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Microsoft Operations Framework 4.0 Foundations. IO Model. Course Overview. Module 1: MOF Overview. Module 2: The Manage Layer. Module 3: The Plan Phase. Module 4: The Deliver Phase. Module 5: The Operate Phase. Module 6: Course Summary. Module 1: MOF Overview. Module Overview.

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Microsoft Operations Framework 4.0 Foundations

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course overview
Course Overview

Module 1: MOF Overview

Module 2: The Manage Layer

Module 3: The Plan Phase

Module 4: The Deliver Phase

Module 5: The Operate Phase

Module 6: Course Summary

module overview
Module Overview
  • Lesson 1: Operational Issues and Stable Services
  • Lesson 2: Introduction to MOF and the Service Lifecycle
can technology solutions solve process problems
Can Technology Solutions Solve Process Problems?
  • Problem: (Is this a people/process/technology problem?)
    • Server crashes due to a failure to test a patch before deployment to the server.
  • Proposed technical solution:
    • Cluster the server to provide failover capabilities.
  • Does this solve the problem?


  • By increasing the complexity, you increase the points of failure.
  • What is the real solution? Fixing the people/process problem.
  • Ensure that a process for testing before deployment to the production environment is:
    • Defined and documented in policy
    • Enabled with a lab
    • Followed by properly trained personnel
source of operational problems
Source of Operational Problems
  • Forget Something
  • Lack of Procedures
  • Backup Errors/Security
  • Change Management
  • Overloaded
  • Weak Problem Detection





  • Hardware/OS
  • Network
  • Power and Disaster


Gartner Security Conference presentation "Operation Zero Downtime," D. Scott, May 2002

what microsoft support data tells us
What Microsoft Support Data Tells Us

Source: Microsoft IT support data of Critical Situations within Microsoft Premier Support

process guidance value
Process Guidance Value
  • Based on information collected in interviews with organizations that had adopted selected MOF guidance within their environments, Forrester found that organizations can realize benefits in the form of:
    • Higher overall availability and reliability
    • Improved operational efficiency
    • And reduced support costs
  • Forrester Consulting:
  • The Financial Impact of Operational
  • Process Improvements Within a
  • Microsoft Windows Environment
  • Examining the Total Economic Impact™ Of
  • Microsoft Operations Framework (MOF)
  • June 30, 2006
mof aids in technology adaption
MOF Aids in Technology Adaption
  • As new technology is invented, the ability to integrate it into the existing environment becomes more challenging
  • MOF ensures that controls are in place so that new technology can be successfully introduced with minimal impact to the production environment
  • MOF closely aligns with technology solutions provided by Microsoft
  • The principles in MOF allow organizations to use Microsoft technology solutions to best support their service offerings
technology is not the whole answer
Technology Is Not the Whole Answer

Tools &


People and Process Matter!

Repeatable, Best Practice Processes

Trained People

what is mof
What Is MOF?
  • MOF organizes and describes all of the activities and processes involved in creating, managing, and supporting a service
    • Represented in service management functions (SMFs) grouped together in phases that mirror the service lifecycle
  • Practical guidance providing comprehensive guidelines for achieving reliability for technology solutions and services
  • Uses questions-based guidance to help you:
    • Determine what your organization needs now
    • Keep your organization running efficiently and effectively in the future
mof high level goals
MOF High-Level Goals
  • Provide guidance to technology organizations
    • To help them create, operate, and support technology services
    • To ensure that investments in technology deliver expected business value at an acceptable level of risk
  • Create an environment where business and technology work together toward operational maturity
the service lifecycle phases and a layer
The Service Lifecycle: Phases and a Layer
  • The service lifecycle describes the life of a technology service:
    • From planning and optimizing the service to align with the business strategy: Plan Phase
    • Through the design and delivery of the service:Deliver Phase
    • To its ongoing operation and support: Operate Phase
    • Underlying all of this is a foundation of governance, risk management, compliance, team organization, and change management: Management Layer
  • Each phase has SMFs and management reviews associated with it
goals of the lifecycle phases and manage layer
Goals of the Lifecycle Phases and Manage Layer
  • Plan:
  • Optimize and align the service strategy to support the business

Manage Layer:

Provide operating principles and best practice guidance to ensure technology investment delivers expected business value… at acceptable risk

  • Deliver:
  • Ensure services
  • Developed effectively
  • Deployed successfully
  • Ready for Operations
  • Operate:
  • Ensure services
  • Operated
  • Maintained
  • Supported
  • …to meet business needs
activities articulated in mrs and smfs
Activities Articulated in MRs and SMFs

The diamonds are

Management Reviews,

which focus on key

technology management

control points

The bulleted items are

Service Management

Functions, which provide

process guidance

service management functions
Service Management Functions
  • SMFs define processes, people, and activities required to align technology services to business needs
  • Each SMF has its own guide explaining its flow and detailing processes and activities
    • Each SMF can stand alone
    • Collectively, SMFs work to ensure that service delivery is at the desired quality and risk level
mof management reviews
MOF Management Reviews
  • Management reviews (MRs)
    • Bring together information and people
    • To determine status of technology services and establish readiness to move forward in the lifecycle
  • MRs are internal controls that provide management validation checks
  • They ensure business objectives are being met and technology services are on track to deliver expected value
guidance across the technology organization

