ISO 20000 Problem Record Template

Introduction

ISO 20000 is an international standard relating to IT service management. It defines a set of requirements which allow an organization to plan, establish, implement, operate, monitor, review, maintain and improve a Service Management System (SMS). Being ISO 20000 certified is a demonstration of commitment to provide quality IT services to customers and ensure the efficient and effective provision of IT services in line with agreed Service Level Agreements (SLAs). ISO 20000 covers a number of processes, including Incident Management, Change, Release Management and Problem Management.

Why Problem Management Is Important?

Incident Management aims to return a service back to normal as soon as possible after a disruption in service. However, while Incident management focuses on short-term solutions and restoring the service to normal operating levels, the goal of Problem management is to find the root cause of the incidents and prevent them recurring. A Problem can be thought of as something akin to the cause of the Incident. Whereas an incident is a headache, a problem is dehydration, or the stressor. A temporary solution can be taken in the form of painkillers, but a long-term one may involve re-hydration therapy.

Proactive Problem Management works by analyzing the trends of Incidents, in order to anticipate the potential for problems, while Reactive Problem management responds to a major incident or series of incidents that have occurred, or are likely to occur. Both approaches help reduce downtime and optimize IT operations, and enable the culture of improvement that is at the heart of ISO 20000 and ITIL best practices. Without good Problem Management capabilities in place, businesses may find themselves caught in a vicious circle of repetitive problems, consuming precious resources, without being able to resolve the root cause.

A Problem Record is a formal document or record within an ITSM tool that describes the process of Problem investigation and resolution which goes beyond the resolution of an Incident, to look at the root cause and prevent recurrence. The purpose of a Problem Record is to document and analyze the root cause of incidents and problems, to manage the problem resolution lifecycle and process, to provide an audit trail for incidents, problems, and solutions, and contribute to the Known Error and Knowledge Management database. 

Essential Elements of an ISO 20000 Problem Record Template

A good Problem Record Template will help you capture the necessary information about the Problem. While fields included in the template may vary slightly depending on the specific requirements and tools used by your organization, the following elements should always be included.

1. Identification and Basic Information

This category captures the basic information needed to identify and classify the problem.

• Problem ID: A unique reference assigned to the Problem Record.
  
  
• Date/Time Reported & reported by: The date/time the problem was reported or escalated from Incident management and the name of the person who reported it.
  
  
• Service(s) affected: IT Services or components, impacted by the Problem.
  
  
• Problem Description: A brief, clear and detailed description of the problem. This should include an overview of the symptoms, and what distinguishes this Problem from an Incident.
  
  
• Related Incidents: A list of Incident Records related to this Problem. This will support trend analysis, and will be used to define the nature of the problem.

2. Impact, Urgency, and Prioritization

These fields are used to assess and document the business impact of the Problem and determine the urgency and priority of its resolution.

• Impact: An assessment of the impact of the Problem on the business, including Users and SLAs.
  
  
• Urgency: An assessment of how quickly a resolution is required, based on the business needs.
  
  
• Priority: Calculated from Impact and Urgency, the priority field indicates the importance of the Problem, based on its potential impact and urgency of resolution.

3. Initial Response and Temporary Solutions

Some Problems require time to investigate or resolve.

• Workaround: A temporary solution or workaround that restores service functionality and reduces the impact of the Problem until a permanent resolution is found. Details of any temporary workaround and its limitations should be described here.

4. The Root Cause Analysis (RCA)

This element captures the details of the investigation and analysis undertaken to determine the underlying or contributing causes of the Problem. The RCA findings, together with the Known Error identification provide the foundation for the Problem resolution process.

• RCA Findings: A summary of the investigation undertaken to determine the root cause of the Problem. Details of the method used (i.e. 5 whys, Fishbone Diagram, etc.), should also be included here.
  
  
• Known Error Identification: If the root cause has been identified and there is a workaround available for this Problem, it qualifies as a Known Error. This field should contain a reference to the Known Error database entry, if applicable.

