      • Work with technical and business stakeholders to adapt Info-Tech’s NIST SP 800-171–aligned policy templates (at right) to reflect your organizational objectives.

      A diagram listing all the different elements in a 'Security Charter': 'Access Control', 'Audit & Acc.', 'Awareness and Training', 'Config. Mgmt.', 'Identification and Auth.', 'Incident Response', 'Maintenance', 'Media Protection', 'Personnel Security', 'Physical Protection', 'Risk Assessment', 'Security Assessment', 'System and Comm. Protection', and 'System and Information Integrity'.

      Review and download Info-Tech's blueprint Develop and Deploy Security Policies.

      Info-Tech Best Practice

      Customize Info-Tech’s policy framework to align your policy suite to NIST SP 800-171. Given NIST’s requirements for the control of confidential information, organizations that align their policies to NIST standards will be in a strong governance position.

      PHASE 2: Develop Policies

      Step 2.2: Implement, enforce, measure, and maintain new policies

      This step will walk you through the following activities:

      • Gather stakeholder feedback
      • Identify preventive and detective controls
      • Identify required supports
      • Seek policy approval
      • Establish roles and responsibilities for policy maintenance

      This step involves the following participants:

      • Infrastructure & Operations Manager
      • Infrastructure Supervisors
      • Technical Writer
      • Policy Stakeholders

      Results & Insights

      • Results: Well-supported policies that have received signoff.
      • Insights: If you’re not prepared to enforce the policy, you might not actually need a policy. Use the policy statements as guidelines or standards, create and implement procedures, and build a culture of compliance. Once you can confidently execute on required controls, seek signoff.

      Gather feedback from users to assess the feasibility of the new policies

      Associated Activity icon 2(b) Review period: 1-2 weeks

      Once the policies are drafted, roundtable the drafts with stakeholders.

      INPUT: Draft policies

      OUTPUT: Reviewed policy drafts ready for approval

      Materials: Policy drafts

      Participants: Policy stakeholders

      1. Form a test group of users who will be affected by the policy in different ways. Keep the group to around five staff.
      2. Present new policies to the testers. Allow them to read the documents and attempt to comply with the new policies in their daily routines.
      3. Collect feedback from the group.
        • Consider using interviews, email surveys, chat channels, or group discussions.
        • Solicit ideas on how policy statements could be improved or streamlined.
      4. Make reasonable changes to the first draft of the policies before submitting them for approval. Policies will only be followed if they’re realistic and user friendly.

      Info-Tech Best Practice

      Allow staff the opportunity to provide input on policy development. Giving employees a say in policy development helps avoid obstacles down the road. This is especially true if you’re trying to change behavior rather than lock it in.

      Develop mechanisms for monitoring and enforcement

      Associated Activity icon 2(c) 20 minutes per policy

      Brainstorm preventive and detective controls.

      INPUT: Draft policies

      OUTPUT: Reviewed policy drafts ready for approval

      Materials: Policy drafts

      Participants: Policy stakeholders

      Preventive controls are designed to discourage or pre-empt policy breaches before they occur. Training, approvals processes, and segregation of duties are examples of preventive controls. (Ohio University)

      Detective controls help enforce the policy by identifying breaches after they occur. Forensic analysis and event log auditing are examples of detective controls. (Ohio University)

      Not all policies require the same level of enforcement. Policies that are required by law or regulation generally require stricter enforcement than policies that outline best practices or organizational values.

      Identify controls and enforcement mechanisms that are in line with policy requirements. Build control and enforcement into procedure documentation as needed.

      Suggestions:

      1. Have staff sign off on policies. Disclose any monitoring/surveillance.
      2. Ensure consequences match the severity of the infraction. Document infractions and ensure that enforcement is applied consistently across all infractions.
      3. Automatic controls shouldn’t get in the way of people’s ability to do their jobs. Test controls with users before you roll them out widely.

      Support the policy before seeking approval

      A policy is only as strong as its supporting pillars.

      Create Standards

      Standards are requirements that support policy adherence. Server builds and images, purchase approval criteria, and vulnerability severity definitions can all be examples of standards that improve policy adherence.

      Where reasonable, use automated controls to enforce standards. If you automate the control, consider how you’ll handle exceptions.

      Create Guidelines

      If no standards exist – or best practices can’t be monitored and enforced, as standards require – write guidelines to help users remain in compliance with the policy.

      Create Procedures: We’ll cover procedure development and documentation in Phase 3.

      Info-Tech Insight

      In general, failing to follow or strictly enforce a policy creates a risk for the business. If you’re not confident a policy will be followed or enforced, consider using policy statements as guidelines or standards as an interim measure as you update procedures and communicate and roll out changes that support adherence and enforcement.

      Seek approval and communicate the policy

      Policies ultimately need to be accepted by the business.

      • Once the drafts are completed, identify who is in charge of approving the policies.
      • Ensure all stakeholders understand the importance, context, and repercussions of the policies.
      • The approvals process is about appropriate oversight of the drafted policies. For example:
        • Do the policies satisfy compliance and regulatory requirements?
        • Do the policies work with the corporate culture?
        • Do the policies address the underlying need?

      If the draft is rejected:

      • Acquire feedback and make revisions.
      • Resubmit for approval.

      If the draft is approved:

      • Set the effective date and a review date.
      • Begin communication, training, and implementation.
      • Employees must know that there are new policies and understand the steps they must take to comply with the policies in their work.
      • Employees must be able to interpret, understand, and know how to act upon the information they find in the policies.
      • Employees must be informed on where to get help or ask questions and from whom to request policy exceptions.

      "A lot of board members and executive management teams… don’t understand the technology and the risks posed by it." (Carole Fennelly, Owner and Principal, cFennelly Consulting)

      Identify policy management roles and responsibilities

      Associated Activity icon 2(d) 30 minutes

      Discuss and assign roles and responsibilities for ongoing policy management.

      Role

      Responsibilities

      Executive sponsor

    • Supports the program at the highest levels of the business, as needed
    • Program lead

    • Leads the Infrastructure & Operations policy management program
    • Identifies and communicates status updates to the executive sponsor and the project team
    • Coordinates business demands and interviews and organizes stakeholders to identify requirements
    • Manages the work team and coordinates policy rollout
    • Policy writer

    • Authors and updates policies based on requirements
    • Coordinates with outsourced editor for completion of written documents
    • IT infrastructure SMEs

    • Provide technical insight into capabilities and limitations of infrastructure systems
    • Provide advice on possible controls that can aid policy rollout, monitoring, and enforcement
    • Legal expert

    • Provides legal advice on the policy’s legal terms and enforceability
    • "Whether at the level of a government, a department, or a sub-organization: technology and policy expertise complement one another and must be part of the conversation." (Peter Sheingold, Portfolio Manager, Cybersecurity, MITRE Corporation)

      Phase 2: Review accomplishments

      Effective Policies: Clear, Consistent, and Concise

      An icon for the 'DSS02 Service Desk' template.

      An icon for the 'DSS03 Incident and Problem Management' template.

      An icon for the 'BAI06 Change Management' template.

      An icon for the 'BAI07 Release Management' template.

      An icon for the 'BAI09 Asset Management' template.

      An icon for the 'DSS04 DR and Business Continuity' template.

      An icon for the 'BAI04 Availability and Capacity Management' template.

      An icon for the 'DSS01 Operations Management' template.

      An icon for the 'BAI10 Configuration Management' template.

      Summary of Accomplishments

      • Built priority policies based on templates aligned with the IT Management & Governance Framework and COBIT 5.
      • Reviewed controls and policy supports.
      • Assigned roles and responsibilities for ongoing policy maintenance.

      Develop Infrastructure & Operations Policies and Procedures

      Phase 3

      Document Effective Procedures

      PHASE 3: Document Effective Procedures

      Step 3.1: Scope and outline procedures

      This step will walk you through the following activities:

      • Prioritize SOP documentation
      • Draft workflows using a tabletop exercise
      • Modify templates, as applicable

      This step involves the following participants:

      • Infrastructure & Operations Manager
      • Technical Writer
      • Infrastructure Supervisors

      Results & Insights

      • Results: An action plan for SOP documentation and an outline of procedure workflows.
      • Insights: Don’t let tools get in the way of documentation – low-tech solutions are often the most effective way to build and analyze workflows.

      Prioritize your SOP documentation effort

      Associated Activity icon 3(a) 1-2 hours

      Build SOP documentation that gets used and doesn’t just check a box.

      1. Review the list of procedure gaps from Phase 1. Are any other procedures needed? Are some of the procedures now redundant?
      2. Establish the scope of the proposed procedures. Who are the stakeholders? What policies do they support?
      3. Run a basic prioritization exercise using a three-point scale. Higher scores mean greater risks or greater benefits. Score the risk of the undocumented procedure to the business (e.g. potential effect on data, productivity, goodwill, health and safety, or compliance). Score the benefit to the business of documenting the procedure (e.g. throughput improvements or knowledge transfer).
      4. Different procedures require different formats. Decide on one or more formats that can help you effectively document the procedure:
        • Flowcharts: Depict workflows and decision points. Provide an at-a-glance view that is easy to follow. Can be supported by checklists and diagrams where more detail is required.
        • Checklists: A reminder of what to do, rather than how to do it. Keep instructions brief.
        • Diagrams: Visualize objects, topologies, and connections for reference purposes.
        • Tables: Establish relationships between related categories.
        • Prose: Use full-text instructions where other documentation strategies are insufficient.

      Modify the following Info-Tech templates for larger SOPs

      Support these processes...

      ...with these blueprints...

      ...to create SOPs using these templates.

      An icon for the 'DSS04 DR and Business Continuity' template. Create a Right-Sized Disaster Recovery Plan DRP Summary
      An icon for the 'BAI09 Asset Management' template. Implement IT Asset Management HAM SOP and SAM SOP
      An icon for the 'BAI06 Change Management' template. An icon for the 'BAI07 Release Management' template. Optimize Change Management Change Management SOP
      An icon for the 'DSS02 Service Desk' template. An icon for the 'DSS03 Incident and Problem Management' template. Standardize the Service Desk Service Desk SOP

      Use tabletop planning or whiteboards to draft workflows

      Associated Activity icon 3(b) 30 minutes

      Tabletop planning is a paper-based exercise in which your team walks through a particular process and maps out what happens at each stage.

      OUTPUT: Steps in the current process for one SOP

      Materials: Tabletop, pen, and cue cards

      Participants: Process owners, SMEs

      1. For this exercise, choose one particular process to document.
      2. Document each step of the process on cue cards, which can be arranged on the table in sequence.
      3. Be sure to include task ownership in your steps.
      4. Map out the process as it currently happens – we’ll think about how to improve it later.
      5. Keep focused. Stay on task and on time.

      Example:

      • Step 3: PM reviews new defects daily
      • Step 4: PM assigns defects to tech leads
      • Step 5: Assigned resource updates status – frequency is based on ticket priority

      Info-Tech Insight

      Don’t get weighed down by tools. Relying on software or other technological tools can detract from the exercise. Use simple tools such as cue cards to record steps so that you can easily rearrange steps or insert steps based on input from the group.

      Collaborate to optimize the SOP

      Associated Activity icon 3(c) 30 minutes

      Review the tabletop exercise. What gaps exist in current processes?
      How can the processes be made better? What are the outputs and checkpoints?

      OUTPUT: Identify steps to optimize the SOP

      Materials: Tabletop, pen, and cue cards

      Participants: Process owners, SMEs

      Example:

      • Step 3: PM reviews new defects daily
      • NEW STEP: Schedule 10-minute daily defect reviews with PM and tech leads to evaluate ticket priority
      • Step 4: PM assigns defects to tech leads
      • Step 5: Assigned resource updates status – frequency is based on ticket priority
        • Step 5 Subprocess: Ticket status update
        • Step 5 Output: Ticket status moved to OPEN by assigned resource – acknowledges receipt by assigned resource

      A note on colors: Use white cards to record steps. Record gaps on yellow cards (e.g. a process step not documented) and risks on red cards (e.g. only one person knows how to execute a step) to highlight your gaps/to-dos and risks to be mitigated or accepted.

      If it’s necessary to clarify complex process flows during the exercise, you can also use green cards for decision diamonds, purple for document/report outputs, and blue for subprocesses.

      PHASE 3: Document Effective Procedures

      Step 3.2: Document effective procedures

      This step will walk you through the following activities:

      • Document workflows, checklists, and diagrams
      • Establish a cadence for document review and updates

      This step involves the following participants:

      • Infrastructure Manager
      • Technical Writer

      Results & Insights

      • Results: Improved SOP documentation and document management practices.
      • Insights: It’s possible to keep up with changes if you put the right cues and accountabilities in place. Include document review in project and change management procedures and hold staff accountable for completion.

      Document workflows with flowcharting software

      Suggestions for workflow documentation

      • Whether you draft the workflow on a whiteboard or using cue cards, the first iteration is usually messy. Clean up the flow as you document the results of the exercise.
      • Make the workflow as simple as possible and no simpler. Eliminate any decision points that aren’t strictly necessary to complete the procedure.
      • Use standard flowchart shapes (see next slide).
      • Use links to connect to related documentation.
      • Review the documented workflow with participants.

      Download the following workflow examples:

      Establish flowcharting standards

      If you don’t have existing flowchart standards, then keep it simple and stick to basic flowcharting conventions as described below.

      Basic flowcharting convention: a circle can be used for 'Start, End, and Connector'. Start, End, and Connector: Traditional flowcharting standards reserve this shape for connectors to other flowcharts or other points in the existing flowchart. Unified Modeling Language (UML) also uses the circle for start and end points.
      Basic flowcharting convention: a rounded rectangle can be used for 'Start and End'. Start and End: Traditional flowcharting standards use this for start and end. However, Info-Tech recommends using the circle shape to reduce the number of shapes and avoid confusion with other similar shapes.
      Basic flowcharting convention: a rectangle can be used for 'Process Step'. Process Step: Individual process steps or activities (e.g. create ticket or escalate ticket). If it’s a series of steps, then use the subprocess symbol and flowchart the subprocess separately.
      Basic flowcharting convention: a rectangle with double-line on the ends can be used for 'Subprocess'. Subprocess: A series of steps. For example, a critical incident SOP might reference a recovery process as one of the possible actions. Marking it as a subprocess, rather than listing each step within the critical incident SOP, streamlines the flowchart and avoids overlap with other flowcharts (e.g. the recovery process).
      Basic flowcharting convention: a diamond can be used for 'Decision'. Decision: Represents decision points, typically with Yes/No branches, but you could have other branches depending on the question (e.g. a “Priority?” question could branch into separate streams for Priority 1, 2, 3, 4, and 5 issues).
      Basic flowcharting convention: a rectangle with a wavy bottom can be used for 'Document/Report Output'. Document/Report Output: For example, the output from a backup process might include an error log.

      Support workflows with checklists and diagrams

      Diagrams

      • Diagrams are a visual representation of real-world phenomena and the connections between them.
      • Be sure to use standard shapes. Clearly label elements of the diagram. Use standard practices, including titles, dates, authorship, and versioning.
      • IT systems and interconnections are layered. Include physical, logical, protocol, and data flow connections.

      Examples:

      • XMPL Recovery Workflows
      • Workflow Library

      Checklists

      • Checklists are best used as short-form reminders on how to complete a particular task.
      • Remember the audience. If the process will be carried out by technical staff, there’s technical background material you won’t need to spell out in detail.

      Examples:

      • Employee Termination Process Checklist
      • XMPL Systems Recovery Playbook

      Establish a cadence for documentation review and maintenance

      Lock-in the work with strong document management practices.

      • Identify documentation requirements as part of project planning.
      • Require a manager or supervisor to review and approve SOPs.
      • Check documentation status as part of change management.
      • Hold staff accountable for documentation.

      "It isn’t unusual for us to see infrastructure or operations documentation that is wildly out of date. We’re talking months, even years. Often it was produced as one big effort and then not reliably maintained." (Gary Patterson, Consultant, Quorum Resources)

      Only a quarter of organizations update SOPs as needed

      A bar chart representing how often organizations update SOPs. Each option has two bars, one representing 'North America', the other representing 'Europe and Asia'. 'Never or rarely' is 11% in North America and 3% in Europe and Asia. 'Ad-hoc approach' is 38% in North America and 28% in Europe and Asia. 'For audits/annual reviews' is 33% in North America and 45% in Europe and Asia. 'As needed/via change management' is 18% in North America and 25% in Europe and Asia. Source: Info-Tech Research Group (N=104)

      Info-Tech Best Practice

      Use Info-Tech’s research Create Visual SOP Documents to further evaluate document management practices and toolsets.

      Phase 3: Review accomplishments

      Workflow documentation: Cue cards into flowcharts

      Summary of Accomplishments

      • Identified priority procedures for documentation activities.
      • Created procedure documentation in the appropriate format and level of granularity to support Infra & Ops policies.
      • Published and maintained procedure documentation.

      Research contributors and experts

      Carole Fennelly, Owner
      cFennelly Consulting

      Picture of Carole Fennelly, Owner, cFennelly Consulting.

      Carole Fennelly provides pragmatic cyber security expertise to help organizations bridge the gap between technical and business requirements. She authored the Center for Internet Security (CIS) Solaris and Red Hat benchmarks, which are used globally as configuration standards to secure IT systems. As a consultant, Carole has defined security strategies, and developed policies and procedures to implement them, at numerous Fortune 500 clients. Carole is a Certified Information Security Manager (CISM), Certified Security Compliance Specialist (CSCS), and Certified HIPAA Professional (CHP).

      Marko Diepold, IT Audit Manager
      audit2advise

      Picture of Marko Diepold, IT Audit Manager, audit2advise.

      Marko is an IT Audit Manager at audit2advise, where he delivers audit, risk advisory, and project management services. He has worked as a Security Officer, Quality Manager, and Consultant at some of Germany’s largest companies. He is a CISA and is ITIL v3 Intermediate and ITGCP certified.

      Research contributors and experts

      Martin Andenmatten, Founder & Managing Director
      Glenfis AG

      Picture of Martin Andenmatten, Founder and Managing Director, Glenfis AG.

      Martin is a digital transformation enabler who has been involved in various fields of IT for more than 30 years. At Glenfis, he leads large Governance and Service Management projects for various customers. Since 2002, he has been the course manager for ITIL® Foundation, ITIL® Service Management, and COBIT training. He has published two books on ISO 20000 and ITIL.

      Myles F. Suer, CIO Chat Facilitator
      CIO.com/Dell Boomi

      Picture of Myles F. Suer, CIO Chat Facilitator, CIO.com/Dell Boomi.

      Myles Suer, according to LeadTails, is the number 9 influencer of CIOs. He is also the facilitator for the CIOChat, which has executive-level participants from around the world in such industries as banking, insurance, education, and government. Myles is also the Industry Solutions Marketing Manager at Dell Boomi.

      Research contributors and experts

      Peter Sheingold, Portfolio Manager
      Cybersecurity, Homeland Security Center, The MITRE Corporation

      Picture of Peter Sheingold, Portfolio Manager, Cybersecurity, Homeland Security Center, The MITRE Corporation.

      Peter leads tasks that involve collaboration with the Department of Homeland Security (DHS) sponsors and MITRE colleagues and connect strategy, policy, organization, and technology. He brings a deep background in homeland security and strategic analysis to his work with DHS in the immigration, border security, and cyber mission spaces. Peter came to MITRE in 2005 but has worked with DHS from its inception.

      Robert D. Austin, Professor
      Ivey Business School

      Picture of Robert D. Austin, Professor, Ivey Business School.

      Dr. Austin is a professor of Information Systems at Ivey Business School and an affiliated faculty member at Harvard Medical School. Before his appointment at Ivey, he was a professor of Innovation and Digital Transformation at Copenhagen Business School, and, before that, a professor of Technology and Operations Management at the Harvard Business School.

      Research contributors and experts

      Ron Jones, Director of IT Infrastructure and Service Management
      DATA Communications

      Picture of Ron Jones, Director of IT Infrastructure and Service Management, DATA Communications.

      Ron is a senior IT leader with over 20 years of management experiences from engineering to IT Service Management and operations support. He is known for joining organizations and leading enhanced process efficiency and has improved software, hardware, infrastructure, and operations solution delivery and support. Ron has worked for global and Canadian firms including BlackBerry, DoubleClick, Cogeco, Infusion, Info-Tech Research Group, and Data Communications Management.

      Scott Genung, Executive Director of Networking, Infrastructure, and Service Operations
      University of Chicago

      Picture of Scott Genung, Executive Director of Networking, Infrastructure, and Service Operations, University of Chicago.

      Scott is an accomplished IT executive with 26 years of experience in technical and leadership roles. In his current role, Scott provides strategic leadership, vision, and oversight for an IT portfolio supporting 31,000 users consisting of services utilized by campuses located in North America, Asia, and Europe; oversees the University’s Command Center; and chairs the UC Cyberinfrastructure Alliance (UCCA), a group of research IT providers that collectively deliver services to the campus and partners.

      Research contributors and experts

      Steve Weil, CISSP, CISM, CRISC, Information Security Director, Cybersecurity Principal Consultant
      Point B

      Picture of Steve Weil, CISSP, CISM, CRISC, Information Security Director, Cybersecurity Principal Consultant, Point B.

      Steve has 20 years of experience in information security design, implementation, and assessment. He has provided information security services to a wide variety of organizations, including government agencies, hospitals, universities, small businesses, and large enterprises. With his background as a systems administrator, security consultant, security architect, and information security director, Steve has a strong understanding of both the strategic and tactical aspects of information security. Steve has significant hands-on experience with security controls, operating systems, and applications. Steve has a master's degree in Information Science from the University of Washington.

      Tony J. Read, Senior Program/Project Lead & Interim IT Executive
      Read & Associates

      Picture of Tony J. Read, Senior Program/Project Lead and Interim IT Executive, Read and Associates.

      Tony has over 25 years of international IT leadership experience, within high tech, computing, telecommunications, finance, banking, government, and retail industries. Throughout his career, Tony has led and successfully implemented key corporate initiatives, contributing millions of dollars to the top and bottom line. He established Read & Associates in 2002, an international IT management and program/project delivery consultancy practice whose aim is to provide IT value-based solutions, realizing stakeholder economic value and network advantage. These key concepts are presented in his new book: The IT Value Network: From IT Investment to Stakeholder Value, published by J. Wiley, NJ.

      Related Info-Tech research

      • Develop and Deploy Security Policies
      • Develop an Availability and Capacity Management Plan
      • Improve IT Operations Management
      • Develop an IT Infrastructure Services Playbook
      • Create a Right-Sized Disaster Recovery Plan
      • Develop a Business Continuity Plan
      • Implement IT Asset Management
      • Optimize Change Management
      • Standardize the Service Desk
      • Incident and Problem Management
      • Design & Build a User-Facing Service Catalog

      Bibliography

      “About Controls.” Ohio University, ND. Web. 2 Feb 2018.

      England, Rob. “How to implement ITIL for a client?” The IT Skeptic. Two Hills Ltd, 4 Feb. 2010. Web. 2018.

      “Global Corporate IT Security Risks: 2013.” Kaspersky Lab, May 2013. Web. 2018.

      “Information Security and Technology Policies.” City of Chicago, Department of Innovation and Technology, Oct. 2014. Web. 2018.

      ISACA. COBIT 5: Enabling Processes. International Systems Audit and Control Association. Rolling Meadows, IL.: 2012.

      “IT Policy & Governance.” NYC Information Technology & Telecommunications, ND. Web. 2018.

      King, Paula and Kent Wada. “IT Policy: An Essential Element of IT Infrastructure”. EDUCAUSE Review. May-June 2001. Web. 2018.

      Luebbe, Max. “Simplicity.” Site Reliability Engineering. O’Reilly Media. 2017. Web. 2018.

      Swartout, Shawn. “Risk assessment, acceptance, and exception with a process view.” ISACA Charlotte Chapter September Event, 2013. Web. 2018.

      “User Guide to Writing Policies.” Office of Policy and Efficiency, University of Colorado, ND. Web. 2018.

      “The Value of Policies and Procedures.” New Mexico Municipal League, ND. Web. 2018.

      Advisory Call Outline: Software Selection Engagement

      • Buy Link or Shortcode: {j2store}609|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Selection & Implementation
      • Parent Category Link: /selection-and-implementation
      • Selection takes forever. Traditional software selection drags on for years, sometimes in perpetuity.
      • IT is viewed as a bottleneck and the business has taken control of software selection.
      • “Gut feel” decisions rule the day. Intuition, not hard data, guides selection, leading to poor outcomes.
      • Negotiations are a losing battle. Money is left on the table by inexperienced negotiators.
      • Overall: Poor selection processes lead to wasted time, wasted effort, and applications that continually disappoint.

      Our Advice

      Critical Insight

      • Adopt a formal methodology to accelerate and improve software selection results.
      • Improve business satisfaction by including the right stakeholders and delivering new applications on a truly timely basis.
      • Kill the “sacred cow” requirements that only exist because “it’s how we’ve always done it.”
      • Forget about “RFP” overload and hone in on the features that matter to your organization.
      • Skip the guesswork and validate decisions with real data.
      • Take control of vendor “dog and pony shows” with single-day, high-value, low-effort, rapid-fire investigative interviews.
      • Master vendor negotiations and never leave money on the table.

      Impact and Result

      • Improving software selection is a critical project that will deliver huge value.
      • Hit a home run with your business stakeholders: use a data-driven approach to select the right application vendor for their needs – fast.
      • Shatter stakeholder expectations with truly rapid application selections.
      • Boost collaboration and crush the broken telephone with concise and effective stakeholder meetings.
      • Lock in hard savings and do not pay list price by using data-driven tactics.

      Advisory Call Outline: Software Selection Engagement Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Advisory Call Outline

      Info-Tech's expert analyst guidance will help you save money, align stakeholders, and speed up the application selection process.

      • Advisory Call Outline: Software Selection Engagement Deck

      2. Workshop Overview

      Info-Tech's workshop will help you implement a repeatable, data-driven approach that accelerates software selection efforts.

      • Rapid Software Selection Workshop Overview
      [infographic]

      The Rapid Application Selection Framework

      • Buy Link or Shortcode: {j2store}608|cart{/j2store}
      • member rating overall impact (scale of 10): 9.2/10 Overall Impact
      • member rating average dollars saved: $37,512 Average $ Saved
      • member rating average days saved: 22 Average Days Saved
      • Parent Category Name: Selection & Implementation
      • Parent Category Link: /selection-and-implementation
      • Selection takes forever. Traditional software selection drags on for years, sometimes in perpetuity.
      • IT is viewed as a bottleneck and the business has taken control of software selection.
      • “Gut feel” decisions rule the day. Intuition, not hard data, guides selection, leading to poor outcomes.
      • Negotiations are a losing battle. Money is left on the table by inexperienced negotiators.
      • Overall: Poor selection processes lead to wasted time, wasted effort, and applications that continually disappoint.

      Our Advice

      Critical Insight

      • Adopt a formal methodology to accelerate and improve software selection results.
      • Improve business satisfaction by including the right stakeholders and delivering new applications on a truly timely basis.
      • Kill the “sacred cow” requirements that only exist because “it’s how we’ve always done it.”
      • Forget about “RFP” overload and hone in on the features that matter to your organization.
      • Skip the guesswork and validate decisions with real data.
      • Take control of vendor “dog and pony shows” with single-day, high-value, low-effort, rapid-fire investigative interviews.
      • Master vendor negotiations and never leave money on the table.

      Impact and Result

      Improving software selection is a critical project that will deliver huge value.

      • Hit a home run with your business stakeholders: use a data-driven approach to select the right application vendor for their needs – fast.
      • Shatter stakeholder expectations with truly rapid application selections.
      • Boost collaboration and crush the broken telephone with concise and effective stakeholder meetings.
      • Lock in hard savings and do not pay list price by using data-driven tactics.

      The Rapid Application Selection Framework Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. The Rapid Application Selection Framework

      • The Rapid Application Selection Framework Deck

      2. The Guide to Software Selection: A Business Stakeholder Manual

      • The Guide to Software Selection: A Business Stakeholder Manual

      3. The Software Selection Workbook

      • The Software Selection Workbook

      4. The Vendor Evaluation Workbook

      • The Vendor Evaluation Workbook
      [infographic]

      Build an ITSM Tool Implementation Plan

      • Buy Link or Shortcode: {j2store}486|cart{/j2store}
      • member rating overall impact (scale of 10): 7.5/10 Overall Impact
      • member rating average dollars saved: $9,246 Average $ Saved
      • member rating average days saved: 7 Average Days Saved
      • Parent Category Name: Service Desk
      • Parent Category Link: /service-desk
      • Selecting the Wrong Resources: You need ITSM technology and process experts, because this is not just a technology project, but also a process improvement opportunity.
      • Over-Reliance on the Vendor to Optimize Your Tool: Yes, the vendor will typically install and set up the tool, but they will not fix your processes for you.
      • Not Preparing for Data Migration: Data migration is complex. You need to determine what data to migrate, if any, and how that data will be mapped to the new environment.
      • Insufficient IT and End-User Training: A link to the ITSM tool manual is not enough. Staff and users need training on how your processes will be executed in the new tool.

      Our Advice

      Critical Insight

      • Start with the assumption you don’t need to migrate old data.
      • ITSM tools are designed to support ITIL best practices.
      • Implement your new tool in stages to manage scope.

      Impact and Result

      • Ability to plan and scope the project to avoid or reduce last-minute chaos.
      • Opportunity to review and optimize processes as part of the ITSM tool implementation project.
      • Improved project management, and therefore, better cost and effort estimates, by identifying required tasks upfront.

      Build an ITSM Tool Implementation Plan Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build an ITSM Tool Implementation Plan Deck – An implementation guide that walks you through the steps to ensure the tool delivers business value.

      There may be hundreds of parameters to define and decisions to make, so identifying the full list of tasks early is critical for the success of the implementation project.

      • Build an ITSM Tool Implementation Plan – Phases 1-3

      2. ITSM Tool Project Charter Template – A charter to document your project scope, milestones, stakeholders, risks etc. to kick-off and manage your project.

      This project charter document summarizes the Project Overview (Description, background, drivers, and objectives), Governance and Management (Project stakeholders/roles, budget, and dependencies), and Risk, Assumptions, and Constraints (Known and potential risks and mitigation strategy).

      • ITSM Tool Implementation Project Charter Template

      3. ITSM Tool Implementation Checklist – A tool to help identify the most common decisions you will need to make and prepare for your implementation project.

      The checklists in this tool identify the most common decisions and preparation you will need to make to support the implementation for the ITSM modules that we recommend are set up first: incident management and service requests; change management; and asset management. Use these checklists as a model to follow for any additional ITSM modules you plan to implement, and refer to Info-Tech's blueprints for each service management topic for additional guidance.

      • ITSM Tool Implementation Checklist

      4. ITSM Tool Deployment Plan Template – A tool to help prioritize and prepare for tool rollout plan.

      This deployment plan documents the strategy and decisions made for making the transition to the new ITSM tool, and the details to execute the cutover to a live environment, including how, when, where.

      • ITSM Tool Deployment Plan Template

      5. ITSM Tool Training Schedule – Use the tool to create your new tool training roadmap.

      This template is a guide for creating a training and communication plan as part of the implementation project for your ITSM tool. Use the template to document and plan the communications and training needs prior to deployment of the new tool.

      • ITSM Tool Training Schedule

      Infographic

      Further reading

      Build an ITSM Tool Implementation Plan

      Plan ahead with a step-by-step approach to ensure the tool delivers business value.

      EXECUTIVE BRIEF

      Analyst perspective

      Take control of the wheel or you might end up in a ditch.

      The image contains a picture of Frank Trovato.

      An ITSM tool implementation is a complex project with direct impact on IT’s ability to support the business. With that level of risk, you need to take control early on.

      Yes, your vendor will support or execute the technical implementation, but they depend on you to tell them how to configure ITSM parameters and workflows that affect user interface, the ability to manage incidents, and governance over assets and IT changes.

      If you leave the configuration completely to the vendor, at best you might get the same setup as in your old tool (and not realize the benefits that leadership is expecting). At worst you end up with default values that don’t fit your process needs, i.e., confusion and not realizing expected benefits.

      A successful implementation requires early planning from a wide range of resources including ITSM tool experts (supported by the vendor), process experts, and a project manager to methodically step through the hundreds of parameters you will need to define before implementation.

      Frank Trovato
      Research Director, Infrastructure and Operations
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Common Obstacles

      Info-Tech’s Approach

      Leadership has invested significantly in a new ITSM tool and expects to see the benefits they were promised by the vendor and the procurement team.

      The ITSM project team needs to balance leadership expectations with the direct impact this project will have on IT staff and end users.

      Implementing an ITSM tool is a large project that is often highly complex in part because it requires input from a wide range of stakeholders: IT staff, end users, senior management, and vendors.

      A new ITSM tool will change how IT staff work and how users are serviced, and change is always difficult.

      Finally, implementing the new tool requires a migration from an existing tool without a pause in IT service availability. Incidents don’t take a week off while you execute the final product rollout.

      There may be hundreds of parameters to define and decisions to make, so identifying the full list of tasks early is critical to:

      • Identify the necessary stakeholders to provide input into implementation decisions.
      • Properly define scope and timelines.
      • Take advantage of the opportunity to review and improve processes as part of defining what will need to be configured in the new ITSM tool.

      Info-Tech Insight

      As with any large project, a key step is tackling it one bite at a time – but also understanding the size of the whole meal. This is where organizations often fail with ITSM implementations: not understanding upfront the volume of work required for a successful implementation.

      Your Challenge

      Organizations implementing a new ITSM tool often face these pitfalls:

      • Selecting the Wrong Resources: You need ITSM technology and process experts, because this is not just a technology project but also a process improvement opportunity. You will need to configure ITSM parameters and workflows in the new tool – which directly affects processes. Take advantage of that opportunity to fix pain points. For example, if your existing ticket categories are not effective, implement a better categorization scheme rather than just configure the same old, ineffective scheme.
      • Over-Reliance on the Vendor to Optimize Your Tool: Yes, the vendor will typically install and set up the tool but they will not fix your processes for you. On installation day, if you are not prepared with the categories, ticket templates, and so on that you wish to configure, your vendor will just go with the default or migrate your old parameters from your old ITSM tool.
      • Not Preparing for Data Migration: Data migration is complex. You need to determine what data to migrate, if any, and how that data will be mapped to the new environment. That takes planning and must be defined well before the vendor is ready to implement your tool.
      • Insufficient IT and End-User Training: A link to the ITSM tool manual is not enough. Staff and users need training on how your processes will be executed in the new tool.

      A survey of implementation challenges for ServiceNow’s customers

      26% Resistance to change

      43% Lacked a clear roadmap

      38% Planning for resources

      Source: Acorio, 2019

      Info-Tech’s approach

      Divide the implementation project into controllable phases for an effective implementation.

      Plan

      Define the scope of your project, identify and get buy-in from your stakeholders, and establish a timeframe for the implementation.

      Design & Build

      Identify existing process challenges and design workflows and ticket management to improve processes. Make decisions on data migrations and integrations for your new tool.

      Deploy & Train

      Create a rollout plan and communicate changes and improvements to users. Plan for the new tool deployment and monitor your solution.

      STOP: Use this blueprint after you have selected an ITSM solution

      Leverage our SoftwareReviews service and related blueprints to assist with ITSM tool selection, and then use this blueprint to plan the implementation.

      1. Evaluate solutions

      2. Select and purchase

      3. Implement (use this blueprint)

      Use our SoftwareReviews resources to evaluate solutions and vendors based on criteria such as features and customer service. Below are links to our ITSM software reviews:

      Use the following resources to help you make the case for funding and execute the purchase process:

      Your ITSM vendor or systems integrator will lead the technical implementation (e.g. software install and integration).

      As a result, your implementation plan needs to focus on preparing the information needed for implementation (e.g. ticket categories, workflow requirements) and organizational change management.

      This blueprint provides a methodology, checklist, and supporting templates to prepare for the implementation.

      Info-Tech’s methodology to build an ITSM Tool Implementation Plan

      1. Identify Scope, Stakeholders, and Preliminary Timeline

      2. Prepare to Implement Incident Management and Service Request Modules

      3. Create a Deployment Plan (Communication, Training, Rollout)

      Phase Steps

      1.1 Document define scope

      1.2 Define roles and responsibilities

      1.3 Identify preliminary timeline

      2.1 Review your existing solution and challenges

      2.2 Plan ticket management and workflow implementation

      2.3 Plan data migration, knowledgebase setup, and integrations

      2.4 Plan the module rollout

      3.1 Create a communication plan (for IT, users, and business leaders)

      3.2 Create a training plan

      3.3 Plan how you will deploy, monitor, and maintain the solution

      Phase Outcomes

      • RACI chart outlining high-level accountability and responsibilities for the project
      • Documenting timeline and team for the implementation project
      • ITSM tool implementation checklist
      • Strategy and identified opportunities to implement incident and service request modules
      • Documented communications and targeted training plan
      • Completed rollout plan and prepared to monitor your success metrics

      Insight summary

      Start with the assumption you don’t need to migrate old data

      ITSM tools are designed to support ITIL best practices

      Implement your new tool in stages to manage scope

      We all love data. We love being able to run reports showing trends, measuring changes over time, and highlighting pain points – but is your data from five years ago relevant to those assessments? Can you get by with just migrating open tickets and perhaps just the last year of critical tickets?

      Be ruthless in deciding what really needs to be in your active system to support incident matching, troubleshooting, or ongoing reporting.

      If you can’t make a strong case, don’t waste your time on old data. Remember, you can still save an exported copy or report of your old data if the need arises to search historical records.

      For organizations lacking process maturity, the tool’s default settings will often provide a good starting point. For example, a good ITSM tool will typically already be configured to follow best practices such as:

      • Separating incidents from service requests
      • Assigning resolution codes to solved tickets
      • Enabling routing based on categories

      Within those defaults, you will still need to decide your specific parameters – e.g. what your categories and resolution codes should be – so don’t blindly follow default settings but use them as a starting point.

      Start with the incident management and service requests modules. Those are typically the core of IT service management operations, so that should help realize benefits from the new tool sooner. In addition, incident management and service requests processes will support other ITSM processes such as asset management and problem management.

      Once those modules are implemented successfully (from a technology and process perspective), then start to implement your next core module (e.g. asset or change management), and continue to build from there.

      Blueprint deliverables

      This blueprint includes tools and templates to help you accomplish your goals:

      ITSM Tool Implementation Checklist

      Identify the most common decisions you will need to make and prepare for your implementation project.

      ITSM Tool Project Charter Template

      Review and edit the template to suit your project requirements

      The image contains a screenshot of the ITSM Tool Project Charter Template.
      The image contains screenshots of the ITSM Tool Implementation Checklist.

      ITSM Tool Deployment Plan Template

      Prioritize and prepare tool rollout plan

      The image contains a screenshot of the ITSM Tool Deployment Plan Template.

      ITSM Tool Training Schedule

      Use the checklist to create your new tool training roadmap

      The image contains a screenshot of the ITSM Tool Training Schedule.

      Blueprint benefits

      Benefits for IT

      Benefits for the business

      • Checklists and templates to support a smoother transition to the new ITSM tool.
      • Opportunity to review and optimize processes as part of the ITSM tool implementation project. A new tool with the same old processes will not achieve expected benefits.
      • Ability to plan and scope the project to avoid or reduce last-minute chaos.
      • Better planning means better results – specifically, ensuring that the implementation takes into account targeted business benefits.
      • Improved project management, and therefore better cost and effort estimates, by identifying required tasks upfront. This also provides the opportunity to re-scope or adjust timelines based on estimated effort.
      • Higher end-user satisfaction by executing a well-organized ITSM tool implementation.

      Measured value from using this blueprint

      Use this guide as an example to calculate your total cost savings from the ITSM tool implementation project.

      Phase 1

      Identify Scope, Stakeholders, and Preliminary Timeline

      Time, value, and resources saved by using Info-Tech’s methodology to define scope and plan your project

      E.g. 2 FTEs * 6 days * $80,000/year = $4,000/-

      Phase 2

      Prepare to Implement Incident Management and Service Request Modules

      Time, value, and resources saved by using Info-Tech’s methodology to build your solution strategy and determine configurations

      E.g. 2 FTEs * 8 days * $80,000/year = $5,400/-

      Phase 3

      Create a Deployment Plan (Communication, Training, Rollout)

      Time, value, and resources saved by using Info-Tech’s methodology to establish an effective communications roadmap and deploy tool

      E.g. 2 FTEs * 6 days * $80,000/year = $4,000/-

      Total Savings

      Total Savings

      Phase 1 + Phase 2 + Phase 3 = $13,400

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit Guided Implementation Workshop Consulting
      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful." “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.” “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.” “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Guided Implementation

      Phase 1 Phase 2 Phase 3

      Call #1: Define scope, roles, responsibilities and timeline.

      Call #2: Review your existing solution and challenges.

      Call #3: Plan ticket management and workflow implementation.

      Call #4: Plan data migration, knowledgebase setup, and integrations.

      Call #5: Plan the module rollout.

      Call #6: Create a communication plan.

      Call #7: Create a training plan.

      Call #8: Plan how you will deploy, monitor, and maintain the solution.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization. A typical GI is between 6 to 8 calls over the course of 3 to 6 months.

      Phase 1

      Identify Stakeholders, Scope, and Preliminary Timeline

      Phase 1 Phase 2 Phase 3

      Identify Stakeholders, Scope, and Preliminary Timeline

      Prepare to Implement Incident Management and Service Request Modules

      Create a Deployment Plan (Communication, Training, Rollout)

      This phase will walk you through the following steps:

      1. Define scope
      2. Define roles and responsibilities
      3. Identify preliminary timeline

      Step 1.1

      Define scope

      Activities

      1.1.1

      Use the Project Charter Template to capture project parameters

      1.1.2

      Leverage the Implementation Checklist to guide your preparation

      1.1.3

      Review goals that drove the ITSM tool purchase

      1.1.4

      Interview ITSM staff to identify current tool challenges and support organizational change management

      1.1.5

      Identify the modules and features you will plan to implement

      1.1.6

      Determine if data migration is required

      This step will walk you through the following activities:

      • Define the scope of the implementation project
      • Establish the future processes and functionalities the tool will support

      This step involves the following participants:

      • CIO
      • IT Director/Manager
      • Service Manager
      • Project Manager and the project team

      Outcomes of this step

      • Specifying the implementation project
      • Identifying the business units that are needed to support the project
      • Defining the ongoing and future service management processes the tool will support

      1.1.1 Use the Project Charter Template to capture scope, stakeholders, and timeline as outlined in Phase 1

      Follow the instructions in Phase 1 (step 1.1, 1.2, and 1.3) to gather information needed to create a project charter to define project parameters.

      Specific subsections are listed below and described in more detail in the remainder of this phase.

      1. Project Overview: Includes deliverables, scope, milestones, and success metrics.
      2. Governance and Management: Includes roles, responsibilities, and resource requirements.
      3. Project Risks, Assumptions, and Constraints: Includes risks and mitigation strategies as well as any assumptions and constraints.
      4. Project Sign-Off: Includes IT and executive sign-off (if required).

      The image contains a screenshot of the Project Charter Template.

      Download the ITSM Tool Implementation Project Charter Template

      1.1.2 Leverage the Implementation Checklist to guide your preparation

      The checklist tabs align to each phase of this blueprint.

      • Phase 1 (Tab 1) – Identify Stakeholders, Scope, and Preliminary Timeline
      • Phase 2 (Tab 2) – Prepare to Implement Incident Management and Service Request Modules
      • Phase 3 (Tabs 3+4) – Prepare to Implement Additional ITSM Modules (e.g. Change Management)
      • Phase 4 (deployment section in each tab) – Create a Deployment Plan (Communication, Training, Rollout)

      The image contains screenshots from the Implementation Checklist.

      Download the ITSM Tool Implementation Checklist

      1.1.3 Review goals that drove the ITSM tool purchase

      Identify the triggers for the selection and implementation of your new ITSM tool.

      Whether this is your first ITSM tool or a replacement for your old tool, the project was likely triggered by pain points that must be addressed by the new tool to improve your service desk. Having a clear understanding of these pain points throughout the implementation of your new tool will help to prevent them from reoccurring.

      Common ITSM pain points include:

      1. Poor communication with end users on ticket status.
      2. Lack of SLA automation to escalate issues to the appropriate channels.
      3. Poor self-service options for end users to perform simple requests on their own.
      4. Undeveloped knowledgebase for users to find answers to common issues.
      5. Lack of reporting or mistrust in reporting data.
      6. Lack of automation, including ticket templates.
      7. Overcomplicated ticket categories resulting in categories being misused.
      8. Overconfiguration prevents future upgrades.
      9. Lack of integration with other tools.

      If you haven't already selected an ITSM tool, leverage the IT Service Management Selection Guide to select the right tool.

      Download the IT Service Management Selection Guide

      1.1.4 Plan to interview staff to support organizational change management

      Identify challenges with the existing tool and processes as well as potential objections to the new tool.

      Incorporate this feedback in the implementation to drive buy-in and a successful rollout.

      Implementing a new ITSM tool will force changes in how IT staff do their work:

      • At a minimum, it means learning a new interface.
      • It could also mean leveraging features that improve IT operations but could change the process or tasks for the staff.
      • Their input on the current tool and process challenges can be critical for the project.
      • Solving at least some of their challenges can help bring them onboard to use this tool properly and follow associated process changes.

      Info-Tech Insight

      Keep management in the loop through every stage of the implementation process. They are the ones who are paying for the software, so they need to be informed throughout implementation and feel that their needs and feedback are being heard to prevent pushback further into the implementation.

      1.1.5 Identify the modules and features you will plan to implement

      Consider these factors when deciding what modules and features you want to implement:

      • Specific ITSM modules based on the recommended order and any unique business requirements
      • Key features that drove the tool purchase and address key issues
      • High-level process changes needed to address challenges and realize expected benefits from the new ITSM tool (e.g. if a key goal was automated ticket routing based on categories, then the project needs to include developing a good categorization scheme)

      Recommended order for implementation:

      1. Incident Management and Service Request
      2. This is the core of service management and typically has the highest impact on the organization. Include knowledgebase development as part of this implementation.

      3. Change Management
      4. A foundational component of service management, it allows organizations to minimize disruptions to IT services when making changes to services and critical systems.

      5. Asset Management
      6. A foundational component of service management, it allows organizations to track their assets’ locations, how they are used, and when changes are made to them.

      1.1.6 Determine if data migration is required

      If you are switching from a previous ITSM tool, carefully weigh the pros and cons as well as the necessity of migrating historical transactional data before deciding to import it into the new tool.

      Importing your old transactional data will allow you to track metrics over time, which can be valuable for data analysis and reporting purposes.

      However, ask yourself what the true value of your data is before you import it.

      You will not get value out of migrating the old data if:

      • You have incomplete or inaccurate data (a high percentage of incidents did not have tickets created in the old system).
      • The categorization of your old tickets was not useful or was used inconsistently.
      • You plan on changing the ticket categorization in the new system.

      “Don’t debate whether you can import your old data until you’ve made sure that you should.”

      – Barry Cousins, Practice Lead at Info-Tech Research Group

      Info-Tech Insight

      If you decide to migrate your data, keep in mind that it can be a complex process and proper time should be budgeted for planning, structuring the data, and importing and testing it.

      Step 1.2

      Define roles and responsibilities

      Activities

      1.2.1

      Key internal roles and responsibilities

      1.2.2

      Key external roles and responsibilities

      This step involves the following participants:

      • CIO
      • IT Director/Manager
      • Service Manager
      • Project Manager and the project team

      Outcomes of this step

      • Decision on whether to hire professional services for the implementation
      • Clearly defined roles and responsibilities for the project

      1.2.1 Identify key internal roles and responsibilities

      Review the tasks outlined in the Implementation Checklist to help you identify appropriate roles and specific staff that will be needed to execute this project.

      Project Role

      Description

      RACI

      Assigned To

      Executive Sponsor

      Liaison with the executive team (the CIO would be a good candidate for this role).

      Accountable for project completion.

      Approves resource allocation and funding.

      A, C

      Name(s)

      Project Manager

      Manages the project schedule, tasks, and budget.

      May act as a liaison between executives and the project-level team.

      R

      Name(s)

      Product Owner

      Liaison with the vendor.

      SME for the new tool.

      Provides input to tool configuration decisions.

      Manages the tool post-implementation.

      R

      Name(s)

      Process Owners

      Define current processes.

      Provide input to identifying current-state process challenges to address and potential changes as part of the new tool implementation.

      R

      Name(s)

      Service Desk Manager

      Provides input to tool configuration decisions.

      Manages and trains service desk agents to use new tool and processes.

      R

      Name(s)

      ITSM Tool Core Users (e.g. Service Desk Technicians)

      Provide input to identifying current-state process challenges to address.

      Provide input to tool configuration decisions.

      C

      Name(s)

      RACI = Responsible, Accountable, Consulted, and Informed

      Assign individuals to roles through each step of the implementation project in the governance and management chart in the Project Charter Template.

      Download the Project Charter Template

      1.2.2 Key external roles and responsibilities

      Determine whether you will engage professional services for the implementation.

      There are three main ways to implement your ITSM tool

      Implemented in-house by own staff

      Implemented using a combination of your own staff and your ITSM tool vendor

      Implemented by professional services and your ITSM tool vendor

      DIY Implementation

      Adopting a DIY implementation approach can save money but could draw out your implementation timeline and increase the likelihood of errors. Carefully consider your integration environment to determine your resourcing capabilities and maturity.

      Vendor Implementation

      In most cases, your vendor will support or execute the technical implementation based on your requirements. Use this blueprint to help you define those requirements.

      Professional Services

      Opting for professional services may result in a shorter implementation period and fewer errors but may also deny your IT staff the opportunity to develop the skills necessary to maintain and configure the solution in the future.

      Clarify the role of the professional services vendor before acquiring their services to make sure your expectations are aligned. For example, are you hiring the vendor for tool installation, tool configuration, or tool customization or for training your end users?

      Step 1.3

      Identify preliminary timeline

      Activities

      1.3.1

      Identify preliminary internal target dates

      1.3.2

      Identify target dates for vendor involvement

      This step involves the following participants:

      • CIO
      • IT Director/Manager
      • Service Manager
      • Project Manager and the project team

      Outcomes of this step

      • Specifying the target dates for the implementation project

      1.3.1 Identify preliminary internal target dates

      Identify high-level start and end dates based on the following:

      • Existing process maturity
      • Process changes required (to address process issues or to realize targeted benefits from the new tool)
      • Data migration requirements (if any)
      • Information to prepare for the implementation (review the Checklist Tool)
      • Vendor availability to support implementation
      • Executive mandates that have established specific milestone dates

      Create an initial project schedule:

      • Review the remaining phases of this blueprint for more details on the implementation planning steps.
      • Review and update the Checklist Tool to suit your implementation goals and requirements.
      • Assign task owners and target dates in the Checklist Tool.

      Note: This is a preliminary schedule. Monitor progress as well as requirement changes, and adjust the scope or schedule as needed.

      Update the columns in the Checklist Tool to plan and keep track of your implementation project.

      1.3.2 Identify target dates for vendor involvement

      Plan when you'll be ready for the vendor and identify the key points for when the vendor will come in.

      Are dates already scheduled for tool installation/configuration/customization?

      If yes:

      • Clarify vendor expectations for those target dates (i.e. what do you have to have prepared in advance?).
      • Determine options to adjust dates if needed.

      If no:

      • Defer scheduling until you have reviewed and updated the Implementation Checklist. The checklist will help you determine your readiness for vendor involvement.

      Consider if the vendor will implement the ITSM tool in one go or if they will help setup the tool in stages. Keep in mind that ITSM implementation projects typically take anywhere from 9 weeks to 16 months and plan accordingly depending on the maturity of your processes and the modules and features you plan to implement.

      Use your internal target dates to estimate when you'll be ready for the vendor to set up the tool and implement the setting that you've defined.

      Phase 2

      Prepare to Implement Incident Management and Service Request Modules

      Phase 1Phase 2Phase 3

      Identify Stakeholders, Scope, and Preliminary Timeline

      Prepare to Implement Incident Management and Service Request Modules

      Create a Deployment Plan (Communication, Training, Rollout)

      This phase will walk you through the following steps:

      • Review your existing solution and challenges
      • Plan ticket management and workflow implementation
      • Plan data migration, knowledgebase setup, and integrations
      • Plan the module rollout

      Additional Info-Tech Research

      The Implementation Checklist Tool summarizes what you need to prepare for the implementation. If you need more assistance with developing the underlying ITSM processes, use the tools, templates, and guidance in these blueprints.

      Standardize the Service Desk

      Build core elements of service desk operations, including incident management and service request workflows, ticket categorization schemes, and ticket prioritization rules.

      Optimize the Service Desk With a Shift-Left Strategy

      Implement tools such as an improved knowledgebase and self-service portal to enable lower tier support staff and end users to resolve incidents or fulfill service requests.

      Incident and Problem Management

      Develop a critical incident management workflow and create standard operating procedures for problem management.

      Step 2.1

      Review your existing solution and challenges

      Activities

      2.1.1

      Configure, don’t customize, your solution to minimize risk

      2.1.2

      Review your existing process and solution challenges for opportunities for improvement

      This step involves the following participants:

      1. Service Manager and Service Desk Team
      2. Project Manager and Core Project Team
      3. Subject Matter Experts and Tool Administrator, if applicable

      2.1.1 Configure your tool, don’t customize it

      Your tool may require at least some basic configurations to align with your processes, but in most cases customization of the tool is not recommended.

      Configuration

      Customization

      • Creating settings and recording reference data in the tool within the normal functionality of the tool.
      • Does not require changes to source code.

      Documentation of configurations is key.

      Failure to document configurations and the reasons for specific configurations will lead to:

      • Difficulty diagnosing incidents and problems.
      • Difficulty reconstructing the tool in the case of disaster recovery.
      • One administrator having all of the knowledge of configurations and taking it with them if they leave the organization.
      • Configurations that become useless in the future are maintained and lead to unnecessary work if documentation is not regularly reviewed.
      • Extending the functionality of the tool beyond what it was originally intended to do.
      • Requires manual changes to source code.

      Carefully consider whether a customization is necessary.

      • Over-customization of your ITSM tool code may lock you into your current version of the software by preventing future patches and upgrades, leaving you with outdated software.
      • Over-customization becomes particularly risky when your ITSM solution is integrated with other tools, as a loss in functionality of your ITSM tool resulting from over-customization may cause disruptions across the business.
      • If your selected ITSM solution doesn’t do something you think you need it to do, carefully evaluate whether you really need that customization and if the trade-off of potentially limiting future innovation is worth it.

      Case Study

      Consider the consequences of over-customizing your solution.

      INDUSTRY: Education

      SOURCE: IT Director

      Situation

      Challenge

      Resolution

      A few years ago, the service management office at the university decided to switch ITSM tools, from Computer Associates to ServiceNow.

      They wanted the new tool to behave similarly to what they had previously, so they made a lot of customized code changes to ServiceNow during implementation.

      As a result of the customizations, much of the functionality of the tool was restricted, and the upgrades were not compatible with the solution.

      The external consultants who performed the customizations and backend work did not document their changes, leaving the service management team without an understanding of why they did what they did.

      The service management team is working with ServiceNow to slowly unravel the custom code to try to get the solution back to having out-of-the-box functionality, with the ability to be upgraded.

      It has been challenging to do this work without disrupting the functionality of the tool.

      Over-customization led to the organization paying for features they couldn’t use and spending more time and resources down the road to try to reverse the changes.

      2.1.2 Review your existing process to identify opportunities for improvement

      Documenting your existing processes is an effective method for also reviewing those processes and identifying inefficiencies. Take advantage of this project to fix your process issues.

      1. Document your existing workflows for incident management and service requests.
      2. Review your workflows to identify opportunities to optimize through process refinement (e.g. clarifying escalation guidelines) or by leveraging features in your new ITSM tool (e.g. improved workflow automation).
      3. Similarly, review the challenges identified through stakeholder interviews: is there an opportunity address those challenges through process changes or leveraging your new ITSM tool?
      4. Address those challenge and issues as you execute the tasks outlined in the Implementation Checklist Tool. For example, if inconsistent ticket routing was identified as a challenge due to a vague categorization scheme, that’s a driver to review and update your scheme rather than just carry forward your existing scheme.

      Regardless of your existing ITSM maturity, this is an opportunity to review and optimize existing processes. Even the most-mature organizations can typically find an area to improve.

      Case Study

      Reviewing and defining processes before the implementation can be a project in itself.

      INDUSTRY: Defense

      SOURCE: Anonymous

      Situation

      Challenge

      Resolution

      The organization was switching to a new ITSM tool. To prepare for the implementation, they gathered stakeholders, held steering committee meetings, and broke down key processes, teams, and owners before even meeting with the larger group.

      They used a software tool called InDesign to visibly map service requests and incidents and determine who owned each process and where the handoffs were.

      The service catalog also needed to be built out as they were performing certain services that didn’t relate to anything in the catalog.

      The goal for the implementation was to have it completed within a year, but it ended up going over, taking 15 to 16 months to complete.

      Most of the time was spent identifying processes upfront before configuring the tool. There were difficulties defining processes as well as agreeing on who owned a process or service.

      There were also difficulties agreeing upon who the valid stakeholders were for processes, as groups were siloed.

      The major obstacles to implementation were therefore people and process, not the product.

      New processes were introduced, and boundaries were placed around processes that were being done in the past that weren’t necessary.

      Once the groups were able to agree upon process owners, the tool configuration and implementation itself did not pose any major difficulties.

      After the implementation, the tool was continually improved and sharpened to adapt to processes.

      Step 2.2

      Plan ticket management and workflow implementation

      Activities

      2.2.1

      Define ticket classification values

      2.2.2

      Define ticket templates for common incident types and service requests

      2.2.3

      Plan your ticket intake channels

      2.2.4

      Design a self-service portal

      2.2.5

      Plan your knowledgebase implementation in the new tool

      2.2.6

      Design your ticket status notification processes and templates

      2.2.7

      Identify required user accounts, access levels, and skills/ service groups

      2.2.8

      Review and update your workflows and escalation rules

      2.2.9

      Identify desired reporting and relevant metrics to track

      This step involves the following participants:

      1. Service Manager and Service Desk Team
      2. Project Manager and Core Project Team
      3. Subject Matter Experts and Tool Administrator, if applicable

      Outcomes of this step

      Tool is designed and configured to support service desk processes and organization needs.

      Checklist overview

      The ITSM Tool Implementation Checklist will help you estimate resources required to support demand, based on your ticket volume.

      TAB 2

      TAB 3

      TAB 4

      Incident and Service Modules Checklist

      Change Management Modules

      Asset Management Modules

      The image contains a screenshot of the ITSM Tool Implementation Checklist, tab 2. The image contains a screenshot of the ITSM Tool Implementation Checklist, tab 3. The image contains a screenshot of the ITSM Tool Implementation Checklist, tab 4.

      How to follow this section:

      The following slides contain a table that explains why each task in the module matters and what needs to be considered. Complete the checklist modules referring to this section.

      2.2.1 Define ticket classification values

      Ticket classification improves reporting, workflow automation, and problem identification.

      Review your existing ticket classification values to identify what to carry forward, drop, or change. For example, if your categorization scheme has become too complex, this is your opportunity to fix it; don’t perpetuate ineffective classification in the new tool.

      Task

      Why this matters

      Ticket Types (e.g. incident, service request, change)

      In particular, separating incidents from service requests supports appropriate ticket prioritization and resourcing; for example, an incident typically should be prioritized, and service requests can be scheduled.

      Categories (e.g. network, servers)

      An effective categorization scheme can help identify ticket assignment and escalation (e.g. network tickets would be escalated to the network team), and potentially automate ticket routing.

      Resolution Codes

      Indicates how the ticket was resolved (e.g. configuration change). Supports another layer of trends reporting and data to support problem identification.

      Status Values

      Shows what status the ticket is currently in (e.g. if the ticket has been opened or assigned to an agent, if it is in progress or has been resolved).

      2.2.2 Define ticket templates for common incident types and service requests

      Ticket templates are the backbone of automation. A common complaint is that tickets take too much time. However, a little planning can reduce the time it takes to create a ticket to less than a minute.

      Task

      Why this matters

      Identify common recurring tickets that would be good candidates for using ticket templates (e.g. common service requests and incidents).

      Some common recurring tickets such as password reset, new laptop, and login requests would be great candidates to create ticket templates for. Building a deck of standard rules to follow for common tickets saves time and reduces the number of tickets generated.

      Design ticket templates and workflows for common tickets (e.g. fields to auto-populate as well as routing and secondary tickets for onboarding requests).

      Differentiating between recurring ticket types and building pre-defined templates not just saves time but can also have major impact on how service is delivered as this will also help separate tickets. Creating these templates beforehand will also let you communicate effectively with the users at a time when all hands need to be on deck.

      2.2.3 Plan your ticket intake channels

      Consider possible ticket intake channels and evaluate their relevance to your organization.

      Task

      Why this matters

      Decide on ticket intake channels (e.g. phone, email, portal, walk-ups).

      Each standard intake channel serves its own purposes and can be extremely valuable under different circumstances. For example, walk-ins may be inefficient but necessary for critical incidents.

      If using email, identify/create the email account and appropriate permissions.

      Email works well if it automatically creates a ticket in your ticketing system, but users often don’t provide enough information in unstructured emails. Use required fields and ticket templates to ensure the ticket is properly categorized.

      If using phone, identify/create the phone number and appropriate integrations.

      Maintain the phone for users from other locations and for critical incidents but encourage users who call in to submit a ticket through the portal.

      If using a portal, determine if you will leverage the tool's portal or an existing portal.

      The web portal is the most efficient intake method, but ensure it is user friendly before promoting it.

      If using chat, determine whether you will use the tool's chat or an existing chat mechanism and whether integrations are needed.

      Another way to improve support experience for your customers is through live chat. This gives your customers an easy way to reach you at the exact moment they have questions or issues they can't fix.

      2.2.4 Design a self-service portal

      Map your processes to the tool by defining your ticket input, categories, escalations, and workflows.

      Don’t forget about the client-facing side of the solution. It is important to build a self-serve portal that has an easy-to-use interface where the user can easily find the category for the help they’re looking for. It is also necessary to educate the users on where to find the portal or how to access it.

      Task

      Why this matters

      Identify components to include (e.g. service request, incident, knowledgebase).

      Identify the categories you want the users to be able to access in the portal. Finding the right balance of components to include is very important to make it easy for your users to find all the relevant information they are looking for. This could mean fewer tickets.

      Plan the input form for service requests and incidents (e.g. mandatory fields, optional fields, drop-down lists).

      Having relevant and specific fields helps to narrow down your user’s issues and provides more information on how to allocate these tasks among the service desk resources and reduce time to further investigate the issues.

      If service catalog will be attached to the ITSM tool, define routing and workflows; if there is no existing service catalog, start a separate project to define it (e.g. services, SLAs).

      A centrally defined guide enables a uniform quality in service and clarifies the responsible tier for the ticket. Identify services that will be included in the catalog, and if the information is attached to the ITSM tool, plan for how will the routing and workflows be structured.

      Plan design requirements (e.g. company branding).

      Ensure that the portal is aligned with the company’s theme and access format. Work with the vendor to customize the branding on the tool, design requirements, images.

      2.2.5 Plan your knowledgebase (KB) implementation in the new tool

      Evaluate how onerous KB migration will be for you. Is this an opportunity to improve how the KB is organized?

      Task

      Why this matters

      Define knowledgebase categories and structure.

      Establishing knowledgebase structures or having them separated into categories makes it easy for your clients to find them (e.g. do they align with ticket categories?).

      Identify existing knowledgebase articles to add to the new tool.

      Review existing knowledgebase articles at a high level (e.g. Do you carry forward all existing articles? Take an opportunity to retire old articles?).

      Define knowledgebase article templates.

      Having standardized templates makes it an easy read and will increase its usage (e.g. all knowledgebase articles for recurring incidents will follow the same template).

      Build knowledgebase article creation, usage, and revision workflows.

      Decide how new knowledgebase articles will be built and added to the tool, how it will be accessed and used, and also any steps necessary to update the articles.

      Plan a knowledgebase feedback system.

      For example, include a comments section, like buttons, and who will get notified about feedback.

      2.2.6 Design your ticket status notification processes and templates

      Task

      Why this matters

      Identify triggers for status notifications. Balance the need for keeping users informed versus notifications being treated as spam.

      Identify when and where the users are informed to make sure you are not under or over communicating with them. Status notifications and alerts are a great way to set or reset expectations to your users on the delivery or resolution on their tickets. For example, auto-response for a new ticket, or status updates to users when the ticket is assigned, solved, and closed.

      If using email notifications, design email templates for each type of notification.

      Creating notification templates is a great way to provide standardized service to your clients and it saves time when a ticket is raised. For example, email templates for new ticket, ticket updated, or ticket closed.

      Plan how you will enable users to validate the ticket or resolve request without causing the ticket to reopen.

      For example, in the ticket solved template, provide a link to close the ticket, and ask the user to reply only if they wish to re-open the ticket (i.e. if it's not resolved). May require consulting with the ITSM tool vendor.

      Decide if customer satisfaction surveys will be sent to end users after their ticket has been closed.

      Discuss if this data would be useful to you if captured to improve/modify your service.

      If customer satisfaction surveys will be used, design the survey.

      Discuss what data would be useful to you if captured and create survey questionnaires to capture that data from your clients. For example, how many questions, types of questions, whether sent for every ticket or randomly.

      2.2.7 Identify required user accounts, access levels, and skills/service groups

      Task

      Why this matters

      Define Tier 1, 2, and 3 roles and their associated access levels.

      Having pre-established roles for different tiers and teams is a great way to boost accountability and also helps identify training requirements for each tier. For example, knowledgebase training for tier 1 & 2, reporting/analytics for IT manager.

      Identify skill groups or support teams.

      Establishing accountability for all the support practices in the service desk is important for the tickets to be effectively distributed among the functional individuals and teams. Identifying the responsibilities of groups help execute shift-left strategy.

      Identify required email permissions for each role.

      For example, define which roles get permissions to include status updates or other ticket information in their emails or to support automated notifications and other integrations with email.

      Determine how you will import users into the new tool.

      Identify the best way to migrate your users to the new tool whether it be by importing from Active Directory or the old ITSM tool, etc.

      2.2.8 Review and update your workflows and escalation rules

      Task

      Why this matters

      Document your future-state incident and service request workflows that will incorporate the above planning as well as improvements supported by the new tool.

      Document your workflows and review it to make sure it’s accurate and also to help you with communicating process expectations to all the stakeholders.

      Review the future-state workflows.

      This helps you validate that the planned changes meet your goals and identify any additional required changes.

      Update ticket classification values, templates, and ticket intake as needed based on the future-state workflows.

      Documenting your process might uncover additional requirements for classification, templates, etc. Ensure that the classification templates and related parameters align with the workflows.

      Identify opportunities to further automate workflows by leveraging the new tool.

      The process of reviewing the workflows often helps identify manual processes, labor intensive processes, very repetitive processes, etc. These can be opportunities to further automate your processes.

      2.2.9 Identify desired reporting and relevant metrics to track

      Documentation of key metrics of service desk performance and end-user satisfaction that you wish to improve through the new solution is key to evaluate the success of your implementation.

      Task

      Why this matters

      Define the metrics you will track in the new ITSM tool.

      It is critical to ensure that your tool will be able to track necessary metrics on KPIs from the start and that this data is accurate and reliable so that reporting will be relevant and meaningful to the business. Whether you use your own tool for tracking metrics or an external tool, ensure that you can get the internal data you need from the ITSM tool. This may include measures of Productivity (e.g. time to respond, time to resolve), Service (e.g. incident backlog, customer satisfaction), and Proactiveness (e.g. number of knowledgebase articles per week).

      Determine what reports you want to generate from data collected through the tool.

      It’s not enough to simply set up metrics, you have to actually use the information. Reports should be analyzed regularly and used to manage costs and productivity, improve services, and identify issues. Ensure that your service desk team contributes to the usefulness of reporting by following processes such as creating tickets for every incident and request, categorizing it properly, and closing it after it’s resolved with the proper resolution code.

      Identify the information and metrics to include in the ITSM tool's dashboards.

      A dashboard helps drive accountability across the team through greater visibility. Decide what will be reported on the dashboard. For example, average time to resolution, number of open tickets with subtotals for each priority, problem ticket aging.

      Step 2.3

      Plan data migration and integrations

      Activities

      2.3.1

      Create a data migration and archiving plan

      2.3.2

      Identify and plan required integrations

      This step involves the following participants:

      1. Service Manager and Service Desk Team
      2. Project Manager and Core Project Team
      3. Subject Matter Experts and Tool Administrator, if applicable

      Outcomes of this step

      • Decisions made around data migration, integrations, automation, and reporting.
      • ITSM Tool Implementation Checklist

      2.3.1 Create a data migration and archiving plan

      Task

      Why this matters

      Document your future-state incident and service request workflows that will incorporate the above planning as well as improvements supported by the new tool.

      Document your workflows and review them to make sure they’re accurate and also to help you with communicating process expectations to all the stakeholders.

      Review the future-state workflows.

      This helps you validate that the planned changes meet your goals and identify any additional required changes.

      Update ticket classification values, templates, and ticket intake as needed based on the future-state workflows.

      Documenting your process might uncover additional requirements for classification, templates, etc. Ensure that the classification templates and related parameters align with the workflows.

      Identify opportunities to further automate workflows leveraging the new tool.

      The process of reviewing the workflows often helps identify manual processes, labor-intensive processes, very repetitive processes, etc. These can be opportunities to further automate your processes.

      2.3.2 Identify and plan required integrations

      Consider and plan for any necessary integrations with other systems.

      A major component of the implementation that should be carefully considered throughout is if and how to integrate your ITSM tool with other applications in the environment.

      Task

      Why this matters

      Identify the systems you need to integrate with your ITSM tool (e.g. asset discovery tools, reporting systems).

      Regardless of whether your solution will be configured and installed on-premises or as a SaaS, you need to consider the underlying technology to determine how you will integrate it with other tools where necessary.

      Businesses may need to integrate their ITSM tool with other systems including asset management, network monitoring, and reporting systems to make the organization more efficient.

      Determine how data will flow between systems.

      Carefully evaluate the purpose of each integration. Clients often want their ITSM tool to be integrated with all of the available data in another application when they only need a subset of that data to be integrated.