A common framework for the entire organization

  • Clear outcomes to ensure organizational focus
  • Baked-in support for Governance, Risk, and Compliance
  • Question format facilitates focused decision making
  • Accountabilities and controls ensure quality
  • Explicit examples and best practices quicken adoption
  • Activity tables ease implementation and provide consistency
  • Complemented by solution accelerators for specific scenarios
  • Community to support relevant and emerging needs
Guidance Across the Technology Organization

IT Professionals

Technology Managers

Technology Directors

and CIOs

benefits of mof
Benefits of MOF
  • MOF’s recommended guidelines can help organizations:
    • Decrease risks through better coordination between teams
    • Recognize compliance implications when policies are reviewed
    • Anticipate and mitigate reliability impacts
    • Discover possible integration issues prior to production
    • Prevent performance issues by anticipating thresholds
    • Effectively adapt to new business needs
connects service management standards to practical application
Connects Service Management Standards to Practical Application
  • ISO 20000
  • MOF 4.0
  • ITIL v3

Processes + Guidance + Tools

(for Specific Scenarios)

  • Services and Solution Accelerators
  • System Center

Infrastructure Automation


mof scales to any size organization
MOF Scales to Any Size Organization
  • MOF’s structured processes scale
    • Example (Same steps, different pace):
      • Large multi-location projects will involve more individuals and components resulting in longer change reviews and more detailed release planning.
      • Small, single data center changes can be reviewed quickly and require less release planning time.
    • Example (Same steps, different frequency):
      • Reviewing incident management data and conducting problem management in a large environment may require weekly or daily execution by dedicated staff.
      • Reviewing incident management data and conducting problem management in a small environment with less incident data may only require monthly execution by rotating assignment.
  • MOF is actionable and adjustable
    • Existing MOF steps are ready to be executed “as is”
    • MOF steps can also be adjusted to integrate with existing processes
mof deliverables
MOF Deliverables


Operating Level Agreement

Service Level Agreement

Operations Level Agreement

Privacy Policy

Service Level Agreement

SIP Service Catalog

  • MOF guidance is contained in the following:
    • MOF Overview document
    • MOF phase overview documents
      • Plan Phase Overview
      • Deliver Phase Overview
      • Operate Phase Overview
      • Manage Layer Overview
    • Service management function (SMF) documents
    • Job aids and samples
  • Content freely available online on TechNet and as a download
  • Services and training (Workshops)


Functional Specification

Migration Plan

Site Deployment Project Plan

Test Cases Workbook

Test Plan

Test Specification

Training Plan

Vision Scope


Incident Management Ticket

Operations and Services Description


Change Management Forward Schedule

Request for Change

Risk Tool

mof collateral
MOF Collateral
  • Microsoft Operations Framework 4.0
  • Getting Started with MOF 4.0: An Implementation Guide
  • MOF Action Plan: Release Readiness for Windows 7
  • MOF Action Plan: Redistributing the Workload
  • Using MOF for ISO/IEC 20000
  • Cross Reference ITIL V3 and MOF 4.0
  • Planning for Software-plus-Services: A MOF Companion Guide
  • MOF to COBIT/Val IT Comparison and Cross-Implementation Guide: How to Leverage MOF in a COBIT/Val IT Environment
  • MOF Job Aids
  • IT Pro Quick Start Kit
collateral interest alignment
Collateral / Interest Alignment

Microsoft Operations Framework 4.0

microsoft service management assets that support mof
Microsoft Service Management Assets that Support MOF

Supports Industry Standards

Navigation to Microsoft's Service Management Assets

Job Aids 20-24: Microsoft’s MOF-Related Solutions

solution accelerators
Solution Accelerators


Microsoft Assessment and Planning Toolkit

Infrastructure Planning and Design

SharePoint Capacity Planning Tool

Security Risk Management Guide

IT Compliance Management Guide


Offline Virtual Machine Servicing Tool

Microsoft Forefront Integration Kit for Network Access Protection

Security Compliance Management

Service Level Dashboard 2.0 for System Center Operations Manager 2007 R2

SharePoint Monitoring Toolkit

SharePoint Asset Inventory Tool

Malware Removal Starter Kit

Fundamental Computer Investigation Guide for Windows


Microsoft Deployment Toolkit 2008

Infrastructure Planning and Design

Upgrade Toolkit for Windows SharePoint Services Sites and Templates Guide

SharePoint Cross Site Configurator

Data Encryption Toolkit for Mobile PCs

Hyper-V Security Guide

Security Compliance Management Toolkit series


Microsoft Operations Framework 4.0

Microsoft Assessment and Planning Toolkit

IT Compliance Management Guide

Job Aid 23: Microsoft’s MOF-Related Solutions


*Offers target processes, functions, roles / organization, and services, typically in that order

Job Aid 22: Microsoft’s MOF-related Solutions


Job Aid 24: Microsoft’s MOF-Related Solutions

community the mof forum
Community: The MOF Forum
  • A place where IT pros can discuss MOF guidance and service management
  • Participants share techniques and best practices with peers across the globe
  • Available at
module summary
Module Summary
  • MOF organizes and describes all of the activities and processes involved in managing a technology service
  • Practical guidance for everyday technology practices and activities
  • Those activities and processes follow a service lifecycle represented in three phases and a foundation layer:
    • Plan Phase
    • Deliver Phase
    • Operate Phase
    • Manage Layer
  • Each phase has SMFs and management reviews associated with it
mof itil

What are they?Both are ITSM Frameworks. Both have the same aim - to provide assistance with Service Management.