5. Proposed Solutions and Implementation

Once the root cause has been determined, a resolution requires planning and implementation.

• Proposed Solution/Resolution: A detailed description of the permanent solution that will resolve the Problem. This may also need to be implemented via a Change Request recorded in a Change Management process.
  
  
• Resolution Date/Time & Resolved by- The date/time of resolution and the Person/team who resolved the Problem.

6. Verification, Closure, and Classification

The resolution needs to be verified and the Problem classified for trend analysis.

• Verification: Confirmation that the proposed solution has resolved the Problem, and that the service is operating correctly.
  
  
• Status: The status of the Problem Record, e.g. Open, In Progress, Awaiting RCA, Awaiting Change, Resolved, Closed.
  
  
• Classification: The category, type, and sub-type of the Problem. Categorizing Problems can help with trend analysis and identifying recurring problems, which supports proactive Problem Management.
  
  
• Closure Criteria: The criteria that need to be met in order to close the Problem.

7. Communication and Audit Trail

The communication and audit trail elements support management and collaboration by providing a record of discussions, decisions, and approvals relating to the Problem.

• Stakeholders & Communication Log: A list of stakeholders involved (e.g. Owners, Developers, Vendors, IT Operations) and a communication log tracking any communications related to this Problem.
  
  
• Review and Approval: A record of any reviews or approvals required from stakeholders, prior to Problem closure.

Best Practices for Effective Problem Management

A Problem Record Template supports Problem Management, but it is only one part of the bigger picture. To truly maximize its potential, it should be implemented in the context of a complete ITSM ecosystem and supported by an organizational culture that promotes continuous improvement.

1. Standardization and Consistency

A standard Problem Management record template ensures that relevant data is captured consistently by analysts investigating Problems, improving the efficiency and auditability of the process. Standardization also contributes to the quality of reporting and analysis, supporting the identification of patterns and trends in Problem occurrences. This in turn enables proactive Problem Management, allowing organizations to respond more effectively to recurring issues and optimize resource allocation for Problem resolution.

2. Integration with ITSM Ecosystem

To maximize the benefits of Problem Records and ensure effective Problem resolution and prevention, the template should be integrated with the broader ITSM ecosystem, including Incident, Change, and Knowledge Management systems. The ability to link Problems to related Incidents is important for analyzing the trends of related Incidents, while integration with Change Management facilitates the Change process for permanent resolution of Problems. Capturing RCA findings, Known Errors, and resolution methods in a centralized Knowledge Management system enables faster resolution of future Problems and Incidents by providing a single source of information for analysts. Similarly, integration with the CMDB will help provide additional context and insight during the Problem investigation process.

3. Culture of Continuous Improvement

Effective Problem Management contributes to the culture of continuous improvement by enabling organizations to learn from their Problems and Incidents, and continually improve the quality of their IT services. By capturing and analyzing the root cause of Problems and Incidents, organizations can identify weaknesses in their processes and make necessary improvements to prevent future occurrences. This not only improves the efficiency and effectiveness of IT Service Management, but also enhances customer satisfaction by reducing the impact of service disruptions. Encouraging a culture of continuous improvement and empowering employees to continuously look for ways to improve processes, while avoiding the pitfall of quick fixes without addressing the root causes, will support long-term success and growth.

Conclusion: Elevating Service Quality, One Problem Record at a Time

An ISO 20000 Problem Record Template is an invaluable tool for any organization that strives to provide high-quality IT services in line with ISO standards. By capturing the necessary details about a Problem, investigating its root cause, and implementing a permanent resolution, organizations can ensure the prevention of future Problems and the continuous improvement of their IT services. Not only does the systematic documentation and analysis of Problems support compliance with ISO 20000 standards, but it also brings significant improvements to the efficiency of Problem resolution and the overall quality of service, which translates into higher customer satisfaction for the business.