      Consider not only which systems you need to integrate with your ITSM tool but also who the owners of those systems are and which way the data needs to flow.

      Plan the development, configuration, and testing of integrations.

      As with other aspects of the implementation, configure and test the integrations before going live with the tool.

      Step 2.4

      Plan the module rollout

      Activities

      2.4.1

      Repeat the methodology for additional ITSM modules, using the Checklists as a guide

      2.4.2

      Leverage these blueprints to help you implement change and asset management modules

      This step involves the following participants:

      1. Service Manager and Service Desk Team
      2. Project Manager and Core Project Team
      3. Subject Matter Experts and Tool Administrator, if applicable

      Outcomes of this step

      Identify and plan for additional modules and features to be implemented

      2.4.1 Repeat the methodology for additional ITSM modules, using the Checklists as a guide

      The preparation completed in Phase 1 and 2 to this point provide a foundation for additional ITSM modules.

      This blueprint starts with the incident management and service request modules as those are typically implemented first since they are the most impactful to day-to-day IT service management.

      In addition, the methodology outlined in Phase 1 and 2 to this point provides a model to follow for additional ITSM modules:

      • If you did not already account for additional modules in Phase 1, then repeat the steps in Phase 1 to define scope, stakeholders, and timeline.
      • The Implementation Checklist Tool provides tabs for Change Management and Asset Management to outline the specific details for those topic areas, but they follow the same high-level steps as Phase 2 (e.g. review existing processes, design relevant workflows).
      • If you are planning to implement other modules (e.g. Problem Management), create additional tabs in the Implementation Checklist Tool as needed, using the existing tabs as a base.
      The image contains screenshots of the ITSM checklists.

      2.4.2 Leverage these blueprints to help you implement change and asset management modules

      The Implementation Checklist Tool summarizes what you need to prepare for the implementation. If you need more assistance with developing the underlying ITSM processes, use the tools, templates, and guidance in the blueprints below.

      Optimize IT Change Management

      Define change management workflows, key roles, and supporting elements such as request-for-change forms based on best practices.

      Implement Hardware Asset Management

      Create an SOP and associated process workflows to streamline and standardize hardware asset management.

      Implement Software Asset Management

      Build on a strong hardware asset management program to also properly track and manage software assets. This includes managing software licensing, finding opportunities to reduce costs, and improving your software audit readiness.

      Phase 3

      Create a Deployment Plan (Communication, Training, Rollout)

      Phase 1Phase 2Phase 3

      Identify Stakeholders, Scope, and Preliminary Timeline

      Prepare to Implement Incident Management and Service Request Modules

      Create a Deployment Plan (Communication, Training, Rollout)

      This phase will walk you through the following steps:

      1. Create a communication plan (for IT, users, and business leaders)
      2. Create a training plan
      3. Plan how you will deploy, monitor, and maintain the solution

      ITSM Tool Training Schedule

      ITSM Tool Deployment Plan Template

      Use the template to document and plan the communications and training needs prior to deployment of the new tool.

      The image contains a screenshot of the ITSM Tool Training Schedule.

      Use the deployment plan template to document the strategy and decisions made for making the transition to the new ITSM tool.

      The image contains a screenshot of the ITSM Tool Deployment Plan Template.

      Download the ITSM Tool Training Schedule

      Download the ITSM Tool Deployment Plan Template

      Step 3.1

      Create a communication plan (for IT, users, and business leaders)

      Activities

      3.1.1

      Ensure there is strong communication from management throughout the implementation and deployment

      3.1.2

      Base your communications timeline on a classic change curve to accommodate natural resistance

      3.1.3

      Communicate new processes with business leaders and end users to improve positive customer feedback

      This step involves the following participants:

      1. CIO/IT Director
      2. IT Manager
      3. Service Manager

      Outcomes of this step

      Plan for communicating the change with business executives, service desk agents, and end users.

      3.1.1 Ensure there is strong communication from management throughout the implementation and deployment

      A common contributing factor for unsuccessful implementation is a lack of communication around training, transitioning, and deploying the new tool.

      Common Pitfall:

      Organizational communication and change management should have been ongoing and tightly monitored throughout the project. However, cut-over is a time in which critical communication regarding deployment and proper user training can be derailed when last-minute preparations take priority. Not only will general user frustration increase, but unintended process workarounds will emerge, eroding system effectiveness.

      Mitigating Actions:

      Deliver training for end users that will be engaged in testing. For all other users, deliver training prior to go-live to avoid the risk of training too early (where materials may not be ready or users are likely to forget what was learned). If possible, host quick refresher training a week or two prior to go-live.

      Aim to communicate the upcoming go-live. The purpose of communication here is to reiterate expectations, complexities, and ramifications on business going forward. Alleviate performance anxiety by clearly stating that temporary drops in productivity are to be expected and that there will be appropriate assistance throughout the transition period.

      Transition: Have the project/program manager remain on the project team for some time after deployment to oversee and assure smooth transition for the organization.

      Complete training: Have a clear plan for training those users that were missed in the first round of training as well as a plan for ongoing training for those that require refresher training, for new joiners to your organization, and for any training requirements that result from subsequent upgrades.

      3.1.2 Base your communications timeline on a classic change curve

      It’s important to communicate the change ahead of the implementation, but also to reinforce that communication after implementation to recover from any resistance that occurs through the implementation itself.

      Stages in a typical change curve:

      1. Change is announced. Some people are skeptical and resistant, but others are enthusiastic. Most people are fence sitters; if they trust senior leadership, they will give the benefit of the doubt and expect change to be good.
      2. Positive sentiment declines as implementation approaches. Training and other disruptions take people’s time and energy away from their work. Project setbacks and delays take credibility away from project leaders and seem to validate the efforts of saboteurs and skeptics.
      3. Overall sentiment begins to improve as people adjust and see real progress made. Ideally, early successes or quick wins neutralize saboteurs and convert skeptics. At the very least, people will begin to accept and adapt to new realities.
      4. If the project is successful and communication is reinforced after implementation, sentiment will peak and level out over time as people move on to other projects.

      The image contains a diagram of a change curve.

      1. Honeymoon of “Uninformed Optimism”: Tentative support and enthusiasm for change before people have really felt or understood what it involves.
      2. Backlash of “Informed Pessimism” (leading to “Valley of Despair”): People realize they’ve overestimated the benefits (or how soon they’ll be achieved) and underestimated the difficulty of change.
      3. Valley of Despair and beginning of “Hopeful Realism”: Sentiment bottoms out and people begin to accept the difficulty (or inevitability) of change.
      4. Bounce of “Informed Optimism”: More optimism and support when people begin to see bright spots and early successes.
      5. Contentment of “Completion”: Change has been successfully adopted and benefits are being realized.

      3.1.3 Communicate new processes

      1. Communicate with business unit leaders and users:
      • Focus on the benefits for end users to encourage buy-in for the change.
      • Include preliminary instructions with a date for training sessions.
    • Train users:
      • Teach users how to contact the service desk and submit a ticket.
      • Set expectations for IT’s response.
      • Record all your training sessions so it can used for recursive training.
    • Enforce:
      • IT must point users toward the new process, but ad hoc requests should still be expected at first. Deal with these politely but encourage all employees to use the new service desk ticketing process, if applicable.
    • Measure success:
      • Continue to adjust communications if processes aren’t being followed to ensure SLAs can be met and improved.

      “Communicate with your end users in phase 1 to let them know what will be changing, get feedback and buy-in, and inform them that training will be happening, then ensure you train them once the tool is installed. A lot of times we’ll get our tool set up but people don’t know how to use it."

      – Director of ITSM Tools

      Info-Tech Insight

      If there is a new process for ticket input, consider using a reward system for users who submit a ticket through the proper channel ;(e.g. email or self-serve portal) instead of their old method (e.g. phone). However, if a significant cultural change is required, don’t expect it to happen right away.

      Step 3.2

      Create a training plan

      Activities

      3.2.1

      Target training session(s) to the specific needs of your service desk, service groups, IT managers

      3.3.1

      Provide training (tool/portal and process changes)

      3.4.1

      Choose an appropriate training delivery method that will focus on both process and tool

      This step involves the following participants:

      • IT Director
      • Project Manager
      • Service Desk Manager

      Outcomes of this step

      • Training modules for different users of the tool.
      • Assignment of training modules to users and schedule for completion.

      3.2.1 Target training session(s) to the specific needs of your service desk and IT staff

      Create targeted role-based training programs for your service desk analysts; they care about the portion of the solution they are responsible for, not the functionality that is irrelevant to their job.

      Create and execute a role-based training program by conducting training sessions for targeted groups of users, training them on the functions they require to perform their jobs.

      Use a table like this one to help identify which roles should be trained on which tasks within the ITSM tool.

      The image contains a table as an example of identifying which roles should be trained within the ITSM tool.

      The need for targeted training:

      • IT personnel may challenge the need for training. They may feel they don’t require training on the use of tools or that they don’t have time to dedicate to training when there is so much work to be done.
      • Providing targeted training focused on only the functions of the solution that each tier is responsible for can help to overcome that resistance.
      • Targeted training may include basic training for level 1 technicians and more advanced in-depth training for administrators, power users, or level 2/3 technicians.

      Info-Tech Insight:

      Properly trained users promote adoption and improve results. Always keep training materials updated and available. New employees, new software integration, and internal promotions create opportunities for training employees to align the ITSM tool with their roles and responsibilities.

      3.2.2 Provide training

      Training must take place before deployment to ensure that both your service desk agents and end users will use the tool in the way it was intended and improve end-user satisfaction.

      • Implementing a new ITSM tool will likely bring with it at least some degree of organizational and cultural change. It’s important to manage that change through proper training. Your training needs will vary depending on the maturity of the organization and the amount of cultural and process change being implemented.
      • If this is your first ITSM solution with many new changes for staff to take on board, it will be important to dedicate training time not only before deployment but also several months after the initial installation, to allow staff to gain more experience with the new tool and processes and formulate questions they may not think to ask during implementation.
      • A training plan should take into account not only training needs for the implementation project but also any ongoing training requirements that may be required. This may include:
        • Training for new personnel.
        • Training on any changes to the tool.
        • Training on any new processes the tool will support.
      • Better agent training will lead to better performance and improved end-user satisfaction.

      The image contains a screenshot of a graph to demonstrate training hours and first contact resolution.

      The blue graph line charts new-agent training hours against first contact resolution and the orange graph line charts the trendline for the dataset.

      Source: MetricNet, 2012

      3.2.3 Choose an appropriate training delivery method

      Training should include use cases that focus on not only how the tool’s interface works but also how the tool should be used to support process activities.

      1. Training through use cases highlights how the tool will support the user in role-based tasks.
      2. If new processes are being introduced along with the tool, training should cover both in an integrated way.
      3. Team leadership and management commitment ensures that all agents take their training seriously and are prepared for all use cases by the deployment date.

      Trainer-led sessions:

      Self-taught sessions:

      • May take the form of onsite or video training.
      • Vendor may train administrators or managers, who will later train remaining staff.
      • Allows for interaction with the trainer and greater opportunity to ask questions.
      • Difficult for large organizations with many users to be trained.
      • Delivered via computer-based training applications, typically through a web browser.
      • May include voice training sessions combined with exercises and quizzes.
      • More feasible for large, distributed organizations with less flexible schedules.

      Info-Tech Insight:

      Ensure that the training demonstrates not only how the tool should be used, but also the benefits it will provide your staff in terms of improved efficiency and productivity. Users who can clearly see the benefits the tool will provide for their daily work will accept the tool more readily and promote it across the organization.

      Step 3.3

      Plan how you will deploy, monitor, and maintain the solution

      Activities

      3.3.1

      Plan the transition from your old tool to ensure continual functionality

      3.3.2

      Choose a cut-over approach that works for you

      3.3.3

      Deploy the solution and any new processes simultaneously to ease the transition

      3.3.4

      Have a post-deployment support plan in place

      3.3.5

      Monitor success metrics defined in Phase 1

      This step involves the following participants:

      • IT Director
      • Project Manager
      • Service Desk Manager

      Outcomes of this step

      Deployment plan, including a plan for cut-over from the old tool (if applicable), release of the new tool, and post-deployment support and maintenance of the tool.

      3.3.1 Plan the transition from your old tool to ensure continual functionality

      If you will have a transitional period during which the current tool will be used alongside the new tool, develop a clear plan for the transition to ensure continued service for your end users.

      • If there will be an interim period during which only some aspects of the new ITSM tool are functional, you will need to determine how the new system and old systems will work together for that period of time. This may require creating interfaces as well as providing user documentation and/or SOPs on how the business processes will operate during the interim period.
      • Cut-over is the period during which the changeover to the new system occurs. Cut-over activities need to be tightly choreographed for a successful deployment. If improperly planned, chaos may erupt when unforeseen issues are encountered during deployment, the deployment may be jeopardized, and the organization may encounter costly interruptions to its daily operations.
      • Many organizations may leave any open tickets in the old tool until they are closed, which requires that tool run alongside the new tool for a transitional period. In this case, it is necessary to create guidelines around how long the open tickets will remain in the old system and ensure there is clear communication around these processes.

      Be prepared for the transition:

      1. Create a robust cut-over plan that includes when the old tool will be decommissioned, what activities are necessary during the cut-over, and what the contingency plan is in case of unforeseen issues.
      2. Plan for and perform mock cut-overs to establish the timeline and dependencies for all steps that need to be performed to successfully complete the changeover. Do this to avoid any surprises or delays during the true cut-over period.
      3. Establish cut-over logistics: Create a schedule for resources to work in shifts to avoid burn-out during cut-over, which can lead to lapses in judgment and easily avoidable mistakes. Allocate dedicated workspaces for cut-over activities, e.g. “war rooms” for the triage of issues.

      3.3.2 Choose a cut-over approach that works for you

      Approaches and insights from three case studies

      Case Study #1

      Case Study #2

      Case Study #3

      On day one we started recording all new incidents in the new tool, and everything that was open in the old tool remained open for about one month. At that point we transferred over some open incidents but closed old incidents with the view that if anyone really wanted something done that hadn’t been yet, they could re-submit a ticket.

      – Brett Andrews,

      Managing Director at BAPTISM Consultancy

      It made sense for us to start fresh with the new system. We left all of the old tickets in the old system and started the new system with ticket #1. We only had about a dozen open tickets in the old system so we left them there and ran the two tools side by side until those were closed.

      – CIO, Publishing

      It depends on the client and the size of their service desk as well as the complexity of their data and whether they need their old data for reporting. If there are only a dozen open tickets, they can manually move those over easily, and decide whether they want to migrate their historical data for reporting purposes.

      – Scott Walling,

      Co-Founder at Monitor 24-7 Inc.

      3.3.3 Deploy the solution and any new processes simultaneously to ease the transition

      Follow a deployment plan for introducing new processes alongside the new tool to ensure changes to both process and technology are adopted simultaneously.

      If you’re introducing new processes alongside the new tool, it’s important to maintain the link between process and tool. Typically, the processes and tool should be deployed simultaneously unless there is a strong reason not to do so.

      Deployment can be done as a big-bang or phased approach. The decision to employ a phased deployment depends on the number and size of business units the tool will support, as well as the organization’s geography and infrastructure (deployment locations).

      Before deployment, conduct readiness assessments to understand whether:

      The people are ready to accept the new system (have received the proper training and communications and understand how their jobs will change when the switch is flipped).

      The technology is ready (test results are favorable, workarounds and a plan for closure have been identified for any open defects, and the system is performing as expected).

      The data is ready (data for final conversion has been cleansed, and all conversions have been rehearsed).

      The post-deployment support model is ready (infrastructure and technical support is in place, sites are ready, knowledge transfer has been conducted with the support organization, and end users understand procedures for escalation of issues).

      3.3.4 Have a post-deployment support plan in place

      Ensure that strong internal support for the project and tool will continue after deployment.

      The stabilization period after a new software deployment can last between three and nine months, during which there may be continued training needs and fine-tuning of processes. Internal support from project leaders within your organization will be critical to recover from any dip in operational efficiency and deliver the benefits of the tool.

      Consider the following to prepare better for your support plan:

      What are the roles and responsibilities for ongoing tool administration support?

      What level of support will exist to assist service desk staff after deployment?

      How much time will project team resources devote to tackling upcoming issues and assisting with ongoing support?

      Who will be responsible for ongoing training needs and documentation?

      If your organization is spread across multiple locations, what level of support/assistance will be available at each site?

      How will new code releases or system upgrades be managed and communicated?

      Info-Tech Insight:

      Deployment is only the first step in the system lifecycle. Full benefit realization from the tool requires ongoing investment and learning to be sustained. Unless processes and training are updated on an ongoing basis, benefits gained will start to decrease over time. If your service desk efficiency stagnates at the level it was at prior to implementation, the tool has failed to serve its objective.

      Establish ongoing tool maintenance, improvement structures, and processes

      People, processes, and organizations change over time, and your ITSM tool will need to change to meet expectations.

      Develop and execute a plan for the maintenance of the solution and its infrastructure components.

      Include periodic reviews against business needs and operational requirements (e.g. patches, upgrades, and risk and security requirements).

      For maintenance updates, use the change management process and assess how an activity will impact solution design, functionality, and business processes.

      For major changes that result in significant change in current designs, functionality, and/or business processes, follow the development process used for new systems.

      Ensure that maintenance activities are periodically analyzed for abnormal trends indicating underlying quality or performance problems, cost/benefit of major upgrade, or replacement in lieu of maintenance.

      Assign responsibility for ongoing maintenance. Hold regular meetings for the following activities:

      1. Inspect data and reports.
      2. Assess whether you’re meeting SLAs.
      3. Predict any upcoming changes that may impact ticket volume (e.g. a new operating system or security patch).
      4. Create new ticket templates for recurring or upcoming issues.
      5. Create new knowledgebase articles.
      6. Determine whether ticket categories are being used correctly.
      7. Ask team if there are any problems with the tool.

      3.3.5 Monitor success metrics defined in Project Charter

      Revisit your goals for the solution and assess if they are being met by evaluating current metrics. If your goals have not yet been met, re-evaluate how to ensure the tool will deliver value.

      Sample High-Level Goals:

      1. Improved service desk efficiency
      2. Improved end-user satisfaction
      3. Improved self-service options for end users
      4. Improved data and reporting capabilities

      Sample Metric Descriptions

      Baseline Metric

      Goal

      Current Metric

      Increased ticket input through email versus phone

      50% of tickets submitted through phone

      10% of tickets submit through phone

      Reduced ticket volume (through improved self-serve capabilities)

      1,500 tickets per month

      1,200 tickets per month

      Improved first call resolution (through increased efficiency and automation)

      50% FCR

      60% FCR

      Improved ability to meet SLAs (through automated escalations and prioritization)

      5 minutes to log a ticket

      1 minute to log a ticket

      Improved time to produce reports

      3 business days

      1 business day

      Improved end-user satisfaction

      60% satisfied with services

      75% satisfied

      Related Info-Tech Research

      Optimize IT Change Management

      Define change management workflows, key roles, and supporting elements such as request-for-change forms based on best practices.

      Standardize the Service Desk

      Build core elements of service desk operations, including incident management and service request workflows, ticket categorization schemes, and ticket prioritization rules.

      Optimize the Service Desk With a Shift-Left Strategy

      Implement tools such as an improved knowledgebase and self-service portal to enable lower tier support staff and end users to resolve incidents or fulfill service requests.

      Incident and Problem Management

      Develop a critical incident management workflow and create standard operating procedures for problem management.

      IT Service Management Selection Guide

      Identify the best-of-breed solution to make the most of your investment and engage the right stakeholders to define success.

      Analyze Your Service Desk Ticket Data

      Develop a framework to track metrics, clean data, and put your data to use for pre-defined timelines.

      Bibliography

      Adiga, Siddanth. “10 Reasons Why ITSM Implementations Fail.” Could Strategy, 6 May 2015. Web.

      Hastie, Shane, and Stéphane Wojewoda. “Standish Group 2015 Chaos Report.” InfoQ, 4 October 2015. Web.

      “How to Manage Change in the Implementation of an ITSM Software.” C2, 20 April 2015. Web.

      Lockwood, Meghan. “First Look: Annual ServiceNow Insight and Vision Executive Summary [eBook].” Acorio, 31 October 2019. Web.

      Mainville, David. “7 Steps to a Successful ITSM Tool Implementation.” Navvia, 2012. Web.

      Rae, Barclay. “Preparing for ITSM Tool Implementation.” Joe the IT Guy, 24 June 2015. Web.

      Rae, Barclay. “Successful ITSM Tool Implementation.” BrightTALK, 9 May 2013. Webcast.

      Rumburg, Jeffrey. “Metric of the Month: Agent Training Hours.” MetricNet, 2012. Web.

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      • Parent Category Name: Voice & Video Management
      • Parent Category Link: /voice-video-management

      Your newly hybrid workplace will include virtual, hybrid, and physical meetings, presenting several challenges:

      • The experience for onsite and remote attendees is not equal.
      • Employees are experiencing meeting and video fatigue.
      • Meeting rooms are not optimized for hybrid meetings.
      • The fact is that many people have not successfully run hybrid meetings before.

      Our Advice

      Critical Insight

      • Successful hybrid workplace plans must include planning around hybrid meetings. Seamless hybrid meetings are the result of thoughtful planning and documented best practices.

      Impact and Result

      • Identify your current state and the root cause of unsatisfactory meetings.
      • Review and identify meetings best practices around meeting roles, delivery models, and training.
      • Improve the technology that supports meetings.
      • Use Info-Tech’s quick checklists and decision flowchart to accelerate meeting planning and cover your bases.

      Run Better Meetings Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should run better meetings, review Info-Tech’s methodology, and understand the ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Identify the current state of meetings

      Understand the problem before you try to fix it. Before you can improve meetings, you need to understand what your norms and challenges currently are.

      • Checklist: Run a Virtual or Hybrid Meeting

      2. Publish best practices for how meetings should run

      Document meeting roles, expectations, and how meetings should run. Decide what kind of meeting delivery model to use and develop a training program.

      • Meeting Challenges and Best Practices
      • Meeting Type Decision Flowchart (Visio)
      • Meeting Type Decision Flowchart (PDF)

      3. Improve meeting technology

      Always be consulting with users: early in the process to set a benchmark, during and after every meeting to address immediate concerns, and quarterly to identify trends and deeper issues.

      • Team Charter
      • Communications Guide Poster Template
      [infographic]

      Workshop: Run Better Meetings

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Identify Current State of Meetings

      The Purpose

      Understand the current state of meetings in your organization.

      Key Benefits Achieved

      What you need to keep doing and what you need to change

      Activities

      1.1 Brainstorm meeting types.

      1.2 Document meeting norms.

      1.3 Document and categorize meeting challenges.

      Outputs

      Documented challenges with meetings

      Meeting norms

      Desired changes to meeting norms

      2 Review and Identify Best Practices

      The Purpose

      Review and implement meeting best practices.

      Key Benefits Achieved

      Defined meeting best practices for your organization

      Activities

      2.1 Document meeting roles and expectations.

      2.2 Review common meeting challenges and identify best practices.

      2.3 Document when to use a hybrid meeting, virtual meeting, or an in-person meeting.

      2.4 Develop a training program.

      Outputs

      Meeting roles and expectations

      List of meeting best practices

      Guidelines to help workers choose between a hybrid, virtual, or in-person meeting

      Training plan for meetings

      3 Improve Meeting Technology

      The Purpose

      Identify opportunities to improve meeting technology.

      Key Benefits Achieved

      A strategy for improving the underlying technologies and meeting spaces

      Activities

      3.1 Empower virtual meeting attendees.

      3.2 Optimize spaces for hybrid meetings.

      3.3 Build a team of meeting champions.

      3.4 Iterate to build and improve meeting technology.

      3.5 Guide users toward each technology.

      Outputs

      Desired improvements to meeting rooms and meeting technology

      Charter for the team of meeting champions

      Communications Guide Poster

      Set Meaningful Employee Performance Measures

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      • member rating average days saved: Read what our members are saying
      • Parent Category Name: Manage & Coach
      • Parent Category Link: /manage-coach
      • Despite the importance of performance measures, most organizations struggle with choosing appropriate metrics and standards of performance for their employees.
      • Performance measures are often misaligned with the larger strategy, gamed by employees, or too narrow to provide an accurate picture of employee achievements.
      • Additionally, many organizations track too many metrics, resulting in a bureaucratic nightmare with little payoff.

      Our Advice

      Critical Insight

      • Focus on what matters by aligning your departmental goals with the enterprise's mission and business goals. Break down departmental goals into specific goals for each employee group.
      • Employee engagement, which results in better performance, is directly correlated with employees’ understanding what is expected of them on the job and with their performance reviews reflecting their actual contributions.
      • Shed unnecessary metrics in favor of a lean, holistic approach to performance measurement. Include quantitative, qualitative, and behavioral dimensions in each goal and set appropriate measures for each dimension to meet simple targets. This encourages well-rounded behaviors and discourages rogue behavior.
      • Get rid of the stick-and-carrot approach to management. Use performance measurement to inspire and engage employees, not punish them.

      Impact and Result

      • Learn about and leverage the McLean & Company framework and process to effective employee performance measurement setting.
      • Plan effective communications and successfully manage departmental employee performance measurement by accurately recording goals, measures, and requirements.
      • Find your way through the maze of employee performance management with confidence.

      Set Meaningful Employee Performance Measures Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Set Meaningful Employee Performance Measures Storyboard – This deck provides a comprehensive framework for setting, communicating, and reviewing employee performance measures that will drive business results

      This research will help you choose an appropriate measurement framework, set effective measures. and communicate and review your performance measures. Use Info-Tech's process to set meaningful measures that will inspire employees and drive performance.

      • Set Meaningful Employee Performance Measures Storyboard

      2. Employee Performance Measures Goals Cascade – A tool to assist you in turning your organizational goals into meaningful individual employee performance measures.

      This tool will help you set departmental goals based on organizational mission and business goals and choose appropriate measures and weightings for each goal. Use this template to plan a comprehensive employee measurement system.

      • Employee Performance Measures Goals Cascade

      3. Employee Performance Measures Template – A template for planning and tracking your departmental goals, employee performance measures, and reporting requirements.

      This tool will help you set departmental goals based on your organizational mission and business goals, choose appropriate measures and weightings for each goal, and visualize you progress toward set goals. Use this template to plan and implement a comprehensive employee measurement system from setting goals to communicating results.

      • Employee Performance Measures Template

      4. Feedback and Coaching Guide for Managers – A tool to guide you on how to coach your team members.

      Feedback and coaching will improve performance, increase employee engagement, and build stronger employee manager relationships. Giving feedback is an essential part of a manger's job and if done timely can help employees to correct their behavior before it becomes a bigger problem.

      • Feedback and Coaching Guide for Managers

      Infographic

      Workshop: Set Meaningful Employee Performance Measures

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Source and Set Goals

      The Purpose

      Ensure that individual goals are informed by business ones.

      Key Benefits Achieved

      Individuals understand how their goals contribute to organizational ones.

      Activities

      1.1 Understand how your department contributes to larger organizational goals.

      1.2 Determine the timelines you need to measure employees against.

      1.3 Set Business aligned department, team, and individual goals.

      Outputs

      Business-aligned department and team goals

      Business-aligned individual goals

      2 Design Measures

      The Purpose

      Create holistic performance measures.

      Key Benefits Achieved

      Holistic performance measures are created.

      Activities

      2.1 Choose your employee measurement framework: generic or individual.

      2.2 Define appropriate employee measures for preestablished goals.

      2.3 Determine employee measurement weightings to drive essential behaviors.

      Outputs

      Determined measurement framework

      Define employee measures.

      Determined weightings

      3 Communicate to Implement and Review

      The Purpose

      Learn how to communicate measures to stakeholders and review measures.

      Key Benefits Achieved

      Learn how to communicate to stakeholders and coach employees through blockers.

      Activities

      3.1 Learn how to communicate selected performance measures to stakeholders.

      3.2 How to coach employees though blockers.

      3.3 Reviewing and updating measures.

      Outputs

      Effective communication with stakeholders

      Coaching and feedback

      When to update

      4 Manager Training

      The Purpose

      Train managers in relevant areas.

      Key Benefits Achieved

      Training delivered to managers.

      Activities

      4.1 Deliver Build a Better Manager training to managers.

      4.2

      Outputs

      Manager training delivered

      Further reading

      Set Meaningful Employee Performance Measures

      Set holistic measures to inspire employee performance.

      EXECUTIVE BRIEF

      Set employees up for success by implementing performance measures that inspire great performance, not irrelevant reporting.

      Executive Summary

      Your Challenge

      In today’s competitive environment, managers must assess and inspire employee performance in order to assess the achievement of business goals.

      Despite the importance of performance measures, many leaders struggle with choosing appropriate metrics.

      Performance measures are often misaligned with the larger strategy, gamed by employees, or are too narrow to provide an accurate picture of employee achievements.

      Common Obstacles

      Managers who invest time in creating more effective performance measures will be rewarded with increased employee engagement and better employee performance.

      Too little time setting holistic employee measures often results in unintended behaviors and gaming of the system.

      Conversely, too much time setting employee measures will result in overreporting and underperforming employees.

      Info-Tech’s Approach

      Info-Tech helps managers translate organizational goals to employee measures. Communicating these to employees and other stakeholders will help managers keep better track of workforce productivity, maintain alignment with the organization’s business strategy, and improve overall results.

      Info-Tech Insight

      Performance measures are not about punishing bad performance, but inspiring higher performance to achieve business goals.

      Meaningful performance measures drive employee engagement...

      Clearly defined performance measures linked to specific goals bolster engagement by showing employees the importance of their contributions.

      Significant components of employee engagement are tied to employee performance measures.

      A diagram of employee engagement survey and their implications.

      Which, in turn, drives business success.

      Improved employee engagement is proven to improve employee performance. Setting meaningful measures can impact your bottom line.

      Impact of Engagement on Performance

      A diagram that shows Percent of Positive Responses Among Engaged vs. Disengaged
      Source: McLean & Company Employee Engagement Survey Jan 2020-Jan 2023; N=5,185 IT Employees; were either Engaged or Disengaged (Almost Engaged and Indifferent were not included)

      Engaged employees don’t just work harder, they deliver higher quality service and products.

      Engaged employees are significantly more likely to agree that they regularly accomplish more than what’s expected of them, choose to work extra hours to improve results, and take pride in the work they do.

      Without this sense of pride and ownership over the quality-of-service IT provides, IT departments are at serious risk of not being able to deliver quality service, on-time and on-budget.

      Create meaningful performance measures to drive employee engagement by helping employees understand how they contribute to the organization.

      Unfortunately, many employee measures are meaningless and fail to drive high-quality performance.

      Too many ineffective performance measures create more work for the manager rather than inspire employee performance. Determine if your measures are worth tracking – or if they are lacking.

      Meaningful performance measures are:

      Ineffective performance measures are:

      Clearly linked to organizational mission, values, and objectives.

      Based on a holistic understanding of employee performance.

      Relevant to organizational decision-making.

      Accepted by employees and managers.

      Easily understood by employees and managers.

      Valid: relevant to the role and goals and within an employee’s control.

      Reliable: consistently applied to assess different employees doing the same job.

      Difficult to track, update, and communicate.

      Easily gamed by managers or employees.

      Narrowly focused on targets rather than the quality of work.

      The cause of unintended outcomes or incentive for the wrong behaviors.

      Overly complex or elaborate.

      Easily manipulated due to reliance on simple calculations.

      Negotiable without taking into account business needs, leading to lower performance standards.

      Adopt a holistic approach to create meaningful performance measurement

      A diagram that shows a holistic approach to create meaningful performance measurement, including inputs, organizational costs, department goals, team goals, individual goals, and output.

      Info-Tech’s methodology to set the stage for more effective employee measures

      1. Source and Set Goals

      Phase Steps
      1.1 Create business-aligned department and team goals
      1.2 Create business-aligned individual goals

      Phase Outcomes
      Understand how your department contributes to larger organizational goals.
      Determine the timelines you need to measure employees against.
      Set business-aligned department, team, and individual goals.

      2. Design Measures

      Phase Steps
      1.1 Choose measurement framework
      1.2 Define employee measures
      1.3 Determine weightings

      Phase Outcomes
      Choose your employee measurement framework: generic or individual.
      Define appropriate employee measures for preestablished goals.
      Determine employee measurement weightings to drive essential behaviors.
      Ensure employee measures are communicated to the right stakeholders.

      3. Communicate to Implement and Review

      Phase Steps
      1.1 Communicate to stakeholders
      1.2 Coaching and feedback
      1.3 When to update

      Phase Outcomes
      Communicate selected performance measure to stakeholders.
      Learn how to coach employees though blockers.
      Understand how to review and when to update measures.

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit
      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      Guided Implementation
      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track."

      Workshop
      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting
      "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Guided Implementation

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is four to six calls over the course of two to four months.

      What does a typical GI on this topic look like?

      A diagram that shows Guided Implementation in 3 phases.

      Threat Preparedness Using MITRE ATT&CK®

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      • Parent Category Name: Security Strategy & Budgeting
      • Parent Category Link: /security-strategy-and-budgeting
      • To effectively protect your business interests, you need to be able to address what the most pressing vulnerabilities in your network are. Which attack vectors should you model first? How do you adequately understand your threat vectors when attacks continually change and adapt?
      • Security can often be asked the world but given a minimal budget with which to accomplish it.
      • Security decisions are always under pressure from varying demands that pull even the most well-balanced security team in every direction.
      • Adequately modeling any and every possible scenario is ineffective and haphazard at best. Hoping that you have chosen the most pressing attack vectors to model will not work in the modern day of threat tactics.

      Our Advice

      Critical Insight

      • Precision is critical to being able to successfully defend against threats.
        • Traditional threat modeling such as STRIDE or PASTA is based on a spray-and-pray approach to identifying your next potential threat vector. Instead, take a structured risk-based approach to understanding both an attacker’s tactics and how they may be used against your enterprise. Threat preparedness requires precision, not guesswork.
      • Knowing is half the battle.
        • You may be doing better than you think. Undoubtedly, there is a large surface area to cover with threat modeling. By preparing beforehand, you can separate what’s important from what’s not and identify which attack vectors are the most pressing for your business.
      • Be realistic and measured.
        • Do not try to remediate everything. Some attack vectors and approaches are nearly impossible to account for. Take control of the areas that have reasonable mitigation methods and act on those.
      • Identify blind spots.
        • Understand what is out there and how other enterprises are being attacked and breached. See how you stack up to the myriad of attack tactics that have been used in real-life breaches and how prepared you are. Know what you’re ready for and what you’re not ready for.
      • Analyze the most pressing vectors.
        • Prioritize the attack vectors that are relevant to you. If an attack vector is an area of concern for your business, start there. Do not cover the entire tactics list if certain areas are not relevant.
      • Detection and mitigation lead to better remediation.
        • For each relevant tactic and techniques, there are actionable detection and mitigation methods to add to your list of remediation efforts.

      Impact and Result

      Using the MITRE ATT&CK® framework, Info-Tech’s approach helps you understand your preparedness and effective detection and mitigation actions.

      • Learn about potential attack vectors and the techniques that hostile actors will use to breach and maintain a presence on your network.
      • Analyze your current protocols versus the impact of an attack technique on your network.
      • Discover detection and mitigation actions.
      • Create a prioritized series of security considerations, with basic actionable remediation items. Plan your next threat model by knowing what you’re vulnerable to.
      • Ensure business data cannot be leaked or stolen.
      • Maintain privacy of data and other information.
      • Secure the network connection points.
      • Mitigate risks with the appropriate services.

      This blueprint and associated tool are scalable for all types of organizations within various industry sectors, allowing them to know what types of risk they are facing and what security services are recommended to mitigate those risks.

      Threat Preparedness Using MITRE ATT&CK® Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why threat preparedness is a crucial first step in defending your network against any attack type. Review Info-Tech’s methodology and understand the ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Attack tactics and techniques

      Review a breakdown of each of the various attack vectors and their techniques for additional context and insight into the most prevalent attack tactics.

      • Threat Preparedness Using MITRE ATT&CK® – Phase 1: Attack Tactics and Techniques

      2. Threat Preparedness Workbook mapping

      Map your current security protocols against the impacts of various techniques on your network to determine your risk preparedness.

      • Threat Preparedness Using MITRE ATT&CK® – Phase 2: Threat Preparedness Workbook Mapping
      • Enterprise Threat Preparedness Workbook

      3. Execute remediation and detective measures

      Use your prioritized attack vectors to plan your next threat modeling session with confidence that the most pressing security concerns are being addressed with substantive remediation actions.

      • Threat Preparedness Using MITRE ATT&CK® – Phase 3: Execute Remediation and Detective Measures
      [infographic]

      Build a Reporting and Analytics Strategy

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      • Parent Category Name: Business Intelligence Strategy
      • Parent Category Link: /business-intelligence-strategy
      • In respect to business intelligence (BI) matureness, you can’t expect the whole organization to be at the same place at the same time. Your BI strategy needs to recognize this and should strive to align rather than dictate.
      • Technology is just one aspect of your BI and analytics strategy and is not a quick solution or a guarantee for long-term success.

      Our Advice

      Critical Insight

      • The BI strategy drives data warehouse and integration strategies and the data needed to support business decisions.
      • The solution to better BI often lies in improving the BI practice, not acquiring the latest and greatest tool.

      Impact and Result

      • Align BI with corporate vision, mission, goals, and strategic direction.
      • Understand the needs of business partners.
      • BI & analytics informs data warehouse and integration layers for required content, latency, and quality.

      Build a Reporting and Analytics Strategy Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should create or refresh the BI Strategy and review Info-Tech’s approach to developing a BI strategy that meets business needs.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Understand the business context and BI landscape

      Lay the foundation for the BI strategy by detailing key business information and analyzing current BI usage.

      • Build a Reporting and Analytics Strategy – Phase 1: Understand the Business Context and BI Landscape
      • BI Strategy and Roadmap Template
      • BI End-User Satisfaction Survey Framework

      2. Evaluate the current BI practice

      Assess the maturity level of the current BI practice and envision a future state.

      • Build a Reporting and Analytics Strategy – Phase 2: Evaluate the Current BI Practice
      • BI Practice Assessment Tool

      3. Create a BI roadmap for continuous improvement

      Create BI-focused initiatives to build an improvement roadmap.

      • Build a Reporting and Analytics Strategy – Phase 3: Create a BI Roadmap for Continuous Improvement
      • BI Initiatives and Roadmap Tool
      • BI Strategy and Roadmap Executive Presentation Template
      [infographic]

      Workshop: Build a Reporting and Analytics Strategy

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Establish Business Vision and Understand the Current BI Landscape

      The Purpose

      Document overall business vision, mission, and key objectives; assemble project team.

      Collect in-depth information around current BI usage and BI user perception.

      Create requirements gathering principles and gather requirements for a BI platform.

      Key Benefits Achieved

      Increased IT–business alignment by using the business context as the project starting point

      Identified project sponsor and project team

      Detailed understanding of trends in BI usage and BI perception of consumers

      Refreshed requirements for a BI solution

      Activities

      1.1 Gather key business information (overall mission, goals, objectives, drivers).

      1.2 Establish a high-level ROI.

      1.3 Identify ideal candidates for carrying out a BI project.

      1.4 Undertake BI usage analyses, BI user perception survey, and a BI artifact inventory.

      1.5 Develop requirements gathering principles and approaches.

      1.6 Gather and organize BI requirements

      Outputs

      Articulated business context that will guide BI strategy development

      ROI for refreshing the BI strategy

      BI project team

      Comprehensive summary of current BI usage that has quantitative and qualitative perspectives

      BI requirements are confirmed

      2 Evaluate Current BI Maturity and Identify the BI Patterns for the Future State

      The Purpose

      Define current maturity level of BI practice.

      Envision the future state of your BI practice and identify desired BI patterns.

      Key Benefits Achieved

      Know the correct migration method for Exchange Online.

      Prepare user profiles for the rest of the Office 365 implementation.

      Activities

      2.1 Perform BI SWOT analyses.

      2.2 Assess current state of the BI practice and review results.

      2.3 Create guiding principles for the future BI practice.

      2.4 Identify desired BI patterns and the associated BI functionalities/requirements.

      2.5 Define the future state of the BI practice.

      2.6 Establish the critical success factors for the future BI, identify potential risks, and create a mitigation plan.

      Outputs

      Exchange migration strategy

      Current state of BI practice is documented from multiple perspectives

      Guiding principles for future BI practice are established, along with the desired BI patterns linked to functional requirements

      Future BI practice is defined

      Critical success factors, potential risks, and a risk mitigation plan are defined

      3 Build Improvement Initiatives and Create a BI Development Roadmap

      The Purpose

      Build overall BI improvement initiatives and create a BI improvement roadmap.

      Identify supplementary initiatives for enhancing your BI program.

      Key Benefits Achieved

      Defined roadmap composed of robust improvement initiatives

      Activities

      3.1 Create BI improvement initiatives based on outputs from phase 1 and 2 activities. Build an improvement roadmap.

      3.2 Build an improvement roadmap.

      3.3 Create an Excel governance policy.

      3.4 Create a plan for a BI ambassador network.

      Outputs

      Comprehensive BI initiatives placed on an improvement roadmap

      Excel governance policy is created

      Internal BI ambassadors are identified

      Further reading

      Build a Reporting and Analytics Strategy

      Deliver actionable business insights by creating a business-aligned reporting and analytics strategy.

      Terminology

      As the reporting and analytics space matured over the last decade, software suppliers used different terminology to differentiate their products from others’. This caused a great deal of confusion within the business communities.

      Following are two definitions of the term Business Intelligence:

      Business intelligence (BI) leverages software and services to transform data into actionable insights that inform an organization’s strategic and tactical business decisions. BI tools access and analyze data sets and present analytical findings in reports, summaries, dashboards, graphs, charts, and maps to provide users with detailed intelligence about the state of the business.

      The term business intelligence often also refers to a range of tools that provide quick, easy-to-digest access to insights about an organization's current state, based on available data.

      CIO Magazine

      Business intelligence (BI) comprises the strategies and technologies used by enterprises for the data analysis of business information. BI technologies provide historical, current, and predictive views of business operations.

      Common functions of business intelligence technologies include reporting, online analytical processing, analytics, data mining, process mining, complex event processing, business performance management, benchmarking, text mining, predictive analytics, and prescriptive analytics.

      Wikipedia

      This blueprint will use the terms “BI,” “BI and Analytics,” and “Reporting and Analytics” interchangeably in different contexts, but always in compliance to the above definitions.

      ANALYST PERSPECTIVE

      A fresh analytics & reporting strategy enables new BI opportunities.

      We need data to inform the business of past and current performance and to support strategic decisions. But we can also drown in a flood of data. Without a clear strategy for business intelligence, a promising new solution will produce only noise.

      BI and Analytics teams must provide the right quantitative and qualitative insights for the business to base their decisions on.

      Your Business Intelligence and Analytics strategy must support the organization’s strategy. Your strategy for BI & Analytics provides direction and requirements for data warehousing and data integration, and further paves the way for predictive analytics, big data analytics, market/industry intelligence, and social network analytics.

      Dirk Coetsee,

      Director, Data and Analytics Info-Tech Research Group

      Our understanding of the problem

      This Research is Designed For:

      • A CIO or Business Unit (BU) Leader looking to improve reporting and analytics, reduce time to information, and embrace fact-based decision making with analytics, reporting, and business intelligence (BI).
      • Application Directors experiencing poor results from an initial BI tool deployment who are looking to improve the outcome.

      This Research Will Also Assist:

      • Project Managers and Business Analysts assigned to a BI project team to collect and analyze requirements.
      • Business units that have their own BI platforms and would like to partner with IT to take their BI to an enterprise level.

      This Research Will Help You:

      • Align your reporting and analytics strategy with the business’ strategic objectives before you rebuild or buy your Business Intelligence platform.
      • Identify reporting and analytics objectives to inform the data warehouse and integration requirements gathering process.
      • Avoid common pitfalls that derail BI and analytic deployments and lower their adoption.
      • Identify Business Intelligence gaps prior to deployment and incorporate remedies within your plans.

      This Research Will Help Them:

      • Recruit the right resources for the program.
      • Align BI with corporate vision, mission, goals, and strategic direction.
      • Understand the needs of business partners.
      • Assess BI maturity and plan for target state.
      • Develop a BI strategy and roadmap.
      • Track the success of the BI initiative.

      Executive summary

      Situation:

      BI drives a new reality. Uber is the world’s largest taxi company and they own no vehicles; Alibaba is the world’s most valuable retailer and they have no inventory; Airbnb is the world’s largest accommodation provider and they own no real estate. How did they disrupt their markets and get past business entry barriers? A deep understanding of their market through impeccable business intelligence!

      Complication:

      • In respect to BI matureness, you can’t expect the whole organization to be at the same place at the same time. Your BI strategy needs to recognize this and should strive to align rather than dictate.
      • Technology is just one aspect of your BI and Analytics strategy and is not a quick solution or a guarantee for long term success.

      Resolution:

      • Drive strategy development by establishing the business context upfront in order to align business intelligence providers with the most important needs of their BI consumers and the strategic priorities of the organization.
      • Revamp or create a BI strategy to update your BI program to make it fit for purpose.
      • Understand your existing BI baggage – e.g. your existing BI program, the artifacts generated from the program, and the users it supports. Those will inform the creation of the strategy and roadmap.
      • Assess current BI maturity and determine your future state BI maturity.
      • BI needs governance to ensure consistent planning, communication, and execution of the BI strategy.
      • Create a network of BI ambassadors across the organization to promote BI.
      • Plan for the future to ensure that required data will be available when the organization needs it.

      Info-Tech Insight

      1. Put the “B” back in BI. Don’t have IT doing BI for IT’s sake; ensure the voice and needs of the business are the primary drivers of your strategy.
      2. The BI strategy drives data warehouse and integration strategies and the data needs to support business decisions.
      3. Go beyond the platform. The solution to better BI often lies in improving the BI practice, not acquiring the latest and greatest tool.

      Metrics to track BI & Analytical program progress

      Goals for BI:

      • Understand business context and needs. Identify business processes that can leverage BI.
      • Define the Reporting & Analytics Roadmap. Develop data initiatives, and create a strategy and roadmap for Business Intelligence.
      • Continuous improvements. Your BI program is evolving and improving over time. The program should allow you to have faster, better, and more comprehensive information.

      Info-Tech’s Suggested Metrics for Tracking the BI Program

      Practice Improvement Metrics Data Collection and Calculation Expected Improvement
      Program Level Metrics Efficiency
      • Time to information
      • Self-service penetration
      • Derive from the ticket management system
      • Derive from the BI platform
      • 10% reduction in time to information
      • Achieve 10-15% self-service penetration
      • Effectiveness
      • BI Usage
      • Data quality
      • Derive from the BI platform
      • Data quality perception
      • Majority of the users use BI on a daily basis
      • 15% increase in data quality perception
      Comprehensiveness
      • # of integrated datasets
      • # of strategic decisions made
      • Derive from the data integration platform
      • Decision-making perception
      • Onboard 2-3 new data domains per year
      • 20% increase in decision-making perception

      Intangible Metrics:

      Tap into the results of Info-Tech’s CIO Business Vision diagnostic to monitor the changes in business-user satisfaction as you implement the initiatives in your BI improvement roadmap.

      Your Enterprise BI and Analytics Strategy is driven by your organization’s Vision and Corporate Strategy

      Formulating an Enterprise Reporting and Analytics Strategy requires the business vision and strategies to first be substantiated. Any optimization to the Data Warehouse, Integration and Source layer is in turn driven by the Enterprise Reporting and Analytics Strategy

      Flow chart showing 'Business Vision Strategies'

      The current state of your Integration and Warehouse platforms determine what data can be utilized for BI and Analytics

      Where we are, and how we got here

      How we got here

      • In the beginning was BI 1.0. Business intelligence began as an IT-driven centralized solution that was highly governed. Business users were typically the consumers of reports and dashboards created by IT, an analytics-trained minority, upon request.
      • In the last five to ten years, we have seen a fundamental shift in the business intelligence and analytics market, moving away from such large-scale, centralized IT-driven solutions focused on basic reporting and administration, towards more advanced user-friendly data discovery and visualization platforms. This has come to be known as BI 2.0.
      • Many incumbent market leaders were disrupted by the demand for more user-friendly business intelligence solutions, allowing “pure-play” BI software vendors to carve out a niche and rapidly expand into more enterprise environments.
      • BI-on-the-cloud has established itself as a solid alternative to in-house implementation and operation.

      Where we are now

      • BI 3.0 has arrived. This involves the democratization of data and analytics and a predominantly app-centric approach to BI, identifiable by an anywhere, anytime, and device-or-platform-independent collaborative methodology. Social workgroups and self-guided content creation, delivery, analysis, and management is prominent.
      • Where the need for reporting and dashboards remains, we’re seeing data discovery platforms fulfilling the needs of non-technical business users by providing easy-to-use interactive solutions to increase adoption across enterprises.
      • With more end users demanding access to data and the tools to extract business insights, IT is looking to meet these needs while continuing to maintain governance and administration over a much larger base of users. The race for governed data discovery is heated and will be a market differentiator.
      • The next kid on the block is Artificial Intelligence that put further demands on data quality and availability.

      RICOH Canada used this methodology to develop their BI strategy in consultation with their business stakeholders

      CASE STUDY

      Industry: Manufacturing and Retail

      Source: RICOH

      Ricoh Canada transforms the way people work with breakthrough technologies that help businesses innovate and grow. Its focus has always been to envision what the future will look like so that it can help its customers prepare for success. Ricoh empowers digital workplaces with a broad portfolio of services, solutions, and technologies – helping customers remove obstacles to sustained growth by optimizing the flow of information and automating antiquated processes to increase workplace productivity. In their commitment towards a customer-centric approach, Ricoh Canada recognized that BI and analytics can be used to inform business leaders in making strategic decisions.

      Enterprise BI and analytics Initiative

      Ricoh Canada enrolled in the ITRG Reporting & Analytics strategy workshop with the aim to create a BI strategy that will allow the business to harvest it strengths and build for the future. The workshop acted as a forum for the different business units to communicate, share ideas, and hear from each other what their pains are and what should be done to provide a full customer 360 view.

      Results

      “This workshop allowed us to collectively identify the various stakeholders and their unique requirements. This is a key factor in the development of an effective BI Analytics tool.” David Farrar

      The Customer 360 Initiative included the following components

      The Customer 360 Initiative includes the components shown in the image

      Improve BI Adoption Rates

      Graph showing Product Adoption Rates

      Sisense

      Reasons for low BI adoption

      • Employees that never used BI tools are slow to adopt new technology.
      • Lack of trust in data leads to lack of trust in the insights.
      • Complex data structures deter usage due to long learning curves and contained nuances.
      • Difficult to translate business requirements into tool linguistics due to lack of training or technical ineptness.
      • Business has not taken ownership of data, which affects access to data.

      How to foster BI adoption

      • Senior management proclaim data as a strategic asset and involved in the promotion of BI
      • Role Requirement that any business decision should be backed up by analytics
      • Communication of internal BI use case studies and successes
      • Exceptional data lineage to act as proof for the numbers
      • A Business Data glossary with clearly defined business terms. Use the Business Data Glossary in conjunction with data lineage and semantic layers to ensure that businesses are clearly defined and traced to sources.
      • Training in business to take ownership of data from inception to analytics.

      Why bother with analytics?

      In today’s ever-changing and global environment, organizations of every size need to effectively leverage their data assets to facilitate three key business drivers: customer intimacy, product/service innovation, and operational excellence. Plus, they need to manage their operational risk efficiently.

      Investing in a comprehensive business intelligence strategy allows for a multidimensional view of your organization’s data assets that can be operationalized to create a competitive edge:

      Historical Data

      Without a BI strategy, creating meaningful reports for business users that highlight trends in past performance and draw relationships between different data sources becomes a more complex task. Also, the ever growing need to identify and assess risks in new ways is driving many companies to BI.

      Data Democracy

      The core purpose of BI is to provide the right data, to the right users, at the right time, and in a format that is easily consumable and actionable. In developing a BI strategy, remember the driver for managed cross-functional access to data assets and features such as interactive dashboards, mobile BI, and self-service BI.

      Predictive and Big Data Analytics

      As the volume, variety, and velocity of data increases rapidly, businesses will need a strategy to outline how they plan to consume the new data in a manner that does not overwhelm their current capabilities and aligns with their desired future state. This same strategy further provides a foundation upon which organizations can transition from ad hoc reporting to using data assets in a codified BI platform for decision support.

      Business intelligence serves as the layer that translates data, information, and organizational knowledge into insights

      As executive decision making shifts to more fact-based, data-driven thinking, there is an urgent need for data assets to be organized and presented in a manner that enables immediate action.

      Typically, business decisions are based on a mix of intuition, opinion, emotion, organizational culture, and data. Though business users may be aware of its potential value in driving operational change, data is often viewed as inaccessible.

      Business intelligence bridges the gap between an organization’s data assets and consumable information that facilitates insight generation and informed decision making.

      Most organizations realize that they need a BI strategy; it’s no longer a nice-to-have, it’s a must-have.

      – Albert Hui, Principal, Data Economist

      A triangle grapg depicting the layers of business itelligence

      Business intelligence and business analytics: what is the difference and should you care

      Ask 100 people and you will get 100 answers. We like the prevailing view that BI looks at today and backward for improving who we are, while BA is forward-looking to support change decisions.

      The image depicts a chart flowing from Time Past to Future. Business Intelligence joins with Business Analytics over the Present
      • Business intelligence is concerned with looking at present and historical data.
      • Use this data to create reports/dashboards to inform a wide variety of information consumers of the past and current state of affairs.
      • Almost all organizations, regardless of size and maturity, use some level of BI even if it’s just very basic reporting.
      • Business analytics, on the other hand, is a forward-facing use of data, concerned with the present to the future.
      • Analytics uses data to both describe the present, and more importantly, predict the future, enabling strategic business decisions.
      • Although adoption is rapidly increasing, many organizations still do not utilize any advanced analytics in their environment.

      However, establishing a strong business intelligence program is a necessary precursor to an organization’s development of its business analytics capabilities.

      Organizations that successfully grow their BI capabilities are reaping the rewards

      Evidence is piling up: if planned well, BI contributes to the organization’s bottom line.

      It’s expected that there will be nearly 45 billion connected devices and a 42% increase in data volume each year posing a high business opportunity for the BI market (BERoE, 2020).

      The global business intelligence market size to grow from US$23.1 billion in 2020 to US$33.3 billion by 2025, at a compound annual growth rate (CAGR) of 7.6% (Global News Wire, 2020)

      In the coming years, 69% of companies plan on increasing their cloud business intelligence usage (BARC Research and Eckerson Group Study, 2017).

      Call to Action

      Small organizations of up to 100 employees had the highest rate of business intelligence penetration last year (Forbes, 2018).

      Graph depicting business value from 0 months to more than 24 months

      Source: IBM Business Value, 2015

      For the New England Patriots, establishing a greater level of customer intimacy was driven by a tactical analytics initiative

      CASE STUDY

      Industry: Professional Sports

      Source Target Marketing

      Problem

      Despite continued success as a franchise with a loyal fan base, the New England Patriots experienced one of their lowest season ticket renewal rates in over a decade for the 2009 season. Given the numerous email addresses that potential and current season-ticket holders used to engage with the organization, it was difficult for Kraft Sports Group to define how to effectively reach customers.

      Turning to a Tactical Analytics Approach

      Kraft Sports Group turned to the customer data that it had been collecting since 2007 and chose to leverage analytics in order to glean insight into season ticket holder behavior. By monitoring and reporting on customer activity online and in attendance at games, Kraft Sports Group was able to establish that customer engagement improved when communication from the organization was specifically tailored to customer preferences and historical behavior.

      Results

      By operationalizing their data assets with the help of analytics, the Patriots were able to achieve a record 97% renewal rate for the 2010 season. KSG was able to take their customer engagement to the next level and proactively look for signs of attrition in season-ticket renewals.

      We're very analytically focused and I consider us to be the voice of the customer within the organization… Ultimately, we should know when renewal might not happen and be able to market and communicate to change that behavior.

      – Jessica Gelman,

      VP Customer Marketing and Strategy, Kraft Sports Group

      A large percentage of all BI projects fail to meet the organization’s needs; avoid falling victim to common pitfalls

      Tool Usage Pitfalls

      • Business units are overwhelmed with the amount and type of data presented.
      • Poor data quality erodes trust, resulting in a decline in usage.
      • Analysis performed for the sake of analysis and doesn’t focus on obtaining relevant business-driven insights.

      Selection Pitfalls

      • Inadequate requirements gathering.
      • No business involvement in the selection process.
      • User experience is not considered.
      • Focus is on license fees and not total cost.

      Implementation Pitfalls

      • Absence of upfront planning
      • Lack of change management to facilitate adoption of the new platform
      • No quick wins that establish the value of the project early on
      • Inadequate initial or ongoing training

      Strategic Pitfalls

      • Poor alignment of BI goals with organization goals
      • Absence of CSFs/KPIs that can measure the qualitative and quantitative success of the project
      • No executive support during or after the project

      BI pitfalls are lurking around every corner, but a comprehensive strategy drafted upfront can help your organization overcome these obstacles. Info-Tech’s approach to BI has involvement from the business units built right into the process from the start and it equips IT to interact with key stakeholders early and often.

      Only 62% of Big Data and AI projects in 2019 provided measurable results.

      Source: NewVantage Partners LLC

      Business and IT have different priorities for a BI tool

      Business executives look for:

      • Ease of use
      • Speed and agility
      • Clear and concise information
      • Sustainability

      IT professionals are concerned about:

      • Solid security
      • Access controls on data
      • Compliance with regulations
      • Ease of integration

      Info-Tech Insight

      Combining these priorities will lead to better tool selection and more synergy.

      Elizabeth Mazenko

      The top-down BI Opportunity Analysis is a tool for senior executives to discover where Business Intelligence can provide value

      The image is of a top-down BI Opportunity Analysis.

      Example: Uncover BI opportunities with an opportunity analysis

      Industry Drivers Private label Rising input prices Retail consolidation
      Company strategies Win at supply chain execution Win at customer service Expand gross margins
      Value disciplines Strategic cost management Operational excellence Customer service
      Core processes Purchasing Inbound logistics Sales, service & distribution
      Enterprise management: Planning, budgeting, control, process improvement, HR
      BI Opportunities Customer service analysis Cost and financial analysis Demand management

      Williams (2016)

      Bridge the gap between business drivers and business intelligence features with a three-tiered framework

      Info-Tech’s approach to formulating a fit-for-purpose BI strategy is focused on making the link between factors that are the most important to the business users and the ways that BI providers can enable those consumers.

      Drivers to Establish Competitive Advantage

      • Operational Excellence
      • Client Intimacy
      • Innovation

      BI and Analytics Spectrum

      • Strategic Analytics
      • Tactical Analytics
      • Operational Analytics

      Info-Tech’s BI Patterns

      • Delivery
      • User Experience
      • Deep Analytics
      • Supporting

      This is the content for Layout H3 Tag

      Though business intelligence is primarily thought of as enabling executives, a comprehensive BI strategy involves a spectrum of analytics that can provide data-driven insight to all levels of an organization.

      Recommended

      Strategic Analytics

      • Typically focused on predictive modeling
      • Leverages data integrated from multiple sources (structured through unstructured)
      • Assists in identifying trends that may shift organizational focus and direction
      • Sample objectives:
        • Drive market share growth
        • Identify new markets, products, services, locations, and acquisitions
        • Build wider and deeper customer relationships earning more wallet share and keeping more customers

      Tactical Analytics

      • Often considered Response Analytics and used to react to situations that arise, or opportunities at a department level.
      • Sample objectives:
        • Staff productivity or cost analysis
        • Heuristics/algorithms for better risk management
        • Product bundling and packaging
        • Customer satisfaction response techniques

      Operational Analytics

      • Analytics that drive business process improvement whether internal, with external partners, or customers.
      • Sample objectives:
        • Process step elimination
        • Best opportunities for automation

      Business Intelligence Terminology

      Styles of BI New age BI New age data Functional Analytics Tools
      Reporting Agile BI Social Media data Performance management analytics Scorecarding dashboarding
      Ad hoc query SaaS BI Unstructured data Financial analytics Query & reporting
      Parameterized queries Pervasive BI Mobile data Supply chain analytics Statistics & data mining
      OLAP Cognitive Business Big data Customer analytics OLAP cubes
      Advanced analytics Self service analytics Sensor data Operations analytics ETL
      Cognitive business techniques Real-time Analytics Machine data HR Analytics Master data management
      Scorecards & dashboards Mobile Reporting & Analytics “fill in the blanks” analytics Data Governance

      Williams (2016)

      "BI can be confusing and overwhelming…"

      – Dirk Coetsee,

      Research Director,

      Info-Tech Research Group

      Business intelligence lies in the Information Dimensions layer of Info-Tech’s Data Management Framework

      The interactions between the information dimensions and overlying data management enablers such as data governance, data architecture, and data quality underscore the importance of building a robust process surrounding the other data practices in order to fully leverage your BI platform.

      Within this framework BI and analytics are grouped as one lens through which data assets at the business information level can be viewed.

      The image is the Information Dimensions layer of Info-Tech’s Data Management Framework

      Use Info-Tech’s three-phase approach to a Reporting & Analytics strategy and roadmap development

      Project Insight

      A BI program is not a static project that is created once and remains unchanged. Your strategy must be treated as a living platform to be revisited and revitalized in order to effectively enable business decision making. Develop a reporting and analytics strategy that propels your organization by building it on business goals and objectives, as well as comprehensive assessments that quantitatively and qualitatively evaluate your current reporting and analytical capabilities.

      Phase 1: Understand the Business Context and BI Landscape Phase 2: Evaluate Your Current BI Practice Phase 3: Create a BI Roadmap for Continuous Improvement
      1.1 Establish the Business Context
      • Business Vision, Goals, Key Drivers
      • Business Case Presentation
      • High-Level ROI
      2.1 Assess Your Current BI Maturity
      • BI Practice Assessment
      • Summary of Current State
      3.1 Construct a BI Initiative Roadmap
      • BI Improvement Initiatives
      • RACI
      • BI Strategy and Roadmap
      1.2 Assess Existing BI Environment
      • BI Perception Survey Framework
      • Usage Analyses
      • BI Report Inventory
      2.2 Envision BI Future State
      • BI Style Requirements
      • BI Practice Assessment
      3.2 Plan for Continuous Improvement
      • Excel/Access Governance Policy
      • BI Ambassador Network Draft
      1.3 Develop BI Solution Requirements
      • Requirements Gathering Principles
      • Overall BI Requirements

      Stand on the shoulders of Information Management giants

      As part of our research process, we leveraged the frameworks of COBIT5, Mike 2.0, and DAMA DMBOK2. Contextualizing business intelligence within these frameworks clarifies its importance and role and ensures that our assessment tool is focused on key priority areas.

      The DMBOK2 Data Management framework by the Data Asset Management Association (DAMA) provided a starting point for our classification of the components in our IM framework.

      Mike 2.0 is a data management framework that helped guide the development of our framework through its core solutions and composite solutions.

      The Cobit 5 framework and its business enablers were used as a starting point for assessing the performance capabilities of the different components of information management, including business intelligence.

      Info-Tech has a series of deliverables to facilitate the evolution of your BI strategy

      BI Strategy Roadmap Template

      BI Practice Assessment Tool

      BI Initiatives and Roadmap Tool

      BI Strategy and Roadmap Executive Presentation Template

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit Guided Implementation Workshop Consulting
      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.” “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.” “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.” “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Build a Reporting and Analytics Strategy – Project Overview

      1. Understand the Business Context and BI Landscape 2. Evaluate the Current BI Practice 3. Create a BI Roadmap for Continuous Improvement
      Best-Practice Toolkit

      1.1 Document overall business vision, mission, industry drivers, and key objectives; assemble a project team

      1.2 Collect in-depth information around current BI usage and BI user perception

      1.3 Create requirements gathering principles and gather requirements for a BI platform

      2.1 Define current maturity level of BI practice

      2.2 Envision the future state of your BI practice and identify desired BI patterns

      3.1 Build overall BI improvement initiatives and create a BI improvement roadmap

      3.2 Identify supplementary initiatives for enhancing your BI program

      Guided Implementations
      • Discuss Info-Tech’s approach for using business information to drive BI strategy formation
      • Review business context and discuss approaches for conducting BI usage and user analyses
      • Discuss strategies for BI requirements gathering
      • Discuss BI maturity model
      • Review practice capability gaps and discuss potential BI patterns for future state
      • Discuss initiative building
      • Review completed roadmap and next steps
      Onsite Workshop Module 1:

      Establish Business Vision and Understand the Current BI Landscape

      Module 2:

      Evaluate Current BI Maturity Identify the BI Patterns for the Future State

      Module 3:

      Build Improvement Initiatives and Create a BI Development Roadmap

      Phase 1 Outcome:
      • Business context
      • Project team
      • BI usage information, user perception, and new BI requirements
      Phase 2 Outcome:
      • Current and future state assessment
      • Identified BI patterns
      Phase 3 Outcome:
      • BI improvement strategy and initiative roadmap

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information.

      Workshop Day 1 Workshop Day 2 Workshop Day 3 Workshop Day 4
      Activities

      Understand Business Context and Structure the Project

      1.1 Make the case for a BI strategy refresh.

      1.2 Understand business context.

      1.3 Determine high-level ROI.

      1.4 Structure the BI strategy refresh project.

      Understand Existing BI and Revisit Requirements

      2.1 Understand the usage of your existing BI.

      2.2 Gather perception of the current BI users.

      2.3 Document existing information artifacts.

      2.4 Develop a requirements gathering framework.

      2.5 Gather requirements.

      Revisit Requirements and Current Practice Assessment

      3.1 Gather requirements.

      3.2 Determine BI Maturity Level.

      3.3 Perform a SWOT for your existing BI program.

      3.4 Develop a current state summary.

      Roadmap Develop and Plan for Continuous Improvements

      5.1 Develop BI strategy.

      5.2 Develop a roadmap for the strategy.

      5.3 Plan for continuous improvement opportunities.

      5.4 Develop a re-strategy plan.

      Deliverables
      1. Business and BI Vision, Goals, Key Drivers
      2. Business Case Presentation
      3. High-Level ROI
      4. Project RACI
      1. BI Perception Survey
      2. BI Requirements Gathering Framework
      3. BI User Stories and Requirements
      1. BI User Stories and Requirements
      2. BI SWOT for your Current BI Program
      3. BI Maturity Level
      4. Current State Summary
      1. BI Strategy
      2. Roadmap accompanying the strategy with timeline
      3. A plan for improving BI
      4. Strategy plan

      Phase 2

      Understand the Business Context and BI Landscape

      Build a Reporting and Analytics Strategy

      Phase 1 overview

      Detailed Overview

      Step 1: Establish the business context in terms of business vision, mission, objectives, industry drivers, and business processes that can leverage Business Intelligence

      Step 2: Understand your BI Landscape

      Step 3: Understand business needs

      Outcomes

      • Clearly articulated high-level mission, vision, and key drivers from the business, as well as objectives related to business intelligence.
      • In-depth documentation regarding your organization’s BI usage, user perception, and outputs.
      • Consolidated list of requirements, existing and desired, that will direct the deployment of your BI solution.

      Benefits

      • Align business context and drivers with IT plans for BI and Analytics improvement.
      • Understand your current BI ecosystem’s performance.

      Understand your business context and BI landscape

      Phase 1 Overarching Insight

      The closer you align your new BI platform to real business interests, the stronger the buy-in, realized value, and groundswell of enthusiastic adoption will be. Get this phase right to realize a high ROI on your investment in the people, processes, and technology that will be your next generation BI platform.

      Understand the Business Context to Rationalize Your BI Landscape Evaluate Your Current BI Practice Create a BI Roadmap for Continuous Improvement
      Establish the Business Context
      • Business Vision, Goals, Key Drivers
      • Business Case Presentation
      • High-Level ROI
      Assess Your Current BI Maturity
      • SWOT Analysis
      • BI Practice Assessment
      • Summary of Current State
      Construct a BI Initiative Roadmap
      • BI Improvement Initiatives
      • BI Strategy and Roadmap
      Access Existing BI Environment
      • BI Perception Survey Framework
      • Usage Analyses
      • BI Report Inventory
      Envision BI Future State
      • BI Patterns
      • BI Practice Assessment
      • List of Functions
      Plan for Continuous Improvement
      • Excel Governance Policy
      • BI Ambassador Network Draft
      Undergo Requirements Gathering
      • Requirements Gathering Principles
      • Overall BI Requirements

      Track these metrics to measure your progress through Phase 1

      Goals for Phase 1:

      • Understand the business context. Determine if BI can be used to improve business outcomes by identifying benefits, costs, opportunities, and gaps.
      • Understand your existing BI. Plan your next generation BI based on a solid understanding of your existing BI.
      • Identify business needs. Determine the business processes that can leverage BI and Analytics.

      Info-Tech’s Suggested Metrics for Tracking Phase 1 Goals

      Practice Improvement Metrics Data Collection and Calculation Expected Improvement
      Monetary ROI
      • Quality of the ROI
      • # of user cases, benefits, and costs quantified
      Derive the number of the use cases, benefits, and costs in the scoping. Ask business SMEs to verify the quality. High-quality ROI studies are created for at least three use cases
      Response Rate of the BI Perception Survey Sourced from your survey delivery system Aim for 40% response rate
      # of BI Reworks Sourced from your project management system Reduction of 10% in BI reworks

      Intangible Metrics:

      1. Executives’ understanding of the BI program and what BI can do for the organization.
      2. Improved trust between IT and the business by re-opening the dialogue.
      3. Closer alignment with the organization strategy and business plan leading to higher value delivered.
      4. Increased business engagement and input into the Analytics strategy.

      Use advisory support to accelerate your completion of Phase 1 activities

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of two to three advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Understand the Business Context and BI Landscape

      Proposed Time to Completion: 2-4 weeks

      Step 1.0: Assemble Your Project Team

      Start with an analyst kick-off call:

      • Discuss Info-Tech’s viewpoint and definitions of business intelligence.
      • Discuss the project sponsorship, ideal team members and compositions.

      Then complete these activities…

      • Identify a project sponsor and the project team members.

      Step 1.1: Understand Your Business Context

      Start with an analyst kick-off call:

      • Discuss Info-Tech’s approach to BI strategy development around using business information as the key driver.