Why we need them?IT is not simply delivering IT - it deliversIT Services.

80% unplanned downtime - people & process.

  • Differences:
  • MOF organises material into functions - SMF (Service Management Functions) such as Reliability SMF & Customer Service SMF.
  • ITIL organises material into processes such as Change Management Process &Incident Management Process.
  • Current version of MOF is V4.
  • Current version of ITIL is V3.
  • Which one Should I Use?
  • Microsoft IT uses both MOF and ITIL.
  • Many of the Operations Consulting engagements are based on ITIL and on MOF.
  • MOF is free.
  • They both have the same aim– to help customers with IT Service Management.
  • Similarities:
  • Much of the same material is covered in both frameworks.
  • MOF Reliability SMF includes ITIL subjects Availability Management & Capacity Management.
  • MOF Change & Configuration SMF includes ITIL subjects Change Management & Configuration Management.
  • MOF Customer Service SMF includes ITIL subjectsRequest fulfilment & Incident Management.
module overview1
Module Overview
  • Lesson 1: Introduction to the MOF Manage Layer
  • Lesson 2: Governance, Risk, and Compliance SMF
  • Lesson 3: Change and Configuration SMF
  • Lesson 4: Team SMF
manage layer overview
Manage Layer Overview


  • To help coordinate processes described in the SMFs of the three lifecycle phases
  • Establish an integrated approach to service management activities
what does the manage layer include
What Does the Manage Layer Include?
  • The Manage Layer includes the following service management functions (which take place in all phases of the lifecycle):
    • Governance, Risk, and Compliance (GRC)
    • Change and Configuration
    • Team
    • The Manage Layer also includes the Policy and Control Management Review
how the manage layer enables the other phases
How the Manage Layer Enables the Other Phases
  • Provides “Rules of the Road” for the other phases
  • GRC gives guidance on decision making, policies, risk management, and compliance
  • Change and Configuration gives predictable, repeatable controls to manage the ecosystem
  • Team identifies who needs to do what, and who is accountable
  • Is an integrated part of the service lifecycle:
    • Its processes take place in all phases
    • Provides the basis for developing and operating a resilient technology environment
governance risk and compliance smf overview
Governance, Risk, and Compliance SMF Overview
  • The goals of the Governance, Risk, and Compliance SMF are to ensure:
    • That clear and effective decision making in the management of technology assets is established
    • That risk is managed effectively
    • Compliance with applicable policies, laws, and regulations
  • Governance describes the leadership, decision-making structure, processes, and accountability that determine how an organization gets work done.
categories of risk
Categories of Risk
  • Financial
  • Operational
  • Reputational
  • Market share
  • Revenue
  • Regulatory
  • Other risks that are more specific to a particular organization’s industry:
    • For example, healthcare, national security for the government, or a presently occurring activity (such as a merger or acquisition)
risk and internal controls
Risk and Internal Controls
  • Internal controls are specific activities performed by people or systems designed to ensure that business objectives are met
  • Demonstrating that the organization is in control of its services is accomplished throughout the service lifecycle by:
    • Defining high-level objectives for each lifecycle phase
    • Identifying risks to the achievement of those objectives
    • Identifying risk management approaches in the form of matching internal controls for mitigating risks
compliance as a special type of risk
Compliance As a Special Type of Risk
  • Compliance is an application of risk management that ensures IT’s conformance with company policies, governmental regulations, and industry-specific laws.
how does the governance risk and compliance smf help
How Does the Governance, Risk, and Compliance SMF Help?
  • Brings the right groups of people together (governance) to clarify what needs to happen and evaluate what could get in the way (risk management)
  • Helps the organization determine resource commitments (governance) needed to ensure its goals are achieved (risk management)
  • Makes it clear (governance and compliance) what processes and activities should or should not happen (risk management and compliance)
  • Captures and documents processes and their results as evidence (compliance)
governance risk and compliance throughout mof
Governance, Risk, and Compliance Throughout MOF
  • Plan: Making decisions in line with policies, strategies, and change management
  • Deliver: Making wise risk management and trade-off decisions as solutions are developed
  • Operate: Testing and monitoring internal controls to ensure continued compliance
policy and control management review
Policy and Control Management Review
  • Evaluate the effectiveness of the policies and controls in place across the service lifecycle (at least biannually)
  • The purpose of the MR is to provide management with:
    • An understanding of how risks to achieving goals are being addressed
    • An assessment of the burden of control so that it can adjust appropriately for desired benefits
    • An evaluation of behavior as an indicator of policy communication and enculturation
change and configuration smf overview
Change and Configuration SMF Overview
  • The goal of the Change and Configuration SMF is to create an environment where changes can be made with the least amount of risk and impact to the organization
what does change control give you
What Does Change Control Give You?
  • Change decisions made in line with your strategy and policies
  • Understanding of the impact of a proposed change
  • Ultimately, less firefighting and more predictable responsiveness
use for any size change
Use for Any Size Change
  • Steps apply regardless of the size or impact of a change
  • Formality of how you apply the lifecycle depends on the risk of the change