      Then complete these activities…

      • Detail the business context (vision, mission, goals, objectives, etc.).
      • Establish business–IT alignment for your BI strategy by detailing the business context.

      Step 1.2: Establish the Current BI Landscape

      Review findings with analyst:

      • Review the business context outputs from Step 1.1 activities.
      • Review Info-Tech’s approach for documenting your current BI landscape.
      • Review the findings of your BI landscape.

      Then complete these activities…

      • Gather information on current BI usage and perform a BI artifact inventory.
      • Construct and conduct a user perception survey.

      With these tools & templates:

      BI Strategy and Roadmap Template

      Step 1.0

      Assemble the Project Team

      Select a BI project sponsor

      Info-Tech recommends you select a senior executive with close ties to BI be the sponsor for this project (e.g. CDO, CFO or CMO). To maximize the chance of success, Info-Tech recommends you start with the CDO, CMO, CFO, or a business unit (BU) leader who represents strategic enterprise portfolios.

      Initial Sponsor

      CFO or Chief Risk Officer (CRO)

      • The CFO is responsible for key business metrics and cost control. BI is on the CFO’s radar as it can be used for both cost optimization and elimination of low-value activity costs.
      • The CRO is tasked with the need to identify, address, and when possible, exploit risk for business security and benefit.
      • Both of these roles are good initial sponsors but aren’t ideal for the long term.

      CDO or a Business Unit (BU) Leader

      • The CDO (Chief Data Officer) is responsible for enterprise-wide governance and utilization of information as an asset via data processing, analysis, data mining, information trading, and other means, and is the ideal sponsor.
      • BU leaders who represent a growth engine for a company look for ways to mine BI to help set direction.

      Ultimate Sponsor

      CEO

      • As a the primary driver of enterprise-wide strategy, the CEO is the ideal evangelist and project sponsor for your BI strategy.
      • Establishing a CEO–CIO partnership helps elevate IT to the level of a strategic partner, as opposed to the traditional view that IT’s only job is to “keep the lights on.”
      • An endorsement from the CEO may make other C-level executives more inclined to work with IT and have their business unit be the starting point for growing a BI program organically.

      "In the energy sector, achieving production KPIs are the key to financial success. The CFO is motivated to work with IT to create BI applications that drive higher revenue, identify operational bottlenecks, and maintain gross margin."

      – Yogi Schulz, Partner, Corvelle Consulting

      Select a BI project team

      Create a project team with the right skills, experience, and perspectives to develop a comprehensive strategy aligned to business needs.

      You may need to involve external experts as well as individuals within the organization who have the needed skills.

      A detailed understanding of what to look for in potential candidates is essential before moving forward with your BI project.

      Leverage several of Info-Tech’s Job Description Templates to aid in the process of selecting the right people to involve in constructing your BI strategy.

      Roles to Consider

      Business Stakeholders

      Business Intelligence Specialist

      Business Analyst

      Data Mining Specialist

      Data Warehouse Architect

      Enterprise Data Architect

      Data Steward

      "In developing the ideal BI team, your key person to have is a strong data architect, but you also need buy-in from the highest levels of the organization. Buy-in from different levels of the organization are indicators of success more than anything else."

      – Rob Anderson, Database Administrator and BI Manager, IT Research and Advisory Firm

      Create a RACI matrix to clearly define the roles and responsibilities for the parties involved

      A common project management pitfall for any endeavour is unclear definition of responsibilities amongst the individuals involved.

      As a business intelligence project requires a significant amount of back and forth between business and IT – bridged by the BI Steering Committee – clear guidelines at the project outset with a RACI chart provide a basic framework for assigning tasks and lines of communication for the later stages.

      Responsible Accountable Consulted Informed

      Obtaining Buy-in Project Charter Requirements Design Development Program Creation
      BI Steering Committee A C I I I C
      Project Sponsor - C I I I C
      Project Manager - R A I I C
      VP of BI R I I I I A
      CIO A I I I I R
      Business Analyst I I R C C C
      Solution Architect - - C A C C
      Data Architect - - C A C C
      BI Developer - - C C R C
      Data Steward - - C R C C
      Business SME C C C C C C

      Note: This RACI is an example of how role expectations would be broken down across the different steps of the project. Develop your own RACI based on project scope and participants.

      STEP 1.1

      Understand Your Business Context and Structure the Project

      Establish business–IT alignment for your BI strategy by detailing the business context

      Step Objectives

      • Engage the business units to find out where users need BI enablement.
      • Ideate preliminary points for improvement that will further business goals and calculate their value.

      Step Activities

      1.1.1 Craft the vision and mission statements for the Analytics program using the vision, mission, and strategies of your organization as basis.

      1.1.2 Articulate program goals and objectives

      1.1.3 Determine business differentiators and key drivers

      1.1.4 Brainstorm BI-specific constraints and improvement objectives

      Outcomes

      • Clearly articulated business context that will provide a starting point for formulating a BI strategy
      • High-level improvement objectives and ROI for the overall project
      • Vision, mission, and objectives of the analytics program

      Research Support

      • Info-Tech’s BI Strategy and Roadmap Template

      Proposed Participants in this Step

      • Project Manager
      • Project Team
      • Relevant Business Stakeholders and Subject Matter Experts

      Transform the way the business makes decisions

      Your BI strategy should enable the business to make fast, effective, and comprehensive decisions.

      Fast Effective Comprehensive
      Reduce time spent on decision-making by designing a BI strategy around information needs of key decision makers. Make the right data available to key decision makers. Make strategic high-value, impactful decisions as well as operational decisions.

      "We can improve BI environments in several ways. First, we can improve the speed with which we create BI objects by insisting that the environments are designed with flexibility and adaptability in mind. Second, we can produce higher quality deliverables by ensuring that IT collaborate with the business on every deliverable. Finally, we can reduce the costs of BI by giving access to the environment to knowledgeable business users and encouraging a self-service function."

      – Claudia Imhoff, Founder, Boulder BI Brain Trust, Intelligent Solutions Inc.

      Assess needs of various stakeholders using personas

      User groups/user personas

      Different users have different consumption and usage patterns. Categorize users into user groups and visualize the usage patterns. The user groups are the connection between the BI capabilities and the users.

      User groups Mindset Usage Pattern Requirements
      Front-line workers Get my job done; perform my job quickly. Reports (standard reports, prompted reports, etc.) Examples:
      • Report bursting
      • Prompted reports
      Analysts I have some ideas; I need data to validate and support my ideas. Dashboards, self-service BI, forecasting/budgeting, collaboration Examples:
      • Self-service datasets
      • Data mashup capability
      Management I need a big-picture view and yet I need to play around with the data to find trends to drive my business. Dashboards, scorecards, mobile BI, forecasting/budgeting Examples:
      • Multi-tab dashboards
      • Scorecard capability
      Data scientists I need to combine existing data, as well as external or new, unexplored data sources and types to find nuggets in the data. Data mashup, connections to data sources Examples:
      • Connectivity to big data
      • Social media analyses

      The pains of inadequate BI are felt across the entire organization – and land squarely on the shoulders of the CIO

      Organization:

      • Insufficient information to make decisions.
      • Unable to measure internal performance.
      • Losses incurred from bad decisions or delayed decisions.
      • Canned reports fail to uncover key insights.
      • Multiple versions of information exist in silos.

      IT Department

      • End users are completely dependent on IT for reports.
      • Ad hoc BI requests take time away from core duties.
      • Spreadsheet-driven BI is overly manual.
      • Business losing trust in IT.

      CIO

      • Under great pressure and has a strong desire to improve BI.
      • Ad hoc BI requests are consuming IT resources and funds.
      • My organization finds value in using data and having decision support to make informed decisions.

      The overarching question that needs to be continually asked to create an effective BI strategy is:

      How do I create an environment that makes information accessible and consumable to users, and facilitates a collaborative dialogue between the business and IT?

      Pre-requisites for success

      Prerequisite #1: Secure Executive Sponsorship

      Sponsorship of BI that is outside of IT and at the highest levels of the organization is essential to the success of your BI strategy. Without it, there is a high chance that your BI program will fail. Note that it may not be an epic fail, but it is a subtle drying out in many cases.

      Prerequisite #2: Understand Business Context

      Providing the right tools for business decision making doesn’t need to be a guessing game if the business context is laid as the project foundation and the most pressing decisions serve as starting points. And business is engaged in formulating and executing the strategy.

      Prerequisite #3: Deliver insights that lead to action

      Start with understanding the business processes and where analytics can improve outcomes. “Think business backwards, not data forward.” (McKinsey)

      11 reasons BI projects fail

      Lack of Executive support

      Old Technology

      Lack of business support

      Too many KPIs

      No methodology for gathering requirements

      Overly long project timeframes

      Bad user experience

      Lack of user adoption

      Bad data

      Lack of proper human resources

      No upfront definition of true ROI

      Mico Yuk, 2019

      Make it clear to the business that IT is committed to building and supporting a BI platform that is intimately tied to enabling changing business objectives.

      Leverage Info-Tech’s BI Strategy and Roadmap Template to accelerate BI planning

      How to accelerate BI planning using the template

      1. Prepopulated text that you can use for your strategy formulation:
      2. Prepopulated text that can be used for your strategy formulation
      3. Sample bullet points that you can pick and choose from:
      4. Sample bullet points to pick and choose from

      Document the BI program planning in Info-Tech’s

      BI Strategy and Roadmap Template.

      Activity: Describe your organization’s vision and mission

      1.1.1

      30-40 minutes

      Compelling vision and mission statements will help guide your internal members toward your company’s target state. These will drive your business intelligence strategy.

      1. Your vision clearly represents where your organization aspires to be in the future and aligns the entire organization. Write down a future-looking, inspirational, and realizable vision in one concise statement. Consider:
      • “Five years from now, our business will be _______.”
      • What do we want to do tomorrow? For whom? What is the benefit?
    • Your mission tells why your organization currently exists and clearly expresses how it will achieve your vision for the future. Write down a mission statement in one clear and concise paragraph consisting of, at most, five sentences. Consider:
      • Why does the business exist? What problems does it solve? Who are its customers?
      • How does the business accomplish strategic tasks or reach its target?
    • Reconvene stakeholders to share ideas and develop one concise vision statement and mission statement. Focus on clarity and message over wording.
    • Input

      • Business vision and mission statements

      Output

      • Alignment and understanding on business vision

      Materials

      Participants

      • BI project lead
      • Executive business stakeholders

      Info-Tech Insight

      Adjust your statements until you feel that you can elicit a firm understanding of both your vision and mission in three minutes or less.

      Formulating an Enterprise BI and Analytics Strategy: Top-down BI Opportunity analysis

      Top-down BI Opportunity analysis

      Example of deriving BI opportunities using BI Opportunity Analysis

      Industry Drivers Private label Rising input prices Retail consolidation
      Company strategies Win at supply chain execution Win at customer service Expand gross margins
      Value disciplines Strategic cost management Operational excellence Customer service
      Core processes Purchasing Inbound logistics Sales, service & distribution
      Enterprise management: Planning, budgeting, control, process improvement, HR
      BI Opportunities Customer service analysis Cost and financial analysis Demand management

      Williams 2016

      Get your organization buzzing about BI – leverage Info-Tech’s Executive Brief as an internal marketing tool

      Two key tasks of a project sponsor are to:

      1. Evangelize the realizable benefits of investing in a business intelligence strategy.
      2. Help to shift the corporate culture to one that places emphasis on data-driven insight.

      Arm your project sponsor with our Executive Brief for this blueprint as a quick way to convey the value of this project to potential stakeholders.

      Bolster this presentation by adding use cases and metrics that are most relevant to your organization.

      Develop a business framework

      Identifying organizational goals and how data can support those goals is key to creating a successful BI & Analytical strategy. Rounding out the business model with technology drivers, environmental factors (as described in previous steps), and internal barriers and enablers creates a holistic view of Business Intelligence within the context of the organization as a whole.

      Through business engagement and contribution, the following holistic model can be created to understand the needs of the business.

      business framework holistic model

      Activity: Describe the Industry Drivers and Organization strategy to mitigate the risk

      1.1.2

      30-45 minutes

      Industry drivers are external influencers that has an effect on a business such as economic conditions, competitor actions, trade relations, climate etc. These drivers can differ significantly by industry and even organizations within the same industry.

      1. List the industry drivers that influences your organization:
      • Public sentiment in regards to energy source
      • Rising cost of raw materials due to increase demand
    • List the company strategies, goals, objectives to counteract the external influencers:
      • Change production process to become more energy efficient
      • Win at customer service
    • Identify the value disciplines :
      • Strategic cost management
      • Operational Excellence
    • List the core process that implements the value disciplines :
      • Purchasing
      • Sales
    • Identify the BI Opportunities:
      • Cost and financial analysis
      • Customer service analysis

      Input

      • Industry drivers

      Output

      • BI Opportunities that business can leverage

      Materials

      • Industry driver section in the BI Strategy and Roadmap Template

      Participants

      • BI project lead
      • Executive business stakeholders

      Understand BI and analytics drivers and organizational objectives

      Environmental Factors Organizational Goals Business Needs Technology Drivers
      Definition External considerations are factors taking place outside the organization that are impacting the way business is conducted inside the organization. These are often outside the control of the business. Organizational drivers can be thought of as business-level metrics. These are tangible benefits the business can measure, such as customer retention, operation excellence, and/or financial performance. A requirement that specifies the behavior and the functions of a system. Technology drivers are technological changes that have created the need for a new BI solution. Many organizations turn to technology systems to help them obtain a competitive edge.
      Examples
      • Economy and politics
      • Laws and regulations
      • Competitive influencers
      • Time to market
      • Quality
      • Delivery reliability
      • Audit tracking
      • Authorization levels
      • Business rules
      • Deployment in the cloud
      • Integration
      • Reporting capabilities

      Activity: Discuss BI/Analytics drivers and organizational objectives

      1.1.3

      30-45 minutes

      1. Use the industry drivers and business goals identified in activity 1.1.2 as a starting point.
      2. Understand how the company runs today and what the organization’s future will look like. Try to identify the purpose for becoming an integrated organization. Use a whiteboard and markers to capture key findings.
      3. Take into account External Considerations, Organizational Drivers, Technology Drivers, and Key Functional Requirements.
      External Considerations Organizational Drivers Technology Considerations Functional Requirements
      • Funding Constraints
      • Regulations
      • Compliance
      • Scalability
      • Operational Efficiency
      • Data Accuracy
      • Data Quality
      • Better Reporting
      • Information Availability
      • Integration Between Systems
      • Secure Data

      Identify challenges and barriers to the BI project

      There are several factors that may stifle the success of a BI implementation. Scan the current environment to identify internal barriers and challenges to identify potential challenges so you can meet them head-on.

      Common Internal Barriers

      Management Support
      Organizational Culture
      Organizational Structure
      IT Readiness
      Definition The degree of management understanding and acceptance towards BI solutions. The collective shared values and beliefs. The functional relationships between people and departments in an organization. The degree to which the organization’s people and processes are prepared for a new BI solution.
      Questions
      • Is a BI project recognized as a top priority?
      • Will management commit time to the project?
      • Are employees resistant to change?
      • Is the organization highly individualized?
      • Is the organization centralized?
      • Is the organization highly formalized?
      • Is there strong technical expertise?
      • Is there strong infrastructure?
      Impact
      • Funding
      • Resources
      • Knowledge sharing
      • User acceptance
      • Flow of knowledge
      • Poor implementation
      • Reliance on consultants

      Activity: Discuss BI/Analytics challenges and pain points

      1.1.4

      30-45 minutes

      1. Identify challenges with the process identified in step 1.1.2.
      2. Brainstorm potential barriers to successful BI implementation and adoption. Use a whiteboard and marker to capture key findings.
      3. Consider Functional Gaps, Technical Gaps, Process Gaps, and Barriers to BI Success.
      Functional Gaps Technical Gaps Process Gaps Barriers to Success
      • No online purchase order requisition
      • Inconsistent reporting – data quality concerns
      • Duplication of data
      • Lack of system integration
      • Cultural mindset
      • Resistance to change
      • Lack of training
      • Funding

      Activity: Discuss opportunities and benefits

      1.1.5

      30-45 minutes

      1. Identify opportunities and benefits from an integrated system.
      2. Brainstorm potential enablers for successful BI implementation and adoption. Use a whiteboard and markers to capture key findings.
      3. Consider Business Benefits, IT Benefits, Organizational Benefits, and Enablers of BI success.
      Business Benefits IT Benefits Organizational Benefits Enablers of Success
      • Business-IT alignment
      • Compliance
      • Scalability
      • Operational Efficiency
      • Data Accuracy
      • Data Quality
      • Better Reporting
      • Change management
      • Training
      • Alignment to strategic objectives

      Your organization’s framework for Business Intelligence Strategy

      Blank organization framework for Business Intelligence Strategy

      Example: Business Framework for Data & Analytics Strategy

      The following diagram represents [Client]’s business model for BI and data. This holistic view of [Client]’s current environment serves as the basis for the generation of the business-aligned Data & Analytics Strategy.

      The image is an example of Business Framework for Data & Analytics Strategy.

      Info-Tech recommends balancing a top-down approach with bottom up for building your BI strateg

      Taking a top-down approach will ensure senior management’s involvement and support throughout the project. This ensures that the most critical decisions are supported by the right data/information, aligning the entire organization with the BI strategy. Furthermore, the gains from BI will be much more significant and visible to the rest of the organization.

      Two charts showing the top-down and bottom-up approach.

      Far too often, organizations taking a bottom-up approach to BI will fail to generate sufficient buy-in and awareness from senior management. Not only does a lack of senior involvement result in lower adoption from the tactical and operational levels, but more importantly, it also means that the strategic decision makers aren’t taking advantage of BI.

      Estimate the ROI of your BI and analytics strategy to secure executive support

      The value of creating a new strategy – or revamping an existing one – needs to be conveyed effectively to a high-level stakeholder, ideally a C-level executive. That executive buy-in is more likely to be acquired when effort has been made to determine the return on investment for the overall initiative.

      1. Business Impacts
        New revenue
        Cost savings
        Time to market
        Internal Benefits
        Productivity gain
        Process optimization
        Investment
        People – employees’ time, external resources
        Data – cost for new datasets
        Technology – cost for new technologies
      2. QuantifyCan you put a number or a percentage to the impacts and benefits? QuantifyCan you estimate the investments you need to put in?
      3. TranslateTranslate the quantities into dollar value
      4. The image depicts an equation for ROI estimate

      Example

      One percent increase in revenue; three more employees $225,000/yr, $150,000/yr 50%

      Activity: Establish a high-level ROI as part of an overall use case for developing a fit-for-purpose BI strategy

      1.1.6

      1.5 hours

      Communicating an ROI that is impactful and reasonable is essential for locking in executive-level support for any initiative. Use this activity as an initial touchpoint to bring business and IT perspectives as part of building a robust business case for developing your BI strategy.

      1. Revisit the business context detailed in the previous sections of this phase. Use priority objectives to identify use case(s), ideally where there are easily defined revenue generators/cost reductions (e.g. streamlining the process of mailing physical marketing materials to customers).
      2. Assign research tasks around establishing concrete numbers and dollar values.
      • Have a subject matter expert weigh in to validate your figures.
      • When calculating ROI, consider how you might leverage BI to create opportunities for upsell, cross-sell, or increased customer retention.
    • Reconvene the stakeholder group and discuss your findings.
      • This is the point where expectation management is important. Separate the need-to-haves from the nice-to-haves.

      Emphasize that ROI is not fully realized after the first implementation, but comes as the platform is built upon iteratively and in an integrated fashion to mature capabilities over time.

      Input

      • Vision statement
      • Mission statement

      Output

      • Business differentiators and key drivers

      Materials

      • Benefit Cost Analysis section of the BI Strategy and Roadmap Template

      Participants

      • BI project lead
      • Executive IT & business stakeholders

      An effective BI strategy positions business intelligence in the larger data lifecycle

      In an effort to keep users satisfied, many organizations rush into implementing a BI platform and generating reports for their business users. BI is, first and foremost, a presentation layer; there are several stages in the data lifecycle where the data that BI visualizes can be compromised.

      Without paying the appropriate amount of attention to the underlying data architecture and application integration, even the most sophisticated BI platforms will fall short of providing business users with a holistic view of company information.

      Example

      In moving away from single application-level reporting, a strategy around data integration practices and technology is necessary before the resultant data can be passed to the BI platform for additional analyses and visualization.

      BI doesn’t exist in a vacuum – develop an awareness of other key data management practices

      As business intelligence is primarily a presentation layer that allows business users to visualize data and turn information into actionable decisions, there are a number of data management practices that precede BI in the flow of data.

      Data Warehousing

      The data warehouse structures source data in a manner that is more operationally focused. The Reporting & Analytics Strategy must inform the warehouse strategy on data needs and building a data warehouse to meet those needs.

      Data Integration, MDM & RDM

      The data warehouse is built from different sources that must be integrated and normalized to enable Business Intelligence. The Info-Tech integration and MDM blueprints will guide with their implementation.

      Data Quality

      A major roadblock to building an effective BI solution is a lack of accurate, timely, consistent, and relevant data. Use Info-Tech’s blueprint to refine your approach to data quality management.

      Data quality, poor integration/P2P integration, poor data architecture are the primary barriers to truly leveraging BI, and a lot of companies haven’t gotten better in these areas.

      – Shari Lava, Associate Vice-President, IT Research and Advisory Firm

      Building consensus around data definitions across business units is a critical step in carrying out a BI strategy

      Business intelligence is heavily reliant on the ability of an organization to mesh data from different sources together and create a holistic and accurate source of truth for users.

      Useful analytics cannot be conducted if your business units define key business terms differently.

      Example

      Finance may label customers as those who have transactional records with the organization, but Marketing includes leads who have not yet had any transactions as customers. Neglecting to note these seemingly small discrepancies in data definition will undermine efforts to combine data assets from traditionally siloed functional units.

      In the stages prior to implementing any kind of BI platform, a top priority should be establishing common definitions for key business terms (customers, products, accounts, prospects, contacts, product groups, etc.).

      As a preliminary step, document different definitions for the same business terms so that business users are aware of these differences before attempting to combine data to create custom reports.

      Self-Assessment

      Do you have common definitions of business terms?

      • If not, identify common business terms.
      • At the very least, document different definitions of the same business terms so the corporate can compare and contrast them.

      STEP 1.2

      Assess the Current BI Landscape

      Establish an in-depth understanding of your current BI landscape

      Step Objectives

      • Inventory and assess the state of your current BI landscape
      • Document the artifacts of your BI environment

      Step Activities

      1.2.1 Analyze the usage levels of your current BI programs/platform

      1.2.2 Perform a survey to gather user perception of your current BI environment

      1.2.3 Take an inventory of your current BI artifacts

      Outcomes

      • Summarize the qualitative and quantitative performance of your existing BI environment
      • Understand the outputs coming from your BI sources

      Research Support

      • Info-Tech’s BI Strategy and Roadmap Template

      Project Manager

      Data Architect(s) or Enterprise Architect

      Project Team

      Understand your current BI landscape before you rationalize

      Relying too heavily on technology as the sole way to solve BI problems results in a more complex environment that will ultimately frustrate business users. Take the time to thoroughly assess the current state of your business intelligence landscape using a qualitative (user perception) and quantitative (usage statistics) approach. The insights and gaps identified in this step will serve as building blocks for strategy and roadmap development in later phases.

      Phase 1

      Current State Summary of BI Landscape

      1.2.1 1.2.2 1.2.3 1.2.4
      Usage Insights Perception Insights BI Inventory Insights Requirements Insights

      PHASE 2

      Strategy and Roadmap Formulation

      Gather usage insights to pinpoint the hot spots for BI usage amongst your users

      Usage data reflects the consumption patterns of end users. By reviewing usage data, you can identify aspects of your BI program that are popular and those that are underutilized. It may present some opportunities for trimming some of the underutilized content.

      Benefits of analyzing usage data:

      • Usage is a proxy for popularity and usability of the BI artifacts. The popular content should be kept and improved in your next generation BI.
      • Usage information provides insight on what, when, where, and how much users are consuming BI artifacts.
      • Unlike methods such as user interviews and focus groups, usage information is fact based and is not subject to peer pressure or “toning down.”

      Sample Sources of Usage Data:

      1. Usage reports from your BI platform Many BI platforms have out-of-the-box usage reports that log and summarize usage data. This is your ideal source for usage data.
      2. Administrator console in your BI platformBI platforms usually have an administrator console that allows BI administrators to configure settings and to monitor activities that include usage. You may obtain some usage data in the console. Note that the usage data is usually real-time in nature, and you may not have access to a historical view of the BI usage.

      Info-Tech Insight

      Don’t forget some of the power users. They may perform analytics by accessing datasets directly or with the help of a query tool (even straight SQL statements). Their usage information is important. The next generation BI should provide consumption options for them.

      Accelerate the process of gathering user feedback with Info-Tech’s Application Portfolio Assessment (APA)

      In an environment where multiple BI tools are being used, discovering what works for users and what doesn’t is an important first step to rationalizing the BI landscape.

      Info-Tech’s Application Portfolio Assessment allows you to create a custom survey based on your current applications, generate a custom report that will help you visualize user satisfaction levels, and pinpoint areas for improvement.

      Activity: Review and analyze usage data

      1.2.1

      2 hours

      This activity helps you to locate usage data in your existing environment. It also helps you to review and analyze usage data to come up with a few findings.

      1. Get to the usage source. You may obtain usage data from one of the below options. Usage reports are your ideal choice, followed by some alternative options:
      2. a. Administrator console – limited to real-time or daily usage data. You may need to track usage data over for several days to identify patterns.

        b. Info-Tech’s Application Portfolio Assessment (APA).

        c. Other – be creative. Some may use an IT usage monitoring system or web analytics to track time users spent on the BI portal.

      3. Develop categories for classifying the different sources of usage data in your current BI environment. Use the following table as starting point for creating these groups:

      This is the content for Layout H4 Tag

      By Frequency Real Time Daily Weekly Yearly
      By Presentation Format Report Dashboard Alert Scorecard
      By Delivery Web portal Excel PDF Mobile application

      INPUT

      • Usage reports
      • Usage statistics

      OUTPUT

      • Insights pertaining to usage patterns

      Materials

      • Usage Insights of the BI Strategy and Roadmap Template

      Participants

      • BA
      • BI Administrator
      • PM

      Activity: Review and analyze usage (cont.)

      1.2.1

      2 hours

      3. Sort your collection of BI artifacts by usage. Discuss some of the reasons why some content is popular whereas some has no usage at all.

      Popular BI Artifacts – Discuss improvements, opportunities and new artifacts

      Unpopular BI Artifacts – Discuss retirement, improvements, and realigning information needs

      4. Summarize your findings in the Usage Insights section of the BI Strategy and Roadmap Template.

      INPUT

      • Usage reports
      • Usage statistics

      OUTPUT

      • Insights pertaining to usage patterns

      Materials

      • Usage Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA
      • BI Administrator
      • PM

      Gather perception to understand the existing BI users

      In 1.2.1, we gathered the statistics for BI usage; it’s the hard data telling who uses what. However, it does not tell you the rationale, or the why, behind the usage. Gathering user perception and having conversations with your BI consumers is the key to bridging the gap.

      User Perception Survey

      Helps you to:

      1. Get general insights on user perception
      2. Narrow down to selected areas

      User Interviews

      Perception can be gathered by user interviews and surveys. Conducting user interviews takes time so it is a good practice to get some primary insights via survey before doing in-depth interviews in selected areas.

      – Shari Lava, Associate Vice-President, IT Research and Advisory Firm

      Define problem statements to create proof-of-concept initiatives

      Info-Tech’s Four Column Model of Data Flow

      Find a data-related problem or opportunity

      Ask open-ended discovery questions about stakeholder fears, hopes, and frustrations to identify a data-related problem that is clear, contained, and fixable. This is then to be written as a problem/opportunity statement.

      1. Fear: What is the number one risk you need to alleviate?
      2. Hope: What is the number one opportunity you wish to realize?
      3. Frustration: What is the number one annoying pet peeve you wish to scratch?
      4. Next, gather information to support a problem/opportunity statement:

      5. What are your challenges in performing the activity or process today?
      6. What does amazing look like if we solve this perfectly?
      7. What other business activities/processes will be impacted/improved if we solve this?
      8. What compliance/regulatory/policy concerns do we need to consider in any solution?
      9. What measures of success/change should we use to prove value of the effort (KPIs/ROI)?
      10. What are the steps in the process/activity?
      11. What are the applications/systems used at each step and from step to step?
      12. What data elements are created, used, and/or transformed at each step?

      Leverage Info-Tech’s BI survey framework to initiate a 360° perception survey

      Info-Tech has developed a BI survey framework to help existing BI practices gather user perception via survey. The framework is built upon best practices developed by McLean & Company.

      1. Communicate the survey
      2. Create a survey
      3. Conduct the survey
      4. Collect and clean survey data
      5. Analyze survey data
      6. Conduct follow-up interviews
      7. Identify and prioritize improvement initiatives

      The survey takes a comprehensive approach by examining your existing BI practices through the following lenses:

      360° Perception

      Demographics Who are the users? From which department?
      Usage How is the current BI being used?
      People Web portal
      Process How good is your BI team from a user perspective?
      Data How good is the BI data in terms of quality and usability?
      Technology How good are your existing BI/reporting tools?
      Textual Feedback The sky’s the limit. Tell us your comments and ideas via open-ended questions.

      Use Info-Tech’s BI End-User Satisfaction Survey Framework to develop a comprehensive BI survey tailored to your organization.

      Activity: Develop a plan to gather user perception of your current BI program

      1.2.2

      2 hours

      This activity helps you to plan for a BI perception survey and subsequent interviews.

      1. Proper communication while conducting surveys helps to boost response rate. The project team should have a meeting with business executives to decide:
      • The survey goals
      • Which areas to cover
      • Which trends and hypotheses you want to confirm
      • Which pre-, during, and post-survey communications should be sent out
    • Have the project team create the first draft of the survey for subsequent review by select business stakeholders. Several iterations may be needed before finalizing.
    • In planning for the conclusion of the survey, the project team should engage a data analyst to:
      1. Organize the data in a useful format
      2. Clean up the survey data when there are gaps
      3. Summarize the data into a presentable/distributable format

      Collectively, the project team and the BI consuming departments should review the presentation and discuss these items:

      Misalignment

      Opportunities

      Inefficiencies

      Trends

      Need detailed interviews?

      INPUT

      • Usage information and analyses

      OUTPUT

      • User-perception survey

      Materials

      • Perception Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA
      • BI Administrator
      • PM
      • Business SMEs

      Create a comprehensive inventory of your BI artifacts

      Taking an inventory of your BI artifacts allows you to understand what deliverables have been developed over the years. Inventory taking should go beyond the BI content. You may want to include additional information products such as Excel spreadsheets, reports that are coming out of an Access database, and reports that are generated from front-end applications (e.g. Salesforce).

      1. Existing Reports from BI platform

      2. If you are currently using a BI platform, you have some BI artifacts (reports, scorecards, dashboards) that are developed within the platform itself.

      • BI Usage Reports (refer to step 2.1) – if you are getting a comprehensive BI usage reports for all your BI artifacts, there is your inventory report too.
      • BI Inventory Reports – Your BI platform may provide out-of-the-box inventory reports. You can use them as your inventory.
      • If the above options are not feasible, you may need to manually create the BI inventory. You may build that from some of your existing BI documentations to save time.
    • Excel and Access

      • Work with the business units to identify if Excel and Access are used to generate reports.
    • Application Reports

      • Data applications such as Salesforce, CRM, and ERP often provide reports as an out-of-the-box feature.
      • Those reports only include data within their respective applications. However, this may present opportunities for integrating application data with additional data sources.

      Activity: Inventory your BI artifacts

      1.2.3

      2+ hours

      This activity helps you to inventory your BI information artifacts and other related information artifacts.

      1. Define the scope of your inventory. Work with the project sponsor and CIO to define which sources should be captured in the inventory process. Consider: BI inventory, Excel spreadsheets, Access reports, and application reporting.
      2. Define the depth of your inventory. Work with the project sponsor and CIO to define the level of granularity. In some settings, the artifact name and a short description may be sufficient. In other cases, you may need to document users and business logic of the artifacts.
      3. Review the inventory results. Discuss findings and opportunities around the following areas:

      Interpret your Inventory

      Duplicated reports/ dashboards Similar reports/ dashboards that may be able to merge Excel and Access reports that are using undocumented, unconventional business logics Application reports that need to be enhanced by additional data Classify artifacts by BI Type

      INPUT

      • Current BI artifacts and documents
      • BI Type classification

      OUTPUT

      • Summary of BI artifacts

      Materials

      • BI Inventory Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA
      • Data analyst
      • PM
      • Project sponsor

      Project sponsor

      1.2.4

      2+ hours

      This activity helps you to inventory your BI by report type.

      1. Classify BI artifacts by type. Use the BI Type tool to classify Work with the project sponsor and CIO to define which sources should be captured in the inventory process. Consider: BI inventory, Excel spreadsheets, Access reports, and application reporting.
      2. Define the depth of your inventory. Work with the project sponsor and CIO to define the level of granularity. In some settings, the artifact name and a short description may be sufficient. In other cases, you may need to document users and business logic of the artifacts.
      3. Review the inventory results. Discuss findings and opportunities around the following areas:

      Interpretation of your Inventory

      Duplicated reports/dashboards Similar reports/dashboards that may be able to merge Excel and Access reports that are using undocumented, unconventional business logics Application reports that need to be enhanced by additional data

      INPUT

      • The BI Type as used by different business units
      • Business BI requirements

      OUTPUT

      • Summary of BI type usage across the organization

      Materials

      • BI Inventory Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA
      • Data analyst
      • PM
      • Project sponsor

      STEP 1.3

      Undergo BI Requirements Gathering

      Perform requirements gathering for revamping your BI environment

      Step Objectives

      • Create principles that will direct effective requirements gathering
      • Create a list of existing and desired BI requirements

      Step Activities

      1.3.1 Create requirements gathering principles

      1.3.2 Gather appropriate requirements

      1.3.3 Organize and consolidate the outputs of requirements gathering activities

      Outcomes

      • Requirements gathering principles that are flexible and repeatable
      • List of BI requirements

      Research Support

      • Info-Tech’s BI Strategy and Roadmap Template

      Proposed Participants in this Step

      Project Manager

      Data Architect(s) or Enterprise Architect

      Project Team

      Business Users

      Don’t let your new BI platform become a victim of poor requirements gathering

      The challenges in requirements management often have underlying causes; find and eliminate the root causes rather than focusing on the symptoms.

      Root Causes of Poor Requirements Gathering:

      • Requirements gathering procedures exist but aren’t followed.
      • There isn't enough time allocated to the requirements gathering phase.
      • There isn't enough involvement or investment secured from business partners.
      • There is no senior leadership involvement or mandate to fix requirements gathering.
      • There are inadequate efforts put towards obtaining and enforcing sign off.

      Outcomes of Poor Requirements Gathering:

      • Rework due to poor requirements leads to costly overruns.
      • Final deliverables are of poor quality and are implemented late.
      • Predicted gains from deployed applications are not realized.
      • There are low feature utilization rates by end users.
      • Teams are frustrated within IT and the business.

      Info-Tech Insight

      Requirements gathering is the number one failure point for most development or procurement projects that don’t deliver value. This has been, and continues to be, the case as most organizations still don't get requirements gathering right. Overcoming organizational cynicism can be a major obstacle to clear when it is time to optimize the requirements gathering process.

      Define the attributes of a good requirement to help shape your requirements gathering principles

      A good requirement has the following attributes:

      Verifiable It is stated in a way that can be tested.
      Unambiguous It is free of subjective terms and can only be interpreted in one way.
      Complete It contains all relevant information.
      Consistent It does not conflict with other requirements.
      Achievable It is possible to accomplish given the budgetary and technological constraints.
      Traceable It can be tracked from inception to testing.
      Unitary It addresses only one thing and cannot be deconstructed into multiple requirements.
      Accurate It is based on proven facts and correct information.

      Other Considerations

      Organizations can also track a requirement owner, rationale, priority level (must have vs. nice to have), and current status (approved, tested, etc.).

      Info-Tech Insight

      Requirements must be solution agnostic – they should focus on the underlying need rather than the technology required to satisfy the need.

      Activity: Define requirements gathering principles

      1.3.1

      1 hour

      1. Invite representatives from the project management office, project management team, and BA team, as well as some key business stakeholders.
      2. Use the sample categories and principles in the table below as starting points for creating your own requirements gathering principles.
      3. Document the requirements gathering principles in the BI Strategy and Roadmap Template.
      4. Communicate the requirements gathering principles to the affected BI stakeholders.

      Sample Principles to Start With

      Effectiveness Face-to-face interviews are preferred over phone interviews.
      Alignment Clarify any misalignments, even the tiniest ones.
      Validation Rephrase requirements at the end to validate requirements.
      Ideation Use drawings and charts to explain ideas.
      Demonstration Make use of Joint Application Development (JAD) sessions.

      INPUT

      • Existing requirement principles (if any)

      OUTPUT

      • Requirements gathering principles that can be revisited and reused

      Materials

      • Requirements Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA Team
      • PM
      • Business stakeholders
      • PMO

      Info-Tech Insight

      Turn requirements gathering principles into house rules. The house rules should be available in every single requirements gathering session and the participants should revisit them when there are disagreements, confusion, or silence.

      Right-size your approach to BI requirements management

      Info-Tech suggests four requirements management approaches based on project complexity and business significance. BI projects usually require the Strategic Approach in requirements management.

      Requirements Management Process Explanations

      Approach Definition Recommended Strategy
      Strategic Approach High business significance and high project complexity merits a significant investment of time and resources in requirements gathering. Treat the requirements gathering phase as a project within a project. A large amount of time should be dedicated to elicitation, business process mapping, and solution design.
      Fundamental Approach High business significance and low project complexity merits a heavy emphasis on the elicitation phase to ensure that the project bases are covered and business value is realized. Look to achieve quick wins and try to survey a broad cross-section of stakeholders during elicitation and validation. The elicitation phase should be highly iterative. Do not over-complicate the analysis and validation of a straightforward project.
      Calculated Approach Low business significance and high project complexity merits a heavy emphasis on the analysis and validation phases to ensure that the solution meets the needs of users. Allocate a significant amount of time to business process modeling, requirements categorization, prioritization, and solution modeling.
      Elementary Approach Low business significance and low project complexity does not merit a high amount of rigor for requirements gathering. Do not rush or skip steps, but aim to be efficient. Focus on basic elicitation techniques (e.g. unstructured interviews, open-ended surveys) and consider capturing requirements as user stories. Focus on efficiency to prevent project delays and avoid squandering resources.

      Vary the modes used in eliciting requirements from your user base

      Requirements Gathering Modes

      Info-Tech has identified four effective requirements gathering modes. During the requirements gathering process, you may need to switch between the four gathering modes to establish a thorough understanding of the information needs.

      Dream Mode

      • Mentality: Let users’ imaginations go wild. The sky’s the limit.
      • How it works: Ask users to dream up the ideal future state and ask how analytics can support those dreams.
      • Limitations: Not all dreams can be fulfilled. A variety of constraints (budget, personnel, technical skills) may prevent the dreams from becoming reality.

      Pain Mode

      • Mentality: Users are currently experiencing pains related to information needs.
      • How it works: Vent the pains. Allow end users to share their information pains, ask them how their pains can be relieved, then convert those pains to requirements.
      • Limitations: Users are limited by the current situation and aren’t looking to innovate.

      Decode Mode

      • Mentality: Read the hidden messages from users. Speculate as to what the users really want.
      • How it works: Decode the underlying messages. Be innovative to develop hypotheses and then validate with the users.
      • Limitations: Speculations and hypothesis could be invalid. They may direct the users into some pre-determined directions.

      Profile Mode

      • Mentality: “I think you may want XYZ because you fall into that profile.”
      • How it works: The information user may fall into some existing user group profile or their information needs may be similar to some existing users.
      • Limitations: This mode doesn’t address very specific needs.

      Supplement BI requirements with user stories and prototyping to ensure BI is fit for purpose

      BI is a continually evolving program. BI artifacts that were developed in the past may not be relevant to the business anymore due to changes in the business and information usage. Revamping your BI program entails revisiting some of the BI requirements and/or gathering new BI requirements.

      Three-Step Process for Gathering Requirements

      Requirements User Stories Rapid Prototyping
      Gather requirements. Most importantly, understand the business needs and wants. Leverage user stories to organize and make sense of the requirements. Use a prototype to confirm requirements and show the initial draft to end users.

      Pain Mode: “I can’t access and manipulate data on my own...”

      Decode Mode: Dig deeper: could this hint at a self-service use case?

      Dream Mode: E.g. a sandbox area where I can play around with clean, integrated, well-represented data.

      Profile Mode: E.g. another marketing analyst is currently using something similar.

      ExampleMary has a spreadmart that keeps track of all campaigns. Maintaining and executing that spreadmart is time consuming.

      Mary is asking for a mash-up data set that she can pivot on her own…

      Upon reviewing the data and the prototype, Mary decided to use a heat map and included two more data points – tenure and lifetime value.

      Identify which BI styles best meet user requirements

      A spectrum of Business Intelligence solutions styles are available. Use Info-Tech’s BI Styles Tool to assess which business stakeholder will be best served by which style.

      Style Description Strategic Importance (1-5) Popularity (1-5) Effort (1-5)
      Standards Preformatted reports Standard, preformatted information for backward-looking analysis. 5 5 1
      User-defined analyses Pre-staged information where “pick lists” enable business users to filter (select) the information they wish to analyze, such as sales for a selected region during a selected previous timeframe. 5 4 2
      Ad-hoc analyses Power users write their own queries to extract self-selected pre-staged information and then use the information to perform a user-created analysis. 5 4 3
      Scorecards and dashboards Predefined business performance metrics about performance variables that are important to the organization, presented in a tabular or graphical format that enables business users to see at a glance how the organization is performing. 4 4 3
      Multidimensional analysis (OLAP) Multidimensional analysis (also known as on-line analytical processing): Flexible tool-based, user-defined analysis of business performance and the underlying drivers or root causes of that performance. 4 3 3
      Alerts Predefined analyses of key business performance variables, comparison to a performance standard or range, and communication to designated businesspeople when performance is outside the predefined performance standard or range. 4 3 3
      Advanced Analytics Application of long-established statistical and/or operations research methods to historical business information to look backward and characterize a relevant aspect of business performance, typically by using descriptive statistics. 5 3 4
      Predictive Analytics Application of long-established statistical and/or operations research methods and historical business information to predict, model, or simulate future business and/or economic performance and potentially prescribe a favored course of action for the future. 5 3 5

      Activity: Gather BI requirements

      1.3.2

      2-6 hours

      Using the approaches discussed on previous slides, start a dialogue with business users to confirm existing requirements and develop new ones.

      1. Invite business stakeholders to a requirements gathering session.
      2. For existing BI artifacts – Invite existing users of those artifacts.

        For new BI development – Invite stakeholders at the executive level to understand the business operation and their needs and wants. This is especially important if their department is new to BI.

      3. Discuss the business requirements. Systematically switch between the four requirements gathering modes to get a holistic view of the requirements.
      4. Once requirements are gathered, organize them to tell a story. A story usually has these components:
      The Setting The Characters The Venues The Activities The Future
      Example Customers are asking for a bundle discount. CMO and the marketing analysts want to… …the information should be available in the portal, mobile, and Excel. …information is then used in the bi-weekly pricing meeting to discuss… …bundle information should contain historical data in a graphical format to help executives.

      INPUT

      • Existing documentations on BI artifacts

      OUTPUT

      • Preliminary, uncategorized list of BI requirements

      Materials

      • Requirements Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA team
      • Business stakeholders
      • Business SMEs
      • BI developers

      Clarify consumer needs by categorizing BI requirements

      Requirements are too broad in some situations and too detailed in others. In the previous step we developed user stories to provide context. Now you need to define requirement categories and gather detailed requirements.

      Considerations for Requirement Categories

      Category Subcategory Sample Requirements
      Data Granularity Individual transaction
      Transformation Transform activation date to YYYY-MM format
      Selection Criteria Client type: consumer. Exclude SMB and business clients. US only. Recent three years
      Fields Required Consumer band, Region, Submarket…
      Functionality Filters Filters required on the dashboard: date range filter, region filter…
      Drill Down Path Drill down from a summary report to individual transactions
      Analysis Required Cross-tab, time series, pie chart
      Visual Requirements Mock-up See attached drawing
      Section The dashboard will be presented using three sections
      Conditional Formatting Below-average numbers are highlighted
      Security Mobile The dashboard needs to be accessed from mobile devices
      Role Regional managers will get a subset of the dashboard according to the region
      Users John, Mary, Tom, Bob, and Dave
      Export Dashboard data cannot be exported into PDF, text, or Excel formats
      Performance Speed A BI artifact must be loaded in three seconds
      Latency Two seconds response time when a filter is changed
      Capacity Be able to serve 50 concurrent users with the performance expected
      Control Governance Govern by the corporate BI standards
      Regulations Meet HIPPA requirements
      Compliance Meet ISO requirements

      Prioritize requirements to assist with solution modeling

      Prioritization ensures that the development team focuses on the right requirements.

      The MoSCoW Model of Prioritization

      Must Have Requirements that mustbe implemented for the solution to be considered successful.
      Should Have Requirements that are high priority and should be included in the solution if possible.
      Could Have Requirements that are desirable but not necessary and could be included if resources are available.
      Won't Have Requirements that won’t be in the next release but will be considered for the future releases.

      The MoSCoW model was introduced by Dai Clegg of Oracle UK in 1994.

      Prioritization is the process of ranking each requirement based on its importance to project success. Hold a separate meeting for the domain SMEs, implementation SMEs, project managers, and project sponsors to prioritize the requirements list. At the conclusion of the meeting, each requirement should be assigned a priority level. The implementation SMEs will use these priority levels to ensure that efforts are targeted towards the proper requirements and the plan features available on each release. Use the MoSCoW Model of Prioritization to effectively order requirements.

      Activity: Finalize the list of BI requirements

      1.3.3

      1-4 hours

      Requirement Category Framework

      Category Subcategory
      Data Granularity
      Transformation
      Selection Criteria
      Fields Required
      Functionality Filters
      Drill Down Path
      Analysis Required
      Visual Requirements Mock-up
      Section
      Conditional Formatting
      Security Mobile
      Role
      Users
      Export
      Performance Speed
      Latency
      Capacity
      Control Governance
      Regulations
      Compliance

      Create requirement buckets and classify requirements.

      1. Define requirement categories according to the framework.
      2. Review the user story and requirements you collected in Step 1.3.2. Classify the requirements within requirement categories.
      3. Review the preliminary list of categorized requirements and look for gaps in this detailed view. You may need to gather additional requirements to fill the gaps.
      4. Prioritize the requirements according to the MoSCoW framework.
      5. Document your final list of requirements in the BI Strategy and Roadmap Template.

      INPUT

      • Existing requirements and new requirements from step 1.3.2

      OUTPUT

      • Prioritized and categorized requirements

      Materials

      • Requirements Insights section of the BI Strategy and Roadmap Template

      Participants

      • BA
      • Business stakeholders
      • PMO

      Translate your findings and ideas into actions that will be integrated into the BI Strategy and Roadmap Template

      As you progress through each phase, document findings and ideas as they arise. At phase end, hold a brainstorming session with the project team focused on documenting findings and ideas and substantiating them into improvement actions.

      Translating findings and ideas into actions that will be integrated into the BI Strategy and Roadmap Template

      Ask yourself how BI or analytics can be used to address the gaps and explore opportunities uncovered in each phase. For example, in Phase 1, how do current BI capabilities impede the realization of the business vision?

      Document and prioritize Phase 1 findings, ideas, and action items

      1.3.4

      1-2 hours

      1. Reconvene as a group to review findings, ideas, and actions harvested in Phase 1. Write the findings, ideas, and actions on sticky notes.
      2. Prioritize the sticky notes to yield those with high business value and low implementation effort. View some sample findings below:
      3. High Business Value, Low Effort High Business Value, High Effort
        Low Business Value, High Effort Low Business Value, High Effort

        Phase 1

        Sample Phase 1 Findings Found two business objectives that are not supported by BI/analytics
        Some executives still think BI is reporting
        Some confusion around operational reporting and BI
        Data quality plays a big role in BI
        Many executives are not sure about the BI ROI or asking for one
      4. Select the top findings and document them in the “Other Phase 1 Findings” section of the BI Strategy and Roadmap Template. The findings will be used again in Phase 3.

      INPUT

      • Phase 1 activities
      • Business context (vision, mission, goals, etc.

      OUTPUT

      • Other Phase 1 Findings section of the BI Strategy and Roadmap Template

      Materials

      • Whiteboard
      • Sticky notes

      Participants

      • Project manger
      • Project team
      • Business stakeholders

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      1.1.1-1.1.5

      Establish the business context

      To begin the workshop, your project team will be taken through a series of activities to establish the overall business vision, mission, objectives, goals, and key drivers. This information will serve as the foundation for discerning how the revamped BI strategy needs to enable business users.

      1.2.1- 1.2.3

      Create a comprehensive documentation of your current BI environment

      Our analysts will take your project team through a series of activities that will facilitate an assessment of current BI usage and artifacts, and help you design an end-user interview survey to elicit context around BI usage patterns.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-tech analysts

      1.3.1-1.3.3

      Establish new BI requirements

      Our analysts will guide your project team through frameworks for eliciting and organizing requirements from business users, and then use those frameworks in exercises to gather some actual requirements from business stakeholders.

      Phase 2

      Evaluate Your Current BI Practice

      Build a Reporting and Analytics Strategy

      Revisit project metrics to track phase progress

      Goals for Phase 2:

      • Assess your current BI practice. Determine the maturity of your current BI practice from different viewpoints.
      • Develop your BI target state. Plan your next generation BI with Info-Tech’s BI patterns and best practices.
      • Safeguard your target state. Avoid BI pitfalls by proactively monitoring BI risks.

      Info-Tech’s Suggested Metrics for Tracking Phase 2 Goals

      Practice Improvement Metrics Data Collection and Calculation Expected Improvement
      # of groups participated in the current state assessment The number of groups joined the current assessment using Info-Tech’s BI Practice Assessment Tool Varies; the tool can accommodate up to five groups
      # of risks mitigated Derive from your risk register At least two to five risks will be identified and mitigated

      Intangible Metrics:

      • Prototyping approach allows the BI group to understand more about business requirements, and in the meantime, allows the business to understand how to partner with the BI group.
      • The BI group and the business have more confidence in the BI program as risks are monitored and mitigated on an ad hoc basis.

      Evaluate your current BI practice

      Phase 2 Overarching Insight

      BI success is not based solely on the technology it runs on; technology cannot mask gaps in capabilities. You must be capable in your environment, and data management, data quality, and related data practices must be strong. Otherwise, the usefulness of the intelligence suffers. The best BI solution does not only provide a technology platform, but also addresses the elements that surround the platform. Look beyond tools and holistically assess the maturity of your BI practice with input from both the BI consumer and provider perspectives.

      Understand the Business Context to Rationalize Your BI Landscape Evaluate Your Current BI Practice Create a BI Roadmap for Continuous Improvement
      Establish the Business Context
      • Business Vision, Goals, Key Drivers
      • Business Case Presentation
      • High-Level ROI
      Assess Your Current BI Maturity
      • SWOT Analysis
      • BI Practice Assessment
      • Summary of Current State
      Construct a BI Initiative Roadmap
      • BI Improvement Initiatives
      • BI Strategy and Roadmap
      Access Existing BI Environment
      • BI Perception Survey Framework
      • Usage Analyses
      • BI Report Inventory
      Envision BI Future State
      • BI Patterns
      • BI Practice Assessment
      • List of Functions
      Plan for Continuous Improvement
      • Excel Governance Policy
      • BI Ambassador Network Draft
      Undergo Requirements Gathering
      • Requirements Gathering Principles
      • Overall BI Requirements

      Phase 2 overview

      Detailed Overview

      Step 1: Assess Your Current BI Practice

      Step 2: Envision a Future State for Your BI Practice

      Outcomes

      • A comprehensive assessment of current BI practice maturity and capabilities.
      • Articulation of your future BI practice.
      • Improvement objectives and activities for developing your current BI program.

      Benefits

      • Identification of clear gaps in BI practice maturity.
      • A current state assessment that includes the perspectives of both BI providers and consumers to highlight alignment and/or discrepancies.
      • A future state is defined to provide a benchmark for your BI program.
      • Gaps between the future and current states are identified; recommendations for the gaps are defined.

      Phase 2 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Evaluate Your Current BI Practice

      Proposed Time to Completion: 1-2 weeks

      Step 2.1: Assess Your Current BI Practice

      Start with an analyst kick-off call:

      • Detail the benefits of conducting multidimensional assessments that involve BI providers as well as consumers.
      • Review Info-Tech’s BI Maturity Model.

      Then complete these activities…

      • SWOT analyses
      • Identification of BI maturity level through a current state assessment

      With these tools & templates:

      BI Practice Assessment Tool

      BI Strategy and Roadmap Template

      Step 2.2: Envision a Future State for Your BI Practice

      Review findings with an analyst:

      • Discuss overall maturity gaps and patterns in BI perception amongst different units of your organization.
      • Discuss how to translate activity findings into robust initiatives, defining critical success factors for BI development and risk mitigation.

      Then complete these activities…

      • Identify your desired BI patterns and functionalities.
      • Complete a target state assessment for your BI practice.
      • Review capability practice gaps and phase-level metrics.

      With these tools & templates:

      BI Practice Assessment Tool

      BI Strategy and Roadmap Template

      Phase 2 Results & Insights:

      • A comprehensive assessment of the organization’s current BI practice capabilities and gaps
      • Visualization of BI perception from a variety of business users as well as IT
      • A list of tasks and initiatives for constructing a strategic BI improvement roadmap

      STEP 2.1

      Assess the Current State of Your BI Practice

      Assess your organization’s current BI capabilities

      Step Objectives

      • Understand the definitions and roles of each component of BI.
      • Contextualize BI components to your organization’s environment and current practices.

      Step Activities

      2.1.1 Perform multidimensional SWOT analyses

      2.1.2 Assess current BI and analytical capabilities, Document challenges, constraints, opportunities

      2.1.3 Review the results of your current state assessment

      Outcomes

      • Holistic perspective of current BI strengths and weaknesses according to BI users and providers
      • Current maturity in BI and related data management practices

      Research Support

      • Info-Tech’s Data Management Framework
      • Info-Tech’s BI Practice Assessment Tool
      • Info-Tech’s BI Strategy and Roadmap Template

      Proposed Participants in this Step

      Project Manager

      Data Architect(s) or Enterprise Architect

      Project Team

      Gather multiple BI perspectives with comprehensive SWOT analyses

      SWOT analysis is an effective tool that helps establish a high-level context for where your practice stands, where it can improve, and the factors that will influence development.

      Strengths

      Best practices, what is working well

      Weaknesses

      Inefficiencies, errors, gaps, shortcomings

      Opportunities

      Review internal and external drivers

      Threats

      Market trends, disruptive forces

      While SWOT is not a new concept, you can add value to SWOT by:

      • Conducting a multi-dimensional SWOT to diversify perspectives – involve the existing BI team, BI management, business executives and other business users.
      • SWOT analyses traditionally provide a retrospective view of your environment. Add a future-looking element by creating improvement tasks/activities at the same time as you detail historical and current performance.

      Info-Tech Insight

      Consider a SWOT with two formats: a private SWOT worksheet and a public SWOT session. Participants will be providing suggestions anonymously while solicited suggestions will be discussed in the public SWOT session to further the discussion.

      Activity: Perform a SWOT analysis in groups to get a holistic view

      2.1.1

      1-2 hours

      This activity will take your project team through a holistic SWOT analysis to gather a variety of stakeholder perception of the current BI practice.

      1. Identify individuals to involve in the SWOT activity. Aim for a diverse pool of participants that are part of the BI practice in different capacities and roles. Solution architects, application managers, business analysts, and business functional unit leaders are a good starting point.
      2. Review the findings summary from Phase 1. You may opt to facilitate this activity with insights from the business context. Each group will be performing the SWOT individually.
      3. The group results will be collected and consolidated to pinpoint common ideas and opinions. Individual group results should be represented by a different color. The core program team will be reviewing the consolidated result as a group.
      4. Document the results of these SWOT activities in the appropriate section of the BI Strategy and Roadmap Template.

      SWOT

      Group 1 Provider Group E.g. The BI Team

      Group 2 Consumer Group E.g. Business End Users

      INPUT

      • IT and business stakeholder perception

      OUTPUT

      • Multi-faceted SWOT analyses
      • Potential BI improvement activities/objectives

      Materials

      • SWOT Analysis section of the BI Strategy and Roadmap Template

      Participants

      • Selected individuals in the enterprise (variable)

      Your organization’s BI maturity is determined by several factors and the degree of immersion into your enterprise

      BI Maturity Level

      A way to categorize your analytics maturity to understand where you are currently and what next steps would be best to increase your BI maturity.

      There are several factors used to determine BI maturity:

      Buy-in and Data Culture

      Determines if there is enterprise-wide buy-in for developing business intelligence and if a data-driven culture exists.

      Business–IT Alignment

      Examines if current BI and analytics operations are appropriately enabling the business objectives.

      Governance Structure

      Focuses on whether or not there is adequate governance in place to provide guidance and structure for BI activities.

      Organization Structure and Talent

      Pertains to how BI operations are distributed across the overall organizational structure and the capabilities of the individuals involved.

      Process

      Reviews analytics-related processes and policies and how they are created and enforced throughout the organization.

      Data

      Deals with analytical data in terms of the level of integration, data quality, and usability.

      Technology

      Explores the opportunities in building a fit-for-purpose analytics platform and consolidation opportunities.

      Evaluate Your Current BI Practice with the CMMI model

      To assess BI, Info-Tech uses the CMMI model for rating capabilities in each of the function areas on a scale of 1-5. (“0” and “0.5” values are used for non-existent or emerging capabilities.)

      The image shows an example of a CMMI model

      Use Info-Tech’s BI Maturity Model as a guide for identifying your current analytics competence

      Leverage a BI strategy to revamp your BI program to strive for a high analytics maturity level. In the future you should be doing more than just traditional BI. You will perform self-service BI, predictive analytics, and data science.

      Ad Hoc Developing Defined Managed Trend Setting
      Questions What’s wrong? What happened? What is happening? What happened, is happening, and will happen? What if? So what?
      Scope One business problem at a time One particular functional area Multiple functional areas Multiple functional areas in an integrated fashion Internal plus internet scale data
      Toolset Excel, Access, primitive query tools Reporting tools or BI BI BI, business analytics tools Plus predictive platforms, data science tools
      Delivery Model IT delivers ad hoc reports IT delivers BI reports IT delivers BI reports and some self-service BI Self-service BI and report creation at the business units Plus predictive models and data science projects
      Mindset Firefighting using data Manage using data Analyze using data; shared tooling Data is an asset, shared data Data driven
      BI Org. Structure Data analysts in IT BI BI program BI CoE Data Innovation CoE

      Leverage Info-Tech’s BI Practice Assessment Tool to define your BI current state

      BI Practice Assessment Tool

      1. Assess Current State
      • Eight BI practice areas to assess maturity.
      • Based on CMMI maturity scale.
    • Visualize Current State Results
      • Determine your BI maturity level.
      • Identify areas with outstanding maturity.
      • Uncover areas with low maturity.
      • Visualize the presence of misalignments.
    • Target State
      • Tackle target state from two views: business and IT.
      • Calculate gaps between target and current state.
    • Visualize Target State and Gaps
      • A heat map diagram to compare the target state and the current state.
      • Show both current and target maturity levels.
      • Detailed charts to show results for each area.
      • Detailed list of recommendations.

      Purposes:

      • Assess your BI maturity.
      • Visualize maturity assessment to quickly spot misalignments, gaps, and opportunities.
      • Provide right-sized recommendations.

      Info-Tech Insight

      Assessing current and target states is only the beginning. The real value comes from the interpretation and analysis of the results. Use visualizations of multiple viewpoints and discuss the results in groups to come up with the most effective ideas for your strategy and roadmap.

      Activity: Conduct a current state assessment of your BI practice maturity

      2.1.2

      2-3 hours

      Use the BI Practice Assessment Tool to establish a baseline for your current BI capabilities and maturity.

      1. Navigate to Tab 2. Current State Assessment in the BI Practice Assessment Tool and complete the current state assessment together or in small groups. If running a series of assessments, do not star or scratch every time. Use the previous group’s results to start the conversation with the users.
      2. Info-Tech suggests the following groups participate in the completion of the assessment to holistically assess BI and to uncover misalignment:

        Providers Consumers
        CIO & BI Management BI Work Groups (developers, analysts, modelers) Business Unit #1 Business Unit #2 Business Unit #3
      3. For each assessment question, answer the current level of maturity in terms of:
        1. Initial/Ad hoc – the starting point for use of a new or undocumented repeat process
        2. Developing – the process is documented such that it is repeatable
        3. Defined – the process is defined/confirmed as a standard business process
        4. Managed and Measurable – the process is quantitatively managed in accordance with agreed-upon metrics.
        5. Optimized – the process includes process optimization/improvement.

      INPUT

      • Observations of current maturity

      OUTPUT

      • Comprehensive current state assessment

      Materials

      • BI Practice Assessment Tool
      • Current State Assessment section of the BI Strategy and Roadmap Template

      Participants

      • Selected individuals as suggested by the assessment tool

      Info-Tech Insight

      Discuss the rationale for your answers as a group. Document the comments and observations as they may be helpful in formulating the final strategy and roadmap.

      Activity: Review and analyze the results of the current state assessment

      2.1.3

      2-3 hours

      1. Navigate to Tab 3. Current State Results in the BI Practice Assessment Tool and review the findings:

      The tool provides a brief synopsis of your current BI state. Review the details of your maturity level and see where this description fits your organization and where there may be some discrepancies. Add additional comments to your current state summary in the BI Strategy and Roadmap Document.

      In addition to reviewing the attributes of your maturity level, consider the following:

      1. What are the knowns – The knowns confirm your understanding on the current landscape.
    • What are the unknowns – The unknowns show you the blind spots. They are very important to give you an alternative view of the your current state. The group should discuss those blind spots and determine what to do with them.
    • Activity: Review and analyze the results of the current state assessment (cont.)

      2.1.3

      2-3 hours

      2. Tab 3 will also visualize a breakdown of your maturity by BI practice dimension. Use this graphic as a preliminary method to identify where your organization is excelling and where it may need improvement.

      Better Practices

      Consider: What have you done in the areas where you perform well?

      Candidates for Improvement

      Consider: What can you do to improve these areas? What are potential barriers to improvement?

      STEP 2.2

      Envision a Future State for Your Organization’s BI Practice

      Detail the capabilities of your next generation BI practice

      Step Objectives

      • Create guiding principles that will shape your organization’s ideal BI program.
      • Pinpoint where your organization needs to improve across several BI practice dimensions.
      • Develop approaches to remedy current impediments to BI evolution.
      • Step Activities

        2.2.1 Define guiding principles for the future state

        2.2.2 Define the target state of your BI practice

        2.2.3 Confirm requirements for BI Styles by management group

        2.2.4 Analyze gaps in your BI practice and generate improvement activities and objectives

        2.2.5 Define the critical success factors for future BI

        2.2.6 Identify potential risks for your future state and create a mitigation plan

      Outcomes

      • Defined landscape for future BI capabilities, including desired BI functionalities.
      • Identification of crucial gaps and improvement points to include in a BI roadmap.
      • Updated BI Styles Usage sheet.

      Research Support

      • Info-Tech’s Data Management Framework
      • Info-Tech’s BI Practice Assessment Tool
      • Info-Tech’s BI Strategy and Roadmap Template

      Proposed Participants in this Step

      Project Manager

      Data Architect(s) or Enterprise Architect

      Project Team

      Define guiding principles to drive your future state envisioning

      Envisioning a BI future state is essentially architecting the future for your BI program. It is very similar to enterprise architecture (EA). Guiding principles are widely used in enterprise architecture. This best practice should also be used in BI envisioning.

      Benefits of Guiding Principles in a BI Context

      • BI planning involves a number of business units. Defining high-level future state principles helps to establish a common ground for those different business units.
      • Ensure the next generation BI aligns with the corporate enterprise architecture and data architecture principles.
      • Provide high-level guidance without depicting detailed solutioning by leaving room for innovation.

      Sample Principles for BI Future State

      1. BI should be fit for purpose. BI is a business technology that helps business users.
      2. Business–IT collaboration should be encouraged to ensure deliverables are relevant to the business.
      3. Focus on continuous improvement on data quality.
      4. Explore opportunities to onboard and integrate new datasets to create a holistic view of your data.
      5. Organize and present data in an easy-to-consume, easy-to-digest fashion.
      6. BI should be accessible to everything, as soon as they have a business case.
      7. Do not train just on using the platform. Train on the underlying data and business model as well.
      8. Develop a training platform where trainees can play around with the data without worrying about messing it up.

      Activity: Define future state guiding principles for your BI practice

      2.2.1

      1-2 hours

      Guiding principles are broad statements that are fundamental to how your organization will go about its activities. Use this as an opportunity to gather relevant stakeholders and solidify how your BI practice should perform moving forward.

      1. To ensure holistic and comprehensive future state principles, invite participants from the business, the data management team, and the enterprise architecture team. If you do not have an enterprise architecture practice, invite people that are involved in building the enterprise architecture. Five to ten people is ideal.
      2. BI Future State

        Awareness Buy-in Business-IT Alignment Governance Org. Structure; People Process; Policies; Standards Data Technology
      3. Once the group has some high-level ideas on what the future state looks like, brainstorm guiding principles that will facilitate the achievement of the future state (see above).
      4. Document the future state principles in the Future State Principles for BI section of the BI Strategy and Roadmap Template

      INPUT

      • Existing enterprise architecture guiding principles
      • High-level concept of future state BI

      OUTPUT

      • Guiding principles for prospective BI practice

      Materials

      • Future State Principles section of the BI Strategy and Roadmap Template

      Participants

      • Business representatives
      • IT representatives
      • The EA group

      Leverage prototypes to facilitate a continuous dialogue with end users en route to creating the final deliverable

      At the end of the day, BI makes data and information available to the business communities. It has to be fit for purpose and relevant to the business. Prototypes are an effective way to ensure relevant deliverables are provided to the necessary users. Prototyping makes your future state a lot closer and a lot more business friendly.

      Simple Prototypes

      • Simple paper-based, whiteboard-based prototypes with same notes.
      • The most basic communication tool that facilitates the exchange of ideas.
      • Often used in Joint Application Development (JAD) sessions.
      • Improve business and IT collaboration.
      • Can be used to amend requirements documents.

      Discussion Possibilities

      • Initial ideation at the beginning
      • Align everyone on the same page
      • Explain complex ideas/layouts
      • Improve collaboration

      Elaborated Prototypes

      • Demonstrates the possibilities of BI in a risk-free environment.
      • Creates initial business value with your new BI platform.
      • Validates the benefits of BI to the organization.
      • Generates interest and support for BI from senior management.
      • Prepares BI team for the eventual enterprise-wide deployment.

      Discussion Possibilities

      • Validate and refine requirements
      • Fail fast, succeed fast
      • Acts as checkpoints
      • Proxy for the final working deliverable

      Leverage Info-Tech’s BI Practice Assessment Tool to define your BI target state and visualize capability gaps

      BI Practice Assessment Tool

      1. Assess Current State
      • Eight BI practice areas to assess maturity.
      • Based on CMMI maturity scale.
    • Visualize Current State Results
      • Determine your BI maturity level.
      • Identify areas with outstanding maturity.
      • Uncover areas with low maturity.
      • Visualize the presence of misalignments.
    • Target State
      • Tackle target state from two views: business and IT.
      • Calculate gaps between target and current state.
    • Visualize Target State and Gaps
      • A heat map diagram to compare the target state and the current state.
      • Show both current and target maturity levels.
      • Detailed charts to show results for each area.
      • Detailed list of recommendations.

      Purposes:

      • Assess your BI maturity.
      • Visualize maturity assessment to quickly spot misalignments, gaps, and opportunities.
      • Provide right-sized recommendations.

      Document essential findings in Info-Tech’s BI Strategy and Roadmap Template.

      Info-Tech Insight

      Assessing current and target states is only the beginning. The real value comes from the interpretation and analyses of the results. Use visualizations of multiple viewpoints and discuss the results in groups to come up with the most effective ideas for your strategy and roadmap.

      Activity: Define the target state for your BI practice

      2.2.2

      2 hours

      This exercise takes your team through establishing the future maturity of your BI practice across several dimensions.

      1. Envisioning of the future state will involve input from the business side as well as the IT department.
      2. The business and IT groups should get together separately and determine the target state maturity of each of the BI practice components:

      The image is a screenshot of Tab 4: Target State Evaluation of the BI Practice Assessment Tool

      INPUT

      • Desired future practice capabilities

      OUTPUT

      • Target state assessment

      Materials

      • Tab 4 of the BI Practice Assessment Tool

      Participants

      • Business representatives
      • IT representatives

      Activity: Define the target state for your BI practice (cont.)

      2.2.2

      2 hours

      2. The target state levels from the two groups will be averaged in the column “Target State Level.” The assessment tool will automatically calculate the gaps between future state value and the current state maturity determined in Step 2.1. Significant gaps in practice maturity will be highlighted in red; smaller or non-existent gaps will appear green.

      The image is a screenshot of Tab 4: Target State Evaluation of the BI Practice Assessment Tool with Gap highlighted.

      INPUT

      • Desired future practice capabilities

      OUTPUT

      • Target state assessment

      Materials

      • Tab 4 of the BI Practice Assessment Tool

      Participants

      • Business representatives
      • IT representatives

      Activity: Revisit the BI Style Analysis sheet to define new report and analytical requirements by C-Level

      2.2.3

      1-2 hours

      The information needs for each executive is unique to their requirements and management style. During this exercise you will determine the reporting and analytical needs for an executive in regards to content, presentation and cadence and then select the BI style that suite them best.

      1. To ensure a holistic and comprehensive need assessment, invite participants from the business and BI team. Discuss what data the executive currently use to base decisions on and explore how the different BI styles may assist. Sample reports or mock-ups can be used for this purpose.
      2. Document the type of report and required content using the BI Style Tool.
      3. The BI Style Tool will then guide the BI team in the type of reporting to develop and the level of Self-Service BI that is required. The tool can also be used for product selection.

      INPUT

      • Information requirements for C-Level Executives

      OUTPUT

      • BI style(s) that are appropriate for an executive’s needs

      Materials

      • BI Style Usage sheet from BI Strategy and Roadmap Template
      • Sample Reports

      Participants

      • Business representatives
      • BI representatives

      Visualization tools facilitate a more comprehensive understanding of gaps in your existing BI practice

      Having completed both current and target state assessments, the BI Practice Assessment Tool allows you to compare the results from multiple angles.

      At a higher level, you can look at your maturity level:

      At a detailed level, you can drill down to the dimensional level and item level.

      The image is a screenshots from Tab 4: Target State Evaluation of the BI Practice Assessment Tool

      At a detailed level, you can drill down to the dimensional level and item level.

      Activity: Analyze gaps in BI practice capabilities and generate improvement objectives/activities

      2.2.4

      2 hours

      This interpretation exercise helps you to make sense of the BI practice assessment results to provide valuable inputs for subsequent strategy and roadmap formulation.

      1. IT management and the BI team should be involved in this exercise. Business SMEs should be consulted frequently to obtain clarifications on what their ideal future state entails.
      2. Begin this exercise by reviewing the heat map and identifying:

      • Areas with very large gaps
      • Areas with small gaps

      Areas with large gaps

      Consider: Is the target state feasible and achievable? What are ways we can improve incrementally in this area? What is the priority for addressing this gap?

      Areas with small/no gaps

      Consider: Can we learn from those areas? Are we setting the bar too low for our capabilities?

      INPUT

      • Current and target state visualizations

      OUTPUT

      • Gap analysis (Tab 5)

      Materials

      • Tab 5 of the BI Practice Assessment Tool
      • Future State Assessment Results section of the BI Strategy and Roadmap Template

      Participants

      • Business representatives
      • IT representatives

      Activity: Analyze gaps in BI practice capabilities and generate improvement objectives/activities (cont.)

      2.2.4

      2 hours

      2. Discuss the differences in the current and target state maturity level descriptions. Questions to ask include:

      • What are the prerequisites before we can begin to build the future state?
      • Is the organization ready for that future state? If not, how do we set expectations and vision for the future state?
      • Do we have the necessary competencies, time, and support to achieve our BI vision?

      INPUT

      • Current and target state visualizations

      OUTPUT

      • Gap analysis (Tab 5)

      Materials

      • Tab 5 of the BI Practice Assessment Tool
      • Future State Assessment Results section of the BI Strategy and Roadmap Template

      Participants

      • Business representatives
      • IT representatives

      Activity: Analyze gaps in BI practice capabilities and generate improvement objectives/activities (cont.)

      2.2.4

      2 hours

      3. Have the same group members reconvene and discuss the recommendations at the BI practice dimension level on Tab 5. of the BI Practice Assessment Tool. These recommendations can be used as improvement actions or translated into objectives for building your BI capabilities.

      Example

      The heat map displayed the largest gap between target state and current state in the technology dimension. The detailed drill-down chart will further illustrate which aspect(s) of the technology dimension is/are showing the most room for improvement in order to better direct your objective and initiative creation.

      The image is of an example and recommendations.

      Considerations:

      • What dimension parameters have the largest gaps? And why?
      • Is there a different set of expectations for the future state?

      Define critical success factors to direct your future state

      Critical success factors (CSFs) are the essential factors or elements required for ensuring the success of your BI program. They are used to inform organizations with things they should focus on to be successful.

      Common Provider (IT Department) CSFs

      • BI governance structure and organization is created.
      • Training is provided for the BI users and the BI team.
      • BI standards are in place.
      • BI artifacts rely on quality data.
      • Data is organized and presented in a usable fashion.
      • A hybrid BI delivery model is established.
      • BI on BI; a measuring plan has to be in place.

      Common Consumer (Business) CSFs

      • Measurable business results have been improved.
      • Business targets met/exceeded.
      • Growth plans accelerated.
      • World-class training to empower BI users.
      • Continuous promotion of a data-driven culture.
      • IT–business partnership is established.
      • Collaborative requirements gathering processes.
      • Different BI use cases are supported.

      …a data culture is essential to the success of analytics. Being involved in a lot of Bay Area start-ups has shown me that those entrepreneurs that are born with the data DNA, adopt the data culture and BI naturally. Other companies should learn from these start-ups and grow the data culture to ensure BI adoption.

      – Cameran Hetrick, Senior Director of Data Science & Analytics, thredUP

      Activity: Define provider and consumer critical success factors for your future BI capabilities

      2.2.5

      2 hours

      Create critical success factors that are important to both BI providers and BI consumers.

      1. Divide relevant stakeholders into two groups:
      2. BI Provider (aka IT) BI Consumer (aka Business)
      3. Write two headings on the board: Objective and Critical Success Factors. Write down each of the objectives created in Phase 1.
      4. Divide the group into small teams and assign each team an objective. For each objective, ask the following question:
      5. What needs to be put in place to ensure that this objective is achieved?

        The answer to the question is your candidate CSF. Write CSFs on sticky notes and stick them by the relevant objective.

      6. Rationalize and consolidate CSFs. Evaluate the list of candidate CSFs to find the essential elements for achieving success.
      7. For each CSF, identify at least one key performance indicator that will serve as an appropriate metric for tracking achievement.

      As you evaluate candidate CSFs, you may uncover new objectives for achieving your future state BI.

      INPUT

      • Business objectives

      OUTPUT

      • A list of critical success factors mapped to business objectives

      Materials

      • Whiteboard and colored sticky notes
      • CSFs for the Future State section of the BI Strategy and Roadmap Template

      Participants

      • Business and IT representatives
      • CIO
      • Head of BI

      Round out your strategy for BI growth by evaluating risks and developing mitigation plans

      A risk matrix is a useful tool that allows you to track risks on two dimensions: probability and impact. Use this matrix to help organize and prioritize risk, as well as develop mitigation strategies and contingency plans appropriately.

      Example of a risk matrix using colour coding

      Info-Tech Insight

      Tackling risk mitigation is essentially purchasing insurance. You cannot insure everything – focus your investments on mitigating risks with a reasonably high impact and high probability.

      Be aware of some common barriers that arise in the process of implementing a BI strategy

      These are some of the most common BI risks based on Info-Tech’s research:

      Low Impact Medium Impact High Impact
      High Probability
      • Users revert back to Microsoft Excel to analyze data.
      • BI solution does not satisfy the business need.
      • BI tools become out of sync with new strategic direction.
      • Poor documentation creates confusion and reduces user adoption.
      • Fail to address data issues: quality, integration, definition.
      • Inadequate communication with stakeholders throughout the project.
      • Users find the BI tool interface too confusing.
      Medium Probability
      • Fail to define and monitor KPIs.
      • Poor training results in low user adoption.
      • Organization culture is resistant to the change.
      • Lack of support from the sponsors.
      • No governance over BI.
      • Poor training results in misinformed users.
      Low Probability
      • Business units independently invest in BI as silos.

      Activity: Identify potential risks for your future state and create a mitigation plan

      2.2.6

      1 hour

      As part of developing your improvement actions, use this activity to brainstorm some high-level plans for mitigating risks associated with those actions.

      Example:

      Users find the BI tool interface too confusing.

      1. Use the probability-impact matrix to identify risks systematically. Collectively vote on the probability and impact for each risk.
      2. Risk mitigation. Risk can be mitigated by three approaches:
      3. A. Reducing its probability

        B. Reducing its impact

        C. Reducing both

        Option A: Brainstorm ways to reduce risk probability

        E.g. The probability of the above risk may be reduced by user training. With training, the probability of confused end users will be reduced.

        Option B: Brainstorm ways to reduce risk impact

        E.g. The impact can be reduced by ensuring having two end users validate each other’s reports before making a major decision.

      4. Document your high-level mitigation strategies in the BI Strategy and Roadmap Template.

      INPUT

      • Step 2.2 outputs

      OUTPUT

      • High-level risk mitigation plans

      Materials

      • Risks and Mitigation section of the BI Strategy and Roadmap Template

      Participants

      • BI sponsor
      • CIO
      • Head of BI

      Translate your findings and ideas into actions that will be integrated into the BI strategy and roadmap

      As you progress through each phase, document findings and ideas as they arise. By phase end, hold a brainstorming session with the project team focused on documenting findings and ideas and substantiating them into improvement actions.

      Translated findings and ideas into actions that will be integrated into the BI strategy and roadmap.

      Ask yourself how BI or analytics can be used to address the gaps and explore opportunities uncovered in each phase. For example, in Phase 1, how do current BI capabilities impede the realization of the business vision?

      Document and prioritize Phase 2 findings, ideas, and action items

      2.2.7

      1-2 hours

      1. Reconvene as a group to review the findings, ideas, and actions harvested in Phase 2. Write the findings, ideas, and actions on sticky notes.
      2. Prioritize the sticky notes to yield those with high business value and low implementation effort. View some sample findings below:
      3. High Business Value, Low Effort High Business Value, High Effort
        Low Business Value, High Effort Low Business Value, High Effort

        Phase 2

        Sample Phase 2 Findings Found a gap between the business expectation and the existing BI content they are getting.
        Our current maturity level is “Level 2 – Operational.” Almost everyone thinks we should be at least “Level 3 – Tactical” with some level 4 elements.
        Found an error in a sales report. A quick fix is identified.
        The current BI program is not able to keep up with the demand.
      4. Select the top items and document the findings in the BI Strategy Roadmap Template. The findings will be used to build a Roadmap in Phase 3.

      INPUT

      • Phase 2 activities

      OUTPUT

      • Other Phase 2 Findings section of the BI Strategy and Roadmap Template

      Materials

      • Whiteboard
      • Sticky notes

      Participants

      • Project manger
      • Project team
      • Business stakeholders

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      2.1.1

      Determine your current BI maturity level

      The analyst will take your project team through Info-Tech’s BI Practice Assessment Tool, which collects perspectives from BI consumer and provider groups on multiple facets of your BI practice in order to establish a current maturity level.

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts

      2.2.1

      Define guiding principles for your target BI state

      Using enterprise architecture principles as a starting point, our analyst will facilitate exercises to help your team establish high-level standards for your future BI practice.

      2.2.2-2.2.3

      Establish your desired BI patterns and matching functionalities

      In developing your BI practice, your project team will have to decide what BI-specific capabilities are most important to your organization. Our analyst will take your team through several BI patterns that Info-Tech has identified and discuss how to bridge the gap between these patterns, linking them to specific functional requirements in a BI solution.

      2.2.4-2.2.5

      Analyze the gaps in your BI practice capabilities

      Our analyst will guide your project team through a number of visualizations and explanations produced by our assessment tool in order to pinpoint the problem areas and generate improvement ideas.

      Phase 3

      Create a BI Roadmap for Continuous Improvement

      Build a Reporting and Analytics Strategy

      Create a BI roadmap for continuous improvement

      Phase 3 Overarching Insight

      The benefit of creating a comprehensive and actionable roadmap is twofold: not only does it keep BI providers accountable and focused on creating incremental improvement, but a roadmap helps to build momentum around the overall project, provides a continuous delivery of success stories, and garners grassroots-level support throughout the organization for BI as a key strategic imperative.

      Understand the Business Context to Rationalize Your BI Landscape Evaluate Your Current BI Practice Create a BI Roadmap for Continuous Improvement
      Establish the Business Context
      • Business Vision, Goals, Key Drivers
      • Business Case Presentation
      • High-Level ROI
      Assess Your Current BI Maturity
      • SWOT Analysis
      • BI Practice Assessment
      • Summary of Current State
      Construct a BI Initiative Roadmap
      • BI Improvement Initiatives
      • BI Strategy and Roadmap
      Access Existing BI Environment
      • BI Perception Survey Framework
      • Usage Analyses
      • BI Report Inventory
      Envision BI Future State
      • BI Patterns
      • BI Practice Assessment
      • List of Functions
      Plan for Continuous Improvement
      • Excel Governance Policy
      • BI Ambassador Network Draft
      Undergo Requirements Gathering
      • Requirements Gathering Principles
      • Overall BI Requirements

      Phase 3 overview

      Detailed Overview

      Step 1: Establish Your BI Initiative Roadmap

      Step 2: Identify Opportunities to Enhance Your BI Practice

      Step 3: Create Analytics Strategy

      Step 4: Define CSF and metrics to monitor success of BI and analytics

      Outcomes

      • Consolidate business intelligence improvement objectives into robust initiatives.
      • Prioritize improvement initiatives by cost, effort, and urgency.
      • Create a one-year, two-year, or three-year timeline for completion of your BI improvement initiatives.
      • Identify supplementary programs that will facilitate the smooth execution of road-mapped initiatives.

      Benefits

      • Clear characterization of comprehensive initiatives with a detailed timeline to keep team members accountable.

      Revisit project metrics to track phase progress

      Goals for Phase 3:

      • Put everything together. Findings and observations from Phase 1 and 2 are rationalized in this phase to develop data initiatives and create a strategy and roadmap for BI.
      • Continuous improvements. Your BI program is evolving and improving over time. The program should allow you to have faster, better, and more comprehensive information.

      Info-Tech’s Suggested Metrics for Tracking Phase 3 Goals

      Practice Improvement Metrics Data Collection and Calculation Expected Improvement
      Program Level Metrics Efficiency
      • Time to information
      • Self-service penetration
      • Derive from the ticket management system
      • Derive from the BI platform
      • 10% reduction in time to information
      • Achieve 10-15% self-service penetration
      • Effectiveness
      • BI Usage
      • Data quality
      • Derive from the BI platform
      • Data quality perception
      • Majority of the users use BI on a daily basis
      • 15% increase in data quality perception
      Comprehensiveness
      • # of integrated datasets
      • # of strategic decisions made
      • Derive from the data integration platform
      • Decision-making perception
      • Onboard 2-3 new data domains per year
      • 20% increase in decision-making perception

      Learn more about the CIO Business Vision program.

      Intangible Metrics:

      Tap into the results of Info-Tech’s CIO Business Vision diagnostic to monitor the changes in business-user satisfaction as you implement the initiatives in your BI improvement roadmap.

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that helps you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Create a BI Roadmap for Continuous Improvement

      Proposed Time to Completion: 1-2 weeks

      Step 3.1: Construct a BI Improvement Initiative Roadmap

      Start with an analyst kick off call:

      • Review findings and insights from completion of activities pertaining to current and future state assessments
      • Discuss challenges around consolidating activities into initiatives

      Then complete these activities…

      • Collect improvement objectives/tasks from previous phases
      • Develop comprehensive improvement initiatives
      • Leverage value-effort matrix activities to prioritize these initiatives and place them along an improvement roadmap

      With these tools & templates:

      BI Initiatives and Roadmap Tool

      BI Strategy and Roadmap Template

      Step 3.2: Continuous Improvement Opportunities for BI

      Review findings with analyst:

      • Review completed BI improvement initiatives and roadmap
      • Discuss guidelines presenting a finalized improvement to the relevant committee or stakeholders
      • Discuss additional policies and programs that can serve to enhance your established BI improvement roadmap

      Then complete these activities…

      • Present BI improvement roadmap to relevant stakeholders
      • Develop Info-Tech’s recommended supplementary policies and programs for BI

      With these tools & templates:

      BI Strategy and Roadmap Executive Presentation Template

      Phase 3 Results & Insights:

      • Comprehensive initiatives with associated tasks/activities consolidated and prioritized in an improvement roadmap

      STEP 3.1

      Construct a BI Improvement Initiative Roadmap

      Build an improvement initiative roadmap to solidify your revamped BI strategy

      Step Objectives

      • Bring together activities and objectives for BI improvement to form initiatives
      • Develop a fit-for-purpose roadmap aligned with your BI strategy

      Step Activities

      3.1.1 Characterize individual improvement objectives and activities ideated in previous phases.

      3.1.2 Synthesize and detail overall BI improvement initiatives.

      3.1.3 Create a plan of action by placing initiatives on a roadmap.

      Outcomes

      • Detailed BI improvement initiatives, prioritized by value and effort
      • Defined roadmap for completion of tasks associated with each initiative and accountability

      Research Support

      • Info-Tech’s BI Initiatives and Roadmap Tool

      Proposed Participants in this Step

      Project Manager

      Project Team

      Create detailed BI strategy initiatives by bringing together the objectives listed in the previous phases

      When developing initiatives, all components of the initiative need to be considered, from its objectives and goals to its benefits, risks, costs, effort required, and relevant stakeholders.

      Use outputs from previous project steps as inputs to the initiative and roadmap building:

      The image shows the previous project steps as inputs to the initiative and roadmap building, with arrow pointing from one to the next.

      Determining the dependencies that exist between objectives will enable the creation of unique initiatives with associated to-do items or tasks.

      • Group objectives into similar buckets with dependencies
      • Select one overarching initiative
      • Adapt remaining objectives into tasks of the main initiative
      • Add any additional tasks

      Leverage Info-Tech’s BI Initiatives and Roadmap Tool to build a fit-for-purpose improvement roadmap

      BI Initiatives and Roadmap Tool

      Overview

      Use the BI Initiatives and Roadmap Tool to develop comprehensive improvement initiatives and add them to a BI strategy improvement roadmap.

      Recommended Participants

      • BI project team

      Tool Guideline

      Tab 1. Instructions Use this tab to get an understanding as to how the tool works.
      Tab 2. Inputs Use this tab to customize the inputs used in the tool.
      Tab 3. Activities Repository Use this tab to list and prioritize activities, to determine dependencies between them, and build comprehensive initiatives with them.
      Tab 4. Improvement Initiatives Use this tab to develop detailed improvement initiatives that will form the basis of the roadmap. Map these initiatives to activities from Tab 3.
      Tab 5. Improvement Roadmap Use this tab to create your BI strategy improvement roadmap, assigning timelines and accountability to initiatives and tasks, and to monitor your project performance over time.

      Activity: Consolidate BI activities into the tool and assign dependencies and priorities

      3.1.1

    • 2 hours
      1. Have one person from the BI project team populate Tab 3. Activities Repository with the BI strategy activities that were compiled in Phases 1 and 2. Use drop-downs to indicate in which phase the objective was originally ideated.
      2. With BI project team executives, discuss and assign dependencies between activities in the Dependencies columns. A dependency exists if:
      • An activity requires consideration of another activity.
      • An activity requires the completion of another activity.
      • Two activities should be part of the same initiative.
      • Two activities are very similar in nature.
    • Then discuss and assign priorities to each activity in the Priority column using input from previous Phases. For example, if an activity was previously indicated as critical to the business, if a similar activity appears multiple times, or if an activity has several dependencies, it should be higher priority.
    • Inputs

      • BI improvement activities created in Phases 1 and 2

      Output

      • Activities with dependencies and priorities

      Materials

      • BI Initiatives and Roadmap Tool

      Participants

      • BI project team

      Activity: Consolidate BI activities into the tool and assign dependencies and priorities (cont’d.)

      3.1.1

      2 hours

      Screenshot of Tab 3. BI Activities Repository, with samples improvement activities, dependencies, statuses, and priorities

      The image is of a screenshot of Tab 3. BI Activities Repository, with samples improvement activities, dependencies, statuses, and priorities.

      Revisit the outputs of your current state assessment and note which activities have already been completed in the “Status” column, to avoid duplication of your efforts.

      When classifying the status of items in your activity repository, distinguish between broader activities (potential initiatives) and granular activities (tasks).

      Activity: Customize project inputs and build out detailed improvement initiatives

      3.1.2

      1.5 hours

      1. Follow instructions on Tab 2. Inputs to customize inputs you would like to use for your project.
      2. Review the activities repository and select up to 12 overarching initiatives based on the activities with extreme or highest priority and your own considerations.
      • Rewording where necessary, transfer the names of your initiatives in the banners provided on Tab 4. Improvement Initiatives.
      • On Tab 3, indicate these activities as “Selected (initiatives)” in the Status column.
    • In Tab 4, develop detailed improvement initiatives by indicating the owner, taxonomy, start and end periods, cost and effort estimates, goal, benefit/value, and risks of each initiative.
    • Use drop-downs to list “Related activities,” which will become tasks under each initiative.
      • activities with dependency to the initiative
      • activities that lead to the same goal or benefit/value of the main initiative

      Screenshot of the Improvement Initiative template, to be used for developing comprehensive initiatives

      <p data-verified=The image is a screenshot of the Improvement Initiative template, to be used for developing comprehensive initiatives.">

      Inputs

      • Tab 3. Activities Repository

      Output

      • Unique and detailed improvement initiatives

      Materials

      • BI Initiatives and Roadmap Tool
      • BI Initiatives section of the BI Strategy and Roadmap Template

      Participants

      • BI project team

      Visual representations of your initiative landscape can aid in prioritizing tasks and executing the roadmap

      Building a comprehensive BI program will be a gradual process involving a variety of stakeholders. Different initiatives in your roadmap will either be completed sequentially or in parallel to one another, given dependencies and available resources. The improvement roadmap should capture and represent this information.

      To determine the order in which main initiatives should be completed, exercises such as a value–effort map can be very useful.

      Example: Value–Effort Map for a BI Project

      Initiatives that are high value–low effort are found in the upper left quadrant and are bolded; These may be your four primary initiatives. In addition, initiative five is valuable to the business and critical to the project’s success, so it too is a priority despite requiring high effort. Note that you need to consider dependencies to prioritize these key initiatives.

      Value–Effort Map for a BI Project
      1. Data profiling techniques training
      2. Improve usage metrics
      3. Communication plan for BI
      4. Staff competency evaluation
      5. Formalize practice capabilities
      6. Competency improvement plan program
      7. Metadata architecture improvements
      8. EDW capability improvements
      9. Formalize oversight for data manipulation

      This exercise is best performed using a white board and sticky notes, and axes can be customized to fit your needs (E.g. cost, risk, time, etc.).

      Activity: Build an overall BI strategy improvement roadmap for the entire project

      3.1.3

      45 minutes

      The BI Strategy Improvement Roadmap (Tab 5 of the BI Initiatives and Roadmap Tool) has been populated with your primary initiatives and related tasks. Read the instructions provided at the top of Tab 5.

      1. Use drop-downs to assign a Start Period and End Period to each initiative (already known) and each task (determined here). As you do so, the roadmap will automatically fill itself in. This is where the value–effort map or other prioritization exercises may help.
      2. Assign Task Owners reporting Managers.
      3. Update the Status and Notes columns on an ongoing basis. Hold meetings with task owners and managers about blocked or overdue items.
      • Updating status should also be an ongoing maintenance requirement for Tab 3 in order to stay up to date on which activities have been selected as initiatives or tasks, are completed, or are not yet acted upon.

      Screenshot of the BI Improvement Roadmap (Gantt chart) showing an example initiative with tasks, and assigned timeframes, owners, and status updates.

      INPUTS

      • Tab 3. Activities Repository
      • Tab 4. Improvement Initiatives

      OUTPUT

      • BI roadmap

      Materials

      • BI Initiatives and Roadmap Tool
      • Roadmap section of the BI Strategy and Roadmap Template

      Participants

      • BI project team

      Obtain approval for your BI strategy roadmap by organizing and presenting project findings

      Use a proprietary presentation template

      Recommended Participants

      • Project sponsor
      • Relevant IT & business executives
      • CIO
      • BI project team

      Materials & Requirements

      Develop your proprietary presentation template with:

      • Results from Phases 1 and 2 and Step 3.1
      • Information from:
        • Info-Tech’s Build a Reporting and Analytics Strategy
      • Screen shots of outputs from the:
        • BI Practice Assessment Tool
        • BI Initiatives and Roadmap Tool

      Next Steps

      Following the approval of your roadmap, begin to plan the implementation of your first initiatives.

      Overall Guidelines

      • Invite recommended participants to an approval meeting.
      • Present your project’s findings with the goal of gaining key stakeholder support for implementing the roadmap.
      1. Set the scene using BI vision & objectives.
      2. Present the results and roadmap next.
      3. Dig deeper into specific issues by touching on the important components of this blueprint to generate a succinct and cohesive presentation.
    • Make the necessary changes and updates stemming from discussion notes during this meeting.
    • Submit a formal summary of findings and roadmap to your governing body for review and approval (e.g. BI steering committee, BI CoE).
    • Info-Tech Insight

      At this point, it is likely that you already have the support to implement a data quality improvement roadmap. This meeting is about the specifics and the ROI.

      Maximize support by articulating the value of the data quality improvement strategy for the organization’s greater information management capabilities. Emphasize the business requirements and objectives that will be enhanced as a result of tackling the recommended initiatives, and note any additional ramifications of not doing so.

      Leverage Info-Tech’s presentation template to present your BI strategy to the executives

      Use the BI Strategy and Roadmap Executive Presentation Template to present your most important findings and brilliant ideas to the business executives and ensure your BI program is endorsed. Business executives can also learn about how the BI strategy empowers them and how they can help in the BI journey.

      Important Messages to Convey

      • Executive summary of the presentation
      • Current challenges faced by the business
      • BI benefits and associated opportunities
      • SWOT analyses of the current BI
      • BI end-user satisfaction survey
      • BI vision, mission, and goals
      • BI initiatives that take you to the future state
      • (Updated) Analytical Strategy
      • Roadmap that depicts the timeline

      STEP 3.2

      Continuous Improvement Opportunities for BI

      Create supplementary policies and programs to augment your BI strategy

      Step Objectives

      • Develop a plan for encouraging users to continue to use Excel, but in a way that does not compromise overall BI effectiveness.
      • Take steps to establish a positive organizational culture around BI.

      Step Activities

      3.2.1 Construct a concrete policy to integrate Excel use with your new BI strategy.

      3.2.2 Map out the foundation for a BI Ambassador network.

      Outcomes

      • Business user understanding of where Excel manipulation should and should not occur
      • Foundation for recognizing exceptional BI users and encouraging development of enterprise-wide business intelligence

      Research Support

      • Info-Tech’s BI Initiatives and Roadmap Tool
      • Info-Tech’s BI Strategy and Roadmap Template

      Proposed Participants in this Step

      Project Manager

      Project Team

      Additional Business Users

      Establish Excel governance to better serve Excel users while making sure they comply with policies

      Excel is the number one BI tool

      • BI applications are developed to support information needs.
      • The reality is that you will never migrate all Excel users to BI. Some Excel users will continue to use it. The key is to support them while imposing governance.
      • The goal is to direct them to use the data in BI or in the data warehouse instead of extracting their own data from various source systems.

      The Tactic: Centralize data extraction and customize delivery

      • Excel users formerly extracted data directly from the production system, cleaned up the data, manipulated the data by including their own business logic, and presented the data in graphs and pivot tables.
      • With BI, the Excel users can still use Excel to look at the information. The only difference is that BI or data warehouse will be the data source of their Excel workbook.

      Top-Down Approach

      • An Excel policy should be created at the enterprise level to outline which Excel use cases are allowed, and which are not.
      • Excel use cases that involve extracting data from source systems and transforming that data using undisclosed business rules should be banned.
      • Excel should be a tool for manipulating, filtering, and presenting data, not a tool for extracting data and running business rules.

      Excel

      Bottom-Up Approach

      • Show empathy to your users. They just want information to get their work done.
      • A sub-optimal information landscape is the root cause, and they are the victims. Excel spreadmarts are the by-products.
      • Make the Excel users aware of the risks associated with Excel, train them in BI, and provide them with better information in the BI platform.

      Activity: Create an Excel governance policy

      3.2.1

      4 hours

      Construct a policy around Excel use to ensure that Excel documents are created and shared in a manner that does not compromise the integrity of your overall BI program.

      1. Review the information artifact list harvested from Step 2.1 and identify all existing Excel-related use cases.
      2. Categorize the Excel use cases into “allowed,” “not allowed,” and “not sure.” For each category define:
      3. Category To Do: Policy Context
        Allowed Discuss what makes these use cases ideal for BI. Document use cases, scenarios, examples, and reasons that allow Excel as an information artifact.
        Not Allowed Discuss why these cases should be avoided. Document forbidden use cases, scenarios, examples, and reasons that use Excel to generate information artifacts.
        Not Sure Discuss the confusions; clarify the gray area. Document clarifications and advise how end users can get help in those “gray area” cases.
      4. Document the findings in the BI Strategy and Roadmap Template in the Manage and Sustain BI Strategy section, or a proprietary template. You may also need to create a separate Excel policy to communicate the Dos and Don’ts.

      Inputs

      • Step 2.1 – A list of information artifacts

      Output

      • Excel-for-BI Use Policy

      Materials

      • BI Strategy Roadmap and Template, or proprietary document

      Participants

      • Business executives
      • CIO
      • Head of BI
      • BI team

      Build a network of ambassadors to promote BI and report to IT with end-user feedback and requests

      The Building of an Insider Network: The BI Ambassador Network

      BI ambassadors are influential individuals in the organization that may be proficient at using BI tools but are passionate about analytics. The network of ambassadors will be IT’s eyes, ears, and even mouth on the frontline with users. Ambassadors will promote BI, communicate any messages IT may have, and keep tabs on user satisfaction.

      Ideal candidate:

      • A good relationship with IT.
      • A large breadth of experience with BI, not just one dashboard.
      • Approachable and well-respected amongst peers.
      • Has a passion for driving organizational change using BI and continually looking for opportunities to innovate.

      Push

      • Key BI Messages
      • Best Practices
      • Training Materials

      Pull

      • Feedback
      • Complaints
      • Thoughts and New Ideas

      Motivate BI ambassadors with perks

      You need to motivate ambassadors to take on this additional responsibility. Make sure the BI ambassadors are recognized in their business units when they go above and beyond in promoting BI.

      Reward Approach Reward Type Description
      Privileges High Priority Requests Given their high usage and high visibility, ambassadors’ BI information requests should be given a higher priority.
      First Look at New BI Development Share the latest BI updates with ambassadors before introducing them to the organization. Ambassadors may even be excited to test out new functionality.
      Recognition Featured in Communications BI ambassadors’ use cases and testimonials can be featured in BI communications. Be sure to create a formal announcement introducing the ambassadors to the organization.
      BI Ambassador Certificate A certificate is a formal way to recognize their efforts. They can also publicly display the certificate in their workspace.
      Rewards Appointed by Senior Executives Have the initial request to be a BI ambassador come from a senior executive to flatter the ambassador and position the role as a reward or an opportunity for success.
      BI Ambassador Awards Award an outstanding BI ambassador for the year. The award should be given by the CEO in a major corporate event.

      Activity: Plan for a BI ambassador network

      3.2.2

      2 hours

      Identify individuals within your organization to act as ambassadors for BI and a bridge between IT and business users.

      1. Obtain a copy of your latest organizational chart. Review your most up-to-date organizational chart and identify key BI consumers across a variety of functional units. In selecting potential BI ambassadors, reflect on the following questions:
      • Does this individual have a good relationship with IT?
      • What is the depth of their experience with developing/consuming business intelligence?
      • Is this individual respected and influential amongst their respective business units?
      • Has this individual shown a passion for innovating within their role?
    • Create a mandate and collateral detailing the roles and responsibilities for the ambassador role, e.g.:
      • Promote BI to members of your group
      • Represent the “voice of the data consumers”
    • Approach the ambassador candidates and explain the responsibilities and perks of the role, with the goal of enlisting about 10-15 ambassadors
    • Inputs

      • An updated organizational chart
      • A list of BI users

      Output

      • Draft framework for BI ambassador network

      Materials

      • BI Strategy and Roadmap Template or proprietary document

      Participants

      • Business executives
      • CIO
      • Head of BI
      • BI team

      Keeping tabs on metadata is essential to creating a data democracy with BI

      A next generation BI not only provides a platform that mirrors business requirements, but also creates a flexible environment that empowers business users to explore data assets without having to go back and forth with IT to complete queries.

      Business users are generally not interested in the underlying architecture or the exact data lineages; they want access to the data that matters most for decision-making purposes.

      Metadata is data about data

      It comes in the form of structural metadata (information about the spaces that contain data) and descriptive metadata (information pertaining to the data elements themselves), in order to answer questions such as:

      • What is the intended purpose of this data?
      • How up-to-date is this information?
      • Who owns this data?
      • Where is this data coming from?
      • How have these data elements been transformed?

      By creating effective metadata, business users are able to make connections between and bring together data sources from multiple areas, creating the opportunity for holistic insight generation.

      Like BI, metadata lies in the Information Dimension layer of our data management framework.

      The metadata needs to be understood before building anything. You need to identify fundamentals of the data, who owns not only that data, but also its metadata. You need to understand where the consolidation is happening and who owns it. Metadata is the core driver and cost saver for building warehouses and requirements gathering.

      – Albert Hui, Principal, Data Economist

      Deliver timely, high quality, and affordable information to enable fast and effective business decisions

      In order to maximize your ROI on business intelligence, it needs to be treated less like a one-time endeavor and more like a practice to be continually improved upon.

      Though the BI strategy provides the overall direction, the BI operating model – which encompasses organization structure, processes, people, and application functionality – is the primary determinant of efficacy with respect to information delivery. The alterations made to the operating model occur in the short term to improve the final deliverables for business users.

      An optimal BI operating model satisfies three core requirements:

      Timeliness

      Effectiveness

    • Affordability
    • Bring tangible benefits of your revamped BI strategy to business users by critically assessing how your organization delivers business intelligence and identifying opportunities for increased operational efficiency.

      Assess and Optimize BI Operations

      Focus on delivering timely, quality, and affordable information to enable fast and effective business decisions

      Implement a fit-for-purpose BI and analytics solution to augment your next generation BI strategy

      Organizations new to business intelligence or with immature BI capabilities are under the impression that simply getting the latest-and-greatest tool will provide the insights business users are looking for.

      BI technology can only be as effective as the processes surrounding it and the people leveraging it. Organizations need to take the time to select and implement a BI suite that aligns with business goals and fosters end-user adoption.

      As an increasing number of companies turn to business intelligence technology, vendors are responding by providing BI and analytics platforms with more and more features.

      Our vendor landscape will simplify the process of selecting a BI and analytics solution by:

      Differentiating between the platforms and features vendors are offering.

      Detailing a robust framework for requirements gathering to pinpoint your organization’s needs.

      Developing a high-level plan for implementation.

      Select and Implement a Business Intelligence and Analytics Solution

      Find the diamond in your data-rough using the right BI & Analytics solution

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-tech analysts:

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-tech analysts with your team:

      3.1.1-3.1.3

      Construct a BI improvement initiative roadmap

      During these activities, your team will consolidate the list of BI initiatives generated from the assessments conducted in previous phases, assign timelines to each action, prioritize them using a value–effort matrix, and finally produce a roadmap for implementing your organization’s BI improvement strategy.

      3.2

      Identify continuous improvement opportunities for BI

      Our analyst team will work with your organization to ideate supplementary programs to support your BI strategy. Defining Excel use cases that are permitted and prohibited in conjunction with your BI strategy, as well as structuring an internal BI ambassador network, are a few extra initiatives that can enhance your BI improvement plans.

      Insight breakdown

      Your BI platform is not a one-and-done initiative.

      A BI program is not a static project that is created once and remains unchanged. Your strategy must be treated as a living platform to be revisited and revitalized in order to provide effective enablement of business decision making. Develop a BI strategy that propels your organization by building it on business goals and objectives, as well as comprehensive assessments that quantitatively and qualitatively evaluate your current BI capabilities.

      Put the “B” back in “BI.”

      The closer you align your new BI platform to real business interests, the stronger will be the buy-in, realized value, and groundswell of enthusiastic adoption. Ultimately, getting this phase right sets the stage to best realize a strong ROI for your investment in the people, processes, and technology that will be your next generation BI platform.

      Go beyond the platform.

      BI success is not based solely on the technology it runs on; technology cannot mask gaps in capabilities. You must be capable in your environment – data management, data quality, and related data practices must be strong, otherwise the usefulness of the intelligence suffers. The best BI solution does not only provide a technology platform, but also addresses the elements that surround the platform. Look beyond tools and holistically assess the maturity of your BI practice with input from both the BI consumer and provider perspectives.

      Appendix

      Detailed list of BI Types

      Style Description Strategic Importance (1-5) Popularity (1-5) Effort (1-5)
      Standards Preformatted reports Standard, preformatted information for backward-looking analysis. 5 5 1
      User-defined analyses Pre-staged information where “pick lists” enable business users to filter (select) the information they wish to analyze, such as sales for a selected region during a selected previous timeframe. 5 4 2
      Ad-hoc analyses Power users write their own queries to extract self-selected pre-staged information and then use the information to perform a user-created analysis. 5 4 3
      Scorecards and dashboards Predefined business performance metrics about performance variables that are important to the organization, presented in a tabular or graphical format that enables business users to see at a glance how the organization is performing. 4 4 3
      Multidimensional analysis (OLAP) Multidimensional analysis (also known as On-line analytical processing): Flexible tool-based user-defined analysis of business performance and the underlying drivers or root causes of that performance. 4 3 3
      Alerts Predefined analyses of key business performance variables, comparison to a performance standard or range, and communication to designated businesspeople when performance is outside the predefined performance standard or range. 4 3 3
      Advanced Analytics Application of long-established statistical and/or operations research methods to historical business information to look backward and characterize a relevant aspect of business performance, typically by using descriptive statistics 5 3 4
      Predictive Analytics Application of long-established statistical and/or operations research methods to historical business information to predict, model, or simulate future business and/or economic performance and potentially prescribe a favored course of action for the future 5 3 5

      Our BI strategy approach follows Info-Tech’s popular IT Strategy Framework

      A comprehensive BI strategy needs to be developed under the umbrella of an overall IT strategy. Specifically, creating a BI strategy is contributing to helping IT mature from a firefighter to a strategic partner that has close ties with business units.

      1. Determine mandate and scope 2. Assess drivers and constraints 3. Evaluate current state of IT 4. Develop a target state vision 5. Analyze gaps and define initiatives 6. Build a roadmap 8. Revamp 7. Execute
      Mandate Business drivers Holistic assessments Vision and mission Initiatives Business-driven priorities
      Scope External drivers Focus-area specific assessments Guiding principles Risks
      Project charter Opportunities to innovate Target state vision Execution schedule
      Implications Objectives and measures

      This BI strategy blueprint is rooted in our road-tested and proven IT strategy framework as a systematic method of tackling strategy development.

      Research contributors

      Internal Contributors

      • Andy Woyzbun, Executive Advisor
      • Natalia Nygren Modjeska, Director, Data & Analytics
      • Crystal Singh, Director, Data & Analytic
      • Andrea Malick, Director, Data & Analytics
      • Raj Parab, Director, Data & Analytics
      • Igor Ikonnikov, Director, Data & Analytics
      • Andy Neill, Practice Lead, Data & Analytics
      • Rob Anderson, Manager Sales Operations
      • Shari Lava, Associate Vice-President, Vendor Advisory Practice

      External Contributors

      • Albert Hui, Principal, DataEconomist
      • Cameran Hetrick, Senior Director of Data Science & Analytics, thredUP
      • David Farrar, Director – Marketing Planning & Operations, Ricoh Canada Inc
      • Emilie Harrington, Manager of Analytics Operations Development, Lowe’s
      • Sharon Blanton, VP and CIO, The College of New Jersey
      • Raul Vomisescu, Independent Consultant

      Research contributors and experts

      Albert Hui

      Consultant, Data Economist

      Albert Hui is a cofounder of Data Economist, a data-consulting firm based in Toronto, Canada. His current assignment is to redesign Scotiabank’s Asset Liability Management for its Basel III liquidity compliance using Big Data technology. Passionate about technology and problem solving, Albert is an entrepreneur and result-oriented IT technology leader with 18 years of experience in consulting and software industry. His area of focus is on data management, specializing in Big Data, business intelligence, and data warehousing. Beside his day job, he also contributes to the IT community by writing blogs and whitepapers, book editing, and speaking at technology conferences. His recent research and speaking engagement is on machine learning on Big Data.

      Albert holds an MBA from the University of Toronto and a master’s degree in Industrial Engineering. He has twin boys and enjoys camping and cycling with them in his spare time.

      Albert Hui Consultant, Data Economist

      Cameran Hetrick

      Senior Director of Analytics and Data Science, thredUP

      Cameran is the Senior Director of Analytics and Data Science at thredUP, a startup inspiring a new generation to think second hand first. There she helps drives top line growth through advanced and predictive analytics. Previously, she served as the Director of Data Science at VMware where she built and led the data team for End User Computing. Before moving to the tech industry, she spent five years at The Disneyland Resort setting ticket and hotel prices and building models to forecast attendance. Cameran holds an undergraduate degree in Economics/Mathematics from UC Santa Barbara and graduated with honors from UC Irvine's MBA program.

      Cameran Hetrick Senior Director of Analytics and Data Science, thredUP

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      Prepare for Post-Quantum Cryptography

      • Buy Link or Shortcode: {j2store}268|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: Security Processes & Operations
      • Parent Category Link: /security-processes-and-operations
      • Fault-tolerant quantum computers, capable of breaking existing encryption algorithms and cryptographic systems, are widely expected to be available sooner than originally projected.
      • Data considered secure today may already be at risk due to the threat of harvest-now-decrypt-later schemes.
      • Many current security controls will be completely useless, including today's strongest encryption techniques.

      Our Advice

      Critical Insight

      The advent of quantum computing is closer than you think: some nations have already demonstrated capability with the potential to break current asymmetric-key encryption. Traditional encryption methods will no longer provide sufficient protection. You need to act now to begin your transformation to quantum-resistant encryption.

      Impact and Result

      • Developing quantum-resistant cryptography capabilities is crucial to maintaining data security and integrity for critical applications.
      • Organizations need to act now to begin their transformation to quantum-resistant encryption.
      • Data security (especially for sensitive data) should be an organization’s top priority. Organizations with particularly critical information need to be on top of this quantum movement.

      Prepare for Post-Quantum Cryptography Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Prepare for Post-Quantum Cryptography Storyboard – Research to help organizations to prepare and implement quantum-resistance cryptography solutions.

      Developing quantum-resistant cryptography capabilities is crucial to maintaining data security and integrity for critical applications. Organizations need to act now to begin their transformation to quantum-resistant encryption.

      • Prepare for Post-Quantum Cryptography Storyboard
      [infographic]

      Further reading

      Prepare for Post-Quantum Cryptography

      It is closer than you think, and you need to act now.

      Analyst Perspective

      It is closer than you think, and you need to act now.

      The quantum realm presents itself as a peculiar and captivating domain, shedding light on enigmas within our world while pushing the boundaries of computational capabilities. The widespread availability of quantum computers is expected to occur sooner than anticipated. This emerging technology holds the potential to tackle valuable problems that even the most powerful classical supercomputers will never be able to solve. Quantum computers possess the ability to operate millions of times faster than their current counterparts.

      As we venture further into the era of quantum mechanics, organizations relying on encryption must contemplate a future where these methods no longer suffice as effective safeguards. The astounding speed and power of quantum machines have the potential to render many existing security measures utterly ineffective, including the most robust encryption techniques used today. To illustrate, a task that currently takes ten years to crack through a brute force attack could be accomplished by a quantum computer in under five minutes.

      Amid this transition into a quantum future, the utmost priority for organizations remains data security, particularly safeguarding sensitive information. Organizations must proactively prepare for the development of countermeasures and essential resilience measures to attain a state of being "quantum safe."

      This is a picture of Alan Tang

      Alan Tang
      Principal Research Director, Security and Privacy
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      • Anticipated advancements in fault-tolerant quantum computers, surpassing existing encryption algorithms and cryptographic systems, are expected to materialize sooner than previously projected. The timeframe for their availability is diminishing daily.
      • Data that is presently deemed secure faces potential vulnerability due to the emergence of harvest-now-decrypt-later strategies.
      • Numerous contemporary security controls, including the most robust encryption techniques, have become obsolete and offer little efficacy.

      Common Obstacles

      • The complexity involved makes it challenging for organizations to incorporate quantum-resistant cryptography into their current IT infrastructure.
      • The endeavor of transitioning to quantum-resilient cryptography demands significant effort and time, with the specific requirements varying for each organization.
      • A lack of comprehensive understanding regarding the cryptographic technologies employed in existing IT systems poses difficulties in identifying and prioritizing systems for upgrading to post-quantum cryptography.

      Info-Tech's Approach

      • The development of quantum-resistant cryptography capabilities is essential for safeguarding the security and integrity of critical applications.
      • Organizations must proactively initiate their transition toward quantum-resistant encryption to ensure data protection.
      • Ensuring the security of corporate data assets should be of utmost importance for organizations, with special emphasis on those possessing highly critical information in light of the advancements in quantum technology.

      Info-Tech Insight

      The advent of quantum computing (QC) is closer than you think: some nations have demonstrated capability with the potential to break current asymmetric-key encryption. Traditional encryption methods will no longer be sufficient as a means of protection. You need to act now to begin your transformation to quantum-resistant encryption.

      Evolvement of QC theory and technologies

      1900-1975

      1976-1997

      1998-2018

      2019-Now

      1. 1900: Max Planck – The energy of a particle is proportional to its frequency: E = hv, where h is a relational constant.
      2. 1926: Erwin Schrödinger – Since electrons can affect each other's states, their energies change in both time and space. The total energy of a particle is expressed as a probability function.
      1. 1976: Physicist Roman Stanisław Ingarden publishes the paper "Quantum Information Theory."
      2. 1980: Paul Benioff describes the first quantum mechanical model of a computer.
      3. 1994: Peter Shor publishes Shor's algorithm.
      1. 1998: A working 2-qubit NMR quantum computer is used to solve Deutsch's problem by Jonathan A. Jones and Michele Mosca at Oxford University.
      2. 2003: DARPA Quantum Network becomes fully operational.
      3. 2011: D-Wave claims to have developed the first commercially available quantum computer, D-Wave One.
      4. 2018: the National Quantum Initiative Act was signed into law by President Donald Trump.
      1. 2019: A paper by Google's quantum computer research team was briefly available, claiming the project has reached quantum supremacy.
      2. 2020: Chinese researchers claim to have achieved quantum supremacy, using a photonic peak 76-qubit system known as Jiuzhang.
      3. 2021: Chinese researchers reported that they have built the world's largest integrated quantum communication network.
      4. 2022: The Quantinuum System Model H1-2 doubled its performance claiming to be the first commercial quantum computer to pass quantum volume 4096.

      Info-Tech Insight

      The advent of QC will significantly change our perception of computing and have a crucial impact on the way we protect our digital economy using encryption. The technology's applicability is no longer a theory but a reality to be understood, strategized about, and planned for.

      Fundamental physical principles and business use cases

      Unlike conventional computers that rely on bits, quantum computers use quantum bits or qubits. QC technology surpasses the limitations of current processing powers. By leveraging the properties of superposition, interference, and entanglement, quantum computers have the capacity to simultaneously process millions of operations, thereby surpassing the capabilities of today's most advanced supercomputers.

      A 2021 Hyperion Research survey of over 400 key decision makers in North America, Europe, South Korea, and Japan showed nearly 70% of companies have some form of in-house QC program.

      Three fundamental QC physical principles

      1. Superposition
      2. Interference
      3. Entanglement

      This is an image of two headings, Optimization; and Simulation. there are five points under each heading, with an arrow above pointing left to right, labeled Qbit Count.

      Info-Tech Insight

      Organizations need to reap the substantial benefits of QC's power, while simultaneously shielding against the same technologies when used by cyber adversaries.

      Percentage of Surveyed Companies That Have QC Programs

      • 31% Have some form of in-house QC program
      • 69% Have no QC program

      Early adopters and business value

      QC early adopters see the promise of QC for a wide range of computational workloads, including machine learning applications, finance-oriented optimization, and logistics/supply chain management.

      This is an image of the Early Adopters, and the business value drivers.

      Info-Tech Insight

      Experienced attackers are likely to be the early adopters of quantum-enabled cryptographic solutions, harnessing the power of QC to exploit vulnerabilities in today's encryption methods. The risks are particularly high for industries that rely on critical infrastructure.

      The need of quantum-safe solution is immediate

      Critical components of classical cryptography will be at risk, potentially leading to the exposure of confidential and sensitive information to the general public. Business, technology, and security leaders are confronted with an immediate imperative to formulate a quantum-safe strategy and establish a roadmap without delay.

      Case Study – Google, 2019

      In 2019, Google claimed that "Our Sycamore processor takes about 200 seconds to sample one instance of a quantum circuit a million times—our benchmarks currently indicate that the equivalent task for a state-of-the-art classical supercomputer would take approximately 10,000 years."
      Source: Nature, 2019

      Why You Should Start Preparation Now

      • The complexity with integrating QC technology into existing IT infrastructure.
      • The effort to upgrade to quantum-resilient cryptography will be significant.
      • The amount of time remaining will decrease every day.

      Case Study – Development in China, 2020

      On December 3, 2020, a team of Chinese researchers claim to have achieved quantum supremacy, using a photonic peak 76-qubit system (43 average) known as Jiuzhang, which performed calculations at 100 trillion times the speed of classical supercomputers.
      Source: science.org, 2020

      Info-Tech Insight

      The emergence of QC brings forth cybersecurity threats. It is an opportunity to regroup, reassess, and revamp our approaches to cybersecurity.

      Security threats posed by QC

      Quantum computers have reached a level of advancement where even highly intricate calculations, such as factoring large numbers into their primes, which serve as the foundation for RSA encryption and other algorithms, can be solved within minutes.

      Threat to data confidentiality

      QC could lead to unauthorized decryption of confidential data in the future. Data confidentiality breaches also impact improperly disposed encrypted storage media.

      Threat to authentication protocols and digital governance

      A recovered private key, which is derived from a public key, can be used through remote control to fraudulently authenticate a critical system.

      Threat to data integrity

      Cybercriminals can use QC technology to recover private keys and manipulate digital documents and their digital signatures.

      Example:

      Consider RSA-2048, a widely used public-key cryptosystem that facilitates secure data transmission. In a 2021 survey, a majority of leading authorities believed that RSA-2048 could be cracked by quantum computers within a mere 24 hours.
      Source: Quantum-Readiness Working Group, 2022

      Info-Tech Insight

      The development of quantum-safe cryptography capabilities is of utmost importance in ensuring the security and integrity of critical applications' data.

      US Quantum Computing Cybersecurity Preparedness Act

      The US Congress considers cryptography essential for the national security of the US and the functioning of the US economy. The Quantum Computing Cybersecurity Preparedness Act was introduced on April 18, 2022, and became a public law (No: 117-260) on December 21, 2022.

      Purpose

      The purpose of this Act is to encourage the migration of Federal Government information technology systems to quantum-resistant cryptography, and for other purposes.

      Scope and Exemption

      • Scope: Systems of government agencies.
      • Exemption: This Act shall not apply to any national security system.

      Main Obligations

      Responsibilities

      Requirements
      Inventory Establishment Not later than 180 days after the date of enactment of this Act, the Director of OMB, shall issue guidance on the migration of information technology to post-quantum cryptography.
      Agency Reports "Not later than 1 year after the date of enactment of this Act, and on an ongoing basis thereafter, the head of each agency shall provide to the Director of OMB, the Director of CISA, and the National Cyber Director— (1) the inventory described in subsection (a)(1); and (2) any other information required to be reported under subsection (a)(1)(C)."
      Migration and Assessment "Not later than 1 year after the date on which the Director of NIST has issued post-quantum cryptography standards, the Director of OMB shall issue guidance requiring each agency to— (1) prioritize information technology described under subsection (a)(2)(A) for migration to post-quantum cryptography; and (2) develop a plan to migrate information technology of the agency to post-quantum cryptography consistent with the prioritization under paragraph (1)."

      "It is the sense of Congress that (1) a strategy for the migration of information technology of the Federal Government to post-quantum cryptography is needed; and (2) the government wide and industry-wide approach to post- quantum cryptography should prioritize developing applications, hardware intellectual property, and software that can be easily updated to support cryptographic agility." – Quantum Computing Cybersecurity Preparedness Act

      The development of post-quantum encryption

      Since 2016, the National Institute of Standards and Technology (NIST) has been actively engaged in the development of post-quantum encryption standards. The objective is to identify and establish standardized cryptographic algorithms that can withstand attacks from quantum computers.

      NIST QC Initiative Key Milestones

      Date Development
      Dec. 20, 2016 Round 1 call for proposals: Announcing request for nominations for public-key post-quantum cryptographic algorithms
      Nov. 30, 2017 Deadline for submissions – 82 submissions received
      Dec. 21, 2017 Round 1 algorithms announced (69 submissions accepted as "complete and proper")
      Jan. 30, 2019 Second round candidates announced (26 algorithms)

      July 22, 2020

      Third round candidates announced (7 finalists and 8 alternates)

      July 5, 2022

      Announcement of candidates to be standardized and fourth round candidates
      2022/2024 (Plan) Draft standards available

      Four Selected Candidates to be Standardized

      CRYSTALS – Kyber

      CRYSTALS – Dilithium

      FALCON

      SPHINCS+

      NIST recommends two primary algorithms to be implemented for most use cases: CRYSTALS-KYBER (key-establishment) and CRYSTALS-Dilithium (digital signatures). In addition, the signature schemes FALCON and SPHINCS+ will also be standardized.

      Info-Tech Insight

      There is no need to wait for formal NIST PQC standards selection to begin your post-quantum mitigation project. It is advisable to undertake the necessary steps and allocate resources in phases that can be accomplished prior to the finalization of the standards.

      Prepare for post-quantum cryptography

      The advent of QC is closer than you think: some nations have demonstrated capability with the potential to break current asymmetric-key encryption. Traditional encryption methods will no longer be sufficient as a means of protection. You need to act now to begin your transformation to quantum-resistant encryption.

      This is an infographic showing the three steps: Threat is Imminent; Risks are Profound; and Take Acton Now.

      Insight summary

      Overarching Insight

      The advent of QC is closer than you think as some nations have demonstrated capability with the potential to break current asymmetric-key encryption. Traditional encryption methods will no longer be sufficient as a means of protection. You need to act now to begin your transformation to quantum-resistant encryption.

      Business Impact Is High

      The advent of QC will significantly change our perception of computing and have a crucial impact on the way we protect our digital economy using encryption. The technology's applicability is no longer a theory but a reality to be understood, strategized about, and planned for.

      It's a Collaborative Effort

      Embedding quantum resistance into systems during the process of modernization requires collaboration beyond the scope of a Chief Information Security Officer (CISO) alone. It is a strategic endeavor shaped by leaders throughout the organization, as well as external partners. This comprehensive approach involves the collective input and collaboration of stakeholders from various areas of expertise within and outside the organization.

      Leverage Industry Standards

      There is no need to wait for formal NIST PQC standards selection to begin your post-quantum mitigation project. It is advisable to undertake the necessary steps and allocate resources in phases that can be accomplished prior to the finalization of the standards.

      Take a Holistic Approach

      The advent of QC poses threats to cybersecurity. It's a time to regroup, reassess, and revamp.

      Blueprint benefits

      IT Benefits

      Business Benefits

      • This blueprint will help organizations to discover and then prioritize the systems to be upgraded to post-quantum cryptography.
      • This blueprint will enable organizations to integrate quantum-resistant cryptography into existing IT infrastructure.
      • Developing quantum-resistant cryptography capabilities is crucial to maintaining data security and integrity for critical applications.
      • This blueprint will help organizations to save effort and time needed upgrade to quantum-resilient cryptography.
      • Organizations will reap the substantial benefits of QC's power, while simultaneously shielding against the same technologies when used by cyber adversaries.
      • Avoid reputation and brand image by preventing data breach and leakage.
      • This blueprint will empower organizations to protect corporate data assets in the post-quantum era.
      • Be compliant with various security and privacy laws and regulations.

      Info-Tech Project Value

      Time, value, and resources saved to obtain buy-in from senior leadership team using our research material:

      1 FTEs*10 days*$100,000/year = $6,000

      Time, value, and resources saved to implement quantum-resistant cryptography using our research guidance:

      2 FTEs* 30 days*$100,000/year = $24,000

      Estimated cost and time savings from this blueprint:

      $6,000 + $24,000 =$30,000

      Get prepared for a post-quantum world

      The advent of sufficiently powerful quantum computers poses a risk of compromising or weakening traditional forms of asymmetric and symmetric cryptography. To safeguard data security and integrity for critical applications, it is imperative to undertake substantial efforts in migrating an organization's cryptographic systems to post-quantum encryption. The development of quantum-safe cryptography capabilities is crucial in this regard.

      Phase 1 - Prepare

      • Obtain buy-in from leadership team.
      • Educate your workforce about the upcoming transition.
      • Create defined projects to reduce risks and improve crypto-agility.

      Phase 2 - Discover

      • Determine the extent of your exposed data, systems, and applications.
      • Establish an inventory of classical cryptographic use cases.

      Phase 3 - Assess

      • Assess the security and data protection risks posed by QC.
      • Assess the readiness of transforming existing classical cryptography to quantum-resilience solutions.

      Phase 4 - Prioritize

      • Prioritize transformation plan based on criteria such as business impact, near-term technical feasibility, and effort, etc.
      • Establish a roadmap.

      Phase 5 - Mitigate

      • Implement post-quantum mitigations.
      • Decommissioning old technology that will become unsupported upon publication of the new standard.
      • Validating and testing products that incorporate the new standard.

      Phase 1 – Prepare: Protect data assets in the post-quantum era

      The rise of sufficiently powerful quantum computers has the potential to compromise or weaken conventional asymmetric and symmetric cryptography methods. In anticipation of a quantum-safe future, it is essential to prioritize crypto-agility. Consequently, organizations should undertake specific tasks both presently and in the future to adequately prepare for forthcoming quantum threats and the accompanying transformations.

      Quantum-resistance preparations must address two different needs:

      Reinforce digital transformation initiatives

      To thrive in the digital landscape, organizations must strengthen their digital transformation initiatives by embracing emerging technologies and novel business practices. The transition to quantum-safe encryption presents a unique opportunity for transformation, allowing the integration of these capabilities to evolve business transactions and relationships in innovative ways.

      Protect data assets in the post-quantum era

      Organizations should prioritize supporting remediation efforts aimed at ensuring the quantum safety of existing data assets and services. The implementation of crypto-agility enables organizations to respond promptly to cryptographic vulnerabilities and adapt to future changes in cryptographic standards. This proactive approach is crucial, as the need for quantum-safe measures existed even before the complexities posed by QC emerged.

      Preparation for the post-quantum world has been recommended by the US government and other national bodies since 2016.

      In 2016, NIST, the National Security Agency (NSA), and Central Security Service stated in their Commercial National Security Algorithm Suite and QC FAQ: "NSA believes the time is now right [to start preparing for the post-quantum world] — consistent with advances in quantum computing."
      Source: Cloud Security Alliance, 2021

      Phase 1 – Prepare: Key tasks

      Preparing for quantum-resistant cryptography goes beyond simply acquiring knowledge and conducting experiments in QC. It is vital for senior management to receive comprehensive guidance on the challenges, risks, and potential mitigations associated with the post-quantum landscape. Quantum and post-quantum education should be tailored to individuals based on their specific roles and the impact of post-quantum mitigations on their responsibilities. This customized approach ensures that individuals are equipped with the necessary knowledge and skills relevant to their respective roles.

      Leadership Buy-In

      • Get senior management commitment to post-quantum project.
      • Determine the extent of exposed data, systems, and applications.
      • Identify near-term, achievable cryptographic maturity goals, creating defined projects to reduce risks and improve crypto-agility.

      Roles and Responsibilities

      • The ownership should be clearly defined regarding the quantum-resistant cryptography program.
      • This should be a cross-functional team within which members represent various business units.

      Awareness and Education

      • Senior management needs to understand the strategic threat to the organization and needs to adequately address the cybersecurity risk in a timely fashion.
      • Educate your workforce about the upcoming transition. All training and education should seek to achieve awareness of the following items with the appropriate stakeholders.

      Info-Tech Insight

      Embedding quantum resistance into systems during the process of modernization requires collaboration beyond the scope of a CISO alone. It is a strategic endeavor shaped by leaders throughout the organization, as well as external partners. This comprehensive approach involves the collective input and collaboration of stakeholders from various areas of expertise within and outside the organization.

      Phase 2 – Discover: Establish a data protection inventory

      During the discovery phase, it is crucial to locate and identify any critical data and devices that may require post-quantum protection. This step enables organizations to understand the algorithms in use and their specific locations. By conducting this thorough assessment, organizations gain valuable insights into their existing infrastructure and cryptographic systems, facilitating the implementation of appropriate post-quantum security measures.

      Inventory Core Components

      1. Description of devices and/or data
      2. Location of all sensitive data and devices
      3. Criticality of the data
      4. How long the data or devices need to be protected
      5. Effective cryptography in use and cryptographic type
      6. Data protection systems currently in place
      7. Current key size and maximum key size
      8. Vendor support timeline
      9. Post-quantum protection readiness

      Key Things to Consider

      • The accuracy and thoroughness of the discovery phase are critical factors that contribute to the success of a post-quantum project.
      • It is advisable to conduct this discovery phase comprehensively across all aspects, not solely limited to public-key algorithms.
      • Performing a data protection inventory can be a time-consuming and challenging phase of the project. Breaking it down into smaller subtasks can help facilitate the process.
      • Identifying all information can be particularly challenging since data is typically scattered throughout an organization. One approach to begin this identification process is by determining the inputs and outputs of data for each department and team within the organization.
      • To ensure accountability and effectiveness, it is recommended to assign a designated individual as the ultimate owner of the data protection inventory task. This person should have the necessary responsibilities and authority to successfully accomplish the task.

      Phase 3 – Assess: The workflow

      Quantum risk assessment entails evaluating the potential consequences of QC on existing security measures and devising strategies to mitigate these risks. This process involves analyzing the susceptibility of current systems to attacks by quantum computers and identifying robust security measures that can withstand QC threats.

      Risk Assessment Workflow

      This is an image of the Risk Assessment Workflow

      By identifying the security gaps that will arise with the advent of QC, organizations can gain insight into the substantial vulnerabilities that core business operations will face when QC becomes a prevalent reality. This proactive understanding enables organizations to prepare and implement appropriate measures to address these vulnerabilities in a timely manner.

      Phase 4 – Prioritize: Balance business value, security risks, and effort

      Organizations need to prioritize the mitigation initiatives based on various factors such as business value, level of security risk, and the effort needed to implement the mitigation controls. In the diagram below, the size of the circle reflects the degree of effort. The bigger the size, the more effort is needed.

      This is an image of a chart where the X axis represents Security Risk level, and the Y axis is Business Value.

      QC Adopters Anticipated Annual Budgets

      This is an image of a bar graph showing the Anticipated Annual Budgets for QC Adopters.
      Source: Hyperion Research, 2022

      Hyperion's survey found that the range of expected budget varies widely.

      • The most selected option, albeit by only 38% of respondents, was US$5 million to US$15 million.
      • About one-third of respondents foresaw annual budgets that exceeded US$15 million, and one-fifth expected budgets to exceed US$25 million.

      Build your risk mitigation roadmap

      2 hours

      1. Review the quantum-resistance initiatives generated in Phase 3 – Assessment.
      2. With input from all stakeholders, prioritize the initiatives based on business value, security risks, and effort using the 2x2 grid.
      3. Review the position of all initiatives and adjust accordingly considering other factors such as dependency, etc.
      4. Place prioritized initiatives to a wave chart.
      5. Assign ownership and target timeline for each initiative.

      This is an image the Security Risk Vs. Business value graph, above an image showing Initiatives Numbered 1-7, divided into Wave 1; Wave 2; and Wave 3.

      Input

      • Data protection inventory created in phase 2
      • Risk assessment produced in phase 3
      • Business unit leaders' and champions' understanding (high-level) of challenges posed by QC

      Output

      • Prioritization of quantum-resistance initiatives

      Materials

      • Whiteboard/flip charts
      • Sticky notes
      • Pen/whiteboard markers

      Participants

      • Quantum-resistance program owner
      • Senior leadership team
      • Business unit heads
      • Chief security officer
      • Chief privacy officer
      • Chief information officer
      • Representatives from legal, risk, and governance

      Phase 5 – Mitigate: Implement quantum-resistant encryption solutions

      To safeguard against cybersecurity risks and threats posed by powerful quantum computers, organizations need to adopt a robust defense-in-depth approach. This entails implementing a combination of well-defined policies, effective technical defenses, and comprehensive education initiatives. Organizations may need to consider implementing new cryptographic algorithms or upgrading existing protocols to incorporate post-quantum encryption methods. The selection and deployment of these measures should be cost-justified and tailored to meet the specific needs and risk profiles of each organization.

      Governance

      Implement solid governance mechanisms to promote visibility and to help ensure consistency

      • Update policies and documents
      • Update existing acceptable cryptography standards
      • Update security and privacy audit programs

      Industry Standards

      • Stay up to date with newly approved standards
      • Leverage industry standards (i.e. NIST's post-quantum cryptography) and test the new quantum-safe cryptographic algorithms

      Technical Mitigations

      Each type of quantum threat can be mitigated using one or more known defenses.

      • Physical isolation
      • Replacing quantum-susceptible cryptography with quantum-resistant cryptography
      • Using QKD
      • Using quantum random number generators
      • Increasing symmetric key sizes
      • Using hybrid solutions
      • Using quantum-enabled defenses

      Vendor Management

      • Work with key vendors on a common approach to quantum-safe governance
      • Assess vendors for possible inclusion in your organization's roadmap
      • Create acquisition policies regarding quantum-safe cryptography

      Research Contributors and Experts

      This is a picture of Adib Ghubril

      Adib Ghubril
      Executive Advisor, Executive Services
      Info-Tech Research Group

      This is a picture of Erik Avakian

      Erik Avakian
      Technical Counselor
      Info-Tech Research Group

      This is a picture of Alaisdar Graham

      Alaisdar Graham
      Executive Counselor
      Info-Tech Research Group

      This is a picture of Carlos Rivera

      Carlos Rivera
      Principal Research Advisor
      Info-Tech Research Group

      This is a picture of Hendra Hendrawan

      Hendra Hendrawan
      Technical Counselor
      Info-Tech Research Group

      This is a picture of Fritz Jean-Louis

      Fritz Jean-Louis
      Principal Cybersecurity Advisor
      Info-Tech Research Group

      Bibliography

      117th Congress (2021-2022). H.R.7535 - Quantum Computing Cybersecurity Preparedness Act. congress.gov, 21 Dec 2022.
      Arute, Frank, et al. Quantum supremacy using a programmable superconducting processor. Nature, 23 Oct 2019.
      Bernhardt, Chris. Quantum Computing for Everyone. The MIT Press, 2019.
      Bob Sorensen. Quantum Computing Early Adopters: Strong Prospects For Future QC Use Case Impact. Hyperion Research, Nov 2022.
      Candelon, François, et al. The U.S., China, and Europe are ramping up a quantum computing arms race. Here's what they'll need to do to win. Fortune, 2 Sept 2022.
      Curioni, Alessandro. How quantum-safe cryptography will ensure a secure computing future. World Economic Forum, 6 July 2022.
      Davis, Mel. Toxic Substance Exposure Requires Record Retention for 30 Years. Alert presented by CalChamber, 18 Feb 2022.
      Eddins, Andrew, et al. Doubling the size of quantum simulators by entanglement forging. arXiv, 22 April 2021.
      Gambetta, Jay. Expanding the IBM Quantum roadmap to anticipate the future of quantum-centric supercomputing. IBM Research Blog, 10 May 2022.
      Golden, Deborah, et al. Solutions for navigating uncertainty and achieving resilience in the quantum era. Deloitte, 2023.
      Grimes, Roger, et al. Practical Preparations for the Post-Quantum World. Cloud Security Alliance, 19 Oct 2021.
      Harishankar, Ray, et al. Security in the quantum computing era. IBM Institute for Business Value, 2023.
      Hayat, Zia. Digital trust: How to unleash the trillion-dollar opportunity for our global economy. World Economic Forum, 17 Aug 2022.
      Mateen, Abdul. What is post-quantum cryptography? Educative, 2023.
      Moody, Dustin. Let's Get Ready to Rumble—The NIST PQC 'Competition.' NIST, 11 Oct 2022.
      Mosca, Michele, Dr. and Dr. Marco Piani. 2021 Quantum Threat Timeline Report. Global Risk Institute, 24 Jan 2022.
      Muppidi, Sridhar and Walid Rjaibi. Transitioning to Quantum-Safe Encryption. Security Intelligence, 8 Dec 2022.
      Payraudeau, Jean-Stéphane, et al. Digital acceleration: Top technologies driving growth in a time of crisis. IBM Institute for Business Value, Nov 2020.
      Quantum-Readiness Working Group (QRWG). Canadian National Quantum-Readiness- Best Practices and Guidelines. Canadian Forum for Digital Infrastructure Resilience (CFDIR), 17 June 2022.
      Rotman, David. We're not prepared for the end of Moore's Law. MIT Technology Review, 24 Feb 2020.
      Saidi, Susan. Calculating a computing revolution. Roland Berger, 2018.
      Shorter., Ted. Why Companies Must Act Now To Prepare For Post-Quantum Cryptography. Forbes.com, 11 Feb 2022.
      Sieger, Lucy, et al. The Quantum Decade, Third edition. IBM, 2022.
      Sorensen, Bob. Broad Interest in Quantum Computing as a Driver of Commercial Success. Hyperion Research, 17 Nov 2021.
      Wise, Jason. How Much Data is Created Every Day in 2022? Earthweb, 22 Sept 2022.
      Wright, Lawrence. The Plague Year. The New Yorker, 28 Dec 2020.
      Yan, Bao, et al. Factoring integers with sublinear resources on a superconducting quantum processor. arXiv, 23 Dec 2022.
      Zhong, Han-Sen, et al. Quantum computational advantage using photons. science.org, 3 Dec 2020.

      Modernize Your Applications

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      • Parent Category Name: Architecture & Strategy
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      • Application modernization is essential to stay competitive and productive in today’s digital environment. Your stakeholders have outlined their digital business goals that IT is expected to meet.
      • Your application portfolio cannot sufficiently support the flexibility and efficiency the business needs because of legacy challenges.
      • Your teams do not have a framework to illustrate, communicate, and justify the modernization effort and organizational changes in the language your stakeholders understand.