    • Major new initiative goes through analysis and review in Plan Phase; formal project plan is created in Deliver Phase; and review of implementation, support, and monitoring needs occurs in Operate Phase
    • Smaller change with less risk still goes through lifecycle phases, but more nimbly
not every change needs the same level of control
Not Every Change Needs the Same Level of Control
  • Changes can be organized into the following categories:
    • Major: The impact on the group could be massive—for example, a departmental or corporate-wide change, or a network-wide or service-wide change
    • Significant: The effect is widespread, but not massive—for example, a change affecting a group within a department or a specific group of configuration items (CIs)
    • Minor: A change affecting small numbers of individuals or CIs—for example, a change to a printer used by a department consisting of just a few members
    • Standard: A change that has been performed before and is part of the operational practice of the business—for example, an update to a user profile
      • Standard changes provide agility within the boundaries
what does configuration give you
What Does Configuration Give You?
  • A clear picture of what you have in your production environment at any point in time so that you can make more informed decisions about proposed changes
  • A clear picture of what changes were recently made so that you can troubleshoot more easily and effectively when something goes wrong
change and configuration throughout mof
Change and Configuration Throughout MOF
  • Plan Phase:
    • Control over changes to the technology portfolio
    • Having a known-state of the environment to make decisions against
  • Deliver Phase:
    • Control over modifications to the project plan and design
    • An understanding of the actual production environment
  • Operate Phase:
    • Control over the production environment
    • Accurate information needed to manage the production environment
team smf overview
Team SMF Overview
  • The MOF Team SMF demonstrates how to build and maintain a technology organization that is:
    • Accountable: Ensures that required technology work gets done
    • Responsible: Identifies who will do required technology work by:
      • Creating role types and roles
      • Establishing principles and best practices
      • Identifying who is best for each role
    • Flexible: Built around agile physical and virtual teams
    • Scalable: Able to meet the needs of different-sized organizations
it accountabilities
IT Accountabilities
  • Accountabilities ensure that the right work gets done because someone is held accountable for getting it done
    • Support
    • Operations
    • Service
    • Compliance
    • Architecture
    • Solutions
    • Management
role types and responsibilities
Role Types and Responsibilities
  • Each accountability has a set of role types associated with it, and each role type has a set of responsibilities and goals associated with it
  • Example: Support Accountability and its role types:
key team smf principles
Key Team SMF Principles
  • Start with people
  • Separate plan-driven and interrupt-driven work
  • Put the right people in the right roles
  • Encourage advocacy
  • Start with accountability
  • Make responsibilities clear to the owner
  • Combine accountabilities and role types where appropriate
  • Ensure constant coverage in Operations
the team smf throughout mof
The Team SMF Throughout MOF
  • Plan Phase:
    • Determine who is involved in creating technology strategy
  • Deliver Phase:
    • Determine who is part of the project team and how they will work together
  • Operate Phase:
    • Determine what roles and responsibilities are needed to keep Operations and Customer Service running smoothly
manage layer summary
Manage Layer Summary
  • Manage Layer helps coordinate processes in the Plan, Deliver, and Operate Phases
  • Establishes an integrated approach to service management activities
  • Utilizes the
    • Governance, Risk, and Compliance SMF
    • Change and Configuration SMF
    • Team SMF
  • Includes the Policy and Control Management Review
module overview2
Module Overview
  • Lesson 1: Introduction to the Plan Phase
  • Lesson 2: Business/IT Alignment SMF
  • Lesson 3: Reliability SMF
  • Lesson 4: Policy SMF
  • Lesson 5: Financial Management SMF
  • Lesson 6: The Role of the Manage Layer in the Plan Phase
plan phase overview
Plan Phase Overview


  • To provide guidance to technology groups on how to continually plan for and optimize their service strategy and to ensure that the delivered services are:
    • Valuable and compelling
    • Predictable and reliable
    • Compliant
    • Cost-effective
    • Adaptable to the changing needs of the business
objectives of the planning phase
Objectives of the Planning Phase
  • Where business and technology work as partners to:
    • Help technology understand business strategy and requirements
    • Help technology focus on delivering valuable services that enable the organization to succeed
  • Enable technology to deliver services that are:
    • Reliable
    • Compliant
    • Cost-effective
    • Continuously adaptable
what does the plan phase include
What Does the Plan Phase Include?
  • The Plan Phase includes the following service management functions:
    • Business/IT Alignment
    • Reliability
    • Policy
    • Financial Management
  • The phase also includes two management reviews:
    • Service Alignment
    • Portfolio
how do the plan phase components work together
How Do the Plan Phase Components Work Together?
  • Service Alignment Management Review and change requests combine with Reliability and Policy requirements to feed Business/IT Alignment process
  • Financial Management is used to evaluate and track financial aspects of technology
  • Culminates in making business-aligned portfolio decisions in the Portfolio Management Review
  • Good decisions are facilitated with governance, risk management, and change management from the Manage Layer
business it alignment smf overview
Business/IT Alignment SMF Overview