      Our Advice

      Critical Insight

      • Build your digital applications around continuous modernization. End-user needs, technology, business direction, and regulations rapidly change in today’s competitive and fast-paced industry. This reality will quickly turn your modern applications into shelfware. Build continuous modernization at the center of your digital application vision to keep up with evolving business, end-user, and IT needs.
      • Application modernization is organizational change management. If you build and modernize it, they may not come. The crux of successful application modernization is centered on the strategic, well-informed, and onboarded adoption of changes in key business areas, capabilities, and processes. Organizational change management must be front and center so that applications are fit for purpose and are something that end users want and need to use.
      • Business-IT collaboration is not optional. Application modernization will not be successful if your lines of business (LOBs) and IT are not working together. IT must empathize how LOBs operate and proactively support the underlying operational systems. LOBs must be accountable for all products leveraging modern technologies and be able to rationalize the technical feasibility of their digital application vision.

      Impact and Result

      • Establish the digital application vision. Gain a grounded understanding of the digital application construct and prioritize these attributes against your digital business goals.
      • Define your modernization approach. Obtain a thorough view of your business and technical complexities, risks, and impacts. Employ the right modernization techniques based on your organization’s change tolerance.
      • Build your roadmap. Clarify the organizational changes needed to support modernization and adoption of your digital applications.

      Modernize Your Applications Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should strategically modernize your applications, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Set your vision

      Describe your application vision and set the right modernization expectations with your stakeholders.

      • Modernize Your Applications – Phase 1: Set Your Vision

      2. Identify your modernization opportunities

      Focus your modernization efforts on the business opportunities that your stakeholders care about.

      • Modernize Your Applications – Phase 2: Identify Your Modernization Opportunities

      3. Plan your modernization

      Describe your modernization initiatives and build your modernization tactical roadmap.

      • Modernize Your Applications – Phase 3: Plan Your Modernization
      [infographic]

      Workshop: Modernize Your Applications

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Set Your Vision

      The Purpose

      Discuss the goals of your application modernization initiatives

      Define your digital application vision and priorities

      List your modernization principles

      Key Benefits Achieved

      Clear application modernization objectives and high priority value items

      Your digital application vision and attributes

      Key principles that will guide your application modernization initiatives

      Activities

      1.1 State Your Objectives

      1.2 Characterize Your Digital Application

      1.3 Define Your Modernization Principles

      Outputs

      Application modernization objectives

      Digital application vision and attributes definitions

      List of application modernization principles and guidelines

      2 Identify Your Modernization Opportunities

      The Purpose

      Identify the value streams and business capabilities that will benefit the most from application modernization

      Conduct a change tolerance assessment

      Build your modernization strategic roadmap

      Key Benefits Achieved

      Understanding of the value delivery improvements modernization can bring

      Recognizing the flexibility and tolerance of your organization to adopt changes

      Select an approach that best fits your organization’s goals and capacity

      Activities

      2.1 Identify the Opportunities

      2.2 Define Your Modernization Approach

      Outputs

      Value streams and business capabilities that are ideal modernization opportunities

      Your modernization strategic roadmap based on your change tolerance and modernization approach

      3 Plan Your Modernization

      The Purpose

      Identify the most appropriate modernization technique and the scope of changes to implement your techniques

      Develop an actionable tactical roadmap to complete your modernization initiatives

      Key Benefits Achieved

      Clear understanding of what must be changed to the organization and application considering your change tolerance

      An achievable modernization plan

      Activities

      3.1 Shortlist Your Modernization Techniques

      3.2 Roadmap Your Modernization Initiatives

      Outputs

      Scope of your application modernization initiatives

      Your modernization tactical roadmap

      Collaborate Effectively in Microsoft Teams

      • Buy Link or Shortcode: {j2store}63|cart{/j2store}
      • member rating overall impact (scale of 10): N/A
      • member rating average dollars saved: N/A
      • member rating average days saved: N/A
      • Parent Category Name: End-User Computing Applications
      • Parent Category Link: /end-user-computing-applications

      Your organization has adopted Microsoft Teams, but users are not maximizing their use of it.

      • IT needs to support the business to get the best value out of Microsoft Teams: managing Teams effectively while also enabling end users to use Teams creatively.
      • IT must follow best practices for evaluation of new functionality when integrating Microsoft and third-party apps and also communicate changes to end users.
      • Due in part to the frequent addition of new features and lack of communication and training, many organizations don’t know which apps would benefit their users.

      Our Advice

      Critical Insight

      Collaboration is as much an art as a science. IT can help users collaborate more effectively in Teams by removing friction – while still maintaining guardrails – for users attempting to build out and experiment with features and capabilities.

      Impact and Result

      Use Info-Tech’s Collaborate Effectively in Microsoft Teams to help collaboration flourish:

      • Collate key organizational collaboration use cases.
      • Prioritize the most important Teams apps and features to support use cases.
      • Implement request process for new Teams apps.
      • Communicate new Teams collaboration functionality.

      Collaborate Effectively in Microsoft Teams Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Collaborate Effectively in Microsoft Teams Deck – Maximize the use of your chosen collaboration software solution.

      Set up your users for Teams collaboration success. Create a process that improves their ability to access, understand, and maximize their use of your chosen collaboration software solution.

      • Collaborate Effectively in Microsoft Teams Storyboard

      2. Microsoft Teams End-User Satisfaction Survey – Capture end-user feedback on their collaborative use of Microsoft Teams.

      The survey responses will inform your organization's collaboration use cases for Teams and help you to identify which features and apps to enable.

      • Microsoft Teams End-User Satisfaction Survey

      3. Microsoft Teams Planning Tool – A tool to help prioritize features to implement.

      Use this Excel tool to help you document the organization’s key collaboration use cases and prioritize which Teams apps to implement and encourage adoption on.

      • Microsoft Teams Planning Tool
      [infographic]

      Further reading

      Collaborate Effectively in Microsoft Teams

      Empower your users to explore Teams collaboration beyond the basics.

      Analyst Perspective

      Life after Teams implementation

      You have adopted Teams, implemented it, and painted an early picture for your users on the basics. However, your organization is not yet maximizing its use of Teams' collaboration capabilities. Although web conferencing, channel-based collaboration, and chat are the most obvious ways Teams supports collaboration, users must explore Teams' functionality further to harness the application's full potential.

      You should enable your users to expand their collaboration use cases in Teams, but not at the risk of being flooded with app requests, nor user confusion or dissatisfaction. Instead, develop a process to evaluate and integrate new apps that will benefit the organization. Encourage your users to request new apps that will benefit them, while proactively planning for app integration that users should be alerted to.

      Photo of Emily Sugerman, Research Analyst, Infrastructure and Operations, Info-Tech Research Group. Emily Sugerman
      Research Analyst, Infrastructure and Operations
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Your organization has adopted Microsoft Teams, but users are not getting the maximum benefit.

      • IT needs to support the business to get the best value out of Microsoft Teams: managing Teams effectively while enabling end-user creativity.
      • IT must follow best practices for evaluating new functionality when integrating Microsoft and third-party apps, while communicating changes to end users.
      • Due partly to the frequent addition of new features and lack of communication and training, many organizations don't know which apps would benefit their users.

      Common Obstacles

      • Users are unenthusiastic about exploring Teams further due to negative past experiences, preference for other applications, or indifference.
      • End users are unaware of the available range of features. When they become aware and try to add unapproved or unlicensed apps, they experience the frustration of being declined.
      • Users seek support from IT who are unfamiliar with new Teams features an apps, or with supporting Teams beyond the basics.
      • IT teams have no process to raise end-user awareness of these apps and functionality.

      Info-Tech's Approach

      Use Info-Tech's Collaborate Effectively in Microsoft Teams to help collaboration flourish:

      • Collate key organizational collaboration use cases
      • Prioritize the most important Teams apps and features to support use cases
      • Implement request process for new Teams apps
      • Communicate new Teams collaboration functionality

      Info-Tech Insight

      Collaboration is as much an art as a science. IT can help users collaborate more effectively in Teams by removing friction – while still maintaining guardrails – for users attempting to build out and experiment with features and capabilities.

      Are your users in a Teams rut?

      Are users failing to maximize their use of Teams to collaborate and get work done?

      Teams can do much more than chat, video conferencing, and document sharing. A fully-deployed Teams also lets users leverage apps and advanced collaboration features.

      However, IT must create a process for evaluating and approving Microsoft and third-party apps, and for communicating changes to end users.

      In the end, IT needs to support the business to get the best value out of Microsoft Teams: managing Teams effectively while also enabling end-user creativity.

      Third-party app use in Teams is rising:

      “Within Teams, the third-party apps with 10,000 users and above rose nearly 40% year-over-year.”
      Source: UC Today, 2023.

      Collaborate effectively in Microsoft Teams

      Set up your users for Teams collaboration success. Create a process that improves their ability to access, understand, and maximize their use of your chosen collaboration software solution.

      Challenges with Teams collaboration

      • Lack of motivation to explore available features
      • Scattered information
      • Lack of comfort using Teams beyond the basics
      • Blocked apps
      • Overlapping features
      • Confusing permissions

      Empowering Collaboration in Microsoft Teams

      1. Identify current collaboration challenges and use cases in Teams
      2. Create Teams app request workflows
      3. Set up communication hubs in Teams
      4. Empower end users to customize their Teams for effective collaboration

      Solution

      • Collate key organizational collaboration use cases
      • Prioritize the most important Teams apps and features to support use cases
      • Implement request process for new Teams apps
      • Communicate new Teams collaboration functionality

      Project deliverables

      Use these tools to develop your plan to enable effective collaboration in Microsoft Teams.

      Key deliverable:

      Microsoft Teams Planning Tool

      An Excel tool for documenting the organization's key collaboration use cases and prioritizing which Teams apps to implement and encourage adoption of.

      Sample of the Microsoft Teams Planning Tool deliverable.

      Additional support:

      Microsoft Teams End-User Satisfaction Survey

      Use or adapt this survey to capture user perception of how effectively Teams supports collaboration needs.

      Sample of the End-user satisfaction survey deliverable.

      Insight Summary

      Key Insight:

      Collaboration is as much an art as a science. IT can help users collaborate more effectively in Teams by removing friction – while still maintaining guardrails – for users attempting to build out and experiment with features and capabilities.

      Additional insights:

      Insight 1

      Users can browse the Teams app store and attempt to add unapproved apps, but they may not be able to distinguish between available and blocked apps. To avoid a bad user experience, communicate which apps they can add without additional approval and which they will need to send through an approval process.

      Insight 2

      Teams lets you customize the message users see when they request unapproved apps and/or redirect their request to your own URL. Review this step in the request process to ensure users are seeing the instructions that they need to see.

      Insight 3

      A Teams hub is where users can access a service catalog of approved Teams apps and submit service requests for new ones via the Make a Request button.

      Section 1: Collaborating Effectively in Teams for IT

      Section 1

      Collaborating Effectively in Teams for IT

      Section 2

      Collaborating Effectively in Teams for End Users

      Stop: Do you need the Teams Cookbook?

      If you:

      • are at the Teams implementation stage,
      • require IT best practices for initial governance of Teams creation, or
      • require end-user best practices for basic Teams functionality …

      Consult the Microsoft Teams Cookbook first.

      Understand the Microsoft vision of Teams collaboration

      Does it work for you?

      Microsoft's vision for Teams collaboration is to enable end-user freedom. For example, out of the box, users can create their own teams and channels unless IT restricts this ability.

      Teams is meant to be more than just chats and meetings. Microsoft is pushing Teams app integration so that Teams becomes, essentially, a landing page from which users can centralize their work and org updates.

      In partnership with the business, IT must determine which guardrails are necessary to balance end-user collaboration and creativity with the need for governance and control.

      Why is it difficult to increase the caliber of collaboration in Teams?

      Because collaboration is inherently messy, complex, and creative

      Schubert & Glitsch find that enterprise collaboration systems (such as Teams) have characteristics that reflect the unstructured and creative nature of collaboration. These systems “are designed to support joint work among people in the workplace. . . [They] contain, for the most part, unstructured content such as documents, blogs, or news posts,” and their implementations “are often reported to follow a ‘bottom up' and rather experimental introduction approach.” The open-endedness of the tool requires users to be able to creatively and voluntarily apply it, which in turn requires more enterprise effort to help increase adoption over time through trial and error.

      Source: Procedia Computer Science, 2015

      Info-Tech Insight

      Collaboration is as much an art as a science. IT can help users collaborate more effectively in Teams by removing friction – while still maintaining guardrails – for users attempting to build out and experiment with features and capabilities.

      Activity 1: Identify current challenges

      Input: Team input, Survey results
      Output: List of Teams challenges experienced by the organization
      Materials: Whiteboard (digital or physical)
      Participants: Teams collaboration working group

      First, identify what works and what doesn't for your users in Teams

      • Have users reported any challenges with Teams as their primary means of channel-based collaboration? Run a short survey to capture end-user sentiment on how Teams works for them. This survey can be set up and distributed through Microsoft Forms. Distribute either to the whole organization or a specific focus group. Gather feedback from users on the following: What are the major ways they need to collaborate to do their jobs? What IT-supported tools do they need to support this collaboration? What specific aspects of Teams do they want to better exploit?
      • If you send out transactional surveys on service desk tickets, run a report on Teams-related tickets to identify common complaints.
      • Brainstorm Teams challenges IT has experienced personally or have seen reported – especially difficulties with collaboration.
      • Once you have the data, group the challenges into themes. Are the challenges specifically related to collaboration? Data issues? Support issues? Access issues? Technical issues? Document them in tab 2 of the Microsoft Teams Planning Tool.

      Download the Microsoft Teams End-User Satisfaction Survey template

      Define your organization's key collaboration scenarios

      Next, identify what users need to do in Teams

      The term collaboration scenarios has been proposed to describe the types of collaboration behavior your software – in this case, Teams – must support (Schubert & Glitsch, 2015). A successful implementation of this kind of tool requires that you “identif[y] use cases and collaboration scenarios that best suit a specific company and the people working in it” (Schubert & Glitsch, 2016).

      Teams tends to support the following kinds of collaboration and productivity goals (see list).

      What types of collaboration scenarios arise in the user feedback in the previous activity? What do users most need to do?

      Be proactive: Configure Microsoft Teams to match collaboration scenarios/use cases your users must engage in. This will help prevent an increase in shadow IT, where users attempt to bring in unapproved/unreviewed software that might duplicate your existing service catalog and/or circumvent the proper review and procurement process.

      MS Teams Use Cases

      1. Gather feedback
      2. Collaboratively create content
      3. Improve project & task management
      4. Add media content
      5. Conduct knowledge management
      6. Increase meeting effectiveness
      7. Increase employee engagement
      8. Enhance professional development
      9. Provide or access support
      10. Add third-party apps

      Activity 2: Match your collaboration scenarios to Teams capabilities

      Input: Collaboration scenarios, Teams use cases
      Output: Ranked list of Teams features to implement and/or promote
      Materials: Microsoft Teams Planning Tool
      Participants: Teams collaboration working group

      Which features support the key collaboration use cases?

      1. Using the Microsoft Teams Planning Tool, list your organization's key collaboration scenarios. Draw on the data returned in the previous activity. List them in Tab 2.
      2. See the following slide for the types of collaboration use cases Teams is designed to support. In the planning tool, select use cases that best match your organizational collaboration scenarios.
      3. Dive into more specific features on Tab 3, which are categorized by collaboration use case. Where do users' collaboration needs align with Teams' inherent capabilities? Add lines in Tab C for the third-party apps that you are considering adding to Teams.
      4. In columns B and C of Tab 3, decide and prioritize the candidates for implementation. Review the list of prioritized features on tab 4.

      NB: Microsoft has introduced a Teams Premium offering, with additional capabilities for meetings and webinars (including customized banding, meeting watermarks, and virtual webinar green rooms) and will paywall some features previously available without Premium (live caption translations, meeting data on attendee departure/arrival times) (“What is Microsoft Teams Premium?”, n.d.)

      Download the Microsoft Teams Planning Tool

      MS Teams productivity & collab features

      Teams apps & collaboration features enable the following types of work. When designing collaboration use cases, identify which types of collaboration are necessary, then explore each category in depth.

      1. Gather feedback

        Solicit feedback and comments, and provide updates
      2. Collaboratively create content

        Compose as a group, with live-synced changes
      3. Improve project & task management

        Keep track of projects and tasks
      4. Add media content

        Enrich Teams conversations with media, and keep a library of video resources
      5. Knowledge management

        Pull together document libraries and make information easier to find
      6. Increase meeting effectiveness

        Facilitate interactions and document meeting outcomes
      7. Increase employee engagement

        Use features that enhance social interaction among Teams users
      8. Enhance professional development

        Find resources to help achieve professional goals
      9. Provide or access support

        IT and user-facing resources for accessing and/or providing support
      10. Add third-party apps

        Understand the availability/restrictions of the built-in Teams app catalog

      The Teams app store

      • The lure of the app store: Your users will encounter a mix of supported and unsupported applications, some of which they can access, some for which you have no licenses, some built by your organization, some built by Microsoft or third parties. However, the distinction between these categories may not be immediately apparent to users. Microsoft does not remove blocked apps from users' view.
      • Users may attempt to add unsupported apps and then receive error messages or prompts to send a request through Teams to IT for approval.
      • App add-ins are not limited to those built by Microsoft Corporation. The Teams app store also features a plethora of third-party apps that can provide value.
      • However, their third-party status introduces another set of complications.
      • Attempting to add third-party apps may expose users to sales pitches and encourage the implementation of shadow IT, circumventing the IT request process.

      Info-Tech Insight

      Users can browse and attempt to add unapproved apps in the Teams app store, but they may have difficulty distinguishing between available and blocked apps. To avoid a bad user experience, communicate to your users which apps they can add without additional approval, and which must be sent through an approval process.

      Decide how you will evaluate requests for new Teams apps

      • As you encourage users to explore and fully utilize Teams, you may see increased requests for admin approval for apps you do not currently support.
      • To prevent disorganized response and user dissatisfaction, build out a workflow for handling new/unapproved Teams app requests. Ensure the workflow accounts for Microsoft and third-party apps.
      • What must you consider when integrating third-party tools? You must have control over what users may add. These requests should follow, or build upon, your existing process for non-standard requests, including a process for communicating the change.
      • Track the fulfillment time for Teams app requests. The longer the user must wait for a response, the more their satisfaction will decline.

      icrosoft suggests that you regularly review the app usage report in the Teams admin center as “a signal about the demand for an app within your organization.” This will help you proactively determine which apps to evaluate for approval.

      Build request workflow for unsupported Teams apps

      What are the key steps?

      1. Request comes in
      2. Review by a technical review team
      3. Review by service desk or business analyst
      4. Additional operational technical reviews if necessary
      5. Procurement and installation
      6. Communication of result to requester
      7. App added to the catalog so it can be used by others

      Example workflow of a 'Non-Standard Software Request Process'.

      Info-Tech Insight

      Teams allows you to customize the message users see when they request an unapproved app and/or redirect their request to your own URL. Review this step in the request process to ensure your users are seeing the instructions that they need to see.

      Download the Service Request Workflow library

      Incorporate new approved service requests into a service request catalog

      Follow the process in Reduce Shadow IT With a Service Request Catalog to build out a robust request management process and service catalog to continuously incorporate new non-standard requests and advertise new Teams apps:

      • Design the service
      • Design the catalog
      • Build the catalog
      • Market the service

      Sample of the 'Reduce Shadow IT With a Service Request Catalog' blueprint.

      Add a company hub to Teams

      Use Teams to help users access the company intranet for organizational information that is relevant to their roles.

      This can be done in two ways:

      1. By adding a SharePoint home site to Teams.
      2. By leveraging Viva Connections: A hub to access other apps and Viva services. The user sees a personalized dashboard, feed, and resources.

      Venn diagram with two circles 'Viva Connections - App-based employee experience where individuals get their work done' and 'Home Sites - Portal that features organizational news, events, and supplemental resources'. The overlapping middle has a list: 'News, Shared navigation, Integrates with M365, Developer platforms & management, Audience targeting, Web parts, Permissions'. (Venn diagram recreated from Microsoft Learn, 2023.)

      Info-Tech Insight

      The hub is where users can access a service catalog of approved Teams apps and submit service requests for a new one via a Make a Request button.

      Communicate changes to Teams

      Let end users know what's available and how to add new productivity tools.

      Where will users find approved Teams apps? How will you inform people about what's available? Once a new app is available, how is this communicated?

      Options:

      • Communicate new Teams features in high-visibility places (e.g. the Hub).
      • Leverage the Power Apps Bulletins app in Teams to communicate regular announcements about new features.
      • Create a company-wide Team with a channel called “What's New in Teams.” Post updates on new features and integrations, and link to more detailed knowledgebase articles on how to use the new features.
      • Aim for the sweet spot of communication frequency: not too much nor too little.

      Measure your success

      Determine how you will evaluate the success of your efforts to improve the Teams collaboration experience

      Improved satisfaction with Teams: Increased net promoter score (NPS)

      Utilization of features: Increased daily average users on key features, apps, integrations

      Timeliness: % of SLAs met for service request fulfillment

      Improved communication to end users about Teams' functionality: Satisfaction with knowledgebase articles on Teams

      Satisfaction with communication from IT

      Section 2: Collaborating Effectively in Teams for End Users

      Section 1

      Collaborating Effectively in Teams for IT

      Section 2

      Collaborating Effectively in Teams for End Users

      For IT: Use this section to help users understand Teams collaboration features

      Share the collateral in this section with your users to support their deeper exploration of Teams collaboration.

      • Use the Microsoft Teams Planning Tool to prepare a simple service catalog of the features and apps available to your users.
      • Edit Tab 2 (MS Teams Collab Features & Apps) by deleting the blocked apps/features.
      • Share this document with your users by linking to it via this image on the following slides:
      Sample of the Microsoft Teams Planning Tool deliverable.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      End-user customization of Teams

      Consider how you want to set up your Teams view. Add the apps you already use to have them at your fingertips in Teams.

      You can . . .

      1. Customize your navigation bar by pinning your preferred apps and working with them within Teams (Microsoft calls these personal apps).
      2. Customize your message bar by adding the app extensions you find most useful. Screenshot of the message bar with the 3-dot highlighted.
      3. Customize chats and Teams by adding tabs with content your group needs frequent access to. Screenshot of MS Teams tabs with the plus sign highlighted.
      4. Set up connectors to send notifications from apps to a Team and bots to answer questions and automate simple tasks. Screenshot of the 'Set up a connector' button.

      Learn more from Microsoft here

      MS Teams productivity & collab features

      The Apps catalog includes a range of apps that users may add to channels, chat, or the navigation bar. Teams also possesses other collaboration features that may be underused in your organization.

      1. Gather feedback

        Solicit feedback and comments, and provide updates
      2. Collaboratively create content

        Compose as a group, with live-synced changes
      3. Improve project & task management

        Keep track of projects and tasks
      4. Add media content

        Enrich Teams conversations with media, and keep a library of video resources
      5. Knowledge management

        Pull together document libraries and make information easier to find
      6. Increase meeting effectiveness

        Facilitate interactions and document meeting outcomes
      7. Increase employee engagement

        Use features that enhance social interaction among Teams users
      8. Enhance professional development

        Find resources to help achieve professional goals
      9. Provide or access support

        IT and user-facing resources for accessing and/or providing support
      10. Add third-party apps

        Understand the availability/restrictions of the built-in Teams app catalog

      Samples of four features: 'Prioritize with a voting table', 'Launch a live meeting poll', 'Launch a survey', and 'Request an update'.

      Download the Microsoft Teams Collaboration Tool for an expanded list of features & apps

      Use integrated Teams features to gather feedback and provide updates

      • Vote: Create a list of items for teams to brainstorm pros and cons, and then tabulate votes on. This component can be edited inline by anyone with whom the component is shared. The edits will sync anywhere the component is shared.
      • Meeting polls: Capture instant feedback from teams, chat, and call participants. Participant anonymity can be set by the poll organizer. Results can be exported.
      • Create surveys and quizzes and share the results. Results can be exported.
      • Create, track, and review updates and progress reports from teams and individuals.

      Collaboratively create content

      Samples of four features: 'Add Office suite docs', 'Brainstorm in Whiteboard', 'Add Loop components', and 'Take notes in OneNote'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Use integrated Teams features composed as a group, with live-synced changes

      • Microsoft Office documents: Add/upload files to a chat or channel discussion. Find them again in the Files tab or add the file itself as a tab to a chat or channel and edit it within Teams.
      • Brainstorm with the Whiteboard application. Add a whiteboard to a tab or to a meeting.
      • Add Loop components to a chat: Create a list, checklist, paragraph, or table that can be edited in real time by anyone in the chat.
      • Add OneNote to a chat or channel tab or use during a meeting to take notes. Pin OneNote to your app bar if it's one of your most frequently-used apps.

      Improve project & task management

      Samples of four features: 'Request approvals and updates', 'Add & track tasks', 'Create a personal notespace', and 'Manage workflows'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Keep track of projects and tasks

      • Use the Approvals and Update apps to create, track, and respond to requests for approvals and progress reports within Teams.
      • Use Tasks by Planner & To Do to track both individual and team tasks. Pin the Tasks app to the app bar, add a plan as a tab to a Team, and turn any Teams message into a task by right-clicking on it.
      • Start a chat with yourself to maintain a private space to jot down quick notes.
      • Add Lists to a Teams channel.
      • Explore automation: Add pre-built Teams workflows from the Workflows app, or build new ones in PowerAutomate
      • IT teams may leverage Teams apps like Azure Boards, Pipelines, Repos, AD notifications, and GitHub.

      Add media content

      Samples of four features: 'Share news stories', 'Share YouTube videos', 'Share Stream content', and 'Add RSS feeds'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Enrich Teams conversations with media, and keep a library of video resources

      • Search for and add specific news stories to a chat or channel. See recent news stories in search.
      • Search, share, and watch YouTube videos.
      • Share video links from Microsoft Stream.
      • Add RSS feeds.

      Knowledge management

      Samples of four features: 'SharePoint Pages', 'SharePoint document library', 'SharePoint News', and 'Who'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Pull together document libraries and make information easier to find

      • Add a page from an existing SharePoint site to a Team as a tab.
      • Add a SharePoint document library to a Team as a tab.
      • Search names of members of your organization to learn about their role, place in the organizational structure, and contact information.

      Increase meeting effectiveness

      Samples of four features: 'Take meeting notes', 'Set up a Q&A', 'Use live captions', and 'Record and transcribe meetings'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Facilitate interactions and document meeting outcomes

      • Take simple notes during a meeting.
      • Start conversations and ask and answer questions in a dedicated Q&A space during the Teams meeting.
      • Turn on live captions during the meeting.
      • Record a meeting and automatically generate a transcript of the meeting.
      • Assign attendees to breakout rooms.
      • Track the effectiveness of the meeting by producing an attendance report with the number of attendees, the meeting start/end time, a list of the attendees, and participation in activities.

      Increase employee engagement

      Samples of four features: 'Send praise', 'Build an avatar', 'Add video effects', and 'Play games during meetings'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Use features that enhance social interaction among Teams users

      • Send supportive comments to colleagues using Praise.
      • Build out digital avatars to toggle on during meetings instead of your own video.
      • Apply different visual effects, filters, and backgrounds to your screen during meetings.
      • Games for Work: Launch icebreaker games during a meeting.
      • Translate a Teams message from another language to your default language.
      • Send emojis, GIFs, and stickers in messages or as reactions to others' messages. You can also send reactions live during meetings to increase meeting engagement.

      Enhance professional development

      Samples of four features: 'Launch Viva Learning', 'Turn on Speaker Coach', 'Viva Insights', and 'Viva Goals'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      Connect with learning resources and apply data-driven feedback based on Teams usage

      • Add learning materials from various course catalogs in Viva Learning.
      • Speaker Coach: Receive AI feedback on your performance as a speaker during a meeting.
      • Receive automatically generated insights and suggestions from Viva Insights on work habits and time allocation to different work activities.
      • Viva Goals: Track organizational "objectives and key results"/manage organizational goals

      Provide or access support

      Samples of four features: 'Access MS Support', 'Manage Teams & M365', 'Deploy power virtual agents', and 'Consult MS resource center'.

      Download the Microsoft Teams Planning Tool for an expanded list of features & apps

      IT and user-facing resources for accessing or providing support

      • Admin: Carry out simple Teams management tasks (for IT).
      • Power Virtual Agents: Build out chatbots to answer user questions (can be built by IT and end users for their customers).
      • Resource Center: A combination of pre-built Microsoft resources (tips, templates) with resources provided by organizational IT.
      • Support: Access Microsoft self-serve knowledgebase articles (for IT).

      Add third-party apps

      Understand the availability/restrictions of the built-in Teams app catalog

      • App add-ins are not limited to those built by Microsoft Corporation. The Teams app store also features a plethora of third-party apps that may provide value.
      • However, being able to view an app in the app store does not necessarily mean it's supported or licensed by your organization.
      • Teams will allow users to request access to apps, which will then be evaluated by your IT support team. Follow your service desk's recommended request process for requesting and justifying the addition of a new Teams app that is not currently supported.
      • Before making the request, investigate existing Teams features to determine if the functionality is already available.

      Research contributors

      Mike Cavanagh
      Global Service Desk Manager
      Clearwater Seafoods LP

      Info-Tech contributors:

      Benedict Chang, Senior Advisory Analyst

      John Donovan, Principal Research Director

      Allison Kinnaird, Practice Lead

      P.J. Ryan, Research Director

      Natalie Sansone, Research Director

      Christine West, Managing Partner

      Related Info-Tech Research

      Sample of the 'Reduce Shadow IT with a Service Request Catalog' blueprint.

      Reduce Shadow IT With a Service Request Catalog

      Foster business relationships through sourcing-as-a-service. There is a direct correlation between service delivery dissatisfaction and increases in shadow IT. Whether the goal is to reduce shadow IT or gain control, improved customer service and fast delivery are key to making lasting changes.

      Sample of the 'Microsoft Teams Cookbook' blueprint.

      Microsoft Teams Cookbook

      Recipes for best practices and use cases for Teams. Microsoft Teams is not a standalone app. Successful utilization of Teams occurs when conceived in the broader context of how it integrates with M365. Understanding how information flows between Teams, SharePoint Online, and OneDrive for Business, for instance, will aid governance with permissions, information storage, and file sharing.

      Sample of the 'Govern Office 365 (M365)' blueprint.

      Govern Office 365

      You bought it. Use it right. Map your organizational goals to the administration features available in the Office 365/M365 console. Your governance should reflect your requirements.

      Bibliography

      Mehta, Tejas. “The Home Site App for Microsoft Teams.” Microsoft Community Hub. https://techcommunity.microsoft.com/t5/microsoft-sharepoint-blog/the-home-site-app-for-microsoft-teams/ba-p/1714255.

      Overview: Viva Connections. 7 Mar. 2023, https://learn.microsoft.com/en-us/viva/connections/viva-connections-overview.

      Rogers, Laura. “SharePoint Home Site in Teams.” Wonderlaura, 24 Jun 2021. https://wonderlaura.com/2021/06/24/sharepoint-home...

      Schubert, Petra, and Johannes H. Glitsch. “Adding Structure to Enterprise Collaboration Systems: Identification of Use Cases and Collaboration Scenarios.” Procedia Computer Science, vol. 64, Jan. 2015, pp. 161–69. ScienceDirect, https://doi.org/10.1016/j.procs.2015.08.477.

      Schubert, Petra, and Johannes Glitsch. “Use Cases and Collaboration Scenarios: How Employees Use Socially-Enabled Enterprise Collaboration Systems (ECS).” International Journal of Information Systems and Project Management, vol. 4, no. 2, Jan. 2016, pp. 41–62.

      Thompson, Mark. “User Requests for Blocked Apps in the Teams Store.” Supersimple365, 5 Apr 2022, https://supersimple365.com/user-requests-for-apps-...

      “What is Microsoft Teams Premium?” Breakwater IT, n.d., https://breakwaterit.co.uk/guides/microsoft-teams-...

      Wills, Jonny. “Microsoft Teams Monthly Users Hits 280 Million.” UC Today, 25 Jan. 2023, https://www.uctoday.com/unified-communications/microsoft-teams-monthly-users-hits-280-million/.

      Generative AI: Market Primer

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      • Parent Category Name: Data Management
      • Parent Category Link: /data-management
      • Much of the organization remains in the dark for understanding what Gen AI is, complicated by ambiguous branding from vendors claiming to provide Gen AI solutions.
      • Searching the market for a Gen AI platform is nearly impossible, owing to the sheer number of vendors.
      • The evaluative criteria for selecting a Gen AI platform are unclear.

      Our Advice

      Critical Insight

      • You cannot rush Gen AI selection and implementation. Organizations with (1) FTEs devoted to making Gen AI work (including developers and business intelligence analysts), (2) trustworthy and regularly updated data, and (3) AI governance are just now reaching PoC testing.
      • Gen AI is not a software category – it is an umbrella concept. Gen AI platforms will be built on different foundational models, be trained in different ways, and provide varying modalities. Do not expect Gen AI platforms to be compared against the same parameters in a vendor quadrant.
      • Bad data is the tip of the iceberg for Gen AI risks. While Gen AI success will be heavily reliant on the quality of data it is fine-tuned on, there are independent risks organizations must prepare for, from Gen AI hallucinations and output reliability to infrastructure feasibility and handling high-volume events.
      • Prepare for ongoing instability in the Gen AI market. If your organization is unsure about where to start with Gen AI, the secure route is to examine what your enterprise providers are offering. Use this as a learning platform to confidently navigate which specialized Gen AI provider will be viable for meeting your use cases.

      Impact and Result

      • Consensus on Gen AI scope and key Gen AI capabilities
      • Identification of your readiness to leverage Gen AI applications
      • Agreement on Gen AI evaluative criteria
      • Knowledge of vendor viability

      Generative AI: Market Primer Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Generative AI: Market Primer – Contextualize the marketspace and prepare for generative AI selection.

      Use Info-Tech’s best practices for setting out a selection roadmap and evaluative criteria for narrowing down vendors – both enterprise and specialized providers.

      • Generative AI: Market Primer Storyboard
      • Data Governance Policy
      • AI Governance Storyboard
      • AI Architecture Assessment and Project Planning Tool
      • AI Architecture Assessment and Project Planning Tool – Sample
      • AI Architecture Templates
      [infographic]

      Further reading

      Generative AI: Market Primer

      Cut through Gen AI buzzwords to achieve market clarity.

      Analyst Perspective

      The generative AI (Gen AI) marketspace is complex, nascent, and unstable.

      Organizations need to get clear on what Gen AI is, its infrastructural components, and the governance required for successful platform selection.

      Thomas Randall

      The urge to be fast-moving to leverage the potential benefits of Gen AI is understandable. There are plenty of opportunities for Gen AI to enrich an organization’s use cases – from commercial to R&D to entertainment. However, there are requisites an organization needs to get right before Gen AI can be effectively applied. Part of this is ensuring data and AI governance is well established and mature within the organization. The other part is contextualizing Gen AI to know what components of this market the organization needs to invest in.

      Owing to its popularity surge, OpenAI’s ChatGPT has become near synonymous with Gen AI. However, Gen AI is an umbrella concept that encompasses a variety of infrastructural architecture. Organizations need to ask themselves probing questions if they are looking to work with OpenAI: Does ChatGPT rest on the right foundational model for us? Does ChatGPT offer the right modalities to support our organization’s use cases? How much fine-tuning and prompt engineering will we need to perform? Do we require investment in on-premises infrastructure to support significant data processing and high-volume events? And do we require FTEs to enable all this infrastructure?

      Use this market primer to quickly get up to speed on the elements your organization might need to make the most of Gen AI.

      Thomas Randall

      Advisory Director, Info-Tech Research Group

      Executive Summary

      Your Challenge

      • Much of the organization remains in the dark for understanding what Gen AI is, complicated by ambiguous branding from vendors claiming to provide Gen AI solutions.
      • Searching the market for a Gen AI platform is near impossible, owing to the sheer number of vendors.
      • The evaluative criteria for selecting a Gen AI platform is unclear.

      Common Obstacles

      • Data governance is immature within the organization. There is no source of truth or regularly updated organizational process assets.
      • AI functionality is not well understood within the organization; there is little AI governance for monitoring and controlling its use.
      • The extent of effort and resources required to make Gen AI a success remains murky.

      Info-Tech's Solution

      This market primer for Gen AI will help you:

      1. Contextualize the Gen AI market: Learn what components of Gen AI an organization should consider to make Gen AI a success.
      2. Prepare for Gen AI selection: Use Info-Tech’s best practices for setting out a selection roadmap and evaluative criteria for narrowing down vendors – both enterprise and specialized providers.

      “We are entering the era of generative AI.
      This is a unique time in our history where the benefits of AI are easily accessible and becoming pervasive with co-pilots emerging in the major business tools we use today. The disruptive capabilities that can potentially drive dramatic benefits also introduces risks that need to be planned for.”

      Bill Wong, Principal Research Director – Data and BI, Info-Tech Research Group

      Who benefits from this project?

      This research is designed for:

      • Senior IT, developers, data staff, and project managers who:
        • Have received a mandate from their executives to begin researching the Gen AI market.
        • Need to quickly get up to speed on the state of the Gen AI market, given no deep prior knowledge of the space.
        • Require an overview of the different components to Gen AI to contextualize how vendor comparisons and selections can be made.
        • Want to gain an understanding of key trends, risks, and evaluative criteria to consider in their selection process.

      This research will help you:

      • Articulate the potential business value of Gen AI to your organization.
      • Establish which high-value use cases could be enriched by Gen AI functionality.
      • Assess vendor viability for enterprise and specialized software providers in the Gen AI marketspace.
      • Collect information on the prerequisites for implementing Gen AI functionality.
      • Develop relevant evaluative criteria to assist differentiating between shortlisted contenders.

      This research will also assist:

      • Executives, business analysts, and procurement teams who are stakeholders in:
        • Contextualizing the landscape for learning opportunities.
        • Gathering and documenting requirements.
        • Building deliverables for software selection projects.
        • Managing vendors, especially managing the relationships with incumbent enterprise software providers.

      This research will help you:

      • Identify examples of how Gen AI applications could be leveraged for your organization’s core use cases.
      • Verify the extent of Gen AI functionality an incumbent enterprise provider has.
      • Validate accuracy of Gen AI language and architecture referenced in project deliverables.

      Insight Summary

      You cannot speedrun Gen AI selection and implementation.

      Organizations with (1) FTEs devoted to making Gen AI work (including developers and business intelligence analysts), (2) trustworthy and regularly updated data, and (3) AI governance are just now reaching PoC testing.

      Gen AI is not a software category – it is an umbrella concept.

      Gen AI platforms will be built on different foundational models, be trained in different ways, and provide varying modalities. Do not expect to compare Gen AI platforms to the same parameters in a vendor quadrant.

      Bad data is the tip of the iceberg for Gen AI risks.

      While Gen AI success will be heavily reliant on the quality of data it is fine-tuned on, there are independent risks organizations must prepare for: from Gen AI hallucinations and output reliability to infrastructure feasibility to handle high-volume events.

      Gen AI use may require changes to sales incentives.

      If you plan to use Gen AI in a commercial setting, review your sales team’s KPIs. They are rewarded for sales velocity; if they are the human-in-the-loop to check for hallucinations, you must change incentives to ensure quality management.

      Prepare for ongoing instability in the Gen AI market.

      If your organization is unsure about where to start with Gen AI, the secure route is to examine what your enterprise providers are offering. Use this as a learning platform to confidently navigate which specialized Gen AI provider will be viable for meeting your use cases.

      Brace for a potential return of on-premises infrastructure to power Gen AI.

      The market trend has been for organizations to move to cloud-based products. Yet, for Gen AI, effective data processing and fine-tuning may call for organizations to invest in on-premises infrastructure (such as more GPUs) to enable their Gen AI to function effectively.

      Info-Tech’s methodology for understanding the Gen AI marketspace

      Phase Steps

      1. Contextualize the Gen AI marketplace

      1. Define Gen AI and its components.
      2. Explore Gen AI trends.
      3. Begin deriving Gen AI initiatives that align with business capabilities.

      2. Prepare for and understand Gen AI platform offerings

      1. Review Gen AI selection best practices and requisites for effective procurement.
      2. Determine evaluative criteria for Gen AI solutions.
      3. Explore Gen AI offerings with enterprise and specialized providers.
      Phase Outcomes
      1. Achieve consensus on Gen AI scope and key Gen AI capabilities.
      2. Identify your readiness to leverage Gen AI applications.
      3. Hand off to Build Your Generative AI Roadmap to complete pre-requisites for selection.
      1. Determine whether deeper data and AI governance is required; if so, hand off to Create an Architecture for AI.
      2. Gain consensus on Gen AI evaluative criteria.
      3. Understand vendor viability.

      Guided Implementation

      Phase 1

      Phase 2

      • Call #1: Discover if Gen AI is right for your organization. Understand what a Gen AI platform is and discover the art of the possible.
      • Call #2: To take advantage of Gen AI, perform a business capabilities analysis to begin deriving Gen AI initiatives.
      • Call #3: Explore whether Gen AI initiatives can be achieved either with incumbent enterprise players or via procurement of specialized solutions.
      • Call #4: Evaluate vendors and perform final due diligence.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      The Gen AI market evaluation process should be broken into segments:

      1. Gen AI market education with this primer
      2. Structured approach to selection
      3. Evaluation and final due diligence

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful"

      Guided Implementation

      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track."

      Workshop

      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting

      "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Software selection engagement

      Five advisory calls over a five-week period to accelerate your selection process

      • Receive expert analyst guidance over five weeks (on average) to select and negotiate software.
      • Save money, align stakeholders, speed up the process, and make better decisions.
      • Use a repeatable, formal methodology to improve your application selection process.
      • Get better, faster results guaranteed, included in membership.
      Software selection process timeline. Week 1: Awareness - 1 hour call, Week 2: Education & Discovery - 1 hour call, Week 3: Evaluation - 1 hour call, Week 4: Selection - 1 hour call, Week 5: Negotiation & Configuration - 1 hour call.

      Click here to book your selection engagement.

      Software selection workshops

      40 hours of advisory assistance delivered online.

      Select better software, faster.

      • 40 hours of expert analyst guidance
      • Project and stakeholder management assistance
      • Save money, align stakeholders, speed up the process, and make better decisions
      • Better, faster results guaranteed; 25K standard engagement fee
      Software selection process timeline. Week 1: Awareness - 5 hours of Assistance, Week 2: Education & Discovery - 10 hours of assistance, Week 3: Evaluation - 10 hours of assistance, Week 4: Selection - 10 hours of assistance, Week 5: Negotiation & Configuration - 10 hours of assistance.

      Click here to book your workshop engagement.

      Understand and Apply Internet-of-Things Use Cases to Drive Organizational Success

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      • Parent Category Name: Customer Relationship Management
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      • The Internet of Things (IoT) is a rapidly proliferating technology – connected devices have experienced unabated growth over the last ten years.
      • The business wants to capitalize on the IoT and move the needle forward for proactive customer service and operational efficiency.
      • Moreover, IT wants to maintain its reputation as forward-thinking, and the business wants to be innovative.

      Our Advice

      Critical Insight

      • Leverage Info-Tech’s comprehensive three-phase approach to IoT projects: understand the fundamentals of IoT capabilities, assess where the IoT will drive value within the organization, and present findings to stakeholders.
      • Conduct a foundational IoT discussion with stakeholders to level set expectations about the technology’s capabilities.
      • Determine your organization’s approach to the IoT in terms of both hardware and software.
      • Determine which use case your organization fits into: three of the use cases highlighted in this report include predictive customer service, smart offices, and supply chain applications.

      Impact and Result

      • Our methodology addresses the possible issues by using a case-study approach to demonstrate the “Art of the Possible” for the IoT.
      • With an understanding of the IoT, it is possible to find applicable use cases for this emerging technology and get a leg up on competitors.

      Understand and Apply Internet-of-Things Use Cases to Drive Organizational Success Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why your organization should care about the IoT’s potential to transform the service and the workplace, and how Info-Tech will support you as you identify and build your IoT use cases.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Understand core IoT use cases

      Analyze the scope of the IoT and the three most prominent enterprise use cases.

      • Understand and Apply Internet-of-Things Use Cases to Drive Organizational Success – Phase 1: Understand Core IoT Use Cases

      2. Build the business case for IoT applications

      Develop and prioritize use cases for the IoT using Info-Tech’s IoT Initiative Framework.

      • Understand and Apply Internet-of-Things Use Cases to Drive Organizational Success – Phase 2: Build the Business Case for IoT Initiatives

      3. Present IoT initiatives to stakeholders

      Present the IoT initiative to stakeholders and understand the way forward for the IoT initiative.

      • Understand and Apply Internet-of-Things Use Cases to Drive Organizational Success – Phase 3: Present IoT Initiatives to Stakeholders
      • Internet of Things Stakeholder Presentation Template
      [infographic]

      Define Service Desk Metrics That Matter

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      • Parent Category Name: Service Desk
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      • Consolidate your metrics and assign context and actions to ones currently tracked.
      • Establish tension metrics to see and tell the whole story.
      • Split your metrics for each stakeholder group. Assign proper cadences for measurements as a first step to building an effective dashboard.

      Our Advice

      Critical Insight

      • Identify the metrics that serve a real purpose and eliminate the rest. Establish a formal review process to ensure metrics are still valid, continue to provide the answers needed, and are at a manageable and usable level.

      Impact and Result

      • Tracking goal- and action-based metrics allows you to make meaningful, data-driven decisions for your service desk. You can establish internal benchmarks to set your own baselines.
      • Predefining the audience and cadence of each metric allows you to construct targeted dashboards to aid your metrics analysis.

      Define Service Desk Metrics That Matter Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Define Service Desk Metrics That Matter Storyboard – A deck that shows you how to look beyond benchmarks and rely on internal metrics to drive success.

      Deciding which service desk metrics to track and how to analyze them can be daunting. Use this deck to narrow down your goal-oriented metrics as a starting point and set your own benchmarks.

      • Define Service Desk Metrics That Matter Storyboard

      2. Service Desk Metrics Workbook – A tool to organize your service desk metrics.

      For each metric, consider adding the relevant overall goal, audience, cadence, and action. Use the audience and cadence of the metric to split your tracked metrics into various dashboards. Your final list of metrics and reports can be added to your service desk SOP.

      • Service Desk Metrics Workbook
      [infographic]

      Further reading

      Define Service Desk Metrics That Matter

      Look beyond benchmarks and rely on internal metrics to drive success.

      Analyst Perspective

      Don’t get paralyzed by benchmarks when establishing metrics

      When establishing a suite of metrics to track, it’s tempting to start with the metrics measured by other organizations. Naturally, benchmarking will enter the conversation. While benchmarking is useful, measuring you organization against others with a lack of context will only highlight your failures. Furthermore, benchmarks will highlight the norm or common practice. It does not necessarily highlight best practice.

      Keeping the limitations of benchmarking in mind, establish your own metrics suite with action-based metrics. Define the audience, cadence, and actions for each metric you track and pair them with business goals. Measure only what you need to.

      Slowly improve your metrics process over time and analyze your environment using your own data as your benchmark.

      Benedict Chang

      Research Analyst, Infrastructure & Operations

      Info-Tech Research Group

      Executive Summary

      Your Challenge

      • Measure the business value provided by the service desk.
      • Consolidate your metrics and assign context and actions to ones currently tracked.
      • Establish tension metrics to see and tell the whole story.
      • Split your metrics for each stakeholder group. Assign proper cadences for measurements as a first step to building an effective dashboard or effective dashboards.

      Common Obstacles

      • Becoming too focused on benchmarks or unidimensional metrics (e.g. cost, first-contact resolution, time to resolve) can lead to misinterpretation of the data and poorly informed actions.
      • Sifting through the many sources of data post hoc can lead to stalling in data analysis or slow reaction times to poor metrics.
      • Dashboards can quickly become cluttered with uninformative metrics, thus reducing the signal-to-noise ratio of meaningful data.

      Info-Tech's Approach

      • Use metrics that drive productive change and improvement. Track only what you need to report on.
      • Ensure each metric aligns with the desired business goal, is action-based, and includes the answers to what, why, how, and who.
      • Establish internal benchmarks by analyzing the trends from your own data to set baselines.
      • Act on the results of your metrics by adjusting targets and measuring success.

      Info-Tech Insight

      Identify the metrics that serve a real purpose and eliminate the rest. Establish a formal review process to ensure metrics are still valid, continue to provide the answers needed, and are at a manageable and usable level.

      Improve your metrics to align IT with strategic business goals

      The right metrics can tell the business how hard IT works and how well they perform.

      • Only 19% of CXOs feel that their organization is effective at measuring the success of IT projects with their current metrics.
      • Implementing the proper metrics can facilitate communication between the business division and IT practice.
      • The proper metrics can help IT know what issues the business has and how the CEO and CIO should tackle them.
      • If the goals above resonate with your organization, our blueprint Take Control of Infrastructure and Operations Metrics will take you through the right steps.

      Current Metrics Suite

      19% Effective

      36% Some Improvement Necessary

      45% Significant Improvement Necessary

      Source: Info-Tech Research Group’s CEO/CIO Alignment Diagnostic, 2019; N=622

      CXOs stress that value is the most critical area for IT to improve in reporting

      • You most likely have to improve your metrics suite by addressing business value.
      • Over 80% of organizations say they need improvement to their business value metrics, with 32% of organizations reporting that significant improvement is needed.
      • Of course, measuring metrics for service desk operations is important, but don’t forget business-oriented metrics such as measuring knowledgebase articles written for shift-left enablement, cost (time and money) of service desk tickets, and overall end-user satisfaction.

      The image shows a bar graph with percentages on the Y-Acis, and the following categories on the X-Axis: Business value metrics; Stakeholder satisfaction reporting; Risk metrics; Technology performance & operating metrics; Cost & Salary metrics; and Ad hoc feedback from executives and staff. Each bar is split into two sections, with the blue section marked a Significant Improvement Necessary, and the purple section labelled Some Improvement necessary. Two sections are highlighted with red circles: Business Value metrics--32% blue; 52% purple; and Technology performance & operating metrics--23% blue and 51% purple.

      Source: Info-Tech Research Group’s CEO/CIO Alignment Diagnostic, 2019; N=622

      Benchmarking used in isolation will not tell the whole story

      Benchmarks can be used as a step in the metrics process

      They can be the first step to reach an end goal, but if benchmarks are observed in isolation, it will only highlight your failures.

      Benchmarking relies on standardized models

      This does not account for all the unique variables that make up an IT organization.

      For example, benchmarks that include cost and revenue may include organizations that prioritize first-call resolution (FCR), but the variables that make up this benchmark model will be quite different within your own organization.

      Info-Tech Insight

      Benchmarks reflect the norm and common practice, not best practice.

      Benchmarks are open to interpretation

      Taking the time to establish proper metrics is often more valuable time spent than going down the benchmark rabbit hole.

      Being above or below the norm is neither a good nor a bad thing.

      Determining what the results mean for you depends on what’s being measured and the unique factors, characteristics, and priorities in your organization.

      If benchmark data is a priority within your IT organization, you may look up organizations like MetricNet, but keep the following in mind:

      Review the collected benchmark data

      See where IT organizations in your industry typically stand in relation to the overall benchmark.

      Assess the gaps

      Large gaps between yourself and the overall benchmark could indicate areas for improvement or celebration. Use the data to focus your analysis, develop deeper self-awareness, and prioritize areas for potential concern.

      Benchmarks are only guidelines

      The benchmark source data may not come from true peers in every sense. Each organization is different, so always explore your unique context when interpreting any findings.

      Rely on internal metrics to measure and improve performance

      Measure internal metrics over time to define goals and drive real improvement

      • Internally measured metrics are more reliable because they provide information about your actual performance over time. This allows for targeted improvements and objective measurements of your milestones.
      • Whether a given metric is the right one for your service desk will depend on several different factors, including:
        • The maturity and capability of your service desk processes
        • The volume of service requests and incidents
        • The complexity of your environment when resolving tickets
        • The degree to which your end users are comfortable with self-service

      Take Info-Tech’s approach to metrics management

      Use metrics that drive productive change and improvement. Track only what you need to report on.

      Ensure each metric aligns with the desired business goal, is action-based, and includes the answers to what, why, how, and who.

      Establish internal benchmarks by analyzing the trends from your own data to set baselines.

      Act on the results of your metrics by adjusting targets and measuring success.

      Define action-based metrics to cut down on analysis paralysis

      Every metric needs to be backed with the following criteria:

      • Defining audience, cadence, goal, and action for each metric allows you to keep your tracked metrics to a minimum while maximizing the value.
      • The audience and cadence of each metric may allow you to define targeted dashboards.

      Audience - Who is this metric tracked for?

      Goal - Why are you tracking this metric? This can be defined along with the CSFs and KPIs.

      Cadence - How often are you going to view, analyze, and action this metric?

      Action - What will you do if this metric spikes, dips, trends up, or trends down?

      Activity 1. Define your critical success factors and key performance indicators

      Critical success factors (CSFs) are high-level goals that help you define the direction of your service desk. Key performance indicators (KPIs) can be treated as the trend of metrics that will indicate that you are moving in the direction of your CSFs. These will help narrow the data you have to track and action (metrics).

      CSFs, or your overall goals, typically revolve around three aspects of the service desk: time spent on tickets, resources spent on tickets, and the quality of service provided.

      1. As a group, brainstorm the CSFs and the KPIs that will help narrow your metrics. Use the Service Desk Metrics Workbook to record the results.
      2. Look at the example to the right as a starting point.

      Example metrics:

      Critical success factor Key performance indicator
      High End-User Satisfaction Increasing CSAT score on transactional surveys
      High end-user satisfaction score
      Proper resolution of tickets
      Low time to resolve
      Low Cost per Ticket Decreasing cost per ticket (due to efficient resolution, FCR, automation, self-service, etc.)
      Improve Access to Self-Service (tangential to improve customer service) High utilization of knowledgebase
      High utilization of portal

      Download the Service Desk Metrics Workbook

      Activity 2. Define action-based metrics that align with your KPIs and CSFs

      1. Now that you have defined your goals, continue to fill the workbook by choosing metrics that align with those goals.
      2. Use the chart below as a guide. For every metric, define the cadence of measurement, audience of the metric, and action associated with the metric. There may be multiple metrics for each KPI.
      3. If you find you are unable to define the cadence, audience, or action associated with a metric, you may not need to track the metric in the first place. Alternatively, if you find that you may action a metric in the future, you can decide to start gathering data now.

      Example metrics:

      Critical success factor Key performance indicator Metric Cadence Audience Action
      High End-User Satisfaction Increasing CSAT score on transactional surveys Monthly average of ticket satisfaction scores Monthly Management Action low scores immediately, view long-term trends
      High end-user satisfaction score Average end-user satisfaction score from annual survey Annually IT Leadership View IT satisfaction trends to align IT with business direction
      Proper resolution of tickets Number of tickets reopened Weekly Service Desk Technicians Action reopened tickets, look for training opportunities
      SLA breach rate Daily Service Desk Technicians Action reopened tickets, look for training opportunities
      Low time to resolve Average TTR (incidents) Weekly Management Look for trends to monitor resources
      Average TTR by priority Weekly Management Look for TTR solve rates to align with SLA
      Average TTR by tier Weekly Management Look for improperly escalated tickets or shift-left opportunities

      Download the Service Desk Metrics Workbook

      Activity 3. Define the data ownership, metric viability, and dashboards

      1. For each metric, define where the data is housed. Ideally, the data is directly in the ticketing tool or ITSM tool. This will make it easy to pull and analyze.
      2. Determine how difficult the metric will be to pull or track. If the effort is high, decide if the value of tracking the metric is worth the hassle of gathering it.
      3. Lastly, for each metric, use the cadence and audience to place the metric in a reporting dashboard. This will help divide your metrics and make them easier to report and action.
      4. You may use the output of this exercise to add your tracked metrics to your service desk SOP.
      5. A full suite of metrics can be found in our Infrastructure & Operations Metrics Library in the Take Control of Infrastructure Metrics Storyboard. The metrics have been categorized by low, medium, and advanced capabilities for you.

      Example metrics:

      Metric Who Owns the Data? Efforts to Track? Dashboards
      Monthly average of ticket satisfaction scores Service Desk Low Monthly Management Meeting
      Average end-user satisfaction score Service Desk Low Leadership Meeting
      Number of tickets reopened Service Desk Low Weekly Technician Standup
      SLA breach rate Service Desk Low Daily Technician Standup
      Average TTR (incidents) Service Desk Low Weekly Technician Standup
      Average TTR by priority Service Desk Low Weekly Technician Standup
      Average TTR by tier Service Desk Low Weekly Technician Standup
      Average TTR (SRs) Service Desk Low Weekly Technician Standup
      Number of tickets reopened Service Desk Low Daily Technician Standup

      Download the Service Desk Metrics Workbook

      Keep the following considerations in mind when defining which metrics matter

      Keep the customer in mind

      Metrics are typically focused on transactional efficiency and process effectiveness and not what was achieved against the customers’ need and satisfaction.

      Understand the relationships between performance and metrics management to provide the end-to-end service delivery picture you are aiming to achieve.

      Don’t settle for tool defaults

      ITSM solutions offer an abundance of metrics to choose from. The most common ones are typically built into the reporting modules of the tool suite.

      Do not start tracking everything. Choose metrics that are specifically aligned to your organization’s desired business outcomes.

      Establish tension metrics to achieve balance

      Don’t ignore the correlation and context between the suites of metrics chosen and how one interacts and affects the other.

      Measuring metrics in isolation may lead to an incomplete picture or undesired technician behavior. Tension metrics help complete the picture and lead to proper actions.

      Adjust those targets

      An arbitrary target on a metric that is consistently met month over month is useless. Each metric should inform the overall performance by combining capable service level management and customer experience programs to prove the value IT is providing to the organization.

      Related Info-Tech Research

      Standardize the Service Desk

      This project will help you build and improve essential service desk processes, including incident management, request fulfillment, and knowledge management, to create a sustainable service desk.

      Take Control of Infrastructure and Operations Metrics

      Make faster decisions and improve service delivery by using the right metrics for the job.

      Analyze Your Service Desk Ticket Data

      Take a data-driven approach to service desk optimization.

      IT Diagnostics: Build a Data-Driven IT Strategy

      Our data-driven programs ask business and IT stakeholders the right questions to ensure you have the inputs necessary to build an effective IT strategy.

      Develop APIs That Work Properly for the Organization

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      • Parent Category Name: Requirements & Design
      • Parent Category Link: /requirements-and-design
      • CIOs have trouble integrating new technologies (e.g. mobile, cloud solutions) with legacy applications, and lack standards for using APIs across the organization.
      • Organizations produce APIs that are error-prone, not consistently configured, and not maintained effectively.
      • Organizations are looking for ways to increase application quality and code reusability to improve development throughput using web APIs.
      • Organizations are looking for opportunities to create an application ecosystem which can expose internal services across the organization and/or to external third parties and business partners.

      Our Advice

      Critical Insight

      • Organizations are looking to go beyond current development practices to provide scalable and reusable web services.
      • Web API development is a tactical competency that is important to enabling speed of development, quality of applications, reusability, innovation, and business alignment.
      • Design your web API as a product that promotes speed of development and service reuse.
      • Optimize the design, development, testing, and monitoring of your APIs incrementally and iteratively to cover all use cases in the long term.

      Impact and Result

      • Create a repeatable process to improve the quality, reusability, and governance of your web APIs.
      • Define the purpose of your API and the common uses cases that it will service.
      • Understand what development techniques are required to develop an effective web API based on Info-Tech’s web API framework.
      • Continuously reiterate your web API to demonstrate to business stakeholders the value your web API provides.

      Develop APIs That Work Properly for the Organization Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should develop APIs, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Examine the opportunities web APIs can enable

      Assess the opportunities of web APIs.

      • Develop APIs That Work Properly for the Organization – Phase 1: Examine the Opportunities Web APIs Can Enable

      2. Design and develop a web API

      Design and develop web APIs that support business processes and enable reusability.

      • Develop APIs That Work Properly for the Organization – Phase 2: Design and Develop a Web API
      • Web APIs High-Level Design Requirements Template
      • Web API Design Document Template

      3. Test the web API

      Accommodate web API testing best practices in application test plans.

      • Develop APIs That Work Properly for the Organization – Phase 3: Test the Web API
      • Web API Test Plan Template

      4. Monitor and continuously optimize the web API

      Monitor the usage and value of web APIs and plan for future optimizations and maintenance.

      • Develop APIs That Work Properly for the Organization – Phase 4: Monitor and Continuously Optimize the Web API
      • Web API Process Governance Template
      [infographic]

      Workshop: Develop APIs That Work Properly for the Organization

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Examine the Opportunities Web APIs Can Enable

      The Purpose

      Gauge the importance of web APIs for achieving your organizational needs.

      Understand how web APIs can be used to achieve below-the-line and above-the-line benefits.

      Be aware of web API development pitfalls. 

      Key Benefits Achieved

      Understanding the revenue generation and process optimization opportunities web APIs can bring to your organization.

      Knowledge of the current web API landscape. 

      Activities

      1.1 Examine the opportunities web APIs can enable.

      Outputs

      2 Design & Develop Your Web API

      The Purpose

      Establish a web API design and development process.

      Design scalable web APIs around defined business process flows and rules.

      Define the web service objects that the web APIs will expose. 

      Key Benefits Achieved

      Reusable web API designs.

      Identification of data sets that will be available through web services.

      Implement web API development best practices. 

      Activities

      2.1 Define high-level design details based on web API requirements.

      2.2 Define your process workflows and business rules.

      2.3 Map the relationships among data tables through ERDs.

      2.4 Define your data model by mapping the relationships among data tables through data flow diagrams.

      2.5 Define your web service objects by effectively referencing your data model.

      Outputs

      High-level web API design.

      Business process flow.

      Entity relationship diagrams.

      Data flow diagrams.

      Identification of web service objects.

      3 Test Your Web API

      The Purpose

      Incorporate APIs into your existing testing practices.

      Emphasize security testing with web APIs.

      Learn of the web API testing and monitoring tool landscape.

      Key Benefits Achieved

      Creation of a web API test plan.

      Activities

      3.1 Create a test plan for your web API.

      Outputs

      Web API Test Plan.

      4 Monitor and Continuously Optimize Your Web API

      The Purpose

      Plan for iterative development and maintenance of web APIs.

      Manage web APIs for versioning and reuse.

      Establish a governance structure to manage changes to web APIs. 

      Key Benefits Achieved

      Implement web API monitoring and maintenance best practices.

      Establishment of a process to manage future development and maintenance of web APIs. 

      Activities

      4.1 Identify roles for your API development projects.

      4.2 Develop governance for web API development.

      Outputs

      RACI table that accommodates API development.

      Web API operations governance structure.

      Mitigate Machine Bias

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      • Parent Category Name: Business Intelligence Strategy
      • Parent Category Link: /business-intelligence-strategy
      • AI is the new electricity. It is fundamentally and radically changing the fabric of our world, from the way we conduct business, to how we work and live, make decisions, and engage with each other, to how we organize our society, and ultimately, to who we are. Organizations are starting to adopt AI to increase efficiency, better engage customers, and make faster, more accurate decisions.
      • Like with any new technology, there is a flip side, a dark side, to AI – machine biases. If unchecked, machine biases replicate, amplify, and systematize societal biases. Biased AI systems may treat some of your customers (or employees) differently, based on their race, gender, identity, age, etc. This is discrimination, and it is against the law. It is also bad for business, including missed opportunities, lost consumer confidence, reputational risk, regulatory sanctions, and lawsuits.

      Our Advice

      Critical Insight

      • Machine biases are not intentional. They reflect the cognitive biases, preconceptions, and judgement of the creators of AI systems and the societal structures encoded in the data sets used for machine learning.
      • Machine biases cannot be prevented or fully eliminated. Early identification and diversity in and by design are key. Like with privacy and security breaches, early identification and intervention – ideally at the ideation phase – is the best strategy. Forewarned is forearmed. Prevention starts with a culture of diversity, inclusivity, openness, and collaboration.
      • Machine bias is enterprise risk. Machine bias is not a technical issue. It is a social, political, and business problem. Integrate it into your enterprise risk management (ERM).

      Impact and Result

      • Just because machine biases are induced by human behavior, which is also captured in data silos, they are not inevitable. By asking the right questions upfront during application design, you can prevent many of them.
      • Biases can be introduced into an AI system at any stage of the development process, from the data you collect, to the way you collect it, to which algorithms are used, to which assumptions are made, etc. Ask your data science team a lot of questions; leave no stone unturned.
      • Don’t wait until “Datasheets for Datasets” and “Model Cards for Model Reporting” (or similar frameworks) become standards. Start creating these documents now to identify and analyze biases in your apps. If using open-source data sets or libraries, you may need to create them yourself for now. If working with partners or using AI/ ML services, demand that they provide such information as part of the engagement. You, not your partners, are ultimately responsible for the AI-powered product or service you deliver to your customers or employees.
      • Build a culture of diversity, transparency, inclusivity, and collaboration – the best mechanism to prevent and address machine biases.
      • Treat machine bias as enterprise risk. Use your ERM to guide all decisions around machine biases and their mitigation.

      Mitigate Machine Bias Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to understand the dark side of AI: algorithmic (machine) biases, how they emerge, why they are dangerous, and how to mitigate them. Review Info-Tech’s methodology and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Understand AI biases

      Learn about machine biases, how and where they arise in AI systems, and how they relate to human cognitive and societal biases.

      • Mitigate Machine Bias – Phase 1: Understand AI Biases

      2. Identify data biases

      Learn about data biases and how to mitigate them.

      • Mitigate Machine Bias – Phase 2: Identify Data Biases
      • Datasheets for Data Sets Template
      • Datasheets for Datasets

      3. Identify model biases

      Learn about model biases and how to mitigate them.

      • Mitigate Machine Bias – Phase 3: Identify Model Biases
      • Model Cards for Model Reporting Template
      • Model Cards For Model Reporting

      4. Mitigate machine biases and risk

      Learn about approaches for proactive and effective bias prevention and mitigation.

      • Mitigate Machine Bias – Phase 4: Mitigate Machine Biases and Risk
      [infographic]

      Workshop: Mitigate Machine Bias

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Prepare

      The Purpose

      Understand your organization’s maturity with respect to data and analytics in order to maximize workshop value.

      Key Benefits Achieved

      Workshop content aligned to your organization’s level of maturity and business objectives.

      Activities

      1.1 Execute Data Culture Diagnostic.

      1.2 Review current analytics strategy.

      1.3 Review organization's business and IT strategy.

      1.4 Review other supporting documentation.

      1.5 Confirm participant list for workshop.

      Outputs

      Data Culture Diagnostic report.

      2 Understand Machine Biases

      The Purpose

      Develop a good understanding of machine biases and how they emerge from human cognitive and societal biases. Learn about the machine learning process and how it relates to machine bias.

      Select an ML/AI project and complete a bias risk assessment.

      Key Benefits Achieved

      A solid understanding of algorithmic biases and the need to mitigate them.

      Increased insight into how new technologies such as ML and AI impact organizational risk.

      Customized bias risk assessment template.

      Completed bias risk assessment for selected project.

      Activities

      2.1 Review primer on AI and machine learning (ML).

      2.2 Review primer on human and machine biases.

      2.3 Understand business context and objective for AI in your organization.

      2.4 Discuss selected AI/ML/data science project or use case.

      2.5 Review and modify bias risk assessment.

      2.6 Complete bias risk assessment for selected project.

      Outputs

      Bias risk assessment template customized for your organization.

      Completed bias risk assessment for selected project.

      3 Identify Data Biases

      The Purpose

      Learn about data biases: what they are and where they originate.

      Learn how to address or mitigate data biases.

      Identify data biases in selected project.

      Key Benefits Achieved

      A solid understanding of data biases and how to mitigate them.

      Customized Datasheets for Data Sets Template.

      Completed datasheet for data sets for selected project.

      Activities

      3.1 Review machine learning process.

      3.2 Review examples of data biases and why and how they happen.

      3.3 Identify possible data biases in selected project.

      3.4 Discuss “Datasheets for Datasets” framework.

      3.5 Modify Datasheets for Data Sets Template for your organization.

      3.6 Complete datasheet for data sets for selected project.

      Outputs

      Datasheets for Data Sets Template customized for your organization.

      Completed datasheet for data sets for selected project.

      4 Identify Model Biases

      The Purpose

      Learn about model biases: what they are and where they originate.

      Learn how to address or mitigate model biases.

      Identify model biases in selected project.

      Key Benefits Achieved

      A solid understanding of model biases and how to mitigate them.

      Customized Model Cards for Model Reporting Template.

      Completed model card for selected project.

      Activities

      4.1 Review machine learning process.

      4.2 Review examples of model biases and why and how they happen.

      4.3 Identify potential model biases in selected project.

      4.4 Discuss Model Cards For Model Reporting framework.

      4.5 Modify Model Cards for Model Reporting Template for your organization.

      4.6 Complete model card for selected project.

      Outputs

      Model Cards for Model Reporting Template customized for your organization.

      Completed model card for selected project.

      5 Create Mitigation Plan

      The Purpose

      Review mitigation approach and best practices to control machine bias.

      Create mitigation plan to address machine biases in selected project. Align with enterprise risk management (ERM).

      Key Benefits Achieved

      A solid understanding of the cultural dimension of algorithmic bias prevention and mitigation and best practices.

      Drafted plan to mitigate machine biases in selected project.

      Activities

      5.1 Review and discuss lessons learned.

      5.2 Create mitigation plan to address machine biases in selected project.

      5.3 Review mitigation approach and best practices to control machine bias.

      5.4 Identify gaps and discuss remediation.

      Outputs

      Summary of challenges and recommendations to systematically identify and mitigate machine biases.

      Plan to mitigate machine biases in selected project.

      Build a Service-Based Security Resourcing Plan

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      • Parent Category Name: Security Processes & Operations
      • Parent Category Link: /security-processes-and-operations
      • IT and security leaders across all industries must determine what and how many resources are needed to support the information security program.
      • Estimating current usage and future demand for security resources can be a difficult and time-consuming exercise.

      Our Advice

      Critical Insight

      Not all security programs need to be the same. A service-aligned security resourcing strategy will put organizations in the best position to respond to current and future service demands and address business needs as they evolve over time.

      Impact and Result

      • Info-Tech’s approach to resource planning focuses less on benchmarks and more on estimating actual demand for security services to ensure that there are enough resources to deliver them.
      • A well-designed security services portfolio is the first step towards determining resourcing needs.
      • When planning resource allocations, plan for both mandatory and discretionary demand to optimize utilization.

      Build a Service-Based Security Resourcing Plan Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Build a Service-Based Security Resourcing Plan – A blueprint to help you define security roles, build a service portfolio, estimate demand, and determine resourcing needs.

      This storyboard will help you to determine your security resourcing needs using a service-based approach.

      • Build a Service-Based Security Resourcing Plan – Phases 1-3

      2. Security Resources Planning Workbook – This tool will result in a defined security service portfolio and a three-year resourcing plan.

      Use this tool to build your security service portfolio and to determine resourcing needs to meet your service demand.

      • Security Resources Planning Workbook

      Infographic

      Workshop: Build a Service-Based Security Resourcing Plan

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Define Roles and Select Services

      The Purpose

      Identify the roles needed to implement and deliver your organization’s security services.

      Key Benefits Achieved

      A security services portfolio allows you to assign job roles to each service, which is the first step towards determining resourcing needs. Improve employee engagement and satisfaction with clearly defined job roles, responsibilities, and service levels.

      Activities

      1.1 Assess security needs and business pressures.

      1.2 Define security job roles.

      1.3 Define security services and assign ownership.

      Outputs

      Security Roles Definition

      Security Services Portfolio

      2 Estimate Current and Future Demand

      The Purpose

      Estimate the actual demand for security resources and determine how to allocate resources accordingly.

      Key Benefits Achieved

      Allocate resources more effectively across your Security and Risk teams.

      Raise the profile of your security team by aligning security service offerings with the demands of the business.

      Activities

      2.1 Estimate current and future demand.

      2.2 Review demand summary.

      2.3 Allocate resources where they are needed the most.

      Outputs

      Demand Estimates

      Resourcing Plan

      3 Identify Required Skills

      The Purpose

      When defining roles, consider the competencies needed to deliver your security services. Make sure to account for this need in your resource planning.

      Key Benefits Achieved

      Leverage the NCWF to establish the building blocks of a capable and ready cybersecurity workforce to effectively identify, recruit, develop and maintain cybersecurity talent.

      Activities

      3.1 Identify skills needed for planned initiatives.

      3.2 Prioritize your skill requirements.

      3.3 Assign work roles to the needs of your target environment.

      3.4 Discuss the NICE cybersecurity workforce framework.

      3.5 Develop technical skill requirements for current and future work roles.

      Outputs

      Prioritized Skill Requirements and Associated Roles

      4 Future Planning

      The Purpose

      Create a development plan to train and upskill your employees to address current and future service requirements.

      Key Benefits Achieved

      Skill needs are based on the strategic requirements of a business-aligned security program.

      Activities

      4.1 Continue developing technical skill requirements for current and future work roles.

      4.2 Conduct current workforce skills assessment.

      4.3 Develop a plan to acquire skills.

      4.4 Discuss training and certification opportunities for staff.

      4.5 Discuss next steps for closing the skills gap.

      4.6 Debrief.

      Outputs

      Role-Based Skills Gaps

      Workforce Development Plan

      Further reading

      Build a Service-Based Security Resourcing Plan

      Every security program is unique; resourcing allocations should reflect this.

      Analyst Perspective

      Start by looking inward.

      The image is a picture of Logan Rohde.The image is a picture of Isabelle Hertanto.

      Organizations have a critical need for skilled cybersecurity resources as the cyberthreat landscape becomes more complex. This has put a strain on many security teams who must continue to meet demand for an increasing number of security services. To deliver services well, we first need to determine what are the organization’s key security requirements. While benchmarks can be useful for quick peer-to-peer comparisons to determine if we are within the average range, they tend to make all security programs seem the same. This can lead to misguided investments in security services and personnel that might be better used elsewhere.

      Security teams will be most successful when organizations take a personalized approach to security, considering what must be done to lower risk and operate more efficiently and effectively.

      Logan Rohde

      Senior Research Analyst, Security

      Info-Tech Research Group

      Isabelle Hertanto

      Principal Research Director, Security

      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Common Obstacles

      Info-Tech’s Approach

      • IT and Security leaders across all industries must determine what and how many resources are needed to support the information security program.
      • Estimating current usage, the right allocations, and future demand for security resources can be a difficult and time-consuming exercise.
      • Needing to provide a benchmark to justify increasing headcount.
      • Absence of formally defined security service offerings and service owners.
      • Lack of skills needed to provide necessary security services.
      • Info-Tech’s approach to resource planning focuses less on benchmarks and more on estimating actual demand for security services to ensure that there are enough resources to deliver them.
      • A well-designed security services portfolio is the first step toward determining resourcing needs.
      • When allocating resources, plan for both mandatory and discretionary demand to position yourself for greatest success.

      Info-Tech Insight

      Not all security programs need to be the same. A service-aligned security resourcing strategy will put organizations in the best position to respond to current and future service demands and address business needs as they evolve over time.

      Your challenge

      This research is designed to help organizations who are looking to:

      • Determine what and how many resources are needed to support the information security program.
      • Identify the organization's key service offerings and the required resourcing to support delivery of such services.
      • Estimate current staff utilization and required allocations to satisfy future demand for services.

      Every organization is unique and will need different security research allocations aligned with their business needs.

      “The number of priorities that CISOs have continues to grow, but if everything is a priority, nothing is. It’s important to focus on the ones that deliver the most value to your organization and that are synchronized with the overall business strategy.”

      Paige H. Adams

      Global CISO at Zurich

      Insurance

      Source: Proofpoint, 2021

      Common obstacles

      These barriers make this challenge difficult to address for many organizations:

      • Security leaders sometimes try to cut to the chase and lean on staffing benchmarks to justify their requests for resources. However, while staffing benchmarks are useful for quick peer-to-peer validation and decision making, they tend to reduce security programs down to a set of averages, which can be misleading when used out of context.
      • A more effective approach is to determine what security services need to be provided, the level of demand, and what it will take to meet that demand currently and in the coming years.
      • With these details available, it becomes much easier to predict what roles need to be hired, what skills need to be developed, and whether outsourcing is an option.

      Hiring delays and skills gaps can fuel resourcing challenges

      59% of organizations report taking 3-6+ months to fill a vacant cybersecurity position.

      Source: ISACA, 2020

      30% report IT knowledge as the most prevalent skills gap in today’s cybersecurity professionals.

      Source: ISACA, 2020

      Info-Tech’s methodology for Building a Service-Based Security Resourcing Plan

      1. Determine Security Service Portfolio Offerings

      2. Plan for Mandatory Versus Discretionary Demand

      3. Define Your Resourcing Model

      Phase Steps

      1 Gather Requirements and Define Roles

      1.2 Choose Security Service Offerings

      2.1 Assess Demand

      3.1 Review Demand Summary

      3.2 Develop an Action Plan

      Phase Outcomes

      Security requirements

      Security service portfolio

      Service demand estimates

      Service hour estimates

      Three-year resourcing plan

      Stay on top of resourcing demands with a security service portfolio

      Security programs should be designed to address unique business needs.

      A service-aligned security resourcing strategy will put organizations in the best position to respond to current and future service demands and address business needs as they evolve over time.

      Watch out for role creep.

      It may be tempting to assign tasks to the people who already know how to do them, but we should consider which role is most appropriate for each task. If all services are assigned to one or two people, we’ll quickly use up all their time.

      Time estimates will improve with practice.

      It may be difficult to estimate exactly how long it takes to carry out each service at first. But making the effort to time your activities each quarter will help you to improve the accuracy of your estimates incrementally.

      Start recruiting well in advance of need.

      Security talent can be difficult to come by, so make sure to begin your search for a new hire three to six months before your demand estimates indicate the need will arise.

      People and skills are both important.

      As the services in your portfolio mature and become more complex, remember to consider the skills you will need to be able to provide that service. Make sure to account for this need in your resource planning and keep in mind that we can only expect so much from one role. Therefore, hiring may be necessary to keep up with the diverse skills your services may require.

      Make sure your portfolio reflects reality.

      There’s nothing wrong with planning for future state, but we should avoid using the portfolio as a list of goals.

      Blueprint deliverable

      Use this tool to build your security services portfolio, estimate demand and hours needed, and determine FTE requirements.

      The image contains screenshots of the Security Resources Planning Workbook.

      Key deliverable:

      Security Resources Planning Workbook

      The Security Resources Planning Workbook will be used to:

      • Build a security services portfolio.
      • Estimate demand for security services and the efforts to deliver them.
      • Determine full-time equivalent (FTE) requirements for each service.
      The image contains a thought model to demonstrate the benchmarks that lead to a one-size-fits-all approach to security.

      Blueprint benefits

      IT Benefits

      Business Benefits

      • Allocate resources more effectively across your security and risk teams.
      • Improve employee engagement and satisfaction with clearly defined job roles, responsibilities, and service levels.
      • Raise the profile of your security team by aligning security service offerings with the demands of the business.
      • Ensure that people, financial, knowledge, and technology resources are appropriately allocated and leveraged across the organization.
      • Improve your organization’s ability to satisfy compliance obligations and reduce information security risk.
      • Increase customer and business stakeholder satisfaction through reliable service delivery.

      Measure the value of this blueprint

      Use these metrics to realize the value of completing this blueprint.

      Metric

      Expected Improvement

      Level of business satisfaction with IT security

      You can expect to see a 20% improvement in your IT Security Business Satisfaction Diagnostic.

      Reports on key performance indicators and service level objectives

      Expect to see a 40% improvement in security service-related key performance indicators and service level objectives.

      Employee engagement scores

      You can expect to see approximately a 10% improvement in employee engagement scores.

      Changes in rates of voluntary turnover

      Anticipating demand and planning resources accordingly will help lower employee turnover rates due to burnout or stress leave by as much as 10%.

      47% of cybersecurity professionals said that stress and burnout has become a major issue due to overwork, with most working over 41 hours a week, and some working up to 90.

      Source: Security Boulevard, 2021

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      Guided Implementation

      Workshop

      Consulting

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.” “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.” “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.” “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Guided Implementation

      What does a typical GI on this topic look like?

      Phase 1 Phase 2 Phase 3

      Call #1: Scope requirements, objectives, and your specific drivers.

      Call #2: Discuss roles and duties.

      Call #3: Build service portfolio and assign ownership.

      Call #4: Estimate required service hours.

      Call #5: Review service demand and plan for future state.

      A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

      A typical GI is 4 to 6 calls over the course of 2 to 3 months.

      Workshop Overview

      Contact your account representative for more information.
      workshops@infotech.com1-888-670-8889

      Day 1 Day 2 Day 3 Day 4 Day 5

      Define Roles and Select Services

      Estimate Current and Future Demand

      Identify Required Skills

      Future Planning

      Next Steps and
      Wrap-Up (offsite)

      Activities

      1.1 Assess Security Needs and Business Pressures.

      1.2 Define Security Job Roles.

      1.3 Define Security Services and Assign Ownership.

      2.1 Estimate Current and Future Demand.

      2.2 Review Demand Summary.

      2.3 Allocate Resources Where They Are Needed the Most.

      3.1 Identify Skills Needed Skills for Planned Initiatives.

      3.2 Prioritize Your Skill Requirements.

      3.3 Assign Work Roles to the Needs of Your Target Environment.

      3.4 Discuss the NICE Cybersecurity Workforce Framework.

      3.5 Develop Technical Skill Requirements for Current and Future Work Roles.

      4.1 Continue Developing Technical Skill Requirements for Current and Future Work Roles.

      4.2 Conduct Current Workforce Skills Assessment.

      4.3 Develop a Plan to Acquire Skills.

      4.4 Discuss Training and Certification Opportunities for Staff.

      4.5 Discuss Next Steps for Closing the Skills Gap.

      4.6 Debrief.

      5.1 Complete In-Progress Deliverables From Previous Four Days.

      5.2 Set Up Review Time for Workshop Deliverables and to Discuss Next steps.

      Deliverables
      1. FTE-Hours Calculation
      2. Security Roles Definition
      3. Security Services Portfolio
      1. Demand Estimates
      2. Resourcing Plan
      1. Skills Gap Prioritization Tool
      2. Technical Skills Tool
      1. Technical Skills Tool
      2. Current Workforce Skills Assessment
      3. Skills Development Plan

      Phase 1

      Determine Security Service Portfolio Offerings

      Phase 1

      Phase 2

      Phase 3

      1.1 Gather Requirements and Define Roles

      1.2 Choose Security Service Offerings

      2.1 Assess Demand

      3.1 Determine Resourcing Status

      This phase involves the following participants:

      • CISO
      • Core Security Team
      • Business Representative (optional)

      Step 1.1

      Gather Requirements and Define Roles

      Activities

      1.1.1 Assess Business Needs and Pressures

      1.1.2 Define Security Roles

      This step involves the following participants:

      • CISO
      • Core Security Team
      • Business Representative (optional)

      Outcomes of this step

      • Security program requirements
      • Security roles definitions

      1.1.1 Assess security needs and pressures

      1 hour

      1. As a group, brainstorm the security requirements for your organization and any business pressures that exist within your industry (e.g. compliance obligations).
      • To get started, consider examples of typical business pressures on the next slides. Determine how your organization must respond to these points (note: this is not an exhaustive list).
      • You will likely notice that these requirements have already influenced the direction of your security program and the kinds of services it needs to provide to the business side of the organization.
    • There may be some that have not been well addressed by current service offerings (e.g. current service maturity, under/over definition of a service). Be sure to make a note of these areas and what the current challenge is and use these details in Step 1.2.
    • Document the results for future use in Step 1.2.1.
    • Input Output
      • List of key business requirements and industry pressures
      • Prioritized list of security program requirements
      Materials Participants
      • Whiteboard
      • Sticky notes
      • CISO
      • Core Security Team
      • Business Representative (optional)

      Typical business pressures examples

      The security services you will provide to the organization should be based on its unique business requirements and pressures, which will make certain services more applicable than others. Use this exercise to get an idea of what those business drivers might be.

      The image contains a screenshot of Typical business pressures examples.

      1.1.2 Define security roles

      1-2 hours

      1. Using the link below, download the Security Resources Planning Workbook and review the examples provided on the next slide.
      2. On tab 1 (Roles), review the example roles and identify which roles you have within your security team.
      • If necessary, customize the roles and descriptions to match your security team’s current make up.
      • If you have roles within your security team that do not appear in the examples, you can add them to the bottom of the table.
    • For each role, use columns D-F to indicate how many people (headcount) you have, or plan to have, in that role.
    • Use columns H-J to indicate how many hours per year each role has available to deliver the services within your service catalog.
    • Input Output
      • Full-time hours worked per week Weeks worked per year Existing job descriptions/roles
      • Calculated full-time equivalents (FTE) Defined security roles
      Materials Participants
      • Security Resources Planning Workbook
      • CISO
      • Core Security Team

      Download the Security Resources Planning Workbook

      Calculating FTEs and defining security roles

      The image contains a screenshot of the workbook demonstrating calculating FTEs and defining security roles.

      1. Start by entering the current and planned headcount for each role
      2. Then enter number of hours each role works per week
      3. Estimate the number of administrative hours (e.g. team meetings, training) per week
      4. Enter the average number of weeks per year that each role is available for service delivery
      5. The tool uses the data from steps 2-4 to calculate the average number of hours each role has for service delivery per year (FTE)

      Info-Tech Insight

      Watch out for role creep. It may be tempting to assign tasks to the people who already know how to do them, but we should consider which role is most appropriate for each task. If all services are assigned to one or two people, we’ll quickly use up all their time.

      Other considerations

      Address your skills gap.

      Cybersecurity is a rapidly evolving discipline and security teams from all over are reporting challenges related to training and upskilling needed to keep pace with the developments of the threat landscape.

      95% Security leaders who agree the cybersecurity skills gap has not improved over the last few years.*

      44% Security leaders who say the skills gap situation has only gotten worse.*

      When defining roles, consider the competencies needed to deliver your security services. Use Info-Tech’s blueprint Close the InfoSec Skills Gap: Develop a Technical Skills Sourcing Plan to help you determine the required skillsets for each role.

      * Source: ISSA, 2021

      Info-Tech Insight

      As the services in your portfolio mature and become more complex, remember to consider the skills you need and will need to be able to provide that service. Make sure to account for this need in your resource planning and keep in mind that we can only expect so much from one role. Therefore, hiring may be necessary to keep up with the diverse skills your services may require.

      Download blueprint Close the InfoSec Skills Gap: Develop a Technical Skills Sourcing Plan

      Step 1.2

      Choose Security Service Offerings

      Activities

      1.2.1 Define Security Services and Role Assignments

      This step involves the following participants:

      • CISO
      • Core Security Team

      Outcomes of this step

      • Service portfolio
      • Service pipeline status
      • Service ownership

      1.2.1 Define security services and role assignments

      2-4 hours

      1. As a group, review the outputs from Step 1.1.1. These requirements will serve as the basis to prioritize the service offerings of your security portfolio.
      2. Take these outputs, as well as any additional notes you’ve made, and put them side by side with the example service offerings on tab 3 of the Security Resources Planning Workbook so each service can be considered alongside these requirements (i.e. to determine if that service should be included in the security service portfolio at this time).
      3. Using the following slides as a guide, work your way down the list of example services and choose the services for your portfolio. For each service selected, be sure to customize the definition of the service and state its outcome (i.e. what time is spent when providing this service, indicate if it is outsourced, which role is responsible for delivering it, and the service pipeline status (in use, plan to use, plan to retire)).
      InputOutput
      • Business and security requirements gathered in Step 1.1.1
      • Defined security service portfolio
      • Service ownership assigned to role
      MaterialsParticipants
      • Security Resources Planning Workbook
      • CISO
      • Core Security Team

      Download the Security Resources Planning Workbook

      Service needs aligned with your control framework

      Use Info-Tech's best-of-breed Security Framework to develop a comprehensive baseline set of security service areas.

      The image contains a screenshot of the Security Framework.

      Prioritize your security services

      Example of a custom security services portfolio definition

      Security Strategy and Governance Model

      • Aligned Business Goals
      • Security Program Objectives
      • Centralized vs. Decentralized Governance Model

      Compliance Obligations

      • Penetration testing
      • Annual security audits
      • Data privacy and protection laws

      CISO Accountabilities

      • Security Policy
      • Risk Management
      • Application & Infrastructure Security
      • Program Metrics and Reporting

      Consider each of the requirement categories developed in Step 1.1.1 against the taxonomy and service domain here. If there is a clear need to add this service, use the drop-down list in the “Include in Catalog” column to indicate “Yes.” Mark un-needed services as “No.”

      The image contains a screenshot of the security services portfolio definition.

      Assigning roles to services

      The image contains an example of assigning roles to services.

      1. If the service is being outsourced, use the drop-down list to select “Yes.” This will cause the formatting to change in the neighboring cell (Role), as this cell does not need to be completed.
      2. For all in-sourced services, indicate the role assigned to perform the service.
      3. Indicate the service-pipeline status for each of the services you include. The selection you make will affect the conditional formatting on the next tab, similar to what is described in step 1.

      Info-Tech Insight

      Make sure your portfolio reflects current state and approved plans. There’s nothing wrong with planning for the future, but we should avoid using the portfolio as a list of goals.

      Phase 2

      Plan for Mandatory Versus Discretionary Demand

      Phase 1

      Phase 2

      Phase 3

      1.1 Gather Requirements and Define Roles

      1.2 Choose Security Service Offerings

      2.1 Assess Demand

      3.1 Determine Resourcing Status

      This phase involves the following participants:

      • CISO
      • Core Security Team

      Step 2.1

      Assess Demand

      Activities

      2.1.1 Estimate Current and Future Demand

      This step involves the following participants:

      • CISO
      • Core Security Team

      Outcomes of this step

      • Service demand estimates
      • Total service hours required
      • FTEs required per service

      2.1.1 Estimate current and future demand

      2-4 hours

      1. Estimate the number of hours required to complete each of the services in your portfolio and how frequently it is performed. Remember the service-hour estimates should be based on the outcome of the service (see examples on the next slide).
      • To do this effectively, think back over the last quarter and count how many times the members of your team performed each service and how many hours it took to complete.
      • Then, think back over the last year and consider if the last quarter represents typical demand (i.e. you may notice that certain services have a greater demand at different parts of the year, such as annual audit) and arrive at your best estimate for both service hours and demand.
      • See examples on next slide.

      Note: For continuous services (i.e. 24/7 security log monitoring), use the length of the work shift for estimating the Hours to Complete and the corresponding number of shifts per year for Mandatory Demand estimates. Example: For an 8-hour shift, there are 3 shifts per day at 365 days/year, resulting in 1,095 total shifts per year.

      Download the Security Resources Planning Workbook

      InputOutput
      • Service-hour estimations
      • Expected demand for service
      • Discretionary demand for service
      • Total hours required for service
      • FTEs required for service
      MaterialsParticipants
      • Security Resources Planning Workbook
      • CISO
      • Core Security Team

      Info-Tech Insight

      Time estimates will improve over time. It may be difficult to estimate exactly how long it takes to carry out each service at first. But making the effort to time your activities each quarter will help you to improve the accuracy of your estimates incrementally.

      Understanding mandatory versus discretionary demand

      Every service may have a mix of mandatory and discretionary demands. Understanding and differentiating between these types of demand is critical to developing an efficient resourcing plan.

      The image contains a picture used to represent mandatory demand.

      Mandatory Demand

      Mandatory demand refers to the amount of work that your team must perform to meet compliance obligations and critical business and risk mitigation requirements.

      Failure to meet mandatory demand levels will have serious consequences, such as regulatory fines or the introduction of risks that far exceed risk tolerances. This is work you cannot refuse.

      The image contains a diagram to demonstrate the relationship between Mandatory and Discretionary demand.

      The image contains a picture used to represent discretionary demand.

      Discretionary Demand

      Discretionary demand refers to the amount of work the security team is asked to perform that goes above and beyond your mandatory demand. Discretionary demand often comes in the form of ad hoc requests from business units or the IT department.

      Failure to meet discretionary demand levels usually has limited consequences, allowing you more flexibility to decide how much of this type of work you can accept.

      Mandatory versus discretionary demand examples

      Service Name

      Mandatory Demand Example

      Discretionary Demand Example

      Penetration Testing

      PCI compliance requires penetration testing against all systems within the cardholder data environment annually (currently 2 systems per year).

      Business units request ad hoc penetration testing against non-payment systems (expected 2-3 systems per year).

      Vendor Risk Assessments

      GDPR compliance requires vendor security assessments against all third parties that process personal information on our behalf (expected 1-2 per quarter).

      IT department has requested that the security team conduct vendor security assessments for all cloud services, regardless of whether they store personal information (expected 2-3 assessments per quarter).

      e-Discovery and Evidence Handling

      There is no mandatory demand for this service.

      The legal department occasionally asks the security team to assist with e-Discovery requests (expected demand 1-2 investigations per quarter).

      Example of service demand estimations

      The image contains a screenshot example of service demand estimations.

      1. For each service, describe the specific outcome or deliverable that the service produces. Modify the example deliverables as required.
      2. Enter the number of hours required to produce one instance of the service deliverable. For example, if the deliverable for your security training service is an awareness campaign, it may require 40 person hours to develop and deliver.
      3. Enter the number of mandatory and discretionary demands expected for each service within a given year. For instance, if you are delivering quarterly security awareness campaigns, enter 4 as the demand.

      Phase 3

      Build Your Resourcing Plan

      Phase 1

      Phase 2

      Phase 3

      1.1 Gather Requirements and Define Roles

      1.2 Choose Security Service Offerings

      2.1 Assess Demand

      3.1 Determine Resourcing Status

      This phase involves the following participants:

      • CISO
      • Security Manager

      Step 3.1

      Determine Resourcing Status

      Activities

      3.1.1 Review Demand Summary

      3.1.2 Fill Resource Gaps

      This step involves the following participants:

      • CISO
      • Security Manager

      Outcomes of this step

      • The number of FTEs required to meet demand
      • Resourcing gaps

      3.1.1 Review demand summary

      1-2 hours

      1. On tab 5 of the Security Resourcing Planning Tool (Demand Summary), review the results. This tab will show you if you have enough FTE hours per role to meet the demand level for each service.
      • Green indicates that there is a surplus of FTEs and the number displayed shows how many extra FTEs there are.
      • Yellow text that you have adequate FTEs to meet all of your mandatory demand but may not have enough to meet all of your discretionary demand.
      • Red text indicates that there are too few FTEs available, and the number displayed shows how many additional FTEs you will require.
    • Take note of how many FTEs you will need to meet expected and discretionary demand in each of the years you’ve planned for.
    • Input Output
      • Current staffing
      • Resourcing model
      Materials Participants
      • Security Resources Planning Workbook
      • CISO
      • HR Representative

      Download the Security Resources Planning Workbook

      Info-Tech Insight

      Start recruiting well in advance of need. Security talent can be difficult to come by, so make sure to begin your search for a new hire three to six months before your demand estimates indicate the need will arise.

      Example of demand planning summary (1/2)

      The image contains a screenshot of an example of demand planning summary.

      Example of demand planning summary (2/2)

      The image contains a screenshot of an example of demand planning. This image has a screenshot of the dashboard.

      3.1.2 Fill resource gaps

      2-4 hours

      1. Now that you have a resourcing model for your security services, you will need to plan to close the gaps between available FTEs and required service hours. For each role that has been under/over committed to service delivery, review the services assignments on tab 3 and determine the viability of the following gap closure actions:
        1. Reassign service responsibility to another role with fewer commitments
        2. Create efficiencies to reduce required hours
        3. Hire to meet the service demand
        4. Outsource the service
      2. Your resourcing shortages may not all be apparent at once. Therefore, build a roadmap to determine which needs must be addressed immediately and which can be scheduled for years two and three.

      Consider outsourcing

      Outsourcing provides access to tools and talent that would otherwise be prohibitively expensive. Typical reasons for outsourcing security operations include:

      • Difficulty finding or retaining security staff with advanced and often highly specialized skillsets.
      • The desire to transfer liability for high-risk operational activities such as 24/7 security monitoring.
      • Workforce scalability to accommodate irregular or infrequent events such as incident response and incident-related forensic investigations.

      Given the above, three different models have emerged for the operational security organization:

      1. Outsourced SecOps

      A fully outsourced Security Operations Center, managed and governed by a smaller in-house team

      2. Balanced Hybrid

      In-house operational security staff with some reliance on managed services

      3. In-House SecOps

      A predominantly in-house security team, augmented by a small managed services contract

      Once you have determined that further outsourcing is needed, go back and adjust the status in your service portfolio. Use Info-Tech's blueprint Develop Your Security Outsourcing Strategy to determine the right approach for your business needs.

      “The workforce of the future needs to be agile and adaptable, enabled by strong partnerships with third-party providers of managed security services. I believe these hybrid models really are the security workforce of the future.”

      – Senior Manager, Cybersecurity at EY

      Download blueprint Develop Your Security Outsourcing Strategy

      Info-Tech Insight

      Choose the right model for your organization’s size, risk tolerance, and process maturity level. For example, it might make more sense for larger enterprises with low risk tolerance to grow their internal teams and build in-house capability.

      Create efficiencies

      Resourcing challenges are often addressed more directly by increased spending. However, for a lot of organizations, this just isn’t possible. While there is no magic solution to resolve resource constraints and small budgets, the following tactics should be considered as a means to reduce the hours required for the services your team provides.

      Upskill Your Staff

      If full-scale training is not an option, see if there are individual skills that could be improved to help improve time to completion for your services. Use Info-Tech's blueprint Close the InfoSec Skills Gap to determine which skills are needed for your security team.

      Improve Process Familiarity

      In some organizations, especially low-maturity ones, problems can arise simply because there is a lack of familiarity with what needs to be done. Review the process, socialize it, and make sure your staff can execute in within the target time allotment.

      Add Technology

      Resourcing crunch or not, technology can help us do things better. Investigate whether automation software might help to shave a few hours off a given service. Use Info-Tech's blueprint Build a Winning Business Process Automation Playbook to optimize and automate your business processes with a user-centric approach.

      Download the blueprint Close the InfoSec Skills Gap: Develop a Technical Skills Sourcing Plan

      Download the blueprint Build a Winning Business Process Automation Playbook

      Info-Tech Insight

      Every minute counts. While using these strategies may not solve every resourcing crunch you have, they can help put you in the best position possible to deliver on your commitments for each service.

      Plan for employee turnover

      Cybersecurity skills are in high demand; practitioners are few. The reality is that experienced security personnel have a lot of opportunities. While we cannot control for the personal reasons employees leave jobs, we can address the professional reasons that cause them to leave.

      Fair wage

      Reasonable expectations

      Provide training

      Defined career path

      It’s a sellers’ market for cybersecurity skills these days. Higher-paying offers are one of the major reasons security leaders leave their jobs (ISSA, 2021).

      Many teams lose out on good talent simply because they have unrealistic expectations, seeking 5+ years experience for an entry-level position, due to misalignment with HR (TECHNATION, 2021).

      Technology is changing (and being adopted) faster than security professionals can train on it. Ongoing training is needed to close these gaps (ISO, 2021).

      People want to see where they are now, visualize where they will be in the future, and understand what takes to get there. This helps to determine what types of training and specialization are necessary (DigitalGuardian, 2020).

      Use Info-Tech’s blueprint Build a Strategic IT Workforce Plan to help staff your security organization for success.

      The image contains a screenshot of the Build a Strategic IT Workforce Plan.

      Download blueprint Build a Strategic IT Workforce Plan

      Summary of Accomplishment

      Problem Solved

      You have now successfully identified your business and security drivers, determined what services your security program will provide, and determined your resourcing plan to meet these demands over the next three years.

      As needs change at your organization, don’t forget to re-evaluate the decisions you’ve made. Don’t forget that outsourcing a service may be the most reliable way to provide and resource it. However, this is just one tool among many that should be considered, along with upskilling, process improvement/familiarity, and process automation.

      If you would like additional support, have our analysts guide you through other phases as part of an Info-Tech workshop.

      Contact your account representative for more information.

      workshops@infotech.com

      1-888-670-8889

      Research Contributors and Experts

      The image contains a picture of George Al-Koura.

      George Al-Koura

      CISO

      Ruby Life

      The image contains a picture of Brian Barniner.

      Brian Barniner

      Head of Decision Science and Analytics

      ValueBridge Advisors

      The image contains a picture of Tracy Dallaire.

      Tracy Dallaire

      CISO / Director of Information Security

      McMaster University

      The image contains a picture of Ricardo Johnson.

      Ricardo Johnson

      Chief Information Security Officer

      Citrix

      Research Contributors and Experts

      The image contains a picture of Ryan Rodriguez.

      Ryan Rodriguez

      Senior Manager, Cyber Threat Management

      EY

      The image contains a picture of Paul Townley.

      Paul Townley

      VP Information Security and Personal Technology

      Owens Corning

      13 Anonymous Contributors

      Related Info-Tech Research

      Cost-Optimize Your Security Budget

      Develop Your Security Outsourcing Strategy

      Close the InfoSec Skills Gap: Develop a Technical Skills Sourcing Plan

      Bibliography

      2021 Voice of the CISO Report.” Proofpoint, 2021. Web.

      “2022 Voice of the CISO.” Proofpoint, 2022. Web.

      Brook, Chris. “How to Find and Retain Skilled Cybersecurity Talent.” DigitalGuardian, 17 Sep. 2020. Web.

      “Canadian Cybersecurity Skills Framework” TECHNATION Canada, April 2020. Web.

      “Cybersecurity Skills Crisis Continues for Fifth Year, Perpetuated by Lack of Business Investment.” ISSA, 28 July 2021. Web.

      “Cybersecurity Workforce, National Occupational Standard.” TECHNATION Canada, April 2020. Web.

      Naden, Clare. “The Cybersecurity Skills Gap: Why Education Is Our Best Weapon against Cybercrime.” ISO, 15 April 2021. Web.

      Purse, Randy. “Four Challenges in Finding Cybersecurity Talent And What Companies Can Do About It.” TECHNATION Canada, 29 March 2021. Web.

      Social-Engineer. “Burnout in the Cybersecurity Community.” Security Boulevard, 8 Dec. 2021. Web.

      “State of Cybersecurity 2020.” ISACA, 2020. Web.

      Select a Sourcing Partner for Your Development Team

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      • Parent Category Name: Application Development
      • Parent Category Link: /application-development
      • You have identified that a change to your sourcing strategy is required, based on market and company factors.
      • You are ready to select a new sourcing partner to drive innovation, time to market, increased quality, and improved financial performance.
      • Taking on a new partner is a significant investment and risk, and you must get it right the first time.
      • You need to make a change now to prevent losing clients and falling further behind your performance targets and your market.

      Our Advice

      Critical Insight

      Selecting a sourcing partner is a function of matching complex factors to your own firm. It is not a simple RFP exercise; it requires significant introspection, proactive planning, and in-depth investigation of potential partners to choose the right fit.

      Impact and Result

      Choosing the right sourcing partner is a four-step process:

      1. Assess your companies' skills and processes in the key areas of risk to sourcing initiatives.
      2. Based on the current situation, define a profile for the matching sourcing partner.
      3. Seek matching partners from the market, either in terms of vendor partners or in terms of sourcing locations.
      4. Based on the choice of partner, build a plan to implement the partnership, define metrics to measure success, and a process to monitor.

      Select a Sourcing Partner for Your Development Team Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Select a Sourcing Partner for Your Development Team Storyboard – Use this presentation to select a partner to best fit your sourcing needs and deliver long-term value.

      This project helps select a partner for sourcing of your development team so that you can realize the benefits from changing your sourcing strategy.

      • Select a Sourcing Partner for Your Development Team Storyboard

      2. Select a Sourcing Partner for Your Development Team Presentation Template – Use this template to build a presentation to detail your decision on a sourcing partner for your development team.

      This presentation template is designed to capture the results from the exercises within the storyboard and allow users to build a presentation to leadership showing how selection was done.

      • Select a Sourcing Partner for Your Development Team Presentation Template

      3. Select a Sourcing Partner for Your Development Team Presentation Example – Use this as a completed example of the template.

      This presentation template portrays what the completed template looks like by showing sample data in all tables. It allows members to see how each exercise leads to the final selection of a partner.

      • Select a Sourcing Partner for Your Development Team Example Template
      [infographic]

      Further reading

      Select a Sourcing Partner for Your Application Development Team

      Choose the right partner to enable your firm to maximize the value realized from your sourcing strategy.

      Analyst Perspective

      Selecting the right partner for your sourcing needs is no longer a cost-based exercise. Driving long-term value comes from selecting the partner who best matches your firm on a wide swath of factors and fits your needs like a glove.

      Sourcing in the past dealt with a different kind of conversation involving two key questions:

      Where will the work be done?

      How much will it cost?

      How people think about sourcing has changed significantly. People are focused on gaining a partner, and not just a vendor to execute a single transaction. They will add skills your team lacks, and an ability to adapt to your changing needs, all while ensuring you operate within any constraints based on your business.

      Selecting a sourcing partner is a matching exercise that requires you to look deep into yourself, understand key factors about your firm, and then seek the partner who best meets your profile.

      The image contains a picture of Dr. Suneel Ghei.

      Dr. Suneel Ghei
      Principal Research Director, Application Development
      Info-Tech Research Group

      Executive Summary

      Your Challenge

      Common Obstacles

      Info-Tech’s Approach

      • You have identified that a change to your sourcing strategy is required based on market and company factors.
      • You are ready to select a new sourcing partner to drive innovation, time to market, increased quality, and improve financial performance.
      • Taking on a new partner is a significant investment and risk, and you must get it right the first time.
      • You need to make a change now to avoid falling further behind your performance targets and your market, and losing clients.

      Almost half of all sourcing initiatives do not realize the projected savings, and the biggest reason is the choice of partner.

      The market for Application Development partners has become more diverse, increasing choice and the risk of making a costly mistake by choosing the wrong partner.

      Firms struggle with how best to support the sourcing partner and allocate resources with the right skills to maximize success, increasing the cost and time to implement, and limiting benefits.

      Making the wrong choice means inferior products, and higher costs and losing both clients and reputation.

      • Choosing the right sourcing partner is a four-step process:
      1. Assess your company's skills and processes in the key areas of risk to sourcing initiatives.
      2. Based on the current situation, define a profile for the matching sourcing partner.
      3. Seek matching partners from the market, either in terms of vendor partners or in terms of sourcing locations.
      4. Based on your choice of partner, build a plan to implement the partnership, and define metrics to measure success and a process to monitor.

      Info-Tech Insight

      Successfully selecting a sourcing partner is not a simple RFP exercise to choose the lowest cost. It is a complex process of introspection, detailed examination of partners and locations, and matching the fit. It requires you to seek a partner that is the Yin to your Yang, and failure is not an option.

      You need a new source for development resources

      You are facing immediate challenges that require a new approach to development resourcing.

      • Your firm is under fire; you are facing pressures financially from clients and your competitors.
      • Your pace of innovation and talent sourcing is too slow and too limiting.
      • Your competition is moving faster and your clients are considering their options.
      • Revenues and costs of development are trending in the wrong direction.
      • You need to act now to avoid spiraling further.

      Given how critical our applications are to the business and our clients, there is no room for error in choosing our partner.

      A study of 121 firms outsourcing various processes found that 50% of those surveyed saw no gains from the outsourcing arrangement, so it is critical to make the right choice the first time.

      Source: Zhang et al

      Big challenges await you on the journey

      The road to improving sourcing has many potholes.

      • In a study of 121 firms who moved development offshore, almost 50% of all outsourcing and offshoring initiatives do not achieve the desired results.
      • In another study focused on large corporations, it was shown that 70% of respondents saw negative outcomes from offshoring development.
      • Globalization of IT Services and the ability to work from anywhere have contributed to a significant increase in the number of development firms to choose from.
      • Choosing and implementing a new partner is costly, and the cost of choosing the wrong partner and then trying to correct your course is significant in dollars and reputation:
        • Costs to find a new partner and transition
        • Lost revenue due to product issues
        • Loss of brand and reputation due to poor choice
      • The wrong choice can also cost you in terms of your own resources, increasing the risk of losing more knowledge and skills.

      A survey of 25 large corporate firms that outsourced development offshore found that 70% of them had negative outcomes.

      (Source: University of Oregon Applied Information Management, 2019)

      Info-Tech’s approach

      Selecting the right partner is a matching exercise.

      Selecting the right partner is a complex exercise with many factors

      1. Look inward. Assess your culture, your skills, and your needs.
      • Market
      • People
      • Culture
      • Technical aspects
    • Create a profile for the perfect partner to fit your firm.
      • Sourcing Strategy
      • Priorities
      • Profile
    • Find the partner that best fits your needs
      • Define RFx
      • Target Partners
      • Evaluate
    • Implement the partner and put in metrics and process to manage.
      • Contract Partner
      • Develop Goals
      • Create Process and Metrics

      The Info-Tech difference:

      1. Assess your own organization’s characteristics and capabilities in four key areas.
      2. Based on these characteristics and the sourcing strategy you are seeking to implement, build a profile for your perfect partner.
      3. Define an RFx and assessment matrix to survey the market and select the best partner.
      4. Implement the partner with process and controls to manage the relationship, built collaboratively and in place day 1.

      Insight summary

      Overarching insight

      Successfully selecting a sourcing partner is not a simple RFP exercise to choose the lowest cost. It is a complex process of introspection, detailed examination of partners and locations, and matching the fit. It requires you to seek a partner that is the Yin to your Yang, and failure is not an option.

      Phase 1 insight

      Fitting each of these pieces to the right partner is key to building a long-term relationship of value.

      Selecting a partner requires you to look at your firm in depth from a business, technical, and organizational culture perspective.

      Phase 2 insight

      The factors we have defined serve to build us a profile for the ideal partner to engage in sourcing our development team. This profile will lead us to be able to define our RFP / RFI and assess respondents.

      Phase 3/4 insight

      Implement the relationship the same way you want it to work, as one team. Work together on contract mechanism, shared goals, metrics, and performance measurement. By making this transparent you hasten the development of a joint team, which will lead to long-term success.

      Tactical insight

      Ensure you assess not just where you are but where you are going, in choosing a partner. For example, you must consider future markets you might enter when choosing the right sourcing, or outsourcing location to maintain compliance.

      Tactical insight

      Sourcing is not a replacement for your full team. Skills must be maintained in house as well, so the partner must be willing to work with the in-house team to share knowledge and collaborate on deliverables.

      Addressing the myth – Single country offshoring or outsourcing

      Research shows that a multi-country approach has a higher chance of success.

      • Research shows that firms trying their own captive development centers fail 20% of the time. ( Journal of Information Technology, 2008)
      • Further, the overall cost of ownership for an offshore center has shown to be significantly higher than the cost of outsourcing, as the offshore center requires more internal management and leadership.
      • Research shows that offshoring requires the offshore location to also house business team members to allow key relationships to be built and ensure more access to expertise. (Arxiv, 2021)
      • Given the specificity of employment laws, cultural differences, and leadership needs, it is very beneficial to have a Corporate HR presence in countries where an offshore center is being set up. (Arxiv, 2021)
      • Lastly, given the changing climate on security, geopolitical changes, and economic factors, our research with service providers and corporate clients shows a need to have more diversity in provider location than a single center can provide.

      Info-Tech Insight

      Long-term success of sourcing requires more than a development center. It requires a location that houses business and HR staff to enable the new development team to learn and succeed.

      Addressing the myth – Outsourcing is a simple RFP for skills and lowest cost

      Success in outsourcing is an exercise in finding a match based on complex factors.

      • In the past, outsourcing was a simple RFP exercise to find the cheapest country with the skills.
      • Our research shows this is no longer true; the decision is now more complex.
      • Competition has driven costs higher, while time business integration and security constraints have served to limit the markets available.
      • Company culture fit is key to the ability to work as one team, which research shows is a key element in delivery of long-term value. (University of Oregon, 2019).
      • These are some of the many factors that need to be considered as you choose your outsourcing partner.
      • The right decision is to find the vendor that best matches the current state of your culture, meets your market constraints, and will allow for best integration to your team – it's not about cheapest or pure skills. (IEEE Access, 2020)

      Info-Tech Insight

      Finding the right outsourcing vendor is an exercise in knowing yourself and then finding the best match to align with your key traits. It's not just costs and skills, but the partner who best matches with your ability to mitigate the risks of outsourcing.

      Phase 1

      Look inward to gain insight on key factors

      Introspection

      1.1 Assess your market factors

      1.2 Determine your people factors

      1.3 Review your current culture

      1.4 Document your technical factors

      Profiling

      2.1 Recall your sourcing strategy

      2.2 Prioritize your company factors

      2.3 Create target profile

      Partner selection

      3.1 Review your RFx

      3.2 Identify target vendors

      3.3 Evaluate vendor

      responses

      Implementation

      4.1 Engage partner to choose contract mechanism

      4.2 Engage partner team to define goals

      4.3 Choose your success

      metrics

      This phase will walk you through assessing and documenting the key driving factors about your firm and the current situation.

      By defining these factors, you will be able to apply this information in the matching process to select the best fit in a partner.

      This phase involves the following participants:

      Line of Business leaders

      Technology leaders

      Key criteria to assess your firm

      Research shows firms must assess themselves in different areas.

      Market factors

      • Who are your clients and your competitors, and what legal constraints do you face?

      People / Process factors

      • What employee skills are you seeking, what is your maturity in product management and stakeholder engagement, and what languages are spoken most predominantly?

      Cultural factors

      • What is your culture around communications, collaboration, change management, and conflict resolution?

      Technical factors

      • What is your current / future technical platform, and what is the maturity of your applications?

      Info-Tech Best Practice

      When assessing these areas, consider where you are today and where you want to go tomorrow, as choosing a partner is a long-term endeavor.

      Step 1.1

      Assess your market factors

      Activities

      1.1.1 Review your client list and future projections to determine your market factors.

      1.1.2 Review your competitive analysis to determine your competitive factors

      This step involves the following participants:

      Business leaders

      Product Owners

      Technology leaders

      Outcomes of this step

      Details of key market factors that will drive the selection of the right partner.

      Market factors

      The Market has a lot to say about the best match for your application development partner.

      Research in the space has defined key market-based factors that are critical when selecting a partner.

      1. Market sectors you service or plan to service – This is critical, as many market sectors have constraints on where their data can be accessed or stored. These restrictions also change over time, so they must be consistently reviewed.
      • E.g. Canadian government data must be stored and only accessed in Canada.
      • E.g. US Government contracts require service providers to avoid certain countries.
    • Your competitors – Your competitors can often seize on differences and turn them to differentiators; for example, offshoring to certain countries can be played up as a risk by a competitor who does all their work in a particular country.
    • Your clients – Research shows that clients can have very distinct views on services being performed in certain countries due to perceived risk, culture, and geopolitical factors. Understanding the views of major clients on globalization of services is a key factor in maintaining client satisfaction.
    • Info-Tech Insight

      Understanding your current and future market factors ensure that your business can not only be successful with the chosen partner today, but also in the future.

      1.1.1 Assess your market factors

      30 min

      Market factors

      1. Group your current client list into three categories:
        1. Those that have no restrictions on data security, privacy or location.
        2. Those that ask for assurances on data security, privacy and location.
        3. Those clients who have compliance restrictions related to data security, privacy, and location.
      2. Categorize future markets into the same three categories.
      3. Based on revenue projections, estimate the revenue from each category as a percentage of your total revenue.

      Download the Select a Sourcing Partner Presentation Template

      Input Output
      • Current client list
      • Future market plans
      • Competitive analysis
      • Completion of the Market Factors chart in the Select a Sourcing Partner for Your Development Team template
      Materials Participants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Product owners
      • Line of business leaders
      • Finance leaders

      Assess your market factors

      Market and sector

      Market share and constraints

      Market category

      Sector – Public, private or both

      Market share of category

      Key areas of concern

      Not constrained by data privacy, security or location

      Private

      50%

      Require assurances on data security, privacy or location

      Public

      45%

      Data access

      Have constraints that preclude choices related to data security, privacy and location

      Public

      5%

      Data residency

      1.1.2 Review your competitive factors

      30 min

      Competitive factors

      1. List your largest competitors.
      2. Document their sourcing strategies for their development team – are they all onshore or nearshore? Do they outsource?
      3. Based on this, identify competitive threats based on changing sourcing strategies.

      Download the Select a Sourcing Partner Presentation Template

      Input Output
      • Current client list
      • Future market plans
      • Competitive analysis
      • Completion of the Market Factors chart in the Select a Sourcing Partner for Your Development Team template
      Materials Participants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Product owners
      • Line of business leaders
      • Finance leaders

      Review your competitive factors

      Competitors

      Competitor sourcing strategy

      Competitive threats

      Competitor

      Where is the market?

      Is this onshore / near shore / offshore?

      Data residency

      How could competitors take advantage of a change in our sourcing strategy?

      Competitor X

      Canada / US

      All work done in house and onshore

      Kept in Canada / US

      If we source offshore, we will face a Made in Canada / US threat

      Step 1.2

      Consider your people-related factors

      Activities

      1.2.1 Define your people factors

      1.2.2 Assess your process factors

      This step involves the following participants:

      Technical leaders

      Outcomes of this step

      Details of key people factors that will drive the selection of the right partner.

      People / process factors

      People and process have a large hand in the success or failure of a partner relationship.

      • Alignment of people and process are critical to the success of the partner relationship over the long term.
      • In research on outsourcing / offshoring, Rahman et al identified ten factors that directly impact success or failure in offshoring or outsourcing of development.
      • Key among them are the following:
        • Employee skills
        • Project management
        • Maturity of process concerning product and client management
        • Language barrier

      Info-Tech Insight

      People are a critical resource in any sourcing strategy. Making sure the people and the processes will mesh seamlessly is how to ensure success.

      1.2.1 Define your people factors

      30 min

      Skills Inventory

      1. List skills needed in the development team to service current needs.
      2. Based on future innovation and product direction, add skills you foresee needing in the next 12-24 months. Where do you see a new technology platform (e.g. move from .NET to Java) or innovation (addition of Mobile)?
      3. List current skills present in the team.
      4. Identify skills gaps.

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Product plans for current and future products
      • Technology platform plans for current products
      • Future innovation plans
      • People- and process-related factors that influence sourcing decisions
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Product owners
      • Solution architects

      Assess your people - Skills inventory

      Skills required

      Strategic value

      Skills present

      Skill you are seeking

      Required today or in the future

      Rate the skill level required in this area

      Is this a strategic focus for the firm for future targets?

      Is this skill present in the team today?

      Rate current skill level (H/M/L)

      Java Development

      Future

      High

      Yes

      No

      Low

      .Net Development

      Today

      Med

      No

      Yes

      High

      1.2.2 Assess your process factors

      30 min

      Process factors

      1. Do you have a defined product ownership practice?
      2. How mature is the product ownership for the product you are seeking to change sourcing for (H/M/L)?
      3. Do you have project management principles and governance in place for software releases?
      4. What is the relative maturity / skill in the areas you are seeking sourcing for (H/M/L)?

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Product plans for current and future products
      • Technology platform plans for current products
      • Future innovation plans
      • People- and process-related factors that influence sourcing decisions
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Product owners
      • Solution architects

      Assess your process factors

      Product ownership

      Project management

      Product where sourcing is being changed

      Product ownership in place?

      Skills / maturity rating (H/M/L)

      Project management / governance in place for software releases

      Rate current maturity / skill level (H/M/L)

      ABC

      Yes

      High

      Yes

      High

      SQW

      No

      Low

      Yes

      High

      Step 1.3

      Review your current culture

      Activities

      1.3.1 Assess your communications factors

      1.3.2 Assess your conflict resolution factors

      This step involves the following participants:

      Technical leaders

      Product owners

      Project managers

      Outcomes of this step

      Details of key culture factors that will drive the selection of the right partner.

      Cultural factors

      Organization culture fit is a driver of collaboration between the teams, which drives success.

      • In their study of country attractiveness for sourcing development, Kotlarsky and Oshri point to the ability of the client and their sourcing partner to work as one team as a key to success.
      • This requires synergies in many cultural factors to avoid costly miscommunications and misinterpretations that damage collaboration.
      • Key factors in achieving this are:
        • Communications methodology and frequency; managing and communicating to the teams as one team vs two, and communicating at all levels, vs top down.
        • Managing the team as one integrated team, with collaboration enabled between all resources, rather than the more adversarial client vs partner approach.
        • Conflict resolution strategies must align so all members of the extended team work together to resolve conflict vs the traditional “Blame the Contractors”.
        • Strong change management is required to keep all team members aligned.

      Info-Tech Insight

      Synergy of culture is what enables a good partner selection to become a long-term relationship of value.

      1.3.1 Assess your communications factors

      30 min

      1. List all the methods you use to communicate with your development team – face to face, email, conference call, written.
      2. For each form of communication confirm frequency, medium, and audience (team vs one-on-one)
      3. Confirm if these communications take into account External vs Internal resources and different time zones, languages, and cultures.
      4. Is your development team broken up into teams by function, by location, by skill, etc., or do you operate as one team?

      Download the Select a Sourcing Partner Presentation Template

      Input Output
      • Communication process with existing development team
      • Examples of how external staff have been integrated into the process
      • Examples of conflicts and how they were resolved
      • Documentation of key cultural characteristics that need to be part of provider profiling
      Materials Participants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Product owners
      • Project managers

      Assess your communications strategy

      Communications

      Type

      Frequency

      Audience

      One communication or one per audience?

      Level of two-way dialogue

      Face-to-face team meetings

      Weekly

      All developers

      One

      High

      Daily standup

      Daily

      Per team

      One per audience

      Low

      1.3.2 Assess your conflict resolution factors

      30 min

      1. How does your organization handle the following types of conflict? Rate from 1-5, with 1 being hierarchical and 5 being openly collaborative.
        1. Developers on a team disagree.
        2. Development team disagrees with manager.
        3. Development team disagrees with product owner.
        4. Development team disagrees with line of business.
      2. Rate each conflict resolution strategy based on effectiveness.
      3. Confirm if this type of strategy is used for internal and external resources, or internal only.

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Communication process with existing development team
      • Examples of how external staff have been integrated into the process
      • Examples of conflicts and how they were resolved
      • Documentation of key cultural characteristics that need to be part of provider profiling
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Product owners
      • Project managers

      Assess your conflict resolution strategy

      Conflict

      Resolution strategy

      Effectiveness

      Audience

      Conflict type

      Rate the resolution strategy from hierarchical to collaborative (1-5)

      How effective is this method of resolution from 1-5?

      Is this strategy used for external parties as well as internal?

      Developer to product owner

      44

      Yes

      Developer to manager

      12

      Yes

      Step 1.4

      Document your technical factors

      Activities

      1.4.1 Document your product / platform factors

      1.4.2 Document your environment details

      This step involves the following participants:

      Technical leaders

      Product owners

      Outcomes of this step

      Details of key technical factors that will drive the selection of the right partner.

      Technical factors

      Technical factors are still the foundation for a Development sourcing relationship.

      • While there are many organizational factors to consider, the matching of technological factors is still the root on which the sourcing relationship is built; the end goal is to build better software.
      • Key technical Items that need to be aligned based on the research are:
        • Technical infrastructure
        • Development environments
        • Development methodology and tools
        • Deployment methodology and tools
        • Lack of/poor-quality technical documentation
      • Most RFPs focus purely on skills, but without alignment on the above items, work becomes impossible to move forward quickly, limiting the chances of success.

      Info-Tech Insight

      Technical factors are the glue that enables teams to function together. Ensuring that they are fully integrated is what enables team integration; seams in that integration represent failure points.

      1.4.1 Document your product / platform factors

      30 mins

      1. How many environments does each software release go through from the start of development through release to production?
      2. What is the infrastructure and development platform?

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Development process
      • Deployment process
      • Operations process
      • IT security policies
      • Documentation of key technical characteristics that need to be part of provider profiling
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Development leaders
      • Deployment team leaders
      • Infrastructure leaders
      • IT operations leaders
      • Product owners
      • Project managers

      Document your product / platform

      Product / Platform

      Product you are seeking a sourcing solution for

      What is the current infrastructure platform?

      How many environments does the product pass through?

      What is the current development toolset?

      ABC

      Windows

      Dev – QA – Preprod - Prod

      .Net / Visual Studio

      1.4.2 Document your environment details

      30 min

      For each environment detail the following:

      1. Environment on premises or in cloud
      2. Access allowed to external parties
      3. Production data present and unmasked
      4. Deployment process: automated or manual
      5. Tools used for automated deployment
      6. Can the environment be restored to last known state automatically?
      7. Does documentation exist on the environment, processes and procedures?

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Development process
      • Deployment process
      • Operations process
      • IT security policies
      • Documentation of key technical characteristics that need to be part of provider profiling
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Development leaders
      • Deployment team leaders
      • Infrastructure leaders
      • IT operations leaders
      • Product owners
      • Project managers

      Document Your Environment Details

      Environment

      Location

      Access

      Deployment

      Data

      Name of Environment

      Is the environment on premises or in the cloud (which cloud)?

      Is external access allowed?

      Is deployment automated or manual?

      Tool used for deployment

      Is reset automated?

      Does the environment contain unmasked production data?

      Dev

      Cloud

      Yes

      Automated

      Azure DevOps

      Yes

      No

      QA

      Cloud

      Yes

      Automated

      Azure DevOps

      Yes

      No

      Preprod

      On Premises

      No

      Manual

      N/A

      No

      Yes

      Phase 2

      Introspection

      1.1 Assess your market factors

      1.2 Determine your people factors

      1.3 Review your current culture

      1.4 Document your technical factors

      Profiling

      2.1 Recall your sourcing strategy

      2.2 Prioritize your company factors

      2.3 Create target profile

      Partner selection

      3.1 Review your RFx

      3.2 Identify target vendors

      3.3 Evaluate vendor

      responses

      Implementation

      4.1 Engage partner to choose contract mechanism

      4.2 Engage partner team to define goals

      4.3 Choose your success

      metrics

      This phase will help you to build a profile of the partner you should target in your search for a sourcing partner.

      This phase involves the following participants:

      Technology leaders

      Procurement leaders

      Product owners

      Project managers

      Build a profile for the right partner

      • Finding the perfect partner is a puzzle to solve, an exercise between the firm and the partners.
      • It is necessary to be able to prioritize and to identify opportunities where you can adapt to create a fit.
      • You must also bring forward the sourcing model you are seeking and prioritize factors based on that; for example, if you are seeking a nearshore partner, language may be less of a factor.

      Review factors based on sourcing choice

      Different factors are more important depending on whether you are insourcing or outsourcing.

      Key risks for insourcing

      • Alignment on communication strategy and method
      • Ability to align culturally
      • Need for face-to-face relationship building
      • Need for coaching skills

      Key risks for outsourcing

      • Giving control to the vendor
      • Legal and regulatory issues
      • Lack of knowledge at the vendor
      • Language and cultural fit

      Assessing your firm's position

      • The model you derived from the Sourcing Strategy research will inform the prioritization of factors for matching partners.

      Info-Tech Insight

      To find the best location for insourcing, or the best vendor for outsourcing, you need to identify your firm's positions on key risk areas.

      Step 2.1

      Recall your sourcing strategy

      Activities

      2.1.1 Define the key factors in your sourcing strategy

      This step involves the following participants:

      Technology Leaders

      Outcomes of this step

      Documentation of the Sourcing Strategy you arrived at in the Define a Sourcing Strategy exercises

      Choosing the right model

      The image contains a screenshot of the legend that will be used down below. The legend contains circles, from the left there is a empty circle, a one quarter filled circle, half filled circle, three-quarter filled circle , and a fully filled in circle.

      Determinant

      Key Questions to Ask

      Onshore

      Nearshore

      Offshore

      Outsource role(s)

      Outsource team

      Outsource product(s)

      Business dependence

      How much do you rely on business resources during the development cycle?

      The image contains a screenshot of the filled in whole circle to demonstrate high. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the half filled circle to demonstrate medium. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the empty circle to demonstrate low.

      Absorptive capacity

      How successful has the organization been at bringing outside knowledge back into the firm?

      The image contains a screenshot of the empty circle to demonstrate low. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the half filled circle to demonstrate medium. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the filled in whole circle to demonstrate high.

      Integration complexity

      How many integrations are required for the product to function – fewer than 5, 5-10, or more than 10?

      The image contains a screenshot of the filled in whole circle to demonstrate high. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the half filled circle to demonstrate medium. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the empty circle to demonstrate low.

      Product ownership

      Do you have full-time product owners in place for the products? Do product owners have control of their roadmaps?

      The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the half filled circle to demonstrate medium. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the half filled circle to demonstrate medium. The image contains a screenshot of the filled in whole circle to demonstrate high. The image contains a screenshot of the filled in whole circle to demonstrate high.

      Organization culture fit

      What are your organization’s communication and conflict resolution strategies? Is your organization geographically dispersed?

      The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the filled in whole circle to demonstrate high.

      Vendor mgmt skills

      What is your skill level in vendor management? How old are your longest-standing vendor relationships?

      The image contains a screenshot of the empty circle to demonstrate low. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the one-quarter filled circle to demonstrate medium low. The image contains a screenshot of the half filled circle to demonstrate medium. The image contains a screenshot of the three-quarter filled circle to demonstrate medium high. The image contains a screenshot of the filled in whole circle to demonstrate high.

      2.1.1 Define the key factors in your sourcing strategy

      30 min

      For each product you are seeking a sourcing strategy for, document the following:

      1. Product or team name.
      2. Sourcing strategy based on Define a Sourcing Strategy.
      3. The primary drivers that led to this selection – Business Dependence, Absorptive Capacity, Integration Complexity, Product Ownership, Culture or Vendor Management.
      4. The reasoning for the selection based on that factor – e.g. we chose nearshoring based on high business dependence by our development team.

      Download the Select a Sourcing Partner Presentation Template

      Input Output
      • Sourcing Strategy from Define a Sourcing Strategy for your Development Team
      • Reasoning that drove the sourcing strategy selection
      Materials Participants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leadership

      Define sourcing strategy factors

      Sourcing strategy

      Factors that led to selection

      Product you are seeking a sourcing solution for

      Strategy defined

      Key factors that led to that choice

      Reasoning

      ABC

      Outsourcing - Offshore

      • Product ownership
      • Business integration
      • Product maturity
      • Technical environment

      Mature product ownership and low requirement for direct business involvement.

      Mature product with lower environments in cloud.

      Step 2.2

      Prioritize your company factors

      Activities

      2.2.1 Prioritize the factors from your sourcing strategy and confirm if mitigation or adaptation are possible.

      This step involves the following participants:

      IT Leadership team

      Outcomes of this step

      Prioritized list of key factors

      2.2.1 Prioritize your sourcing strategy factors

      30 min

      1. For each of the factors listed in exercise 2.1, prioritize them by importance to the firm.
      2. For each factor, please confirm if there is room to drive change internally to overcome the lack of a match – for example, if the culture being changed in language and conflict resolution is an option, then say Yes for that factor.

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Sourcing Strategy factors from 2.1
      • Prioritized list of sourcing strategy factors
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders

      Sourcing strategy factors and priority

      Sourcing strategy

      Factors that led to selection

      Priority of factor in decision

      Change possible

      Product you are seeking a sourcing solution for

      Strategy defined

      Key factors that led to your choice

      Reasoning

      Priority of factor 1-x

      Is there an opportunity to adapt this factor to a partner?

      ABC

      Outsourcing - offshore

      • Product ownership
      • Business integration
      • Product maturity
      • Technical environment

      Mature product ownership

      Low requirement for direct business involvement

      Mature product with lower environments in cloud

      2

      1

      3

      N

      N

      Y

      Step 2.3

      Create target profile

      Activities

      2.3.1 Profile your best fit

      This step involves the following participants:

      IT Leadership team

      Outcomes of this step

      Profile of the target partner

      Profiling your best fit

      Creating a target profile will help you determine which partners should be included in the process.

      Given the complexity of all the factors and trying to find the best fit from a multitude of partners, Info-Tech recommends forming a target profile for your best fit of partner.

      This profile provides a detailed assessment matrix to use to review potential partners.

      Profile should be created based on priority; "must haves" are high priority, while properties that have mitigation opportunities are optional or lower priority.

      Criteria

      Priority

      Some US Govt contracts – data and staff in NATO

      1

      Windows environment – Azure DEVOPS

      2

      Clients in FS

      3

      Agile SDLC

      4

      Collaborative communication and conflict resolution

      5

      Mature product management

      6

      Languages English and Spanish

      7

      Partner Profile

      • Teams in NATO and non-NATO countries
      • Windows skills with Azure
      • Financial Services experience
      • Utilize Agile and willing to plug into our teams
      • Used to collaborating with clients in one team environment
      • One centre in Latin / South America

      Info-Tech Insight

      The factors we have defined serve to build us a profile for the ideal partner to engage in sourcing our development team. This profile will lead us to be able to define our RFP / RFI and assess respondents.

      Case study: Cognizant is partnering with clients on product development

      INDUSTRY: Technology Services

      SOURCE: Interview with Jay MacIsaac, Cognizant

      Cognizant is driving quality solutions for clients

      • Strives to be primarily an industry-aligned organization that delivers multiple service lines in multiple geographies.
      • Seeks to carefully consider client culture to create one team.
      • Value proposition is a consultative approach bringing thought leadership and mutually adding value to the relationship vs the more traditional order taker development partner
      • Wants to share in solution development to facilitate shared successes. Geographic alignment drives knowledge of the client and their challenges, not just about time zone and supportability.
      • Offers one of the largest offshore capabilities in the world, supported by local and nearshore resources to drive local knowledge.
      • Realizes today’s clients don’t typically want a black box, they are sophisticated and want transparency around the process and solution, to have a partner.
      • Understands that clients do want to know where the work is being delivered from and how it's being delivered, and want to help manage expectations and overall risk.

      Synergy with Info-Tech’s approach

      • Best relationship comes when teams operate as one.
      • Clients are seeking value, not a development black box.
      • Clients want to have a partner they can engage with, not just an order taker.
      • Goal is a one-team culture with shared goals and delivering business value.
      • Ideal is a partner that will add to their thinking, not echo it.

      Results of this approach

      • Cognizant is continuing to deliver double-digit growth and continues to strive for top quartile performance.
      • Growth in the client base has seen the company grow to over 340,000 associates worldwide.

      Case study: Cabot Technology Solutions uses industry knowledge to drive successful partnerships

      INDUSTRY: Technology Services

      SOURCE: Interview with Shibu Basheer, Cabot Technology Solutions

      Cabot Technology Solutions findings

      • Cabot Technology Solutions looks to partner with clients and deliver expertise and value, not just application development.
        • Focus on building deep knowledge in their chosen vertical, Healthcare.
        • Focus on partnering with clients in this space who are seeking a partner to provide industry knowledge and use this to propel them forward.
        • Look to work with clients seeking a one team philosophy.
        • Avoid clients looking for a cheap provider.
      • Recognizing the initial apprehension to India as a location, they have built a practice in Ontario that serves as a bridge for their offshore team.
      • Cabot overcame initial views and built trust, while integrating the India team in parallel.

      Synergy with Info-Tech approach

      • Preference is partners, not a client/vendor relationship.
      • Single country model is set aside in favor of mix of near and offshore.
      • Culture is a one team approach, not the more adversarial order-taker approach.
      • Goal is to build long-term relationships of value, not task management.

      Results of this approach

      • Cabot is a recognized as a top software development company in many markets across the USA.
      • Cabot continues to drive growth and build referenceable client relationships across North America.

      2.3.1 Profile your best fit

      30 min

      1. Document the list of skills you are seeking from the People Factors – Skills Inventory in Section 1.2 – these represent the skills you are seeking in a partner.
      2. Document the culture you are looking for in a partner with respect to communications and conflict resolution in the culture section of the requirements – this comes from Section 1.3.
      3. Confirm the type of partner you are seeking – nearshore, offshore, or outsourcing based on the sourcing strategy priorities in Section 2.2.
      4. Confirm constraints that the partner must work under based on constraints from your market and competitor factors in Section 1.1.
      5. Confirm your technical requirements in terms of environments, tools, and processes that the vendor must align to from Section 1.4.

      Download the Select a Sourcing Partner Presentation Template

      Input Output

      All exercises done in Steps 11-1.4 and 2.1-2.2

      Profile of a target partner to drive the RFx Criteria

      Materials Participants

      Select a Sourcing Partner for Your Development Team Presentation template

      Development leaders

      Deployment team leaders

      Infrastructure leaders

      IT operations leaders

      Product owners

      Project managers

      RFP skills requirement

      People skills required

      Product ownership

      Project management

      Skill

      Skill level required

      Tools / platform requirement

      Details of product management methodology and skills

      Details of firm's project management methodology

      .NET

      Medium

      Windows

      Highly mature, high skill

      Highly mature, high skill

      Java

      High

      Windows

      Low

      High

      RFx cultural characteristics

      Communication strategy

      Conflict resolution

      Organization / management

      Communication mediums supported

      Frequency of meetings expected

      Conflict resolutions strategies used at the firm

      Management methodology

      Face to face

      Weekly

      Collaborative

      Online

      Daily

      Hierarchical with manager

      Hierarchical

      RFx market constraints

      Constraints

      Partner proposal

      Constraint type

      Restrictions

      Market size required for

      Reasoning

      Data residency

      Data must stay in Canada for Canadian Gov't clients

      5% Canada public sector

      Competitive

      Offshoring dev means competition can take advantage

      95% Clients

      Need strategy to show data and leadership in NA, but delivering more innovation at lower cost by going offshore

      RFx technical requirements

      Technical environments

      Infrastructure

      Alignment of SDLC

      Tools required for development team

      Access control software required

      Infrastructure location

      Number of environments from development to production

      .Net Visual Studio

      Microsoft

      Azure

      4

      RFx scope of services

      Work being sourced

      Team sizing

      Work being sourced

      Skill level required

      Average size of release

      Releases per year

      Java development of new product

      High

      3-month development

      6

      .NET staff augmentation

      Medium

      ½-month development

      12

      Phase 3

      Choose the partner that will best enable you to move forward as one integrated team.

      Introspection

      1.1 Assess your market factors

      1.2 Determine your people factors

      1.3 Review your current culture

      1.4 Document your technical factors

      Profiling

      2.1 Recall your sourcing strategy

      2.2 Prioritize your company factors

      2.3 Create target profile

      Partner selection

      3.1 Review your RFx

      3.2 Identify target vendors

      3.3 Evaluate vendor

      responses

      Implementation

      4.1 Engage partner to choose contract mechanism

      4.2 Engage partner team to define goals

      4.3 Choose your success

      metrics

      For more details on Partner Selection, please refer to our research blueprint entitled Select an ERP Partner

      This phase will help you define your RFx for your provider search

      This phase involves the following participants:

      Vendor Management Team

      IT Leadership

      Finance Team

      Finding the right fit should always come before rates to determine value

      The right fit

      Determined in previous activities

      Negotiating will eventually bring the two together

      Value

      Rates

      Determined by skill and location

      Statement of Work (SOW) quality

      A quality SOW is the result of a quality RFI/RFP (RFx).

      The process up to now has been gathering the materials needed to build a quality RFx. Take this opportunity to review the outputs of the preceding activities to ensure that:

      • All the right stake holders have been engaged.
      • The requirements are complete.

      Info-Tech’s RFP Review as a Service looks for key items to ensure your RFx will generate quality responses and SOWs.

      • Is it well-structured with a consistent use of fonts and bullets?
      • Is it laid out in sections that are easily identifiable and progress from high-level to more detailed information?
      • Can a vendor quickly identify the ten (or fewer) things that are most important to you?

      The image contains a screenshot of the Request for Proposal Review as a Service.

      Step 3.1

      Review your RFx

      Activities

      3.1.1 Select your RFx template

      3.1.2 Finalize your RFx

      3.1.3 Weight each evaluation criteria

      This step involves the following participants:

      • Project team
      • Evaluation team
      • Vendor management team
      • CIO

      Outcomes of this step

      • Completed RFx

      Info-Tech’s RFI/RFP process

      Info-Tech has well-established vendor management templates and practices

      • Identify Need
      • Define Business Requirements
      • Gain Business Authorization
      • Perform RFI/RFP
      • Negotiate Agreement
      • Purchase Goods and Services
      • Assess and Measure Performance

      Info-Tech Best Practice

      You’ll want to customize templates for your organization, but we strongly suggest that you take whatever you feel best meets your needs from both the long- and short-form RFPs presented in this blueprint.

      The secret to managing an RFP is to make it manageable. And the secret to making an RFP manageable is to treat it like any other aspect of business – by developing a process. With a process in place, you are better able to handle whatever comes your way, because you know the steps you need to follow to produce a top-notch RFP.

      Your RFP process should be tailored to fit the needs and specifics of your organization and IT.