  • Align technology strategy to an organization’s broader goals and objectives
  • Align technology offerings and services to business goals
  • Ensure that delivered technology services are effective and efficient in meeting the organization’s needs
business it alignment addresses how to
Business/IT Alignment Addresses How To…
  • Define a technology service strategy
  • Identify and map technology services
  • Identify technology service demand and manage business requests
  • Develop and evaluate the technology service portfolio
  • Manage service levels
1 define a technology service strategy
1. Define a Technology Service Strategy
  • The technology service strategy determines the services required to support business goals
  • Business and technology management compare potential initiative business value against resource availability and return on investment
  • Successful service strategy will ensure :
    • Technology goals are aligned to business goals
    • Annual technology initiatives supporting business goals have been identified
    • Agreement on both strategy and corresponding plan for achieving the goals and initiatives
    • The strategy is assessed against business outcomes
    • Opportunities for improvement are identified
2 identify and map services service maps
2. Identify and Map Services: Service Maps
  • A service map represents a service from the perspective of the business and the user
  • It clarifies the dependencies of a service and who delivers and consumes it
  • It can be divided into these sections (but not limited to):
    • Customers: A categorized list of who uses the service
    • Hardware: The hardware platforms necessary for service delivery
    • Application: The software on those platforms that is needed
    • Settings: The configuration settings necessary for the service to function
    • Internal/external services: The services that the end-to-end services are dependent upon
3 identify demand and manage business requests
3. Identify Demand and Manage Business Requests
  • Portfolio demand/request management analysis shows how technology services are being used and how future trends might affect them
  • Demand management data helps managers plan, account for technology expenditures, understand business services they are getting, and determine future project/resource allocation
  • A fully matured demand/request management process ensures:
    • A predictable process for managing requests
    • A consistent model for measuring current demand
    • A way to analyze requests and current service capacity
4 develop and evaluate a technology service portfolio
4. Develop and Evaluate a Technology Service Portfolio
  • Ensuring that the right services and projects are included in the service portfolio requires:
    • A list of projects in the queue, implemented services, and services slated for decommission
    • A prioritization and approval process for new projects
    • A measurement system for determining the value of services in relation to business goals
  • The technology service portfolio drives alignment of technology resource consumption, the operating budget, and technology service investment strategies
  • Primary users are business and technology leaders responsible for realizing technology business value
portfolio management review
Portfolio Management Review
  • The Portfolio MR acts as a gateway in the Plan Phase that focuses on:
  • Understanding the concepts and requirements of proposed technology service changes
  • Deciding whether to invest further in the development of those concepts
  • Approving a preliminary project vision and scope that will move a project forward into the Deliver Phase
  • Determines whether the organization is working on the right things
  • Clarifies the business value of proposed projects
5 apply service level management slm
5. Apply Service Level Management (SLM)
  • Service level management (SLM) proactively manages ongoing requirements, communications, and expectations between business and technology and between technology groups
  • The primary tools of SLM are:
slm the service catalog
SLM: The Service Catalog
  • A service catalog is a comprehensive list of:
    • Existing technology services, including priorities of the business
    • Corresponding service level agreements (SLAs)
  • Catalog should include at least the following:
    • Description of service
    • Business alignment information
    • Service manager/owner
    • Business owner
  • Catalog is used by both technology and the business
service alignment management review
Service Alignment Management Review
  • This review assesses the customer’s experience of technology services compared to service goals
  • It focuses on impact of new services on technology strategy and proposes:
    • New services
    • Changes to existing services
    • Decommissioning of features and services
reliability smf overview
Reliability SMF Overview


  • Ensure that:
    • Service capacity
    • Service availability
    • Service continuity
    • Data integrity
    • and Confidentiality