      Info-Tech Insight

      Create a better RFP process using Info-Tech’s well-established templates and methodology.

      Create a Better RFP Process

      In a hurry? Consider an enhanced RFI instead of an RFP.

      While many organizations rarely use RFIs, they can be an effective tool in the vendor manager’s toolbox when used at the right time in the right way. RFIs can be deployed in competitive targeted negotiations. An enhanced RFI (ERFI) is a two-stage strategy that speeds up the typical RFP process. The first stage is like an RFI on steroids, and the second stage is targeted competitive negotiation.

      Stage 1:

      Create an RFI with all the customary components. Next, add a few additional RFP-like requirements (e.g. operational and technical requirements). Make sure you include a request for budgetary pricing and provide any significant features and functionality requirements so that the vendors have enough information to propose solutions. In addition, allow the vendors to ask questions through your single point of coordination and share answers with all the vendors. Finally, notify the vendors that you will not be doing an RFP – this is it!

      Stage 2:

      Review the vendors’ proposals and select the best two. Negotiate with both vendors and then make your decision.

      The ERFI shortens the typical RFP process, maintains leverage for your organization, and works great with low- to medium-spend items (however your organization defines them). You’ll get clarification on vendors’ competencies and capabilities, obtain a fair market price, and meet your internal clients’ aggressive timelines while still taking steps to protect your organization.

      RFI Template

      The image contains a screenshot of the RFI Template.

      Use this template to create your RFI baseline template. Be sure to modify and configure the template to your organization’s specifications.

      Request for Information Template

      Long-Form RFP Template

      Configure Info-Tech’s Long-Form RFP Template for major initiatives

      The image contains a screenshot of the long-form RFP Template.

      A long-form or major RFP is an excellent tool for more complex and complicated requirements. This example is for a baseline RFP.

      It starts with best-in-class RFP terms and conditions that are essential to maintaining your control throughout the RFP process. The specific requirements for the business, functional, technical, and pricing areas should be included in the exhibits at the end of the template. That makes it easier to tailor the RFP for each deal, since you and your team can quickly identify specific areas that need modification. Grouping the exhibits together also makes it convenient for both your team to review, and the vendors to respond.

      You can use this sample RFP as the basis for your template RFP, taking it all as is or picking and choosing the sections that best meet the mission and objectives of the RFP and your organization.

      Source: Info-Tech’s The Art of Creating a Quality RFP

      Short-Form RFP Template

      Configure Info-Tech’s Short-Form RFP Template for minor or smaller initiatives

      The image contains a screenshot of the Short-Form RFP Template.

      This example is for a less complex RFP that has relatively basic requirements and perhaps a small window in which the vendors can respond. As with the long-form RFP, exhibits are placed at the end of the RFP, an arrangement that saves time for both your team and the vendors. Of course, the short-form RFP contains fewer specific instructions, guidelines, and rules for vendors’ proposal submissions.

      We find that short-form RFPs are a good choice when you need to use something more than a request for quote (RFQ) but less than an RFP running 20 or more pages. It’s ideal, for example, when you want to send an RFP to only one vendor or to acquire items such as office supplies, contingent labor, or commodity items that require significant vendor's risk assessment.

      Source: The Art of Creating a Quality RFP

      3.1.1 Select your RFx template

      1-3 hours

      1. As a group, download the RFx templates from the previous three slides.
      2. Review your RFx process as a group. Be sure to include the vendor management team.
      3. Be sure to consider organization-specific procurement guidelines. These can be included. The objective here is to find the template that is the best fit. We will finalize the template in the next activity.
      4. Determine the best template for this project.
      Input Output
      • RFx templates
      • The RFx template that will be used for this project
      Materials Participants
      • Info-Tech’s Enhanced RFI Template, Long-Form RFP Template, and Short-Form RFP Template
      • Vendor management team
      • Project team
      • Project manager

      Finalize your RFx

      Key insights

      Leverage the power of the RFP

      • Too often RFPs fail to achieve their intended purposes, and your organization feels the effects of a poorly created RFP for many years.
      • If you are faced with a single source vendor, you can perform an RFP to one to create the competitive leverage.

      Make the response and evaluation process easier

      • Being strategic in your wording and formatting makes it easier on both parties – easier for the vendors to submit meaningful proposals, and easier for customer teams to evaluate.
      • Create a level playing field to encourage competition. Without multiple proposals, your options are limited and your chances for a successful project plummet.

      Maximize the competition

      • Leverage a pre-proposal conference to resolve vendor questions and to ensure all vendors receive the same answers to all questions. No vendor should have an information advantage.

      Do’s

      • Leverage your team’s knowledge.
      • Document and explain your RFP process to stakeholders and vendors.
      • Include contract terms in your RFP.
      • Measure and manage performance after contract award.
      • Seek feedback from the RFP team on your process and improve it as necessary.

      Don'ts

      • Reveal your budget.
      • Do an RFP in a vacuum.
      • Send an RFP to a vendor your team is not willing to award the business to.
      • Hold separate conversations with candidate vendors during your RFP process.
      • Skimp on the requirements definition to speed the process.
      • Tell the vendor they are selected before negotiating.

      3.1.2 Finalize your RFx

      1-3 hours

      1. As a group, review the selected RFI or RFP template.
      2. This is YOUR document. Modify it to suit the needs of the organization and even add sections from the other RFP templates that are relevant to your project.
      3. Use the Supplementary RFx Material as a guide.
      4. Add the content created in Steps 1 and 2.
      5. Add any organization-specific clauses or requirements.
      6. Have the project team review and comment on the RFP.
      7. Optional: Use Info-Tech’s RFP Review Concierge Service.

      Download the RFx Vendor Evaluation Tool

      Download the Supplementary RFx Material

      InputOutput
      • RFx template
      • Organizational specific guidelines
      • Materials from Steps 1 and 2
      • Supplementary RFx Material
      • Finalized RFx
      MaterialsParticipants
      • Electronic RFP document for editing
      • Vendor management team
      • Project team
      • Project manager

      3.1.2 Bring it all together

      Supplementary RFx Material

      The image contains a screenshot of Supplementary RFx Material.

      Review the sample content to get a feel for how to incorporate the results of the activities you have worked through into the RFx template.

      RFx Templates

      Use one of our templates to build a ready-for-distribution implementation partner RFx tailored to the unique success factors of your implementation.

      Exercises in Steps 1 and 2

      The image contains a screenshot of Exercises in Steps 1 and 2

      Use the material gathered during each activity to inform and populate the implementation partner requirements that are specific for your organization and project.

      The image contains a screenshot of the Long Form RFx template.The image contains a screenshot of the Short Form RFx template.

      3.1.3 Weight each evaluation criteria

      1-3 hours

      1. As a group, review the selected RFI or RFP template.
      2. This is your document. Modify it to suit the needs of the organization and even add sections from the other RFP templates that are relevant to your project.
      3. Use the Supplementary RFx Material as a guide.
      4. Utilize the content defined in Steps 1 and 2.
      5. Add any organization-specific clauses or requirements.
      6. Have the project team review and comment on the RFP.
      7. Optional: Use Info-Tech’s RFP Review Concierge Service.

      Download the Supplementary RFx Material

      InputOutput

      RFx Vendor Evaluation Tool

      Exercises from Steps 1 and 2

      • Weighted scoring tool to evaluate responses
      MaterialsParticipants
      • RFx Vendor Evaluation Tool
      • Supplementary RFx Material
      • Vendor management team
      • Project team
      • Project manager

      3.1.3 Apply weight to each evaluation criteria

      Use this tool to weight each critical success factor based on results of the activities within the vendor selection workbook for later scoring results.

      The image contains a screenshot of the RFx Vendor Evaluation Tool.

      Download the RFx Vendor Evaluation Tool

      Step 3.2

      Identify target vendors

      Activities

      3.2.1 Identify target vendors

      3.2.2 Define your RFx timeline

      This step involves the following participants:

      • Project team
      • Vendor management team

      Outcomes of this step

      • Targeted vendor list
      • Initial RFx timeline

      3.2.1 Identify target vendors

      1-3 hours

      1. Based on the profile defined in Step 2.3, research potential partners that fit the profile, starting with those you may have used in the past. From this, build your initial list of vendors to target with your RFx.
      2. Break into smaller groups (or continue as a single group if it is already small) and review each shortlisted vendor to see if they will likely respond to the RFx.
      Input Output
      • Websites
      • Peers
      • Advisory groups
      • A shortlist of vendors to target with your RFx
      Materials Participants
      • RFx Vendor Evaluation Tool
      • CIO
      • Vendor management team
      • Project team
      • Evaluation team

      Download the RFx Vendor Evaluation Tool

      Define your RFx timeline

      Provider RFx timelines need to be clearly defined to keep the project and participants on track. These projects and processes can be long. Set yourself up for success by identifying the time frames clearly and communicating them to participants.

      1. Current
      • Concurrent ERP product selection
      • RFx preparation
      • Release of RFX
    • Near-term
      • Responses received
      • Scoring responses
      • Shortlisting providers
      • Provider interviews
      • Provider selection
      • Provider contract negotiations
      • Contract with provider
    • Future
      • Initiation of knowledge transfer
      • Joint development period
      • Cutover to provider team

      89% of roadmap views have at least some representation of time. (Roadmunk, n.d.)

      Info-Tech Insight

      The true value of time horizons is in dividing your timeline and applying different standards and rules, which allows you to speak to different audiences and achieve different communication objectives.

      3.2.2 Define your RFx timeline

      1-3 hours

      1. As a group identify an appropriate timeline for your RFP process. Info-Tech recommends no less than three months from RFx release to contract signing.

        Keep in mind that you need to allow for time to engage the team and perform some level of knowledge transfer, and to seed the team with internal resources for the initial period.
      2. Leave enough time for vendor responses, interviews, and reference checks.
      3. Once the timeline is finalized, document it and communicate it to the organization.

      Download the RFx Vendor Evaluation Tool

      Input Output
      • RFx template
      • Provider RFx timeline
      Materials Participants
      • RFx Vendor Evaluation Tool
      • Vendor management team
      • Project team
      • Project manager

      Define your RFx timeline

      The image contains a screenshot of an example of an RFx timeline.

      Step 3.3

      Evaluate vendor responses

      Activities

      3.3.1 Evaluate responses

      This step involves the following participants:

      • Evaluation team

      Outcomes of this step

      • Vendor submission scores

      3.3.1 Evaluate responses

      1-3 hours

      1. Use the RFx Vendor Evaluation Tool to collect and record the evaluation team's scores for each vendor's response to your RFx.
      2. Then record and compare each team member's scores to rank the vendors' responses.
      3. The higher the score, the closer the fit.

      Download the RFx Vendor Evaluation Tool

      InputOutput
      • Vendor responses
      • Vendor presentations
      • Vendor scores
      MaterialsParticipants
      • RFx Vendor Evaluation Tool
      • Evaluation team

      3.3.1 Score vendor results

      Use the RFx Vendor Evaluation Tool to score the vendors' responses to your RFx using the weighted scale from Activity 3.1.3.

      The image contains a screenshot of the RFx Vendor Evaluation Tool.

      Download the RFx Vendor Evaluation Tool

      Phase 4

      Measuring the new relationship

      Introspection

      1.1 Assess your market factors

      1.2 Determine your people factors

      1.3 Review your current culture

      1.4 Document your technical factors

      Profiling

      2.1 Recall your sourcing strategy

      2.2 Prioritize your company factors

      2.3 Create target profile

      Partner selection

      3.1 Review your RFx

      3.2 Identify target vendors

      3.3 Evaluate vendor

      responses

      Implementation

      4.1 Engage partner to choose contract mechanism

      4.2 Engage partner team to define goals

      4.3 Choose your success

      metrics

      This phase will allow you to define the relationship with your newly chosen partner, including choosing the right contract mechanism, defining shared goals for the relationship, and selecting the metrics and processes to measure performance.

      This phase involves the following participants:

      IT leadership

      Procurement team

      Product owners

      Project managers

      Implementing the Partner

      Implementing the new partner is an exercise in collaboration

      • Successfully implementing your new partner is an exercise in working together
      1. Define a contract mechanism that is appropriate for the relationship, but is not meant as punitive, contract-based management – this sets you up for failure.
      2. Engage with your team and your partner as one team to build shared, measurable goals
      3. Work with the team to define the metrics and processes by which progress against these goals will be measured
    • Goals, metrics and process should be transparent to the team so all can see how their performance ties to success
    • Make sure to take time to celebrate successes with the whole team as one
    • Info-Tech Insight

      Implement the relationship the same way you want it to work: as one team. Work together on contract mechanism, shared goals, metrics, and performance measurement. This transparency and collaboration will build a one team view, leading to long-term success.

      Step 4.1

      Engage partner to choose contract mechanism

      Activities

      4.1.1 Confirm your contract mechanism

      This step involves the following participants:

      IT leadership

      Procurement team

      Vendor team

      Outcomes of this step

      Contract between the vendor and the firm for the services

      Negotiate agreement

      Evaluate your RFP responses to see if they are complete and if the vendor followed your instructions.

      Then:

      Plan negotiation(s) with one or more vendors based on your questions and opportunities identified during evaluation.

      Select finalist(s).

      Apply selection criteria.

      Resolve vendors' exceptions.

      Negotiate before you select your vendor:

      Negotiating with two or more vendors will maintain your competitive leverage while decreasing the time it takes to negotiate the deal.

      Perform legal reviews as necessary.

      Use sound competitive negotiations principles.

      Info-Tech Insight

      Be certain to include any commitments made in the RFP, presentations, and proposals in the agreement, as the standard for an underperforming vendor.

      Info-Tech Insight

      Providing contract terms in an RFP can dramatically reduce time for this step by understanding the vendor’s initial contractual position for negotiation.

      Leverage ITRG's negotiation process research for additional information

      For more details on this process please see our research Drive Successful Sourcing Outcomes with a Robust RFP Process

      4.1.1 Confirm your contract mechanism

      30 min

      1. Does the firm have prior experience with this type of sourcing arrangement?
      2. Does the firm have an existing services agreement with the selected partner?
      3. What contract mechanisms have been used in the past for these types of arrangements?
      4. What mechanism was proposed by the partner in their RFP response?

      Download the Select a Sourcing Partner Presentation Template

      Input Output
      • Past sourcing agreements from Procurement
      • Proposed agreement from partner
      • Agreed upon contract mechanism
      Materials Participants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Vendor management group
      • Partner leaders

      Choose the appropriate contract method

      Work being sourced

      Partner proposal

      Agreed-upon mechanism

      Work being sourced

      Vendor management experience with type

      Partner proposed contract method

      Agreed-upon contract method

      Java development team to build new product

      Similar work done with fixed price with another vendor

      Time and materials per scrum team

      Time and materials per scrum team to avoid vendor conflicts inherent in fixed price which limit innovation

      Step 4.2

      Engage partner team to define shared goals

      Activities

      4.2.1 Define your shared goals

      This step involves the following participants:

      IT leadership

      Vendor leadership

      Outcomes of this step

      Shared goals for the team

      Define success and shared goals

      Work together to define how you will measure yourselves.

      One team

      • Treating the new center and the existing team as one team is critical to long-term success.
      • Having a plan that allows for teams to meet frequently face-to-face "get to know you" and "stay connected" sessions will help the team gel.

      Shared goals

      • New group must share common goals and measurements.

      Common understanding

      • New team must have a common understanding and culture on key facets such as:
        • Measurement of quality
        • Openness to feedback and knowledge sharing
        • Culture of collaboration
        • Issue and Risk Management

      4.2.1 Define your shared goals

      30 min

      1. List each item in the scope of work for the sourcing arrangement – e.g. development of product XXX.
      2. For each scope item, detail the benefit expected by the firm – e.g. development cost expected to drop by 10% per year, or customer satisfaction improvement.
      3. For each benefit define how you will measure success – e.g. track cost of development for the development team assigned, or track Customer Satisfaction Survey results.
      4. For each measure, define a target for this year – e.g. 10% decrease over last year's cost, or customer satisfaction improvement from 6 to 7.

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Services being procured from RFx
      • Benefits expected from the sourcing strategy
      • Baseline scores for measurements
      • Shared goals agreed upon between team and partner
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Technology leaders
      • Partner leaders

      Define goals collaboratively

      Role and benefit

      Goals and objectives

      Role / work being sourced

      Benefit expected

      Measure of success

      Year over year targets

      Java development team to build new product

      New product to replace aging legacy

      Launch of new product

      Agree on launch schedule and MVP for each release / roadmap

      Step 4.3

      Choose your success metrics

      Activities

      4,3.1 Define metrics and process to monitor

      This step involves the following participants:

      IT leadership

      Product owners

      Project managers

      Vendor leaders

      Outcomes of this step

      Metrics and process to measure performance

      4.3.1 Define metrics and process to monitor

      30 min

      1. For each goal defined and measure of success, break down the measure into quantifiable, measurable factors – e.g. Development cost is defined as all the costs tracked to the project including development, deployment, project management, etc.
      2. For each factor choose the metric that can be reported on – e.g. project actuals.
      3. For each metric define the report and reporting frequency – e.g. monthly project actuals from project manager.

      Download the Select a Sourcing Partner Presentation Template

      InputOutput
      • Development process
      • Deployment process
      • Operations process
      • IT Security policies
      • Documentation of key technical characteristics that need to be part of provider profiling
      MaterialsParticipants
      • Select a Sourcing Partner for Your Development Team Presentation template
      • Development leaders
      • Deployment team leaders
      • Infrastructure leaders
      • IT operations leaders
      • Product owners
      • Project managers

      Agreed-upon metrics

      Goal

      Metrics and process

      Agreed-upon goal

      Year 1 target

      Metric to measure success

      Measurement mechanism

      Deliver roadmap of releases

      3 releases – MVP in roadmap

      Features and stories delivered

      Measure delivery of stories from Jira

      Research Contributor

      The image contains a picture of Alaisdar Graham.

      Alaisdar Graham

      Executive Counsellor

      Info-Tech Research Group

      During Alaisdar’s 35-year career in information and operational technology, Alaisdar has been CIO for public sector organizations and private sector companies. He has been an entrepreneur with his own consultancy and a founder or business advisor with four cyber-security start-ups, Alaisdar has developed experience across a broad range of industries within a number of different countries and become known for his ability to drive business benefits and improvements through the use of technology.

      Alaisdar has worked with CXO-level executives across different businesses. Whether undertaking a digital transformation, building and improving IT functions across your span of control, or helping you create and execute an integrated technology strategy, Alaisdar can provide insight while introducing you to Info-Tech Research Group’s experts. Alaisdar’s experience with organizational turn- around, governance, project, program and portfolio management, change management, risk and security will support your organization’s success.

      Research Contributor

      The image contains a picture of Richard Nachazel.

      Richard Nachazel

      Executive Counsellor

      Info-Tech Research Group

      • Richard has more than 40 years working in various Fortune 500 organizations. His specialties are collaborating with business and IT executives and senior stakeholders to define strategic goals and transform operational protocols, standards, and methodologies. He has established a reputation at multiple large companies for taking charge of critical, high-profile enterprise projects in jeopardy of failure and turning them around. Colleagues and peers recognize his ability to organize enterprise efforts, build, develop, and motivate teams, and deliver outstanding outcomes.
      • Richard has worked as a Global CISO & Head of IT Governance for a Swiss Insurance company, Richard developed and led a comprehensive Cyber-Security Framework that provided leadership and oversight of the cyber-security program. Additionally, he was responsible for their IT Governance Risk & Compliance Operation and the information data security compliance in a complex global environment. Richard’s experience with organizational turn around, governance, risk, and controls, and security supports technology delivery integration with business success. Richard’s ability to engage executive and senior management decision makers and champion vision will prove beneficial to your organization.

      Research Contributor

      The image contains a picture of Craig Broussard.

      Craig Broussard

      Executive Counsellor

      Info-Tech Research Group

      • Craig has over 35 years of IT experience including software development, enterprise system management, infrastructure, and cyber security operations. Over the last 20 years, his focus has been on infrastructure and security along with IT service management. He’s been an accomplished speaker and panelist at industry trade events over the past decade.
      • Craig has served as Global Infrastructure Director for NCH Corporation, VP of Information Technology at ATOS, and earlier in his career as the Global Head of Data Center Services at Nokia Siemens Networks. Craig also worked for MicroSolutions (a Mark Cuban Company). Additionally, Craig received formal consulting training while working for IBM Global Services.
      • Craig’s deep experience across many aspects of IT from Governance through Delivery makes him an ideal partner for Info-Tech members.

      Bibliography

      Offshore, Onshore or Hybrid–Choosing the Best IT Outsourcing Model. (n.d.).
      Offshore Dedicated Development Team – A Compelling Hiring Guide. (n.d.).
      The Three Non-Negotiables Of IT Offshoring. (n.d.). Forbes.
      Top Ten Countries For Offshoring. Forbes, 2004.
      Nearshoring in Europe: Choose the Best Country for IT Outsourcing - The World Financial Review. (n.d.).
      Select an Offshore Jurisdiction. The Best Countries for Business in 2021-2022! | InternationalWealth.info. (n.d.).
      How to Find the Best Country to Set Up an Offshore Company. (n.d.). biz30.
      Akbar, M. A., Alsanad, A., Mahmood, S., & Alothaim, A. (2021). Prioritization-based taxonomy of global software development challenges: A FAHP based analysis. IEEE Access, 9, 37961–37974
      Ali, S. (2018). Practices in Software Outsourcing Partnership: Systematic Literature Review Protocol with Analysis. Journal of Computers, (February), 839–861
      Baird Georgia, A. (2007). MISQ Research Curation on Health Information Technology 2. Progression of Health IT Research in MIS Quarterly. MIS Quarterly, 2007(June), 1–14.
      Akbar, M. A., Alsanad, A., Mahmood, S., & Alothaim, A. (2021). Prioritization-based taxonomy of global software development challenges: A FAHP based analysis. IEEE Access, 9, 37961–37974
      Ali, S. (2018). Practices in Software Outsourcing Partnership: Systematic Literature Review Protocol with Analysis. Journal of Computers, (February), 839–861
      Baird Georgia, A. (2007). MISQ Research Curation on Health Information Technology 2. Progression of Health IT Research in MIS Quarterly. MIS Quarterly, 2007(June), 1–14.
      Carmel, E., & Abbott, P. (2006). Configurations of global software development: offshore versus nearshore. … on Global Software Development for the Practitioner, 3–7.
      Hanafizadeh, P., & Zare Ravasan, A. (2018). A model for selecting IT outsourcing strategy: the case of e-banking channels. Journal of Global Information Technology Management, 21(2), 111–138.
      Ishizaka, A., Bhattacharya, A., Gunasekaran, A., Dekkers, R., & Pereira, V. (2019). Outsourcing and offshoring decision making. International Journal of Production Research, 57(13), 4187–4193.
      Jeong, J. J. (2021). Success in IT offshoring: Does it depend on the location or the company? Arxiv.
      Joanna Minkiewicz, J. E. (2009). Deakin Research Online Online. 2007, Interrelationships between Innovation and Market Orientation in SMEs, Management Research News, Vol. 30, No. 12, Pp. 878-891., 30(12), 878–891.

      Bibliography

      King, W. R., & Torkzadeh, G. (2016). Special Issue Information Systems Offshoring : Research Status and Issues. MIS Quarterly, 32(2), 205–225.
      Kotlarsky, J., & Oshri, I. (2008). Country attractiveness for offshoring and offshore outsourcing: Additional considerations. Journal of Information Technology, 23(4), 228–231.
      Lehdonvirta, V., Kässi, O., Hjorth, I., Barnard, H., & Graham, M. (2019). The Global Platform Economy: A New Offshoring Institution Enabling Emerging-Economy Microproviders. Journal of Management, 45(2), 567–599.
      Mahajan, A. (2018). Risks and Benefits of Using Single Supplier in Software Development. Oulu University of Applied Sciences. Retrieved from
      Murberg, D. (2019). IT Offshore Outsourcing: Best Practices for U.S.-Based Companies. University of Oregon Applied Information Management, 1277(800), 824–2714.
      Nassimbeni, G., Sartor, M., & Dus, D. (2012). Security risks in service offshoring and outsourcing. Industrial Management and Data Systems, 112(3), 405–440.
      Olson, G. M., & Olson, J. S. (2000). Distance matters. Human-Computer Interaction, 15(2–3), 139–178.
      Pilkova, A., & Holienka, M. (2018). Home-Based Business in Visegrad Countries: Gem Perspective. Innovation Management, Entrepreneurship and Sustainability 2018 Proceedings of the 6th International Conference.
      Rahman, H. U., Raza, M., Afsar, P., Alharbi, A., Ahmad, S., & Alyami, H. (2021). Multi-criteria decision making model for application maintenance offshoring using analytic hierarchy process. Applied Sciences (Switzerland), 11(18).
      Rahman, H. U., Raza, M., Afsar, P., Khan, H. U., & Nazir, S. (2020). Analyzing factors that influence offshore outsourcing decision of application maintenance. IEEE Access, 8, 183913–183926.
      Roadmunk. What is a product roadmap? Roadmunk, n.d. Accessed 12 Oct. 2021.
      Rottman, J. W., & Lacity, M. C. (2006). Proven practices for effectively offshoring IT work. MIT Sloan Management Review.
      Smite, D., Moe, N. B., Krekling, T., & Stray, V. (2019). Offshore Outsourcing Costs: Known or Still Hidden? Proceedings - 2019 ACM/IEEE 14th International Conference on Global Software Engineering, ICGSE 2019, 40–47.
      Welsum, D. Van, & Reif, X. (2005). Potential Offshoring: Evidence from Selected OECD Countries. Brookings Trade Forum, 2005(1), 165–194.
      Zhang, Y., Liu, S., Tan, J., Jiang, G., & Zhu, Q. (2018). Effects of risks on the performance of business process outsourcing projects: The moderating roles of knowledge management capabilities. International Journal of Project Management, 36(4), 627–639.

      Define a Release Management Process to Deliver Lasting Value

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      • Parent Category Name: Development
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      • Your software platforms are a key enabler of your brand. When there are issues releasing, this brand suffers. Client confidence and satisfaction erode.
      • Your organization has invested significant capital in creating a culture product ownership, Agile, and DevOps. Yet the benefits from these investments are not yet fully realized.
      • Customers have more choices than ever when it comes to products and services. They require features and capabilities delivered quickly, consistently, and of sufficient quality otherwise they will look elsewhere.

      Our Advice

      Critical Insight

      • Eliminate the need for dedicating time for off-hour or weekend release activities. Use a release management framework for optimizing release-related tasks, making them predictable and of high quality.

      Impact and Result

      • Develop a release management framework that efficiently and effectively orchestrates the different functions supporting a software’s release.
      • Use the release management framework and turn release-related activities into non-events.
      • Use principles of continuous delivery for converting your release processes from an overarching concern to a feature of a high-performing software practice.

      Define a Release Management Process to Deliver Lasting Value Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Define a Release Management Process to Deliver Lasting Value Deck – A step-by-step document that walks you through how to develop and implement a release management framework that takes advantage of continuous delivery.

      This presentation documents the Info-Tech approach to defining your application release management framework.

      • Define a Release Management Process to Deliver Lasting Value – Phases 1-4

      2. Define a Release Management Process to Deliver Lasting Value Template – Use this template to help you define, detail, and make a reality your strategy in support of your application release management framework.

      The template gives the user a guide to the development of their application release management framework.

      • Define a Release Management Process to Deliver Lasting Value Template

      3. Define a Release Management Process to Deliver Lasting Value Workbook – This workbook documents the results of the exercises contained in the blueprint and offers the user a guide to development of their release management framework.

      This workbook is designed to capture the results of your exercises from the Define a Release Management Process to Deliver Lasting Value blueprint.

      • Define a Release Management Process to Deliver Lasting Value Workbook
      [infographic]

      Workshop: Define a Release Management Process to Deliver Lasting Value

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Define the Current Situation

      The Purpose

      Document the existing release management process and current pain points and use this to define the future-state framework.

      Key Benefits Achieved

      Gain an understanding of the current process to confirm potential areas of opportunity.

      Understand current pain points so that we can build resolution into the new process.

      Activities

      1.1 Identify current pain points with your release management process. If appropriate, rank them in order of most to least disruptive.

      1.2 Use the statement of quality and current pain points (in addition to other considerations) and outline the guiding principles for your application release management framework.

      1.3 Brainstorm a set of metrics that will be used to assess the success of your aspired-to application release management framework.

      Outputs

      Understanding of pain points, their root causes, and ranking.

      Built guiding principles for application release management framework.

      Created set of metrics to measure the effectiveness of the application release management framework.

      2 Define Standard Release Criteria

      The Purpose

      Build sample release criteria, release contents, and standards for how it will be integrated in production.

      Key Benefits Achieved

      Define a map to what success will look like once a new process is defined.

      Develop standards that the new process must meet to ensure benefits are realized.

      Activities

      2.1 Using an example of a product known to the team, list its criteria for release.

      2.2 Using an example of a product known to the team, develop a list of features and tasks that are directly and indirectly important for either a real or hypothetical upcoming release.

      2.3 Using an example of product known to the team, map out the process for its integration into the release-approved code in production. For each step in the process, think about how it satisfies guiding principles, releasability and principles of continuous anything.

      Outputs

      Completed Workbook example highlighting releasability.

      Completed Workbook example defining and detailing feature and task selection.

      Completed Workbook example defining and detailing the integration step.

      3 Define Acceptance and Deployment Standards

      The Purpose

      Define criteria for the critical acceptance and deployment phases of the release.

      Key Benefits Achieved

      Ensure that releases will meet or exceed expectations and meet user quality standards.

      Ensure release standards for no / low risk deployments are recognized and implemented.

      Activities

      3.1 Using an example of product known to the team, map out the process for its acceptance. For each step in the process, think about how it satisfies guiding principles, releasability and principles of continuous anything.

      3.2 Using an example of product known to the team, map out the process for its deployment. For each step in the process, think about how it satisfies guiding principles, releasability and principles of continuous anything.

      Outputs

      Completed Workbook example defining and detailing the acceptance step.

      Completed Workbook example defining and detailing the deployment step.

      4 Implement the Strategy

      The Purpose

      Define your future application release management process and the plan to make the required changes to implement.

      Key Benefits Achieved

      Build a repeatable process that meets the standards defined in phases 2 and 3.

      Ensure the pain points defined in Phase 1 are resolved.

      Show how the new process will be implemented.

      Activities

      4.1 Develop a plan and roadmap to enhance the integration, acceptance, and deployment processes.

      Outputs

      List of initiatives to reach the target state

      Application release management implementation roadmap

      Further reading

      Define a Release Management Process for Your Applications to Deliver Lasting Value

      Use your releases to drive business value and enhance the benefits delivered by your move to Agile.

      Analyst Perspective

      Improving your release management strategy and practices is a key step to fully unlock the value of your portfolio.

      As firms invest in modern delivery practices based around product ownership, Agile, and DevOps, organizations assume that’s all that is necessary to consistently deliver value. As organizations continue to release, they continue to see challenges delivering applications of sufficient and consistent quality.

      Delivering value doesn’t only require good vision, requirements, and technology. It requires a consistent and reliable approach to releasing and delivering products and services to your customer. Reaching this goal requires the definition of standards and criteria to govern release readiness, testing, and deployment.

      This will ensure that when you deploy a release it meets the high standards expected by your clients and delivers the value you have intended.

      Dr. Suneel Ghei

      Principal Research Director, Application Development

      Info-Tech Research Group

      Executive Summary

      Your Challenge

      • Your software platforms are a key enabler of your brand. When there are issues releasing, the brand suffers. Client confidence and satisfaction erode.
      • Your organization has invested significant capital in creating a culture of product ownership, Agile, and DevOps. Yet the benefits from these investments are not yet fully realized.
      • Customers have more choices than ever when it comes to products and services. They require features and capabilities delivered quickly, consistently, and of sufficient quality, otherwise they will look elsewhere.

      Common Obstacles

      • Development teams are moving faster but then face delays waiting for testing and deployment due to a lack of defined release cycle and process.
      • Individual stages in your software development life cycle (SDLC), such as code collaboration, testing, and deployment, have become leaner, but the overall complexity has increased since many products and services are composed of many applications, platforms, and processes.
      • The specifics of releasing products is (wrongly) classified as a technical concern and not a business concern, hindering the ability to prioritize improved release practices.

      Info-Tech's Approach

      • Develop a release management framework that efficiently and effectively orchestrates the different functions supporting a software’s release.
      • Use the release management framework and turn release-related activities into non-events.
      • Use principles of continuous delivery for converting your release processes from an overarching concern to a feature of a high-performing software practice.

      Executive Summary

      Info-Tech Insights

      Turn release-related activities into non-events.

      Eliminate the need for dedicating time for off-hour or weekend release activities. Use a release management framework for optimizing release-related tasks, making them predictable and of high quality.

      Release management is NOT a part of the software delivery life cycle.

      The release cycle runs parallel to the software delivery life cycle but is not tightly coupled with it. The act of releasing begins at the point requirements are confirmed and ends when user satisfaction is measurable. In contrast, the software delivery life cycle is focused on activities such as building, architecting, and testing.

      All releases are NOT created equal.

      Barring standard guiding principles, each release may have specific nuances that need to be considered as part of release planning.

      Your release management journey

      1. Optimize Applications Release Management - Set a baseline release management process and organization.
      2. Modernize Your SDLC - Move your organization to Agile and increase throughput to feed releases.
      3. Deliver on Your Digital Product Vision - Understand the practices that go into delivering products, including articulating your release plans.
      4. Automate Testing to Get More Done - Create the ability to do more testing quickly and ensure test coverage.
      5. Implement DevOps Practices That Work - Build in tools and techniques necessary for release deployment automation.
      6. Define a Release Management Process to Deliver Lasting Value (We Are Here)

      Define a Release Management Process for Your Applications to Deliver Lasting Value

      Use your releases to drive business value and enhance the benefits delivered by your move to Agile.

      Executive Brief

      Your software delivery teams are expected to deliver value to stakeholders in a timely manner and with high quality

      Software delivery teams must enable the organization to react to market needs and competitive changes to improve the business’ bottom line. Otherwise, the business will question the team’s competencies.

      The business is constantly looking for innovative ways to do their jobs better and they need support from your technical teams.

      The increased stress from the business is widening the inefficiencies that already exist in application release management, risking poor product quality and delayed releases.

      Being detached from the release process, business stakeholders do not fully understand the complexities and challenges of completing a release, which complicates the team’s communication with them when issues occur.

      IT Stakeholders Are Also Not Satisfied With Their Own Throughput

      • Only 29% of IT employees find application development throughput highly effective.
      • Only 9% of organizations were classified as having highly effective application development throughput.
      • Application development throughput ranked 37th out of 45 core IT processes in terms of effectiveness.

      (Info-Tech’s Management and Governance Diagnostic, N=3,930)

      Your teams, however, struggle with core release issues, resulting in delayed delivery (and disappointed stakeholders)

      Implementing tools on top of an inefficient pipeline can significantly magnify the existing release issues. This can lead to missed deadlines, poor product quality, and business distrust with software delivery teams.

      COMMON RELEASE ISSUES

      1. Local Thinking: Release decisions and changes are made and approved without consideration of the holistic system, process, and organization.
      2. No Release Cadence: Lack of process governance and oversight generates unpredictable bottlenecks and load and ill-prepared downstream teams.
      3. Mismanagement of Releases: Program management does not accommodate the various integrated releases completed by multiple delivery teams.
      4. Poor Scope Management: Teams are struggling to effectively accommodate changes during the project.

      The bottom line: The business’ ability to operate is dictated by the software delivery team’s ability to successfully complete releases. If the team performs poorly, then the business will do poorly as well. Application release management is critical to ensure business expectations are within the team’s constraints.

      As software becomes more embedded in the business, firms are discovering that the velocity of business change is now limited by how quickly they can deploy.” – Five Ways To Streamline Release Management, J.S. Hammond

      Historically, managing releases has been difficult and complicated…

      Typically, application release management has been hard to coordinate because…

      • Software has multiple dependencies and coordinating their inclusion into a deployable whole was not planned.
      • Teams many be spending too much time on features that are not needed any longer.
      • Software development functions (such as application architecture, test-first or test-driven design, source code integration, and functional testing) are not optimized.
      • There are no agreed upon service-level contracts (e.g. expected details in requirements, adequate testing, source control strategy) between development functions.
      • The different development functions are not integrated in a holistic style.
      • The different deployment environments have variability in their configuration, reducing the reliability of testing done in different environments.
      • Minimum thresholds for acceptable quality of development functions are either too low (leading to adverse outcomes down stream) or too high (leading to unnecessary delays).

      …but research shows being effective at application release management increases your throughput

      Research conducted on Info-Tech's members shows overwhelming evidence that application throughput is strongly tied to an effective application release management approach.

      The image shows a scatter plot, with Release Management Effectiveness on the x-axis and Application Development Throughput Effectiveness on the Y-axis. The graph shows a steady increase.

      (Info-Tech Management & Governance Diagnostic, since 2019; N=684 organizations)

      An application release management framework is critical for effective and timely delivery of software

      A well-developed application release management framework is transformative and changes...

      From To
      Short-lived projects Ongoing enhancements supporting a product strategy
      Aiming for mandated targets Flexible roadmaps
      Manual execution of release processes Automating a release pipeline as much as possible and reasonable
      Manual quality assurance Automated assessment of quality
      Centralized decision making Small, independent release teams, orchestrated through an optimized value stream

      Info-Tech Insight: Your application release management framework should turn a system release into a non-event. This is only possible through the development of a holistic, low-risk and standardized approach to releasing software, irrespective of their size or complexity.

      Robust continuous “anything” requires proficiency in five core practices

      A continuous anything evaluation should not be a “one-and-done” event. As part of ongoing improvements, keep evolving it to make it a fundamental component of a strong operational strategy.

      Continuous Anything

      • Automate where appropriate
        • Automation is not a silver bullet. All processes are not created equal; and therefore, some are not worthy of being automated.
      • Control system variables
        • Deploying and testing in environments that are apple to apple in comparison reduces the risk of unintended outcomes from production release.
      • Measure process outcomes
        • A process not open to being measured is a process bound to fail. If it can be measured, it should be, and insights found should be used for improving the system.
      • Select smaller features batches
        • Smaller release packages reduce the chances of cognitive load associated with finding root causes for defects and issues that may result as post-production incidents.
      • Reduction of cycle time
        • Identification of waste in each stage of the continuous anything process helps in lowering cost of operations and results in quicker generation of value for stakeholders.

      Invest time in developing an application release management framework for your development team(s) with a continuous anything mindset

      An application release management framework converts a set of features and make them ready for releasability in a low-risk, standardized, and high-quality process.

      The image shows a diagram titled Application Release Engineering From Idea to Product, which illustrates the process.

      A continuous anything (integration, delivery, and deployment) mindset is based on a growth and improvement philosophy, where every event is considered a valid data point for investigation of process efficiency.

      Diagram adapted from Continuous Delivery in the Wild, Pete Hodgson, Published by O'Reilly Media, Inc., 2020

      Related Info-Tech Research

      Streamline Application Maintenance

      • Justify the necessity of streamlined maintenance. Gain a grounded understanding of stakeholder objectives and concerns and validate their achievability against the current state of the people, process, and technologies involved in application maintenance.
      • Strengthen triaging and prioritization practices. Obtain a holistic picture of the business and technical impacts, risks, and urgencies of each accepted maintenance request to justify its prioritization and relevance within your backlog. Identify opportunities to bundle requests together or integrate them within project commitments to ensure completion.
      • Establish and govern a repeatable process. Develop a maintenance process with well-defined stage gates, quality controls, and roles and responsibilities, and instill development best practices to improve the success of delivery.

      “Releasability” (or release criteria) of a system depends upon the inclusion of necessary building blocks and proof that they were worked on

      There is no standard definition of a system’s releasability. However, there are common themes around completions or assessments that should be investigated as part of a release:

      • The range of performance, technical, or compliance standards that need to be assessed.
      • The full range of test types required for business approval: unit tests, acceptance tests, security test, data migration tests, etc.
      • The volume-criticality mix of defects the organization is willing to accept as a risk.
      • The best source and version control strategy for the development team. This is mostly a function of the team's skill with using release branches and coordinating their work artifacts.
      • The addition of monitoring points and measures required for evaluations and impact analysis.
      • The documentation required for audit and compliance.
      • External and internal dependencies and integrations.
      • Validations, approvals, and sign-offs required as part of the business’ operating procedure.
      • Processes that are currently carried out outside and should be moved into the pipeline.
      • Manual processes that may be automated.
      • Any waste activities that do not directly contribute to releasability that can be eliminated from the development process.
      • Knowledge the team has regarding challenges and successes with similar software releases in the past.

      Releasability of a system is different than governing principles for application release management

      Governing principles are fundamental ways of doing something, which in this case is application release management, while releasability will generally have governing principles in addition to specific needs for a successful release.

      Example of Governing Principles

      • Approval from Senior Director is necessary before releasing to production
      • Production deployments can only be done in off-hours
      • We will try to automate processes whenever it is possible for us to do so
      • We will use a collaborative set of metrics to measure our processes

      Examples of Releasability Criteria

      • For the upcoming release, add performance testing for Finance and Budget Teams’ APIs
      • Audit and compliance documentation is required for this release
      • Automation of manual deployment
      • Use trunk-based source code management instead of feature-based

      Regulated industries are not more stable despite being less nimble

      A pervasive myth in industry revolves around the misperception that continuous anything and nimble and non-event application release management is not possible in large bureaucratic and regulated organizations because they are risk-averse.

      "We found that external approvals were negatively correlated with lead-time, deployment frequency and restore time, and had no correlation with change failure rate. In short, approval by an external body (such as a manager or Change Approval Board) simply doesn’t work to increase the stability of production systems…However, it certainly slows things down. It is in fact worse than having no change approval process at all." – Accelerate by Gene Kim, Jez Humble, and Nicole Forsgren

      Many organizations reduce risk in their product release by adopting a paternalistic stance by:

      • Requiring manual sign-offs from senior personnel who are external to the organization.
      • Increasing the number and level of authorization gates.
      • Staying away from change and preferring to stick with what has worked in the past.

      Despite the prevalence of these types of responses to risk, the evidence is that they do not work and are in fact counter-productive because they:

      • Create blocks to frequent releases.
      • Introduce procedural complexity to each release and in effect make them “bigger.”
      • Prefer process over people (and trusting them). Increase non-value-add scrutiny and reporting.

      There is a persistent misunderstanding about continuous anything being only an IT engineering practice

      01

      At the enterprise level, continuous anything focuses on:

      • Visibility of final value being provided in a high-quality and expedited manner
      • Ensuring efficiency in the organization’s delivery framework
      • Ensuring adherence to established governance and risk mitigation strategy

      02

      Focus of this blueprint

      At the product level, continuous anything focuses on:

      • Reliability of the product delivery system
      • Use of scientific evidence for continuous improvement of the product’s delivery system
      • Orchestration of different artifacts into a single whole

      03

      At the functional level, continuous anything focuses on*:

      • Local functional optimization (functions = software engineering, testing, application design)
      • Automation of local functions
      • Use of patterns for standardizing inputs and functional areas

      *Where necessary, practices at this level have been mentioned.

      Related Info-Tech Research

      Implement DevOps Practices That Work

      • Be DevOps, rather than do DevOps. DevOps is a philosophy, not an industry framework. Your organization’s culture must shift toward system-wide thinking, cross-function collaboration, and empathy.
      • Culture, learning, automation, integrated teams, and metrics and governance (CLAIM) are all critical components of effective DevOps.

      Automate Testing to Get More Done

      • Optimize and automate SDLC stages to recover team capacity. Recognize that automation without optimization is a recipe for long-term pain. Do it right the first time.
      • Optimization and automation are not one-hit wonders. Technical debt is a part of software systems and never goes away. The only remedy is constant vigilance and enhancements to the processes.

      The seeds of a good release are sown even before work on it begins

      Pre-release practices such as requirements intake and product backlog management are important because:

      • A standard process for documentation of features and requirements helps reduce “cognitive dissonance” between business and technology teams. Clearly articulated and well-understood business needs are fundamental ingredients of a high-quality product.
      • Product backlog management done right ensures the prioritized delivery of value to stakeholders. Features can become stale or get a bump in importance, depending upon evolving circumstances. Prioritizing the backlog is, therefore, critical for ensuring time, effort, and budget are spent on things that matter.

      Help Managers Inform, Interact, and Involve on the Way to Team Engagement

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      • Parent Category Name: Employee Development
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      • Employee engagement impacts a company’s bottom line as well as the quality of work life for employees.
      • Employee engagement surveys often fail to provide the value you are hoping for because they are treated like an annual project that quickly loses steam.
      • The responsibility for fixing the issues identified falls to HR, and ultimately HR has very little control over an employee’s concerns with their day-to-day role.

      Our Advice

      Critical Insight

      • HR and the executive team have been exclusively responsible for engagement for too long. Since managers have the greatest impact on employees, they should also be primarily responsible for employee engagement.
      • In most organizations, managers underestimate the impact they can have on employee engagement, and assume that the broader organization will take more meaningful action.
      • Improving employee engagement may be as simple as improving the frequency and quality of the “3Is”: informing employees about the why behind decisions, interacting with them on a personal level, and involving them in decisions that affect them.

      Impact and Result

      • Managers have the greatest impact on employee engagement as they are in a unique situation to better understand what makes employees tick.
      • If employees have a good relationship with their manager, they are much more likely to be engaged at work which ultimately leads to increases in revenue, profit, and shareholder return.

      Help Managers Inform, Interact, and Involve on the Way to Team Engagement Research & Tools

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Get more involved in analyzing and improving team engagement

      Improve employee engagement and ultimately the organization’s bottom line.

      • Storyboard: Help Managers Inform, Interact, and Involve on the Way to Team Engagement

      2. Gather feedback from employees

      Have a productive engagement feedback discussion with teams.

      • Engagement Feedback Session Agenda Template

      3. Engage teams to improve engagement

      Facilitate effective team engagement action planning.

      • Action Planning Worksheet

      4. Gain insight into what engages and disengages employees

      Solicit employee pain points that could potentially hinder their engagement.

      • Stay Interview Guide

      5. Get to know new hires on a more personal level

      Develop a stronger relationship with employees to drive engagement.

      • New Hire Conversation Guide
      [infographic]

      Capture and Market the ROI of Your VMO

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      • Parent Category Name: Vendor Management
      • Parent Category Link: /vendor-management
      • All IT organizations are dependent on their vendors for technology products, services, and solutions to support critical business functions.
      • Measuring the impact of and establishing goals for the vendor management office (VMO) to maximize its effectiveness requires an objective and quantitative approach whenever possible.
      • Sharing the VMO’s impact internally is a balancing act between demonstrating value and self-promotion.

      Our Advice

      Critical Insight

      • The return on investment (ROI) calculation for your VMO must be customized. The ROI components selected must match your VMO ROI maturity, resources, and roadmap. There is no one-size-fits-all approach to calculating VMO ROI.
      • ROI contributions come from many areas and sources. To maximize the VMO’s ROI, look outside the traditional framework of savings and cost avoidance to vendor-facing interactions and the impact the VMO has on internal departments.

      Impact and Result

      • Quantifying the contributions of the VMO takes the guess work out of whether the VMO is performing adequately.
      • Taking a comprehensive approach to measuring the value created by the VMO and the ROI associated with it will help the organization appreciate the importance of the VMO.
      • Establishing goals for the VMO with the help of the executives and key stakeholders ensures that the VMO is supporting the needs of the entire organization.

      Capture and Market the ROI of Your VMO Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should calculate and market internally your VMO’s ROI, review Info-Tech’s methodology, and understand the ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Get organized

      Begin the process by identifying your VMO’s ROI maturity level and which calculation components are most appropriate for your situation.

      • Capture and Market the ROI of the VMO – Phase 1: Get Organized
      • VMO ROI Maturity Assessment Tool
      • VMO ROI Calculator and Tracker
      • VMO ROI Data Source Inventory and Evaluation Tool
      • VMO ROI Summary Template

      2. Establish baseline

      Set measurement baselines and goals for the next measurement cycle.

      • Capture and Market the ROI of the VMO – Phase 2: Establish Baseline
      • VMO ROI Baseline and Goals Tool

      3. Measure and monitor results

      Measure the VMO's ROI and value created by the VMO’s efforts and the overall internal satisfaction with the VMO.

      • Capture and Market the ROI of the VMO – Phase 3: Measure and Monitor Results
      • RFP Cost Estimator
      • Improvements in Working Capital Estimator
      • Risk Estimator
      • General Process Cost Estimator and Delta Estimator
      • VMO Internal Client Satisfaction Survey
      • Vendor Security Questionnaire
      • Value Creation Worksheet
      • Deal Summary Report Template

      4. Report results

      Report the results to key stakeholders and executives in a way that demonstrates the value added by the VMO to the entire organization.

      • Capture and Market the ROI of the VMO – Phase 4: Report Results
      • Internal Business Review Agenda Template
      • IT Spend Analytics
      • VMO ROI Reporting Worksheet
      • VMO ROI Stakeholder Report Template
      [infographic]

      Workshop: Capture and Market the ROI of Your VMO

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Get Organized

      The Purpose

      Determine how you will measure the VMO’s ROI.

      Key Benefits Achieved

      Focus your measurement on the appropriate activities.

      Activities

      1.1 Determine your VMO’s maturity level and identify applicable ROI measurement categories.

      1.2 Review and select the appropriate ROI formula components for each applicable measurement category.

      1.3 Compile a list of potential data sources, evaluate the viability of each data source selected, and assign data collection and analysis responsibilities.

      1.4 Communicate progress and proposed ROI formula components to executives and key stakeholders for feedback and/or approval/alignment.

      Outputs

      VMO ROI maturity level and first step of customizing the ROI formula components.

      Second and final step of customizing the ROI formula components…what will actually be measured.

      Viable data sources and assignments for team members.

      A progress report for key stakeholders and executives.

      2 Establish Baseline

      The Purpose

      Set baselines to measure created value against.

      Key Benefits Achieved

      ROI contributions cannot be objectively measured without baselines.

      Activities

      2.1 Gather baseline data.

      2.2 Calculate/set baselines.

      2.3 Set SMART goals.

      2.4 Communicate progress and proposed ROI formula components to executives and key stakeholders for feedback and/or approval/alignment.

      Outputs

      Data to use for calculating baselines.

      Baselines for measuring ROI contributions.

      Value creation goals for the next measurement cycle.

      An updated progress report for key stakeholders and executives.

      3 Measure and Monitor Results

      The Purpose

      Calculate the VMO’s ROI.

      Key Benefits Achieved

      An understanding of whether the VMO is paying for itself.

      Activities

      3.1 Assemble the data and calculate the VMO’s ROI.

      3.2 Organize the data for the reporting step.

      Outputs

      The VMO’s ROI expressed in terms of how many times it pays for itself (e.g. 1X, 3X, 5X).

      Determine which supporting data will be reported.

      4 Report Results

      The Purpose

      Report results to stakeholders.

      Key Benefits Achieved

      Stakeholders understand the value of the VMO.

      Activities

      4.1 Create a reporting template.

      4.2 Determine reporting frequency.

      4.3 Decide how the reports will be distributed or presented.

      4.4 Send out a draft report and update based on feedback.

      Outputs

      A template for reporting ROI and supporting data.

      A decision about quarterly or annual reports.

      A decision regarding email, video, and in-person presentation of the ROI reports.

      Final ROI reports.

      Project Management

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      • Parent Category Name: Project Portfolio Management and Projects
      • Parent Category Link: /ppm-and-projects

      The challenge

      • Ill-defined or even lack of upfront project planning will increase the perception that your IT department cannot deliver value because most projects will go over time and budget.
      • The perception is those traditional ways of delivering projects via the PMBOK only increase overhead and do not have value. This is less due to the methodology and more to do with organizations trying to implement best-practices that far exceed their current capabilities.
      • Typical best-practices are too clinical in their approach and place unrealistic burdens on IT departments. They fail to address the daily difficulties faces by staff and are not sized to fit your organization.
      • Take a flexible approach and ensure that your management process is a cultural and capacity fit for your organization. Take what fits from these frameworks and embed them tailored into your company.

      Our advice

      Insight

      • The feather-touch is often the right touch. Ensure that you have a lightweight approach for most of your projects while applying more rigor to the more complex and high-risk developments.
      • Pick the right tools. Your new project management processes need the right tooling to be successful. Pick a tool that is flexible enough o accommodate projects of all sizes without imposing undue governance onto smaller projects.
      • Yes, take what fits within your company from frameworks, but there is no cherry-picking. Ensure your processes stay in context: If you do not inform for effective decision-making, all will be in vain. Develop your methods such that guide the way to big-picture decision taking and support effective portfolio management.

      Impact and results 

      • The right amount of upfront planning is a function of the type of projects you have and your company. The proper levels enable better scope statements, better requirements gathering, and increased business satisfaction.
      • An investment in a formal methodology is critical to projects of all sizes. An effective process results in more successful projects with excellent business value delivery.
      • When you have a repeatable and consistent approach to project planning and execution, you can better communicate between the IT project managers and decision-makers.
      • Better communication improves the visibility of the overall project activity within your company.

      The roadmap

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      Get started.

      Read our executive brief to understand why you should tailor project management practices to the type of projects you do and your company and review our methodology. We show you how we can support you.

      Lay the groundwork for project management success

      Assess your current capabilities to set the right level of governance.

      • Tailor Project Management Processes to Fit Your Projects – Phase 1: Lay the Groundwork for PM Success (ppt)
      • Project Management Triage Tool (xls)
      • COBIT BAI01 (Manage Programs and Projects) Alignment Workbook (xls)
      • Project Level Definition Matrix (xls)
      • Project Level Selection Tool (xls)
      • Project Level Assessment Tool (xls)
      • Project Management SOP Template (doc)

      Small project require a lightweight framework

      Increase small project's throughput.

      • Tailor Project Management Processes to Fit Your Projects – Phase 2: Build a Lightweight PM Process for Small Initiatives (ppt)
      • Level 1 Project Charter Template (doc)
      • Level 1 Project Status Report Template (doc)
      • Level 1 Project Closure Checklist Template (doc)

      Build the standard process medium and large-scale projects

      The standard process contains fully featured initiation and planning.

      • Tailor Project Management Processes to Fit Your Projects – Phase 3: Establish Initiation and Planning Protocols for Medium-to-Large Projects (ppt)
      • Project Stakeholder and Impact Assessment Tool (xls)
      • Level 2 Project Charter Template (doc)
      • Level 3 Project Charter Template (doc)
      • Kick-Off Meeting Agenda Template (doc)
      • Scope Statement Template (doc)
      • Project Staffing Plan(xls)
      • Communications Management Plan Template (doc)
      • Customer/Sponsor Project Status Meeting Template (doc)
      • Level 2 Project Status Report Template (doc)
      • Level 3 Project Status Report Template (doc)
      • Quality Management Workbook (xls)
      • Benefits Management Plan Template (xls)
      • Risk Management Workbook (xls)

      Build a standard process for the execution and closure of medium to large scale projects

      • Tailor Project Management Processes to Fit Your Projects – Phase 4: Develop Execution and Closing Procedures for Medium-to-Large Projects (ppt)
      • Project Team Meeting Agenda Template (doc)
      • Light Project Change Request Form Template (doc)
      • Detailed Project Change Request Form Template (doc)
      • Light Recommendation and Decision Tracking Log Template (xls)
      • Detailed Recommendation and Decision Tracking Log Template (xls)
      • Deliverable Acceptance Form Template (doc)
      • Handover to Operations Template (doc)
      • Post-Mortem Review Template (doc)
      • Final Sign-Off and Acceptance Form Template (doc)

      Implement your project management standard operating procedures (SOP)

      Develop roll-out and training plans, implement your new process and track metrics.

      • Tailor Project Management Processes to Fit Your Projects – Phase 5: Implement Your PM SOP (ppt)
      • Level 2 Project Management Plan Template (doc)
      • Project Management Process Costing Tool (xls)
      • Project Management Process Training Plan Template (doc)
      • Project Management Training Monitoring Tool (xls)
      • Project Management Process Implementation Timeline Tool (MS Project)
      • Project Management Process Implementation Timeline Tool (xls)

       

       

      Build a Strategic IT Workforce Plan

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      • Parent Category Name: Organizational Design
      • Parent Category Link: /organizational-design
      • Talent has become a competitive differentiator. To 46% of business leaders, workforce planning is a top priority – yet only 13% do it effectively.
      • CIOs aren’t sure what they need to give the organization a competitive edge or how current staffing line-ups fall short.

      Our Advice

      Critical Insight

      • A well defined strategic workforce plan (SWP) isn’t just a nice-to-have, it’s a must-have.
      • Integrate as much data as possible into your workforce plan to best prepare you for the future. Without knowledge of your future initiatives, you are filling hypothetical holes.
      • To be successful, you need to understand your strategic initiatives, workforce landscape, and external and internal trends.

      Impact and Result

      The workforce planning process does not need to be onerous, especially with help from Info-Tech’s solid planning tools. With the right people involved and enough time invested, developing an SWP will be easier than first thought and time well spent. Leverage Info-Tech’s client-tested 5-step process to build a strategic workforce plan:

      1. Build a project charter
      2. Assess workforce competency needs
      3. Identify impact of internal and external trends
      4. Identify the impact of strategic initiatives on roles
      5. Build and monitor the workforce plan

      Build a Strategic IT Workforce Plan Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should build a strategic workforce plan for IT, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Initiate the project

      Assess the value of a strategic workforce plan and the IT department’s fit for developing one, and then structure the workforce planning project.

      • Build a Strategic Workforce Plan – Phase 1: Initiate the Project
      • IT Strategic Workforce Planning Project Charter Template
      • IT Strategic Workforce Planning Project Plan Template

      2. Analyze workforce needs

      Gather and analyze workforce needs based on an understanding of the relevant internal and external trends, and then produce a prioritized plan of action.

      • Build a Strategic Workforce Plan – Phase 2: Analyze Workforce Needs
      • Workforce Planning Workbook

      3. Build the workforce plan

      Evaluate workforce priorities, plan specific projects to address them, and formalize and integrate strategic workforce planning into regular planning processes.

      • Build a Strategic Workforce Plan – Phase 3: Build and Monitor the SWP
      [infographic]

      Workshop: Build a Strategic IT Workforce Plan

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Identify Project Goals, Metrics, and Current State

      The Purpose

      Develop a shared understanding of the challenges your organization is facing with regards to talent and workforce planning.

      Key Benefits Achieved

      An informed understanding of whether or not you need to develop a strategic workforce plan for IT.

      Activities

      1.1 Identify goals, metrics, and opportunities

      1.2 Segment current roles

      1.3 Identify organizational culture

      1.4 Assign job competencies

      1.5 Assess current talent

      Outputs

      Identified goals, metrics, and opportunities

      Documented organizational culture

      Aligned competencies to roles

      Identified current talent competency levels

      2 Assess Workforce and Analyze Trends

      The Purpose

      Perform an in-depth analysis of how internal and external trends are impacting the workforce.

      Key Benefits Achieved

      An enhanced understanding of the current talent occupying the workforce.

      Activities

      2.1 Assess environmental trends

      2.2 Identify impact on workforce requirements

      2.3 Identify how trends are impacting critical roles

      2.4 Explore viable options

      Outputs

      Complete internal trends analysis

      Complete external trends analysis

      Identified internal and external trends on specific IT roles

      3 Perform Gap Analysis

      The Purpose

      Identify the changing competencies and workforce needs of the future IT organization, including shortages and surpluses.

      Key Benefits Achieved

      Determined impact of strategic initiatives on workforce needs.

      Identification of roles required in the future organization, including surpluses and shortages.

      Identified projects to fill workforce gaps.

      Activities

      3.1 Identify strategic initiatives

      3.2 Identify impact of strategic initiatives on roles

      3.3 Determine workforce estimates

      3.4 Determine projects to address gaps

      Outputs

      Identified workforce estimates for the future

      List of potential projects to address workforce gaps

      4 Prioritize and Plan

      The Purpose

      Prepare an action plan to address the critical gaps identified.

      Key Benefits Achieved

      A prioritized plan of action that will fill gaps and secure better workforce outcomes for the organization.

      Activities

      4.1 Determine and prioritize action items

      4.2 Determine a schedule for review of initiatives

      4.3 Integrate workforce planning into regular planning processes

      Outputs

      Prioritized list of projects

      Completed workforce plan

      Identified opportunities for integration

      Reduce Manual Repetitive Work With IT Automation

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      • Parent Category Name: Operations Management
      • Parent Category Link: /i-and-o-process-management
      • IT staff are overwhelmed with manual repetitive work.
      • You have little time for projects.
      • You cannot move as fast as the business wants.

      Our Advice

      Critical Insight

      • Optimize before you automate.
      • Foster an engineering mindset.
      • Build a process to iterate.

      Impact and Result

      • Begin by automating a few tasks with the highest value to score quick wins.
      • Define a process for rolling out automation, leveraging SDLC best practices.
      • Determine metrics and continually track the success of the automation program.

      Reduce Manual Repetitive Work With IT Automation Research & Tools

      Start here – read the Executive Brief

      Read this Executive Brief to understand why you should reduce manual repetitive work with IT automation.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Identify automation candidates

      Select the top automation candidates to score some quick wins.

      • Reduce Manual Repetitive Work With IT Automation – Phase 1: Identify Automation Candidates
      • IT Automation Presentation
      • IT Automation Worksheet

      2. Map and optimize process flows

      Map and optimize process flows for each task you wish to automate.

      • Reduce Manual Repetitive Work With IT Automation – Phase 2: Map & Optimize Process Flows

      3. Build a process for managing automation

      Build a process around managing IT automation to drive value over the long term.

      • Reduce Manual Repetitive Work With IT Automation – Phase 3: Build a Process for Managing Automation

      4. Build automation roadmap

      Build a long-term roadmap to enhance your organization's automation capabilities.

      • Reduce Manual Repetitive Work With IT Automation – Phase 4: Build Automation Roadmap
      • IT Automation Roadmap
      [infographic]

      Workshop: Reduce Manual Repetitive Work With IT Automation

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Identify Automation Candidates

      The Purpose

      Identify top candidates for automation.

      Key Benefits Achieved

      Plan to achieve quick wins with automation for early value.

      Activities

      1.1 Identify MRW pain points.

      1.2 Drill down pain points into tasks.

      1.3 Estimate the MRW involved in each task.

      1.4 Rank the tasks based on value and ease.

      1.5 Select top candidates and define metrics.

      1.6 Draft project charters.

      Outputs

      MRW pain points

      MRW tasks

      Estimate of MRW involved in each task

      Ranking of tasks for suitability for automation

      Top candidates for automation & success metrics

      Project charter(s)

      2 Map & Optimize Processes

      The Purpose

      Map and optimize the process flow of the top candidate(s).

      Key Benefits Achieved

      Requirements for automation of the top task(s).

      Activities

      2.1 Map process flows.

      2.2 Review and optimize process flows.

      2.3 Clarify logic and finalize future-state process flows.

      Outputs

      Current-state process flows

      Optimized process flows

      Future-state process flows with complete logic

      3 Build a Process for Managing Automation

      The Purpose

      Develop a lightweight process for rolling out automation and for managing the automation program.

      Key Benefits Achieved

      Ability to measure and to demonstrate success of each task automation, and of the program as a whole.

      Activities

      3.1 Kick off your test plan for each automation.

      3.2 Define process for automation rollout.

      3.3 Define process to manage your automation program.

      3.4 Define metrics to measure success of your automation program.

      Outputs

      Test plan considerations

      Automation rollout process

      Automation program management process

      Automation program metrics

      4 Build Automation Roadmap

      The Purpose

      Build a roadmap to enhance automation capabilities.

      Key Benefits Achieved

      A clear timeline of initiatives that will drive improvement in the automation program to reduce MRW.

      Activities

      4.1 Build a roadmap for next steps.

      Outputs

      IT automation roadmap

      Further reading

      Reduce Manual Repetitive Work With IT Automation

      Free up time for value-adding jobs.

      ANALYST PERSPECTIVE

      Automation cuts both ways.

      Automation can be very, very good, or very, very bad.
      Do it right, and you can make your life a whole lot easier.
      Do it wrong, and you can suffer some serious pain.
      All too often, automation is deployed willy-nilly, without regard to the overall systems or business processes in which it lives.
      IT professionals should follow a disciplined and consistent approach to automation to ensure that they maximize its value for their organization.

      Derek Shank,
      Research Analyst, Infrastructure & Operations
      Info-Tech Research Group

      Executive summary

      Situation

      • IT staff are overwhelmed with manual repetitive work.
      • You have little time for projects.
      • You cannot move as fast as the business wants.

      Complication

      • Automation is simple to say, but hard to implement.
      • Vendors claim automation will solve all your problems.
      • You have no process for managing automation.

      Resolution

      • Begin by automating a few tasks with the highest value to score quick wins.
      • Define a process for rolling out automation, leveraging SDLC best practices.
      • Determine metrics and continually track the success of the automation program.

      Info-Tech Insight

      1. Optimize before you automate.The current way isn’t necessarily the best way.
      2. Foster an engineering mindset.Your team members may not be process engineers, but they should learn to think like one.
      3. Build a process to iterate.Effective automation can't be a one-and-done. Define a lightweight process to manage your program.

      Infrastructure & operations teams are overloaded with work

      • DevOps and digital transformation initiatives demand increased speed.
      • I&O is still tasked with security and compliance and audit.
      • I&O is often overloaded and unable to keep up with demand.

      Manual repetitive work (MRW) sucks up time

      • Manual repetitive work is a fact of life in I&O.
      • DevOps circles refer to this type of work simply as “toil.”
      • Toil is like treading water: it must be done, but it consumes precious energy and effort just to stay in the same place.
      • Some amount of toil is inevitable, but it's important to measure and cap toil, so it does not end up overwhelming your team's whole capacity for engineering work.

      Info-Tech Insight

      Follow our methodology to focus IT automation on reducing toil.

      Manual hand-offs create costly delays

      • Every time there is a hand-off, we lose efficiency and productivity.
      • In addition to the cost of performing manual work itself, we must also consider the impact of lost productivity caused by the delay of waiting for that work to be performed.

      Every queue is a tire fire

      Queues create waste and are extremely damaging. Like a tire fire, once you get started, they’re almost impossible to stamp out!

      Increase queues if you want

      • “More overhead”
      • “Lower quality”
      • “More variability”
      • “Less motivation”
      • “Longer cycle time”
      • “Increased risk”

      (Source: Edwards, citing Donald G. Reinersten: The Principles of Product Development Flow: Second Generation Lean Product Development )

      Increasing complexity makes I&O’s job harder

      Every additional layer of complexity multiplies points of failure. Beyond a certain level of complexity, troubleshooting can become a nightmare.

      Today, Operations is responsible for the outcomes of a full stack of a very complex, software-defined, API-enabled system running on infrastructure they may or may not own.
      – Edwards

      Growing technical debt means an ever-rising workload

      • Enterprises naturally accumulate technical debt.
      • All technology requires care and feeding.
      • I&O cannot control how much technology it’s expected to support.
      • I&O faces a larger and larger workload as technical debt accumulates.

      The systems built under each new technology paradigm never fully replace the systems built under the old paradigms. It’s not uncommon for an enterprise to have an accumulation of systems built over 10-15 years and have no budget, risk appetite, or even a viable path to replace them all. With each shift, who bares [SIC] the brunt of the responsibility for making sure the old and the new hang together? Operations, of course. With each new advance, Operations juggles more complexity and more layers of legacy technologies than ever before.
      – Edwards

      Most IT shops can’t have a dedicated engineering team

      • In most organizations, the team that builds things is best equipped to support them.
      • Often the knowledge to design systems and the knowledge to run those systems naturally co-exists in the same personnel resources.
      • When your I&O team is trying to do engineering work, they can end up frequently interrupted to perform operational tasks.
      A Venn Diagram is depicted which compares People who build things with People who run things. the two circles are almost completely overlapping, indicating the strong connection between the two groups.

      Personnel resources in most IT organizations overlap heavily between “build” and “run.”

      IT operations must become an engineering practice

      • Usually you can’t double your staff or double their hours.
      • IT professionals must become engineers.
      • We do this by automating manual repetitive work and reducing toil.
      Two scenarios are depicted. The first scenario is found at a hypothetical work camp, in which one employee performs the task of manually splitting firewood with an axe. In order to split twice as much firewood, the employee would need to spend twice the time. The second scenario is Engineering Operations. in this scenario, a wood processor is used to automate the task, allowing far more wood to be split in same amount of time.

      Build your Sys Admin an Iron Man suit

      Some CIOs see a Sys Admin and want to replace them with a Roomba. I see a Sys Admin and want to build them an Iron Man suit.
      – Deepak Giridharagopal, CTO, Puppet

      Two Scenarios are depicted. In one, an employee is replaced by automation, represented by a Roomba, reducing costs by laying off a single employee. In the second scenario, the single employee is given automated tools to do their job, represented by an iron-man suit, leading to a 10X boost in employee productivity.

      Use automation to reduce risk

      Consistency

      When we automate, we can make sure we do something the same way every time and produce a consistent result.

      Auditing and Compliance

      We can design an automated execution that will ship logs that provide the context of the action for a detailed audit trail.

      Change

      • Enterprise environments are continually changing.
      • When context changes, so does the procedure.
      • You can update your docs all you want, but you can't make people read them before executing a procedure.
      • When you update the procedure itself, you can make sure it’s executed properly.

      Follow Info-Tech’s approach: Start small and snowball

      • It’s difficult for I&O to get the staffing resources it needs for engineering work.
      • Rather than trying to get buy-in for resources using a “top down” approach, Info-Tech recommends that I&O score some quick wins to build momentum.
      • Show success while giving your team the opportunity to build their engineering chops.

      Because the C-suite relies on upwards communication — often filtered and sanitized by the time it reaches them — executives don’t see the bottlenecks and broken processes that are stalling progress.
      – Andi Mann

      Info-Tech’s methodology employs a targeted approach

      • You aren’t going to automate IT operations end-to-end overnight.
      • In fact, such a large undertaking might be more effort than it’s worth.
      • Info-Tech’s methodology employs a targeted approach to identify which candidates will score some quick wins.
      • We’ll demonstrate success, gain momentum, and then iterate for continual improvement.