…are aligned to the business needs in a cost-effective manner

when defining service requirements
When Defining Service Requirements…
  • State reliability in business terms—for example:
    • “When a user queries the service, he or she should receive an accurate response within 20 seconds.”
  • Document, clarify, and verify as many of the business requirements as possible
  • Discuss the service’s financial impacts as early in the planning process as possible
  • To encourage consistency of operational design, ensure that the development team understands the infrastructure standards and strategy
policy smf overview
Policy SMF Overview
  • The goal of the Policy SMF is to ensure that technology policies:
    • Accurately capture management’s intent concerning the behaviors of the organization
    • Contain clear statements of rules
    • Are communicated consistently and effectively across the organization
    • Are defined in ways that take into account their eventual application and evaluation
what is a policy
What Is a Policy?
  • A policy explains what to do in a particular set of circumstances
  • Policies help organizations:
    • Clarify performance requirements
    • Communicate management’s intent for how work should be done
    • Establish accountability and the foundation for compliance
  • Procedures break policies down into detailed steps that describe how work should be done and identify who should do what
types of policy
Types of Policy
  • Security
  • Privacy
  • Partner and third-party relationships
  • Knowledge management
  • Appropriate use
  • Policy governance
determine areas requiring policy
Determine Areas Requiring Policy
  • Organizational goals should be evaluated to determine possible risks:
    • The impact of risks can be evaluated by considering what might happen if expectations are not made clear to everyone
    • If an identified risk and its impact stand in the way of achieving a goal, then it will likely need to be addressed by a policy
enforce and evaluate policy
Enforce and Evaluate Policy
  • Automate enforcement of policies where possible
  • Enforce other policies through contracts and published policies
  • Evaluate policies on a regular basis:
    • Policies are only as effective as the relevance and accuracy of their information
    • Policy violations increase when the information is out of date or no longer relevant
using the policy smf throughout mof
Using the Policy SMF Throughout MOF
  • Plan Phase:
    • Refer to policy in making portfolio decisions
  • Deliver Phase:
    • Build policy controls into designs (easier to design it in than retrofit)
  • Operate Phase:
    • Monitor policy compliance in Operations
  • Manage Layer:
    • Internal controls support policies
financial management overview
Financial Management Overview
  • The goal of the Financial Management SMF is to help organizations:
    • Fully account for the cost of technology services while defining theexpected contribution to the business
    • Attribute costs of services delivered to customers so that the costs can be recovered
    • Aid decision making by clarifying the costs, benefits, and risks of technology services
    • Contribute to business cases for changes to technology services based on a sound understanding of the cost-benefit trade-offs involved
financial management overview1
Financial Management Overview
  • How does your organization…
    • Determine the value of technology services?
    • Weigh financial risk and return to understand the value technology provides?
    • Strike the desired balance between risk and expected financial contribution to the business?
  • Value, not just cost, must be considered when management makes decisions about changes to technology services
the role of the manage layer in the plan phase
The Role of the Manage Layer in the Plan Phase
  • The Manage Layer is the foundation of the service lifecycle
  • Three SMFs support the Manage Layer:
    • Governance, Risk, and Compliance (GRC)
    • Change and Configuration
    • Team
  • GRC, Change and Configuration SMFs ensure effective, efficient, and compliant technology services
  • Team SMF ensures someone is ultimately accountable for the work required
grc focus in the plan phase
GRC Focus in the Plan Phase
  • Corporate strategy transfer to technology strategy
  • Governance structure, decision rights
  • High-level risks
  • General regulatory environment
  • Policy definition
  • Investment determination
  • Definition of management objectives
change and configuration focus in the plan phase
Change and Configuration Focus in the Plan Phase
  • Leadership identified and asked to participate in change evaluation
  • Business process change
  • Architectural change
  • Change evaluated across dimensions (financial, application portfolio, security, and so on)
team focus in the plan phase
Team Focus in the Plan Phase
  • Principles for effective strategic thinking
  • Principles for governance and risk management
  • Principles for managing change effectively
  • Ensuring that someone is ultimately accountable for the work required
plan phase summary
Plan Phase Summary
  • Plan Phase is where business and technology work as partners to ensure technology services are aligned to business needs
  • Enables organization to deliver services that are reliable, compliant, cost-effective, and continuously adaptable
  • Includes the following SMFs:
    • Business/IT Alignment SMF
    • Reliability SMF
    • Policy SMF
    • Financial Management SMF
  • The phase also includes two management reviews:
    • Service Alignment
    • Portfolio
module overview3
Module Overview
  • Lesson 1: Introduction to the Deliver Phase
  • Lesson 2: Envision SMF
  • Lesson 3: Project Planning SMF
  • Lesson 4: Build SMF
  • Lesson 5: Stabilize SMF
  • Lesson 6: Deploy SMF
  • Lesson 7: The Role of the Manage Layer in the Deliver Phase
deliver phase overview
Deliver Phase Overview


  • To ensure that:
    • Technology services
    • Infrastructure projects
    • Packaged product deployments

…are envisioned, planned, built, stabilized, and deployed in line with business requirements and the customer’s specifications

purpose of the deliver phase
Purpose of the Deliver Phase
  • To enable the service lifecycle with a management discipline for planning, designing, building, and deploying services
  • It incorporates the best practices of Microsoft Solutions Framework (MSF)
  • Actualize the guidance from the Portfolio Management Review (MR) in the Plan Phase
    • Portfolio MR provides a bridge between the Plan and Deliver Phases by conveying a preliminary project vision and scope
what does the deliver phase include
What Does the Deliver Phase Include?
  • The Deliver Phase includes the following service management functions:
    • Envision
    • Project Planning
    • Build
    • Stabilize
    • Deploy
  • The phase also includes two management reviews:
    • Project Plan Approved
    • Release Readiness
deliver phase workflow
Deliver Phase Workflow
  • Deliver Phase SMFs work sequentially in the following order:
  • Services, infrastructure projects, or deployment of a packaged product are planned, designed, built, and deployed
  • It is the process through which any change must go, large or small
envision smf overview
Envision SMF Overview


  • Form the core project team
  • Prepare and deliver a vision/scope document that clearly communicates the project’s vision and the scope of that vision
  • Prepare a risk assessment
envision smf focus
Envision SMF Focus
  • Unify a team with a common vision
  • Identify and analyze business needs and requirements to begin planning a solution
  • Create high-level views of the project’s goals and constraints
  • Set the stage for the more formal planning process that will take place during the project’s planning phase
outcomes of the envision smf
Outcomes of the Envision SMF
  • Vision and scope of the project are clearly documented and understood by the team and the customer
  • Conceptual design of the proposed solution is recorded as part of the vision document
  • Project’s risks are documented and understood by the team and the customer
envision process flow
Envision Process Flow
  • The process flow for the Envision SMF is:
  • Passing the Vision/Scope Approved Milestone means the project is ready to proceed to planning
the vision scope document
The Vision/Scope Document
  • Usually written at a strategic level of detail
  • Used during planning as the context for developing technical specifications and project management plans in greater detail
  • Provides clear direction; outlines explicit project goals, priorities, and constraints; and sets customer expectations
  • Project vision and project scope are distinct concepts:
    • Vision is an unlimited view of the solution
    • Scope identifies the parts of the vision that a project team can accomplish within its constraints
  • The vision/scope document defines both concepts
project planning smf overview
Project Planning SMF Overview


  • Deliver a clearly scoped plan for building and delivering a technology service solution
  • Represented by a:
    • Master project plan
    • Master project schedule
    • Functional specification
  • Approval at the Project Plan Approved Management Review
project planning focus
Project Planning Focus
  • Complete the bulk of their planning work:
    • Preparing functional specification and solution design
    • Preparing work plans, cost estimates, and schedules for the various deliverables
  • Project planning is kicked off by approval of the Vision/Scope Approved Milestone
outcomes of the project planning smf
Outcomes of the Project Planning SMF
  • Design and features of the solution clearly documented in the functional specification
  • Design and features traceable to business, user, operational, and system requirements
  • The project plans clearly describe the tasks that the project team is responsible for, and the schedules for performing those tasks
project planning smf process flow
Project Planning SMF Process Flow
  • The process flow for the Project Planning SMF is:
  • Approval of the Project Plan Approved MR allows the team to move on to development
key project planning documents
Key Project Planning Documents
  • Functional specification:
    • The repository for the set of technical documents that details every element of the solution deliverables, explaining in exact and specific terms what the team is building and deploying. It includes:
      • Instructions to developers on what to build
      • A basis for estimating work
      • Agreement with the customer on exactly what will be built
      • A point of synchronization for the whole team
  • Master project plan:
    • Collection of the individual project plans: Availability, Backup and Recovery, Budget, Capacity, Communications, Deployment, Development, End-User Support, Migration, Monitoring, Operations, Performance, Pilot, Purchasing and Facilities, Security, Support, Test, Training
  • Master project schedule:
    • Includes all of the detailed project schedules, including the release date for the solution
project plan approved management review
Project Plan Approved Management Review
  • A review and signoff by the project team, its customers, and its stakeholders indicating that:
    • All interim milestones have been met
    • The schedule is realistic
    • Roles and responsibilities of team members are well defined
    • Procedures are in place to address project risk
  • Inputs:
    • Functional specification
    • Master project plan
    • Master schedule
  • Outputs:
    • Milestone review report document
    • Request for change
build smf overview
Build SMF Overview


  • Develop the solution deliverables to the customer’s specifications
  • Develop the solution documentation
  • Create the development and test lab
  • Prepare the solution for pilot deployment
build smf focus
Build SMF Focus
  • Develop the solution components:
    • Code for any in-house application
    • Code for infrastructure solution
    • Documentation that developers create, as well as the infrastructure that supports them
  • At the end of the phase, features are complete and the solution is ready for external testing and stabilization
outcomes of the build smf
Outcomes of the Build SMF
  • A solution delivered to the customer that is free of defects
  • A solution that meets the customer’s specifications as described in the functional specification
  • A solution delivered to the customer within the schedule’s specified timeline
build smf process flow
Build SMF Process Flow
  • The process flow for the Build SMF is:
  • After reviewing and approving the Scope Complete Milestone, the project team is ready to move on to stabilizing
stabilize smf overview
Stabilize SMF Overview