      Invest in automation to reap long-term rewards

      • All too often people think of automation like a vacuum cleaner you can buy once and then forget.
      • The reality is you need to perform care and feeding for automation like for any other process or program.
      • To reap the greatest rewards you must continually invest in automation – and invest wisely.

      To get the full ROI on your automation, you need to treat it like an employee. When you hire an employee, you invest in that person. You spend time and resources training and nurturing new employees so they can reach their full potential. The investment in a new employee is no different than your investment in automation.– Edwards

      Measure the success of your automation program

      Example of How to Estimate Dollar Value Impact of Automation
      Metric Timeline Target Value
      Hours of manual repetitive work 12 months 20% reduction $48,000/yr.(1)
      Hours of project capacity 18 months 30% increase $108,000/yr.(2)
      Downtime caused by errors 6 months 50% reduction $62,500/yr.(3)

      1 15 FTEs x 80k/yr.; 20% of time on MRW, reduced by 20%
      2 15 FTEs x 80k/yr.; 30% project capacity, increased by 30%
      3 25k/hr. of downtime.; 5 hours per year of downtime caused by errors

      Automating failover for disaster recovery

      CASE STUDY

      Industry Financial Services
      Source Interview

      Challenge

      An IT infrastructure manager had established DR failover procedures, but these required a lot of manual work to execute. His team lacked the expertise to build automation for the failover.

      Solution

      The manager hired consultants to build scripts that would execute portions of the failover and pause at certain points to report on outcomes and ask the human operator whether to proceed with the next step.

      Results

      The infrastructure team reduced their achievable RTOs as follows:
      Tier 1: 2.5h → 0.5h
      Tier 2: 4h → 1.5h
      Tier 3: 8h → 2.5h
      And now, anyone on the team could execute the entire failover!

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      “Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

      Guided Implementation

      “Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

      Workshop

      “We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

      Consulting

      “Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

      Diagnostics and consistent frameworks used throughout all four options

      Reduce Manual Repetitive Work With IT Automation – project overview

      1. Select Candidates 2. Map Process Flows 3. Build Process 4. Build Roadmap
      Best-Practice Toolkit

      1.1 Identify MRW pain points

      1.2 Drill down pain points into tasks

      1.3 Estimate the MRW involved in each task

      1.4 Rank the tasks based on value and ease

      1.5 Select top candidates and define metrics

      1.6 Draft project charters

      2.1 Map process flows

      2.2 Review and optimize process flows

      2.3 Clarify logic and finalize future-state process flows

      3.1 Kick off your test plan for each automation

      3.2 Define process for automation rollout

      3.3 Define process to manage your automation program

      3.4 Define metrics to measure success of your automation program

      4.1 Build automation roadmap

      Guided Implementations

      Introduce methodology.

      Review automation candidates.

      Review success metrics.

      Review process flows.

      Review end-to-end process flows.

      Review testing considerations.

      Review automation SDLC.

      Review automation program metrics.

      Review automation roadmap.

      Onsite Workshop Module 1:
      Identify Automation Candidates
      Module 2:
      Map and Optimize Processes
      Module 3:
      Build a Process for Managing Automation
      Module 4:
      Build Automation Roadmap
      Phase 1 Results:
      Automation candidates and success metrics
      Phase 2 Results:
      End-to-end process flows for automation
      Phase 3 Results:
      Automation SDLC process, and automation program management process
      Phase 4 Results:
      Automation roadmap

      Build a Security Compliance Program

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      • Parent Category Name: Governance, Risk & Compliance
      • Parent Category Link: /governance-risk-compliance
      • Most organizations spend between 25 and 40 percent of their security budget on compliance-related activities.
      • Despite this growing investment in compliance, only 28% of organizations believe that government regulations help them improve cybersecurity.
      • The cost of complying with cybersecurity and data protection requirements has risen to the point where 58% of companies see compliance costs as barriers to entering new markets.
      • However, recent reports suggest that while the costs of complying are higher, the costs of non-compliance are almost three times greater.

      Our Advice

      Critical Insight

      • Test once, attest many. Having a control framework allows you to satisfy multiple compliance requirements by testing a single control.
      • Choose your own conformance adventure. Conformance levels allow your organization to make informed business decisions on how compliance resources will be allocated.
      • Put the horse before the cart. Take charge of your audit costs by preparing test scripts and evidence repositories in advance.

      Impact and Result

      • Reduce complexity within the control environment by using a single framework to align multiple compliance regimes.
      • Provide senior management with a structured framework for making business decisions on allocating costs and efforts related to cybersecurity and data protection compliance obligations.
      • Reduces costs and efforts related to managing IT audits through planning and preparation.
      • This blueprint can help you comply with NIST, ISO, CMMC, SOC2, PCI, CIS, and other cybersecurity and data protection requirements.

      Build a Security Compliance Program Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should manage your security compliance obligations, review Info-Tech’s methodology, and understand the ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      Infographic

      Workshop: Build a Security Compliance Program

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Establish the Program

      The Purpose

      Establish the security compliance management program.

      Key Benefits Achieved

      Reviewing and adopting an information security control framework.

      Understanding and establishing roles and responsibilities for security compliance management.

      Identifying and scoping operational environments for applicable compliance obligations.

      Activities

      1.1 Review the business context.

      1.2 Review the Info-Tech security control framework.

      1.3 Establish roles and responsibilities.

      1.4 Define operational environments.

      Outputs

      RACI matrix

      Environments list and definitions

      2 Identify Obligations

      The Purpose

      Identify security and data protection compliance obligations.

      Key Benefits Achieved

      Identifying the security compliance obligations that apply to your organization.

      Documenting obligations and obtaining direction from management on conformance levels.

      Mapping compliance obligation requirements into your control framework.

      Activities

      2.1 Identify relevant security and data protection compliance obligations.

      2.2 Develop conformance level recommendations.

      2.3 Map compliance obligations into control framework.

      2.4 Develop process for operationalizing identification activities.

      Outputs

      List of compliance obligations

      Completed Conformance Level Approval forms

      (Optional) Mapped compliance obligation

      (Optional) Identification process diagram

      3 Implement Compliance Strategy

      The Purpose

      Understand how to build a compliance strategy.

      Key Benefits Achieved

      Updating security policies and other control design documents to reflect required controls.

      Aligning your compliance obligations with your information security strategy.

      Activities

      3.1 Review state of information security policies.

      3.2 Recommend updates to policies to address control requirements.

      3.3 Review information security strategy.

      3.4 Identify alignment points between compliance obligations and information security strategy.

      3.5 Develop compliance exception process and forms.

      Outputs

      Recommendations and plan for updates to information security policies

      Compliance exception forms

      4 Track and Report

      The Purpose

      Track the status of your compliance program.

      Key Benefits Achieved

      Tracking the status of your compliance obligations.

      Managing exceptions to compliance requirements.

      Reporting on the compliance management program to senior stakeholders.

      Activities

      4.1 Define process and forms for self-attestation.

      4.2 Develop audit test scripts for selected controls.

      4.3 Review process and entity control types.

      4.4 Develop self-assessment process.

      4.5 Integrate compliance management with risk register.

      4.6 Develop metrics and reporting process.

      Outputs

      Self-attestation forms

      Completed test scripts for selected controls

      Self-assessment process

      Reporting process

      Recommended metrics

      Bring Visibility to Your Day-to-Day Projects

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      • Parent Category Name: Portfolio Management
      • Parent Category Link: /portfolio-management
      • As an IT leader, you are responsible for getting new things done while keeping the old things running. These “new things” can come in many forms, e.g. service requests, incidents, and officially sanctioned PMO projects, as well as a category of “unofficial” projects that have been initiated through other channels.
      • These unofficial projects get called many things by different organizations (e.g. level 0 projects,BAU projects, non-PMO projects, day-to-day projects), but they all have the similar characteristics: they are smaller and less complex than larger projects or officially sanctioned projects; they are larger and more risky than operational tasks or incidents; and they are focused on the needs of a specific functional unit and tend to stay within those units to get done.
      • Because these day-to-day projects are small, emergent, team-specific, operationally vital, yet generally perceived as being strategically unimportant, top-level leadership has a limited understanding of them when they are approving and prioritizing major projects. As a result, they approve projects with no insight into how your team’s capacity is already stretched thin by existing demands.

      Our Advice

      Critical Insight

      • Senior leadership cannot contrast the priority of things that are undocumented. As an IT leader, you need to ensure day-to-day projects receive the appropriate amount of documentation without drowning your team in a process that the types of project don’t warrant.
      • Don’t bleed your project capacity dry by leaving the back door open. When executive oversight took over the strategic portfolio, we assumed they’d resource those projects as a priority. Instead, they focused on “alignment,” “strategic vision,” and “go to market” while failing to secure and defend the resource capacity needed. To focus on the big stuff, you need to sweat the small stuff.

      Impact and Result

      • Develop a method to consistently identify and triage day-to-day projects across functional teams in a standard and repeatable way.
      • Establish a way to balance and prioritize the operational necessity of day-to-day projects against the strategic value of major projects.
      • Build a repeatable process to document and report where the time goes across all given pockets of demand your team faces.

      Bring Visibility to Your Day-to-Day Projects Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why you should put more portfolio management structure around your day-to-day projects, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Uncover your organization’s hidden pockets of day-to-day projects

      Define an organizational standard for identifying day-to-day projects and triaging them in relation to other categories of projects.

      • Bring Visibility to Your Day-to-Day Projects – Phase 1: Uncover Your Organization’s Hidden Pockets of Day-to-Day Projects
      • Day-to-Day Project Definition Tool
      • Day-to-Day Project Supply/Demand Calculator

      2. Establish ongoing day-to-day project visibility

      Build a process for maintaining reliable day-to-day project supply and demand data.

      • Bring Visibility to Your Day-to-Day Projects – Phase 2: Establish Ongoing Day-to-Day Project Visibility
      • Day-to-Day Project Process Document
      • Day-to-Day Project Intake and Prioritization Tool
      [infographic]

      Workshop: Bring Visibility to Your Day-to-Day Projects

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Analyze the Current State of Day-to-Day Projects

      The Purpose

      Assess the current state of project portfolio management and establish a realistic target state for the management of day-to-day projects.

      Key Benefits Achieved

      Realistic and well-informed workshop goals.

      Activities

      1.1 Begin with introductions and workshop expectations activity.

      1.2 Perform PPM SWOT analysis.

      1.3 Assess pain points and analyze root causes.

      Outputs

      Realistic workshop goals and expectations

      PPM SWOT analysis

      Root cause analysis

      2 Establish Portfolio Baselines for Day-to-Day Projects

      The Purpose

      Establish a standard set of baselines for day-to-day projects that will help them to be identified and managed in the same way across different functional teams.

      Key Benefits Achieved

      Standardization of project definitions and project value assessments across different functional teams.

      Activities

      2.1 Formalize the definition of a day-to-day project and establish project levels.

      2.2 Develop a project value scorecard for day-to-day projects.

      2.3 Analyze the capacity footprint of day-to-day projects.

      Outputs

      Project identification matrix

      Project value scorecard

      A capacity overview to inform baselines

      3 Build a Target State Process for Day-to-Day Projects

      The Purpose

      Establish a target state process for tracking and monitoring day-to-day projects at the portfolio level.

      Key Benefits Achieved

      Standardization of how day-to-day projects are managed and reported on across different functional teams.

      Activities

      3.1 Map current state workflows for the intake and resource management practices (small and large projects).

      3.2 Perform a right-wrong-missing-confusing analysis.

      3.3 Draft a target state process for the initiation of day-to-day projects and for capacity planning.

      Outputs

      Current state workflows

      Right-wrong-missing-confusing analysis

      Target state workflows

      4 Prepare to Implement Your New Processes

      The Purpose

      Start to plan the implementation of your new processes for the portfolio management of day-to-day projects.

      Key Benefits Achieved

      An implementation plan, complete with communication plans, timelines, and goals.

      Activities

      4.1 Perform a change impact and stakeholder management analysis.

      4.2 Perform a start-stop-continue activity.

      4.3 Define an implementation roadmap.

      Outputs

      Change impact and stakeholder analyses

      Start-stop-continue retrospective

      Implementation roadmap

      Create a Service Management Roadmap

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      • Parent Category Name: Service Management
      • Parent Category Link: /service-management
      • Inconsistent adoption of holistic practices has led to a chaotic service delivery model that results in poor customer satisfaction.
      • There is little structure, formalization, or standardization in the way IT services are designed and managed, leading to diminishing service quality and low business satisfaction.

      Our Advice

      Critical Insight

      • Having effective service management practices in place will allow you to pursue activities, such as innovation, and drive the business forward.
      • Addressing foundational elements like business alignment and management practices will enable you to build effective core practices that deliver business value.
      • Providing consistent leadership support and engagement is essential to allow practitioners to focus on delivering expected outcomes.

      Impact and Result

      • Understand the foundational and core elements that allow you to build a successful service management practice focused on outcomes.
      • Use Info-Tech’s advice and tools to perform an assessment of your organization’s current state, identify the gaps, and create a roadmap for success.
      • Increase business and customer satisfaction by delivering services focused on creating business value.

      Create a Service Management Roadmap Research & Tools

      Start here – read the Executive Brief

      Read our concise Executive Brief to find out why many service management maturity projects fail to address foundational and core elements, review Info-Tech’s methodology, and understand the four ways we can support you in completing this project.

      Besides the small introduction, subscribers and consulting clients within this management domain have access to:

      1. Launch the project

      Kick-off the project and complete the project charter.

      • Create a Service Management Roadmap – Phase 1: Launch Project
      • Service Management Roadmap Project Charter

      2. Assess the current state

      Determine the current state for service management practices.

      • Create a Service Management Roadmap – Phase 2: Assess the Current State
      • Service Management Maturity Assessment Tool
      • Organizational Change Management Capability Assessment Tool
      • Service Management Roadmap Presentation Template

      3. Build the roadmap

      Build your roadmap with identified initiatives.

      • Create a Service Management Roadmap – Phase 3: Identify the Target State

      4. Build the communication slide

      Create the communication slide that demonstrates how things will change, both short and long term.

      • Create a Service Management Roadmap – Phase 4: Build the Roadmap
      [infographic]

      Workshop: Create a Service Management Roadmap

      Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn't enough, we offer low-cost delivery of our project workshops. We take you through every phase of your project and ensure that you have a roadmap in place to complete your project successfully.

      1 Understand Service Management

      The Purpose

      Understand service management.

      Key Benefits Achieved

      Gain a common understanding of service management, the forces that impact your roadmap, and the Info-Tech Service Management Maturity Model.

      Activities

      1.1 Understand service management.

      1.2 Build a compelling vision and mission.

      Outputs

      Constraints and enablers chart

      Service management vision, mission, and values

      2 Assess the Current State of Service Management

      The Purpose

      Assess the organization’s current service management capabilities.

      Key Benefits Achieved

      Understand attitudes, behaviors, and culture.

      Understand governance and process ownership needs.

      Understand strengths, weaknesses, opportunities, and threats.

      Defined desired state.

      Activities

      2.1 Assess cultural ABCs.

      2.2 Assess governance needs.

      2.3 Perform SWOT analysis.

      2.4 Define desired state.

      Outputs

      Cultural improvements action items

      Governance action items

      SWOT analysis action items

      Defined desired state

      3 Continue Current-State Assessment

      The Purpose

      Assess the organization’s current service management capabilities.

      Key Benefits Achieved

      Understand the current maturity of service management processes.

      Understand organizational change management capabilities.

      Activities

      3.1 Perform service management process maturity assessment.

      3.2 Complete OCM capability assessment.

      3.3 Identify roadmap themes.

      Outputs

      Service management process maturity activities

      OCM action items

      Roadmap themes

      4 Build Roadmap and Communication Tool

      The Purpose

      Use outputs from previous steps to build your roadmap and communication one-pagers.

      Key Benefits Achieved

      Easy-to-understand roadmap one-pager

      Communication one-pager

      Activities

      4.1 Build roadmap one-pager.

      4.2 Build communication one-pager.

      Outputs

      Service management roadmap

      Service management roadmap – Brought to Life communication slide

      Further reading

      Create a Service Management Roadmap

      Implement service management in an order that makes sense.

      ANALYST PERSPECTIVE

      "More than 80% of the larger enterprises we’ve worked with start out wanting to develop advanced service management practices without having the cultural and organizational basics or foundational practices fully in place. Although you wouldn’t think this would be the case in large enterprises, again and again IT leaders are underestimating the importance of cultural and foundational aspects such as governance, management practices, and understanding business value. You must have these fundamentals right before moving on."

      Tony Denford,

      Research Director – CIO

      Info-Tech Research Group

      Our understanding of the problem

      This Research Is Designed For:

      • CIO
      • Senior IT Management

      This Research Will Help You:

      • Create or maintain service management (SM) practices to ensure user-facing services are delivered seamlessly to business users with minimum interruption.
      • Increase the level of reliability and availability of the services provided to the business and improve the relationship and communication between IT and the business.

      This Research Will Also Assist

      • Service Management Process Owners

      This Research Will Help Them:

      • Formalize, standardize, and improve the maturity of service management practices.
      • Identify new service management initiatives to move IT to the next level of service management maturity.

      Executive summary

      Situation

      • Inconsistent adoption of holistic practices has led to a chaotic service delivery model that results in poor customer satisfaction.
      • There is little structure, formalization, or standardization in the way IT services are designed and managed, leading to diminishing service quality and low business satisfaction.

      Complication

      • IT organizations want to be seen as strategic partners, but they fail to address the cultural and organizational constraints.
      • Without alignment with the business goals, services often fail to provide the expected value.
      • Traditional service management approaches are not adaptable for new ways of working.

      Resolution

      • Follow Info-Tech’s methodology to create a service management roadmap that will help guide the optimization of your IT services and improve IT’s value to the business.
      • The blueprint will help you right-size your roadmap to best suit your specific needs and goals and will provide structure, ownership, and direction for service management.
      • This blueprint allows you to accurately identify the current state of service management at your organization. Customize the roadmap and create a plan to achieve your target service management state.

      Info-Tech Insight

      Having effective service management practices in place will allow you to pursue activities such as innovation and drive the business forward. Addressing foundational elements like business alignment and management practices will enable you to build effective core practices that deliver business value. Consistent leadership support and engagement is essential to allow practitioners to focus on delivering expected outcomes.

      Poor service management manifests in many different pains across the organization

      Immaturity in service management will not result in one pain – rather, it will create a chaotic environment for the entire organization, crippling IT’s ability to deliver and perform.

      Low Service Management Maturity

      These are some of the pains that can be attributed to poor service management practices.

      • Frequent service-impacting incidents
      • Low satisfaction with the service desk
      • High % of failed deployments
      • Frequent change-related incidents
      • Frequent recurring incidents
      • Inability to find root cause
      • No communication with the business
      • Frequent capacity-related incidents

      And there are many more…

      Mature service management practices are a necessity, not a nice-to-have

      Immature service management practices are one of the biggest hurdles preventing IT from reaching its true potential.

      In 2004, PwC published a report titled “IT Moves from Cost Center to Business Contributor.” However, the 2014-2015 CSC Global CIO Survey showed that a high percentage of IT is still considered a cost center.

      And low maturity of service management practices is inhibiting activities such as agility, DevOps, digitalization, and innovation.

      A pie chart is shown that is titled: Where does IT sit? The chart has 3 sections. One section represents IT and the business have a collaborative partnership 28%. The next section represents at 33% where IT has a formal client/service provider relationship with the business. The last section has 39% where IT is considered as a cost center.
      Source: CSC Global CIO Survey: 2014-2015 “CIOs Emerge as Disruptive Innovators”

      39%: Resources are primarily focused on managing existing IT workloads and keeping the lights on.

      31%: Too much time and too many resources are used to handle urgent incidents and problems.

      There are many misconceptions about what service management is

      Misconception #1: “Service management is a process”

      Effective service management is a journey that encompasses a series of initiatives that improves the value of services delivered.

      Misconception #2: “Service Management = Service Desk”

      Service desk is the foundation, since it is the main end-user touch point, but service management is a set of people and processes required to deliver business-facing services.

      Misconception #3: “Service management is about the ITSM tool”

      The tool is part of the overall service management program, but the people and processes must be in place before implementing.

      Misconception #4: “Service management development is one big initiative”

      Service management development is a series of initiatives that takes into account an organization’s current state, maturity, capacities, and objectives.

      Misconception #5: “Service management processes can be deployed in any order, assuming good planning and design”

      A successful service management program takes into account the dependencies of processes.

      Misconception #6: “Service management is resolving incidents and deploying changes”

      Service management is about delivering high-value and high-quality services.

      Misconception #7: “Service management is not the key determinant of success”

      As an organization progresses on the service management journey, its ability to deliver high-value and high-quality services increases.

      Misconception #8: “Resolving Incidents = Success”

      Preventing incidents is the name of the game.

      Misconception #9: “Service Management = Good Firefighter”

      Service management is about understanding what’s going on with user-facing services and proactively improving service quality.

      Misconception #10: “Service management is about IT and technical services (e.g. servers, network, database)”

      Service management is about business/user-facing services and the value the services provide to the business.

      Service management projects often don’t succeed because they are focused on process rather than outcomes

      Service management projects tend to focus on implementing process without ensuring foundational elements of culture and management practices are strong enough to support the change.

      1. Aligning your service management goals with your organizational objectives leads to better understanding of the expected outcomes.
      2. Understand your customers and what they value, and design your practices to deliver this value.

      3. IT does not know what order is best when implementing new practices or process improvements.
      4. Don't run before you can walk. Fundamental practices must reach the maturity threshold before developing advanced practices. Implement continuous improvement on your existing processes so they continue to support new practices.

      5. IT does not follow best practices when implementing a practice.
      6. Our best-practice research is based on extensive experience working with clients through advisory calls and workshops.

      Info-Tech can help you create a customized, low-effort, and high-value service management roadmap that will shore up any gaps, prove IT’s value, and achieve business satisfaction.

      Info-Tech’s methodology will help you customize your roadmap so the journey is right for you

      With Info-Tech, you will find out where you are, where you want to go, and how you will get there.

      With our methodology, you can expect the following:

      • Eliminate or reduce rework due to poor execution.
      • Identify dependencies/prerequisites and ensure practices are deployed in the correct order, at the correct time, and by the right people.
      • Engage all necessary resources to design and implement required processes.
      • Assess current maturity and capabilities and design the roadmap with these factors in mind.

      Doing it right the first time around

      You will see these benefits at the end

        ✓ Increase the quality of services IT provides to the business.

        ✓ Increase business satisfaction through higher alignment of IT services.

        ✓ Lower cost to design, implement, and manage services.

        ✓ Better resource utilization, including staff, tools, and budget.

      Focus on a strong foundation to build higher value service management practices

      Info-Tech Insight

      Focus on behaviors and expected outcomes before processes.

      Foundational elements

      • Operating model facilitates service management goals
      • Culture of service delivery
      • Governance discipline to evaluate, direct, and monitor
      • Management discipline to deliver

      Stabilize

      • Deliver stable, reliable IT services to the business
      • Respond to user requests quickly and efficiently
      • Resolve user issues in a timely manner
      • Deploy changes smoothly and successfully

      Proactive

      • Avoid/prevent service disruptions
      • Improve quality of service (performance, availability, reliability)

      Service Provider

      • Understand business needs
      • Ensure services are available
      • Measure service performance, based on business-oriented metrics

      Strategic Partner

      • Fully aligned with business
      • Drive innovation
      • Drive measurable value

      Info-Tech Insight

      Continued leadership support of the foundational elements will allow delivery teams to provide value to the business. Set the expectation of the desired maturity level and allow teams to innovate.

      Follow our model and get to your target state

      A model is depicted that shows the various target states. There are 6 levels showing in the example, and the example is made to look like a tree with a character watering it. In the roots, the level is labelled foundational. The trunk is labelled the core. The lowest hanging branches of the tree is the stabilize section. Above it is the proactive section. Nearing the top of the tree is the service provider. The canopy of the tree are labelled strategic partner.

      Before moving to advanced service management practices, you must ensure that the foundational and core elements are robust enough to support them. Leadership must nurture these practices to ensure they are sustainable and can support higher value, more mature practices.

      Each step along the way, Info-Tech has the tools to help you

      Phase 1: Launch the Project

      Assemble a team with the right talent and vision to increase the chances of project success.

      Phase 2: Assess Current State

      Understand where you are currently on the service management journey using the maturity assessment tool.

      Phase 3: Build Roadmap

      Based on the assessments, build a roadmap to address areas for improvement.

      Phase 4: Build Communication slide

      Based on the roadmap, define the current state, short- and long-term visions for each major improvement area.

      Info-Tech Deliverables:

      • Project Charter
      • Assessment Tools
      • Roadmap Template
      • Communication Template

      CIO call to action

      Improving the maturity of the organization’s service management practice is a big commitment, and the project can only succeed with active support from senior leadership.

      Ideally, the CIO should be the project sponsor, even the project leader. At a minimum, the CIO needs to perform the following activities:

      1. Walk the talk – demonstrate personal commitment to the project and communicate the benefits of the service management journey to IT and the steering committee.
      2. Improving or adopting any new practice is difficult, especially for a project of this size. Thus, the CIO needs to show visible support for this project through internal communication and dedicated resources to help complete this project.

      3. Select a senior, capable, and results-driven project leader.
      4. Most likely, the implementation of this project will be lengthy and technical in some nature. Therefore, the project leader must have a good understanding of the current IT structure, senior standing within the organization, and the relationship and power in place to propel people into action.

      5. Help to define the target future state of IT’s service management.
      6. Determine a realistic target state for the organization based on current capability and resource/budget restraints.

      7. Conduct periodic follow-up meetings to keep track of progress.
      8. Reinforce or re-emphasize the importance of this project to the organization through various communication channels if needed.

      Stabilizing your environment is a must before establishing any more-mature processes

      CASE STUDY

      Industry: Manufacturing

      Source: Engagement

      Challenge

      • The business landscape was rapidly changing for this manufacturer and they wanted to leverage potential cost savings from cloud-first initiatives and consolidate multiple, self-run service delivery teams that were geographically dispersed.

      Solution

      Original Plan

      • Consolidate multiple service delivery teams worldwide and implement service portfolio management.

      Revised Plan with Service Management Roadmap:

      • Markets around the world had very different needs and there was little understanding of what customers value.
      • There was also no understanding of what services were currently being offered within each geography.

      Results

      • Plan was adjusted to understand customer value and services offered.
      • Services were then stabilized and standardized before consolidation.
      • Team also focused on problem maturity and drove a continuous improvement culture and increasing transparency.

      MORAL OF THE STORY:

      Understanding the value of each service allowed the organization to focus effort on high-return activities rather than continuous fire fighting.

      Understand the processes involved in the proactive phase

      CASE STUDY

      Industry: Manufacturing

      Source: Engagement

      Challenge

      • Services were fairly stable, but there were significant recurring issues for certain services.
      • The business was not satisfied with the service quality for certain services, due to periodic availability and reliability issues.
      • Customer feedback for the service desk was generally good.

      Solution

      Original Plan

      • Review all service desk and incident management processes to ensure that service issues were handled in an effective manner.

      Revised Plan with Service Management Roadmap:

      • Design and deploy a rigorous problem management process to determine the root cause of recurring issues.
      • Monitor key services for events that may lead to a service outage.

      Results

      • Root cause of recurring issues was determined and fixes were deployed to resolve the underlying cause of the issues.
      • Service quality improved dramatically, resulting in high customer satisfaction.

      MORAL OF THE STORY:

      Make sure that you understand which processes need to be reviewed in order to determine the cause for service instability. Focusing on the proactive processes was the right answer for this company.

      Have the right culture and structure in place before you become a service provider

      CASE STUDY

      Industry: Healthcare

      Source:Journal of American Medical Informatics Association

      Challenge

      • The IT organization wanted to build a service catalog to demonstrate the value of IT to the business.
      • IT was organized in technology silos and focused on applications, not business services.
      • IT services were not aligned with business activities.
      • Relationships with the business were not well established.

      Solution

      Original Plan

      • Create and publish a service catalog.

      Revised Plan: with Service Management Roadmap:

      • Establish relationships with key stakeholders in the business units.
      • Understand how business activities interface with IT services.
      • Lay the groundwork for the service catalog by defining services from the business perspective.

      Results

      • Strong relationships with the business units.
      • Deep understanding of how business activities map to IT services.
      • Service definitions that reflect how the business uses IT services.

      MORAL OF THE STORY:

      Before you build and publish a service catalog, make sure that you understand how the business is using the IT services that you provide.

      Calculate the benefits of using Info-Tech’s methodology

      To measure the value of developing your roadmap using the Info-Tech tools and methodology, you must calculate the effort saved by not having to develop the methods.

      A. How much time will it take to develop an industry-best roadmap using Info-Tech methodology and tools?

      Using Info-Tech’s tools and methodology you can accurately estimate the effort to develop a roadmap using industry-leading research into best practice.

      B. What would be the effort to develop the insight, assess your team, and develop the roadmap?

      This metric represents the time your team would take to be able to effectively assess themselves and develop a roadmap that will lead to service management excellence.

      C. Cost & time saving through Info-Tech’s methodology

      Measured Value

      Step 1: Assess current state

      Cost to assess current state:

      • 5 Directors + 10 Managers x 10 hours at $X an hour = $A

      Step 2: Build the roadmap

      Cost to create service management roadmap:

      • 5 Directors + 10 Managers x 8 hours at $X an hour = $B

      Step 3: Develop the communication slide

      Cost to create roadmaps for phases:

      • 5 Directors + 10 Managers x 6 hours at $X an hour = $C

      Potential financial savings from using Info-Tech resources:

      Estimated cost to do “B” – (Step 1 ($A) + Step 2 ($B) + Step 3 ($C)) = $Total Saving

      Info-Tech offers various levels of support to best suit your needs

      DIY Toolkit

      "Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful."

      Guided Implementation

      "Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keeps us on track."

      Workshop

      "We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place."

      Consulting

      "Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project."

      Diagnostics and consistent frameworks are used throughout all four options.

      Create a Service Management Roadmap – project overview


      Launch the project

      Assess the current state

      Build the roadmap

      Build communication slide

      Best-Practice Toolkit

      1.1 Create a powerful, succinct mission statement

      1.2 Assemble a project team with representatives from all major IT teams

      1.3 Determine project stakeholders and create a communication plan

      1.4 Establish metrics to track the success of the project

      2.1 Assess impacting forces

      2.2 Build service management vision, mission, and values

      2.3 Assess attitudes, behaviors, and culture

      2.4 Assess governance

      2.5 Perform SWOT analysis

      2.6 Identify desired state

      2.7 Assess SM maturity

      2.8 Assess OCM capabilities

      3.1 Document overall themes

      3.2 List individual initiatives

      4.1 Document current state

      4.2 List future vision

      Guided Implementations

      • Kick-off the project
      • Build the project team
      • Complete the charter
      • Understand current state
      • Determine target state
      • Build the roadmap based on current and target state
      • Build short- and long-term visions and initiative list

      Onsite Workshop

      Module 1: Launch the project

      Module 2: Assess current service management maturity

      Module 3: Complete the roadmap

      Module 4: Complete the communication slide

      Workshop overview

      Contact your account representative or email Workshops@InfoTech.com for more information

      Workshop Day 1

      Workshop Day 2

      Workshop Day 3

      Workshop Day 4

      Activities

      Understand Service Management

      1.1 Understand the concepts and benefits of service management.

      1.2 Understand the changing impacting forces that affect your ability to deliver services.

      1.3 Build a compelling vision and mission for your service management program.

      Assess the Current State of Your Service Management Practice

      2.1 Understand attitudes, behaviors, and culture.

      2.2 Assess governance and process ownership needs.

      2.3 Perform SWOT analysis.

      2.4 Define the desired state.

      Complete Current-State Assessment

      3.1 Conduct service management process maturity assessment.

      3.2 Identify organizational change management capabilities.

      3.3 Identify themes for roadmap.

      Build Roadmap and Communication Tool

      4.1 Build roadmap one-pager.

      4.2 Build roadmap communication one-pager.

      Deliverables

      1. Constraints and enablers chart
      2. Service management vision, mission, and values
      1. Action items for cultural improvements
      2. Action items for governance
      3. Identified improvements from SWOT
      4. Defined desired state
      1. Service Management Process Maturity Assessment
      2. Organizational Change Management Assessment
      1. Service management roadmap
      2. Roadmap Communication Tool in the Service Management Roadmap Presentation Template

      PHASE 1

      Launch the Project

      Launch the project

      This step will walk you through the following activities:

      • Create a powerful, succinct mission statement based on your organization’s goals and objectives.
      • Assemble a project team with representatives from all major IT teams.
      • Determine project stakeholders and create a plan to convey the benefits of this project.
      • Establish metrics to track the success of the project.

      Step Insights

      • The project leader should have a strong relationship with IT and business leaders to maximize the benefit of each initiative in the service management journey.
      • The service management roadmap initiative will touch almost every part of the organization; therefore, it is important to have representation from all impacted stakeholders.
      • The communication slide needs to include the organizational change impact of the roadmap initiatives.

      Phase 1 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 1: Launch the Project

      Step 1.1 – Kick-off the Project

      Start with an analyst kick-off call:

      • Identify current organization pain points relating to poor service management practices
      • Determine high-level objectives
      • Create a mission statement

      Then complete these activities…

      • Identify potential team members who could actively contribute to the project
      • Identify stakeholders who have a vested interest in the completion of this project

      With these tools & templates:

      • Service Management Roadmap Project Charter

      Step 1.2 – Complete the Charter

      Review findings with analyst:

      • Create the project team; ensure all major IT teams are represented
      • Review stakeholder list and identify communication messages

      Then complete these activities…

      • Establish metrics to complete project planning
      • Complete the project charter

      With these tools & templates:

      • Service Management Roadmap Project Charter

      Use Info-Tech’s project charter to begin your initiative

      1.1 Service Management Roadmap Project Charter

      The Service Management Roadmap Project Charter is used to govern the initiative throughout the project. It provides the foundation for project communication and monitoring.

      The template has been pre-populated with sample information appropriate for this project. Please review this sample text and change, add, or delete information as required.

      The charter includes the following sections:

      • Mission Statement
      • Goals & Objectives
      • Project Team
      • Project Stakeholders
      • Current State (from phases 2 & 3)
      • Target State (from phases 2 & 3)
      • Target State
      • Metrics
      • Sponsorship Signature
      A screenshot of Info-Tech's Service Management Roadmap Project Charter is shown.

      Use Info-Tech’s ready-to-use deliverable to customize your mission statement

      Adapt and personalize Info-Tech’s Service Management Roadmap Mission Statement and Goals & Objectives below to suit your organization’s needs.

      Goals & Objectives

      • Create a plan for implementing service management initiatives that align with the overall goals/objectives for service management.
      • Identify service management initiatives that must be implemented/improved in the short term before deploying more advanced initiatives.
      • Determine the target state for each initiative based on current maturity and level of investment available.
      • Identify service management initiatives and understand dependencies, prerequisites, and level of effort required to implement.
      • Determine the sequence in which initiatives should be deployed.
      • Create a detailed rollout plan that specifies initiatives, time frames, and owners.
      • Engage the right teams and obtain their commitment throughout both the planning and assessment of roadmap initiatives.
      • both the planning and assessment of roadmap initiatives. Obtain support for the completed roadmap from executive stakeholders.

      Example Mission Statement

      To help [Organization Name] develop a set of service management practices that will better address the overarching goals of the IT department.

      To create a roadmap that sequences initiatives in a way that incorporates best practices and takes into consideration dependencies and prerequisites between service management practices.

      To garner support from the right people and obtain executive buy-in for the roadmap.

      Create a well-balanced project team

      The project leader should be a member of your IT department’s senior executive team with goals and objectives that will be impacted by service management implementation. The project leader should possess the following characteristics:

      Leader

      • Influence and impact
      • Comprehensive knowledge of IT and the organization
      • Relationship with senior IT management
      • Ability to get things done

      Team Members

      Identify

      The project team members are the IT managers and directors whose day-to-day lives will be impacted by the service management roadmap and its implementation. The service management initiative will touch almost every IT staff member in the organization; therefore, it is important to have representatives from every single group, including those that are not mentioned. Some examples of individuals you should consider for your team:

      • Service Delivery Managers
      • Director/Manager of Applications
      • Director/Manager of Infrastructure
      • Director/Manager of Service Desk
      • Business Relationship Managers
      • Project Management Office

      Engage & Communicate

      You want to engage your project participants in the planning process as much as possible. They should be involved in the current-state assessment, the establishment of goals and objectives, and the development of your target state.

      To sell this project, identify and articulate how this project and/or process will improve the quality of their job. For example, a formal incident management process will benefit people working at the service desk or on the applications or infrastructure teams. Helping them understand the gains will help to secure their support throughout the long implementation process by giving them a sense of ownership.

      The project stakeholders should also be project team members

      When managing stakeholders, it is important to help them understand their stake in the project as well as their own personal gain that will come out of this project.

      For many of the stakeholders, they also play a critical role in the development of this project.

      Role & Benefits

      • CIO
      • The CIO should be actively involved in the planning stage to help determine current and target stage.

        The CIO also needs to promote and sell the project to the IT team so they can understand that higher maturity of service management practices will allow IT to be seen as a partner to the business, giving IT a seat at the table during decision making.

      • Service Delivery Managers/Process Owners
      • Service Delivery Managers are directly responsible for the quality and value of services provided to the business owners. Thus, the Service Delivery Managers have a very high stake in the project and should be considered for the role of project leader.

        Service Delivery Managers need to work closely with the process owners of each service management process to ensure clear objectives are established and there is a common understanding of what needs to be achieved.

      • IT Steering Committee
      • The Committee should be informed and periodically updated about the progress of the project.

      • Manager/Director – Service Desk
      • The Manager of the Service Desk should participate closely in the development of fundamental service management processes, such as service desk, incident management, and problem management.

        Having a more established process in place will create structure, governance, and reduce service desk staff headaches so they can handle requests or incidents more efficiently.

      • Manager/Director –Applications & Infrastructure
      • The Manager of Applications and Infrastructure should be heavily relied on for their knowledge of how technology ties into the organization. They should be consulted regularly for each of the processes.

        This project will also benefit them directly, such as improving the process to deploy a fix into the environment or manage the capacity of the infrastructure.

      • Business Relationship Manager
      • As the IT organization moves up the maturity ladder, the Business Relationship Manager will play a fundamental role in the more advanced processes, such as business relationship management, demand management, and portfolio management.

        This project will be an great opportunity for the Business Relationship Manager to demonstrate their value and their knowledge of how to align IT objectives with business vision.

      Ensure you get the entire IT organization on board for the project with a well-practiced change message

      Getting the IT team on board will greatly maximize the project’s chance of success.

      One of the top challenges for organizations embarking on a service management journey is to manage the magnitude of the project. To ensure the message is not lost, communicate this roadmap in two steps.

      1. Communicate the roadmap initiative

      The most important message to send to the IT organization is that this project will benefit them directly. Articulate the pains that IT is currently experiencing and explain that through more mature service management, these pains can be greatly reduced and IT can start to earn a place at the table with the business.

      2. Communicate the implementation of each process separately

      The communication of process implementation should be done separately and at the beginning of each implementation. This is to ensure that IT staff do not feel overwhelmed or overloaded. It also helps to keep the project more manageable for the project team.

      Continuously monitor feedback and address concerns throughout the entire process

      • Host lunch and learns to provide updates on the service management initiative to the entire IT team.
      • Understand if there are any major roadblocks and facilitate discussions on how to overcome them.

      Articulate the service management initiative to the IT organization

      Spread the word and bring attention to your change message through effective mediums and organizational changes.

      Key aspects of a communication plan

      The methods of communication (e.g. newsletters, email broadcast, news of the day, automated messages) notify users of implementation.

      In addition, it is important to know who will deliver the message (delivery strategy). You need IT executives to deliver the message – work hard on obtaining their support as they are the ones communicating to their staff and should be your project champions.

      Anticipate organizational changes

      The implementation of the service management roadmap will most likely lead to organizational changes in terms of structure, roles, and responsibilities. Therefore, the team should be prepared to communicate the value that these changes will bring.

      Communicating Change

      • What is the change?
      • Why are we doing it?
      • How are we going to go about it?
      • What are we trying to achieve?
      • How often will we be updated?

      The Qualities of Leadership: Leading Change

      Create a project communication plan for your stakeholders

      This project cannot be successfully completed without the support of senior IT management.

      1. After the CIO has introduced this project through management meetings or informal conversation, find out how each IT leader feels about this project. You need to make sure the directors and managers of each IT team, especially the directors of application and infrastructure, are on board.
      2. After the meeting, the project leader should seek out the major stakeholders (particularly the heads of applications and infrastructure) and validate their level of support through formal or informal meetings. Create a list documenting the major stakeholders, their level of support, and how the project team will work to gain their approval.
      3. For each identified stakeholder, create a custom communication plan based on their role. For example, if the director of infrastructure is not a supporter, demonstrate how this project will enable them to better understand how to improve service quality. Provide periodic reporting or meetings to update the director on project progress.

      INPUT

      • A collaborative discussion between team members

      OUTPUT

      • Thorough briefing for project launch
      • A committed team

      Materials

      • Communication message and plan
      • Metric tracking

      Participants

      • Project leader
      • Core project team

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      Photo of an Info-Tech analyst is shown.
      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      1.1

      A screenshot of activity 1.1 is shown.

      Create a powerful, succinct mission statement

      Using Info-Tech’s sample mission statement as a guide, build your mission statement based on the objectives of this project and the benefits that this project will achieve. Keep the mission statement short and clear.

      1.2

      A screenshot of activity 1.2 is shown.

      Assemble the project team

      Create a project team with representatives from all major IT teams. Engage and communicate to the project team early and proactively.

      1.3

      A screenshot of activity 1.3 is shown.

      Identify project stakeholders and create a communication plan

      Info-Tech will help you identify key stakeholders who have a vested interest in the success of the project. Determine the communication message that will best gain their support.

      1.4

      A screenshot of activity 1.4 is shown.

      Use metrics to track the success of the project

      The onsite analyst will help the project team determine the appropriate metrics to measure the success of this project.

      PHASE 2

      Assess Your Current Service Management State

      Assess your current state

      This step will walk you through the following activities:

      • Use Info-Tech’s Service Management Maturity Assessment Tool to determine your overall practice maturity level.
      • Understand your level of completeness for each individual practice.
      • Understand the three major phases involved in the service management journey; know the symptoms of each phase and how they affect your target state selection.

      Step Insights

      • To determine the real maturity of your service management practices, you should focus on the results and output of the practice, rather than the activities performed for each process.
      • Focus on phase-level maturity as opposed to the level of completeness for each individual process.

      Phase 2 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 2: Determine Your Service Management Current State

      Step 2.1 – Assess Impacting Forces

      Start with an analyst kick-off call:

      • Discuss the impacting forces that can affect the success of your service management program
      • Identify internal and external constraints and enablers
      • Review and interpret how to leverage or mitigate these elements

      Then complete these activities…

      • Present the findings of the organizational context
      • Facilitate a discussion and create consensus amongst the project team members on where the organization should start

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 2.2 – Build Vision, Mission, and Values

      Review findings with analyst:

      • Review your service management vision and mission statement and discuss the values

      Then complete these activities…

      • Socialize the vision, mission, and values to ensure they are aligned with overall organizational vision. Then, set the expectations for behavior aligned with the vision, mission, and values

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 2.3 – Assess Attitudes, Behaviors, and Culture

      Review findings with analyst:

      • Discuss tactics for addressing negative attitudes, behaviors, or culture identified

      Then complete these activities…

      • Add items to be addressed to roadmap

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 2.4 – Assess Governance Needs

      Review findings with analyst:

      • Understand the typical types of governance structure and the differences between management and governance
      • Choose the management structure required for your organization

      Then complete these activities…

      • Determine actions required to establish an effective governance structure and add items to be addressed to roadmap

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 2.5 – Perform SWOT Analysis

      Review findings with analyst:

      • Discuss SWOT analysis results and tactics for addressing within the roadmap

      Then complete these activities…

      • Add items to be addressed to roadmap

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 2.6 – Identify Desired State

      Review findings with analyst:

      • Discuss desired state and commitment needed to achieve aspects of the desired state

      Then complete these activities…

      • Use the desired state to critically assess the current state of your service management practices and whether they are achieving the desired outcomes
      • Prep for the SM maturity assessment

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 2.7 – Perform SM Maturity Assessment

      Review findings with analyst:

      • Review and interpret the output from your service management maturity assessment

      Then complete these activities…

      • Add items to be addressed to roadmap

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Service Management Maturity Assessment

      Step 2.8 – Review OCM Capabilities

      Review findings with analyst:

      • Review and interpret the output from your organizational change management maturity assessment

      Then complete these activities…

      • Add items to be addressed to roadmap

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Organizational Change Management Assessment

      Understand and assess impacting forces – constraints and enablers

      Constraints and enablers are organizational and behavioral triggers that directly impact your ability and approach to establishing Service Management practices.

      A model is shown to demonstrate the possibe constraints and enablers on your service management program. It incorporates available resources, the environment, management practices, and available technologies.

      Effective service management requires a mix of different approaches and practices that best fit your organization. There’s not a one-size-fits-all solution. Consider the resources, environment, emerging technologies, and management practices facing your organization. What items can you leverage or use to mitigate to move your service management program forward?

      Use Info-Tech’s “Organizational Context” template to list the constraints and enablers affecting your service management

      The Service Management Roadmap Presentation Template will help you understand the business environment you need to consider as you build out your roadmap.

      Discuss and document constraints and enablers related to the business environment, available resources, management practices, and emerging technologies. Any constraints will need to be addressed within your roadmap and enablers should be leveraged to maximize your results.


      Screenshot of Info-Tech's Service Management Roadmap Presentation Template is shown.

      Document constraints and enablers

      1. Discuss and document the constrains and enablers for each aspect of the management mesh: environment, resources, management practices, or technology.
      2. Use this as a thought provoker in later exercises.

      INPUT

      • A collaborative discussion

      OUTPUT

      • Organizational context constraints and enablers

      Materials

      • Whiteboards or flip charts

      Participants

      • All stakeholders

      Build compelling vision and mission statements to set the direction of your service management program

      While you are articulating the vision and mission, think about the values you want the team to display. Being explicit can be a powerful tool to create alignment.

      A vision statement describes the intended state of your service management organization, expressed in the present tense.

      A mission statement describes why your service management organization exists.

      Your organizational values state how you will deliver services.

      Use Info-Tech’s “Vision, Mission, and Values” template to set the aspiration & purpose of your service management practice

      The Service Management Roadmap Presentation Template will help you document your vision for service management, the purpose of the program, and the values you want to see demonstrated.

      If the team cannot gain agreement on their reason for being, it will be difficult to make traction on the roadmap items. A concise and compelling statement can set the direction for desired behavior and help team members align with the vision when trying to make ground-level decisions. It can also be used to hold each other accountable when undesirable behavior emerges. It should be revised from time to time, when the environment changes, but a well-written statement should stand the test of time.

      A screenshot of the Service Management Roadmap Presentation Temaplate is shown. Specifically it is showing the section on the vision, mission, and values results.

      Document your organization’s vision, mission , and values

      1. Vision: Identify your desired target state, consider the details of that target state, and create a vision statement.
      2. Mission: Consider the fundamental purpose of your SM program and craft a statement of purpose.
      3. Values: As you work through the vision and mission, identify values that your organization prides itself in or has the aspiration for.
      4. Discuss common themes and then develop a concise vision statement and mission statement that incorporates the group’s ideas.

      INPUT

      • A collaborative discussion

      OUTPUT

      • Vision statement
      • Mission statement
      • Organizational values

      Materials

      • Whiteboards or flip charts
      • Sample vision and mission statements

      Participants

      • All stakeholders
      • Senior leadership

      Understanding attitude, behavior, and culture

      Attitude

      • What people think and feel. It can be seen in their demeanor and how they react to change initiatives, colleagues, and users.

      Any form of organizational change involves adjusting people’s attitudes, creating buy-in and commitment. You need to identify and address attitudes that can lead to negative behaviors and actions or that are counter-productive. It must be made visible and related to your desired behavior.

      Behaviour

      • What people do. This is influenced by attitude and the culture of the organization.

      To implement change within IT, especially at a tactical level, both IT and organizational behavior needs to change. This is relevant because people don’t like to change and will resist in an active or passive way unless you can sell the need, value, and benefit of changing their behavior.

      Culture

      • The accepted and understood ways of working in an organization. The values and standards that people find normal and what would be tacitly identified to new resources.

      The organizational or corporate “attitude,” the impact on employee behavior and attitude is often not fully understood. Culture is an invisible element, which makes it difficult to identify, but it has a strong impact and must be addressed to successfully embed any organizational change or strategy.

      Culture is a critical and under-addressed success factor

      43% of CIOs cited resistance to change as the top impediment to a successful digital strategy.

      CIO.com

      75% of organizations cannot identify or articulate their culture or its impact.

      Info-Tech

      “Shortcomings in organizational culture are one of the main barriers to company success in the digital age.”

      McKinsey – “Culture for a digital age”

      Examples of how they apply

      Attitude

      • “I’ll believe that when I see it”
      • Positive outlook on new ideas and changes

      Behaviour

      • Saying you’ll follow a new process but not doing so
      • Choosing not to document a resolution approach or updating a knowledge article, despite being asked

      Culture

      • Hero culture (knowledge is power)
      • Blame culture (finger pointing)
      • Collaborative culture (people rally and work together)

      Why have we failed to address attitude, behavior, and culture?

        ✓ While there is attention and better understanding of these areas, very little effort is made to actually solve these challenges.

        ✓ The impact is not well understood.

        ✓ The lack of tangible and visible factors makes it difficult to identify.

        ✓ There is a lack of proper guidance, leadership skills, and governance to address these in the right places.

        ✓ Addressing these issues has to be done proactively, with intent, rigor, and discipline, in order to be successful.

        ✓ We ignore it (head in the sand and hoping it will fix itself).

      Avoidance has been a common strategy for addressing behavior and culture in organizations.

      Use Info-Tech’s “Culture and Environment” template to identify cultural constraints that should be addressed in roadmap

      The Service Management Roadmap Presentation Template will help you document attitude, behavior, and culture constraints.

      Discuss as a team attitudes, behaviors, and cultural aspects that can either hinder or be leveraged to support your vision for the service management program. Capture all items that need to be addressed in the roadmap.

      A screenshot of the Service Management Roadmap Presentation Template is shown. Specifically showing the culture and environment slide.

      Document your organization’s attitudes, behaviors, and culture

      1. Discuss and document positive and negative aspects of attitude, behavior, or culture within your organization.
      2. Identify the items that need to be addressed as part of your roadmap.

      INPUT

      • A collaborative discussion

      OUTPUT

      • Culture and environment worksheet

      Materials

      • Whiteboards or flip charts

      Participants

      • All stakeholders

      The relationship to governance

      Attitude, behavior, and culture are still underestimated as core success factors in governance and management.

      Behavior is a key enabler of good governance. Leading by example and modeling behavior has a cascading impact on shifting culture, reinforcing the importance of change through adherence.

      Executive leadership and governing bodies must lead and support cultural change.

      Key Points

      • Less than 25% of organizations have formal IT governance in place (ITSM Tools).
      • Governance tends to focus on risk and compliance (controls), but forgets the impact of value and performance.

      Lack of oversight often limits the value of service management implementations

      Organizations often fail to move beyond risk mitigation, losing focus of the goals of their service management practices and the capabilities required to produce value.

      Risk Mitigation

      • Stabilize IT
      • Service Desk
      • Incident Management
      • Change Management

      Gap

      • Organizational alignment through governance
      • Disciplined focus on goals of SM

      Value Production

      • Value that meets business and consumer needs

      This creates a situation where service management activities and roadmaps focus on adjusting and tweaking process areas that no longer support how the organization needs to work.

      How does establishing governance for service management provide value?

      Governance of service management is a gap in most organizations, which leads to much of the failure and lack of value from service management processes and activities.

      Once in place, effective governance enables success for organizations by:

      1. Ensuring service management processes improve business value
      2. Measuring and confirming the value of the service management investment
      3. Driving a focus on outcome and impact instead of simply process adherence
      4. Looking at the integrated impact of service management in order to ensure focused prioritization of work
      5. Driving customer-experience focus within organizations
      6. Ensuring quality is achieved and addressing quality impacts and dependencies between processes

      Four common service management process ownership models

      Your ownership structure largely defines how processes will need to be implemented, maintained, and improved. It has a strong impact on their ability to integrate and how other teams perceive their involvement.

      An organizational structure is shown. In the image is an arrow, with the tip facing in the right direction. The left side of the arrow is labelled: Traditional, and the right side is labelled: Complex. The four models are noted along the arrow. Starting on the left side and going to the right are: Distributed Process Ownership, Centralized Process Ownership, Federated Process Ownership, and Service Management Office.

      Most organizations are somewhere within this spectrum of four core ownership models, usually having some combination of shared traits between the two models that are closest to them on the scale.

      Info-Tech Insight

      The organizational structure that is best for you depends on your needs, and one is not necessarily better than another. The next four slides describe when each ownership level is most appropriate.

      Distributed process ownership

      Distributed process ownership is usually evident when organizations initially establish their service management practices. The processes are assigned to a specific group, who assumes some level of ownership over its execution.

      The distributed process ownership model is shown. CIO is listed at the top with four branches leading out from below it. The four branches are labelled: Service Desk, Operations, Applications, and Security.

      Info-Tech Insight

      This model is often a suitable approach for initial implementations or where it may be difficult to move out of siloes within the organization’s structure or culture.

      Centralized process ownership

      Centralized process ownership usually becomes necessary for organizations as they move into a more functional structure. It starts to drive management of processes horizontally across the organization while still retaining functional management control.

      A centralized process ownership model is shown. The CIO is at the top and the following are branches below it: Service Manager, Support, Middleware, Development, and Infrastructure.

      Info-Tech Insight

      This model is often suitable for maturing organizations that are starting to look at process integration and shared service outcomes and accountability.

      Federated process ownership

      Federated process ownership allows for global control and regional variation, and it supports product orientation and Agile/DevOps principles

      A federated process ownership model is shown. The Sponsor/CIO is at the top, with the ITSM Executive below it. Below that level is the: Process Owner, Process Manager, and Process Manager.

      Info-Tech Insight

      Federated process ownership is usually evident in organizations that have an international or multi-regional presence.

      Service management office (SMO)

      SMO structures tend to occur in highly mature organizations, where service management responsibility is seen as an enterprise accountability.

      A service management office model is shown. The CIO is at the top with the following branches below it: SMO, End-User Services, Infra., Apps., and Architecture.

      Info-Tech Insight

      SMOs are suitable for organizations with a defined IT and organizational strategy. A SMO supports integration with other enterprise practices like enterprise architecture and the PMO.

      Determine which process ownership and governance model works best for your organization

      The Service Management Roadmap Presentation Template will help you document process ownership and governance model

      Example:

      Key Goals:

        ☐ Own accountability for changes to core processes

        ☐ Understand systemic nature and dependencies related to processes and services

        ☐ Approve and prioritize improvement and CSI initiatives related to processes and services

        ☐ Evaluate success of initiative outcomes based on defined benefits and expectations

        ☐ Own Service Management and Governance processes and policies

        ☐ Report into ITSM executive or equivalent body

      Membership:

        ☐ Process Owners, SM Owner, Tool Owner/Liaison, Audit

      Discuss as a team which process ownership model works for your organization. Determine who will govern the service management practice. Determine items that should be identified in your roadmap to address governance and process ownership gaps.

      Use Info-Tech’s “SWOT” template to identify strengths, weaknesses, opportunities & threats that should be addressed

      The Service Management Roadmap Presentation Template will help you document items from your SWOT analysis.

      A screenshot of the Service Management Roadmap Presentation Template is shown. Specifically the SWOT section is shown.

      Brainstorm the strengths, weaknesses, opportunities, and threats related to resources, environment, technology, and management practices. Add items that need to be addressed to your roadmap.

      Perform a SWOT analysis

      1. Brainstorm each aspect of the SWOT with an emphasis on:
      • Resources
      • Environment
      • Technologies
      • Management Practices
    • Record your ideas on a flip chart or whiteboard.
    • Add items to be addressed to the roadmap.
    • INPUT

      • A collaborative discussion

      OUTPUT

      • SWOT analysis
      • Priority items identified

      Materials

      • Whiteboards or flip charts

      Participants

      • All stakeholders

      Indicate desired maturity level for your service management program to be successful

      Discuss the various maturity levels and choose a desired level that would meet business needs.

      The desired maturity model is depicted.

      INPUT

      • A collaborative discussion

      OUTPUT

      • Desired state of service management maturity

      Materials

      • None

      Participants

      • All stakeholders

      Use Info-Tech’s Service Management Process Maturity Assessment Tool to understand your current state

      The Service Management Process Maturity Assessment Tool will help you understand the true state of your service management.

      A screenshot of Info-Tech's Service Management Process Assessment Tool is shown.

      Part 1, Part 2, and Part 3 tabs

      These three worksheets contain questions that will determine the overall maturity of your service management processes. There are multiple sections of questions focused on different processes. It is very important that you start from Part 1 and continue the questions sequentially.

      Results tab

      The Results tab will display the current state of your service management processes as well as the percentage of completion for each individual process.

      Complete the service management process maturity assessment

      The current-state assessment will be the foundation of building your roadmap, so pay close attention to the questions and answer them truthfully.

      1. Start with tab 1 in the Service Management Process Maturity Assessment Tool. Remember to read the questions carefully and always use the feedback obtained through the end-user survey to help you determine the answer.
      2. In the “Degree of Process Completeness” column, use the drop-down menu to input the results solicited from the goals and objectives meeting you held with your project participants.
      3. A screenshot of Info-Tech's Service Management Process Assessment Tool is shown. Tab 1 is shown.
      4. Host a meeting with all participants following completion of the survey and have them bring their results. Discuss in a round-table setting, keeping a master sheet of agreed upon results.

      INPUT

      • Service Management Process Maturity Assessment Tool questions

      OUTPUT

      • Determination of current state

      Materials

      • Service Management Process Maturity Assessment Tool

      Participants

      • Project team members

      Review the results of your current-state assessment

      At the end of the assessment, the Results tab will have action items you could perform to close the gaps identified by the process assessment tool.

      A screenshot of Info-Tech's Service Management Process Maturity Assessment Results is shown.

      INPUT

      • Maturity assessment results

      OUTPUT

      • Determination of overall and individual practice maturity

      Materials

      • Service Management Maturity Assessment Tool

      Participants

      • Project team members

      Use Info-Tech’s OCM Capability Assessment tool to understand your current state

      The Organizational Change Management Capabilities Assessment tool will help you understand the true state of your organizational change management capabilities.

      A screenshot of Info-Tech's Organizational Change Management Capabilities Assessment

      Complete the Capabilities tab to capture the current state for organizational change management. Review the Results tab for interpretation of the capabilities. Review the Recommendations tab for actions to address low areas of maturity.

      Complete the OCM capability assessment

      1. Open Organizational Change Management Capabilities Assessment tool.
      2. Come to consensus on the most appropriate answer for each question. Use the 80/20 rule.
      3. Review result charts and discuss findings.
      4. Identify roadmap items based on maturity assessment.

      INPUT

      • A collaborative discussion

      OUTPUT

      • OCM Assessment tool
      • OCM assessment results

      Materials

      • OCM Capabilities Assessment tool

      Participants

      • All stakeholders

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      Photo of an Info-Tech analyst is shown.

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      2.1

      A screenshot of activity 2.1 is shown.

      Create a powerful, succinct mission statement

      Using Info-Tech’s sample mission statement as a guide, build your mission statement based on the objectives of this project and the benefits that this project will achieve. Keep the mission statement short and clear.

      2.2

      A screenshot of activity 2.2 is shown.

      Complete the assessment

      With the project team in the room, go through all three parts of the assessment with consideration of the feedback received from the business.

      2.3

      A screenshot of activity 2.3 is shown.

      Interpret the results of the assessment

      The Info-Tech onsite analyst will facilitate a discussion on the overall maturity of your service management practices and individual process maturity. Are there any surprises? Are the results reflective of current service delivery maturity?

      PHASE 3

      Build Your Service Management Roadmap

      Build Roadmap

      This step will walk you through the following activities:

      • Document your vision and mission on the roadmap one-pager.
      • Using the inputs from the current-state assessments, identify the key themes required by your organization.
      • Identify individual initiatives needed to address key themes.

      Step Insights

      • Using the Info-Tech thought model, address foundational gaps early in your roadmap and establish the management methods to continuously make them more robust.
      • If any of the core practices are not meeting the vision for your service management program, be sure to address these items before moving on to more advanced service management practices or processes.
      • Make sure the story you are telling with your roadmap is aligned to the overall organizational goals.

      Phase 3 outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 3: Determine Your Service Management Target State

      Step 3.1 – Document the Overall Themes

      Start with an analyst kick-off call:

      • Review the outputs from your current-state assessments to identify themes for areas that need to be included in your roadmap

      Then complete these activities…

      • Ensure foundational elements are solid by adding any gaps to the roadmap
      • Identify any changes needed to management practices to ensure continuous improvement

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 3.2 – Determine Individual Initiatives

      Review findings with analyst:

      • Determine the individual initiatives needed to close the gaps between the current state and the vision

      Then complete these activities…

      • Finalize and document roadmap for executive socialization

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Focus on a strong foundation to build higher value service management practices

      Info-Tech Insight

      Focus on behaviors and expected outcomes before processes.

      Foundational elements

      • Operating model facilitates service management goals
      • Culture of service delivery
      • Governance discipline to evaluate, direct, and monitor
      • Management discipline to deliver

      Stabilize

      • Deliver stable, reliable IT services to the business
      • Respond to user requests quickly and efficiently
      • Resolve user issues in a timely manner
      • Deploy changes smoothly and successfully

      Proactive

      • Avoid/prevent service disruptions
      • Improve quality of service (performance, availability, reliability)

      Service Provider

      • Understand business needs
      • Ensure services are available
      • Measure service performance, based on business-oriented metrics

      Strategic Partner

      • Fully aligned with business
      • Drive innovation
      • Drive measurable value

      Info-Tech Insight

      Continued leadership support of the foundational elements will allow delivery teams to provide value to the business. Set the expectation of the desired maturity level and allow teams to innovate.

      Identify themes that can help you build a strong foundation before moving to higher level practices

      A model is depicted that shows the various target states. There are 6 levels showing in the example, and the example is made to look like a tree with a character watering it. In the roots, the level is labelled foundational. The trunk is labelled the core. The lowest hanging branches of the tree is the stabilize section. Above it is the proactive section. Nearing the top of the tree is the service provider. The top most branches of the tree is labelled strategic partner.

      Before moving to advanced service management practices, you must ensure that the foundational and core elements are robust enough to support them. Leadership must nurture these practices to ensure they are sustainable and can support higher value, more mature practices.

      Use Info-Tech’s “Service Management Roadmap” template to document your vision, themes and initiatives

      The Service Management Roadmap Presentation Template contains a roadmap template to help communicate your vision, themes to be addressed, and initiatives

      A screenshot of Info-Tech's Service Management Roadmap template is shown.

      Working from the lower maturity items to the higher value practices, identify logical groupings of initiatives into themes. This will aid in communicating the reasons for the needed changes. List the individual initiatives below the themes. Adding the service management vision and mission statements can help readers understand the roadmap.

      Document your service management roadmap

      1. Document the service management vision and mission on the roadmap template.
      2. Identify, from the assessments, areas that need to be improved or implemented.
      3. Group the individual initiatives into logical themes that can ease communication of what needs to happen.
      4. Document the individual initiatives.
      5. Document in terms that business partners and executive sponsors can understand.

      INPUT

      • Current-state assessment outputs
      • Maturity model

      OUTPUT

      • Service management roadmap

      Materials

      • Whiteboard
      • Roadmap template

      Participants

      • All stakeholders

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      Photo of an Info-Tech analyst is shown.

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      3.1

      A screenshot of activity 3.1 is shown.

      Identify themes to address items from the foundational level up to higher value service management practices

      Identify easily understood themes that will help others understand the expected outcomes within your organization.

      A screenshot of activity 3.2 is shown.

      Document individual initiatives that contribute to the themes

      Identify specific activities that will close gaps identified in the assessments.

      PHASE 2

      Build Communication Slide

      Complete your service management roadmap

      This step will walk you through the following activities:

      • Use the current-state assessment exercises to document the state of your service management practices. Document examples of the behaviors that are currently seen.
      • Document the expected short-term gains. Describe how you want the behaviors to change.
      • Document the long-term vision for each item and describe the benefits you expect to see from addressing each theme.

      Step Insights

      • Use the communication template to acknowledge the areas that need to be improved and paint the short- and long-term vision for the improvements to be made through executing the roadmap.
      • Write it in business terms so that it can be used widely to gain acceptance of the upcoming changes that need to occur.
      • Include specific areas that need to be fixed to make it more tangible.
      • Adding the values from the vision, mission, and values exercise can also help you set expectations about how the team will behave as they move towards the longer-term vision.

      Phase 4 Outline

      Call 1-888-670-8889 or email GuidedImplementations@InfoTech.com for more information.

      Complete these steps on your own, or call us to complete a guided implementation. A guided implementation is a series of 2-3 advisory calls that help you execute each phase of a project. They are included in most advisory memberships.

      Guided Implementation 4: Build the Service Management Roadmap

      Step 4.1: Document the Current State

      Start with an analyst kick-off call:

      • Review the pain points identified from the current state analysis
      • Discuss tactics to address specific pain points

      Then complete these activities…

      • Socialize the pain points within the service delivery teams to ensure nothing is being misrepresented
      • Gather ideas for the future state

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Step 4.2: List the Future Vision

      Review findings with analyst:

      • Review short- and long-term vision for improvements for the pain points identified in the current state analysis

      Then complete these activities…

      • Prepare to socialize the roadmap
      • Ensure long-term vision is aligned with organizational objectives

      With these tools & templates:

      Service Management Roadmap Presentation Template

      Use Info-Tech’s “Service Management Roadmap – Brought to Life” template to paint a picture of the future state

      The Service Management Roadmap Presentation Template contains a communication template to help communicate your vision of the future state

      A screenshot of Info-Tech's Service Management Roadmap - Brought to Life template

      Use this template to demonstrate how existing pain points to delivering services will improve over time by painting a near- and long-term picture of how things will change. Also list specific initiatives that will be launched to affect the changes. Listing the values identified in the vision, mission, and values exercise will also demonstrate the team’s commitment to changing behavior to create better outcomes.

      Document your current state and list initiatives to address them

      1. Use the previous assessments and feedback from business or customers to identify current behaviors that need addressing.
      2. Focus on high-impact items for this document, not an extensive list.
      3. An example of step 1 and 2 are shown.
      4. List the initiatives or actions that will be used to address the specific pain points.

      An example of areas for improvement.

      INPUT

      • Current-state assessment outputs
      • Feedback from business

      OUTPUT

      • Service Management Roadmap Communication Tool, in the Service Management Roadmap Presentation

      Materials

      • Whiteboard
      • Roadmap template

      Participants

      • All stakeholders

      Document your future state

      An example of document your furture state is shown.

      1. For each pain point document the expected behaviors, both short term and longer term.
      2. Write in terms that allow readers to understand what to expect from your service management practice.

      INPUT

      • Current-state assessment outputs
      • Feedback from business

      OUTPUT

      • Service Management Roadmap Communication Tool, in the Service Management Roadmap Presentation Template

      Materials

      • Whiteboard
      • Roadmap template

      Participants

      • All stakeholders

      If you want additional support, have our analysts guide you through this phase as part of an Info-Tech workshop

      Book a workshop with our Info-Tech analysts:

      Photo of an Info-Tech analyst is shown.

      • To accelerate this project, engage your IT team in an Info-Tech workshop with an Info-Tech analyst team.
      • Info-Tech analysts will join you and your team onsite at your location or welcome you to Info-Tech’s historic Toronto office to participate in an innovative onsite workshop.
      • Contact your account manager (www.infotech.com/account), or email Workshops@InfoTech.com for more information.

      The following are sample activities that will be conducted by Info-Tech analysts with your team:

      4.1

      A screenshot of activity 4.1 is shown.

      Identify the pain points and initiatives to address them

      Identify items that the business can relate to and initiatives or actions to address them.

      4.2

      A screenshot of activity 4.2 is shown.

      Identify short- and long-term expectations for service management

      Communicate the benefits of executing the roadmap both short- and long-term gains.

      Research contributors and experts

      Photo of Valence Howden

      Valence Howden, Principal Research Director, CIO Practice

      Info-Tech Research Group

      Valence helps organizations be successful through optimizing how they govern, design, and execute strategies, and how they drive service excellence in all work. With 30 years of IT experience in the public and private sectors, he has developed experience in many information management and technology domains, with focus in service management, enterprise and IT governance, development and execution of strategy, risk management, metrics design and process design, and implementation and improvement.

      Photo of Graham Price

      Graham Price, Research Director, CIO Practice

      Info-Tech Research Group

      Graham has an extensive background in IT service management across various industries with over 25 years of experience. He was a principal consultant for 17 years, partnering with Fortune 500 clients throughout North America, leveraging and integrating industry best practices in IT service management, service catalog, business relationship management, IT strategy, governance, and Lean IT and Agile.

      Photo of Sharon Foltz

      Sharon Foltz, Senior Workshop Director

      Info-Tech Research Group

      Sharon is a Senior Workshop Director at Info-Tech Research Group. She focuses on bringing high value to members via leveraging Info-Tech’s blueprints and other resources enhanced with her breadth and depth of skills and expertise. Sharon has spent over 15 years in various IT roles in leading companies within the United States. She has strong experience in organizational change management, program and project management, service management, product management, team leadership, strategic planning, and CRM across various global organizations.

      Related Info-Tech Research

      Build a Roadmap for Service Management Agility

      Extend the Service Desk to the Enterprise

      Bibliography

      • “CIOs Emerge as Disruptive Innovators.” CSC Global CIO Survey: 2014-2015. Web.
      • “Digital Transformation: How Is Your Organization Adapting?” CIO.com, 2018. Web.
      • Goran, Julie, Laura LaBerge, and Ramesh Srinivasan. “Culture for a digital age.” McKinsey, July 2017. Web.
      • The Qualities of Leadership: Leading Change. Cornelius & Associates, 14 April 2012.
      • Wilkinson, Paul. “Culture, Ethics, and Behavior – Why Are We Still Struggling?” ITSM Tools, 5 July 2018. Web.

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