  • To release the highest-quality solution possible at the Release Readiness MR
    • By identifying bugs and issues through thorough testing and release-candidate piloting
    • And triaging and resolving all known bugs
  • The goals of stabilizing include:
    • Testing the feature-complete solution
    • Deploying one or more release candidates to a pilot group
      • Addressing the pilot-test feedback and bugs
the stabilize smf focus
The Stabilize SMF Focus
  • Testing the feature-complete solution
  • Preparing release candidate versions of the solution
  • Dealing with feedback
  • Addressing reported bugs
  • Emphasis is on using and operating the solution in realistic environmental conditions
  • Begins after the Scope Complete Milestone, which finalizes developing
outcomes of the stabilize smf
Outcomes of the Stabilize SMF
  • A high-quality, stable solution
  • Resolution of all issues found by testing and through pilot feedback
  • A high-quality solution that meets the customer’s expectations and specifications as defined in the functional specification
the stabilize smf process flow
The Stabilize SMF Process Flow
  • The process flow and activities for the Stabilize SMF:
  • Stabilizing culminates in the Release Readiness MR, which is a go/no-go point for deployment
release readiness management review
Release Readiness Management Review
  • Produces a go/no-go decision to deploy to production
  • Occurs after:
    • A successful pilot has been conducted
    • All outstanding issues have been addressed
    • The solution is ready to be released and made available for full deployment in the production environment
  • Opportunity for customers and users, operations and support personnel, and key project stakeholders to evaluate the solution and identify any remaining issues that they must address before deployment
deploy smf overview
Deploy SMF Overview


  • Release a stable solution into the production environment
  • Stabilize the solution in the production environment
  • Transfer responsibility for the solution from the project team to the operations and support teams
deploy smf focus
Deploy SMF Focus
  • Deploy the core solution and the site components into the production environment
  • Stabilize the deployment
  • Transfer the project to Operations (update Known Error database)
  • Get final customer approval for the new solution
  • Begins when stabilizing ends with the Release Readiness Management Review
outcomes of the deploy smf
Outcomes of the Deploy SMF
  • A stable solution deployed into the production environment
  • A customer who is satisfied with and accepts the deployed solution
  • A solution successfully transferred from the project team to the operations and support teams
deploy smf process flow
Deploy SMF Process Flow
  • The process flow and activities for the Deploy SMF:
  • Deployment Complete Milestone concludes deployment
      • Should satisfy customer expectations
      • Operations and support systems must be in place
the role of the manage layer in the deliver phase
The Role of the Manage Layer in the Deliver Phase
  • The Manage Layer is the foundation of the service lifecycle
    • Three SMFs support the Manage Layer:
      • Governance, Risk, and Compliance (GRC)
      • Change and Configuration
      • Team
  • GRC, Change and Configuration SMFs ensure effective, efficient, and compliant technology services
  • Team SMF ensures someone is ultimately accountable for the work required
grc focus in the deliver phase
GRC Focus in the Deliver Phase
  • Solution architecture supports organization requirements
  • Project stakeholders, methodology, risks identified
  • Value realization process
  • Software design lifecycle
  • Risk mitigation
  • Internal controls defined
  • Procedures defined
change and configuration focus in the deliver phase
Change and Configuration Focus in the Deliver Phase
  • Solution scope
  • Resourcing
  • Project management
  • Financial impact
team focus in the deliver phase
Team Focus in the Deliver Phase
  • Principles for effectively organizing project teams
  • Accountabilities and role types
  • Alignment of responsibilities
  • Assignment of roles
deliver phase summary
Deliver Phase Summary
  • The Deliver Phase ensures that technology services, infrastructure projects, and packaged product deployments are envisioned, planned, built, stabilized, and deployed in line with business requirements and the customer’s specifications
  • It does this with the following SMFs:
    • Envision
    • Project Planning
    • Build
    • Stabilize
    • Deploy
  • And two management reviews:
    • Project Plan Approved
    • Release Readiness
module overview4
Module Overview
  • Lesson 1: Introduction to the Operate Phase
  • Lesson 2: Operations SMF
  • Lesson 3: Service Monitoring and Control SMF
  • Lesson 4: Customer Service SMF
  • Lesson 5: Problem Management SMF
  • Lesson 6:The Role of the Manage Layer in the Operate Phase
operate phase overview
Operate Phase Overview


  • Ensure deployed services are operated, monitored, and supported in line with SLA targets
  • Specifically, that means:
    • Ensuring that technologyservices are available by improving staff use and better managing workload
    • Ensuring that technology services are monitored to provide real-time observation of health conditions and by ensuring that team members are trained to handle any problems efficiently and quickly
    • Ensuring that technology services are restored quickly and effectively
what does the operate phase include
What Does the Operate Phase Include?
  • The Operate Phase includes the following SMFs:
    • Operations
    • Service Monitoring and Control
    • Customer Service
    • Problem Management
  • The phase also includes one management review:
    • Operational Health

The Operate Phase SMFs and Workflow

  • Service management functions in the Operate Phase are interdependent, not sequential
    • Operations addresses daily, weekly, and monthly tasks required to maintain a technology service
    • Service Monitoring and Control addresses service health
    • Customer Service addresses user requests and incident management
    • Problem Management focuses on how to resolve complex problems
  • Services come in from the Deliver Phase:



Customer Service


Problem Mgt

Deliver Phase

Operate Phase

role of the operational health management review
Role of the Operational Health Management Review
  • A periodic review primarily concerned with assessing effectiveness of internal operating processes
    • Scheduled on a regular basis—but can be as-needed
  • Structure for reviewing and analyzing results and taking action to improve performance
    • Items to evaluate:
      • Technology staff performance
      • Operational efficiency
      • Personnel skills and competencies
      • OLA-defined targets and metrics
      • SLA-defined targets and metrics
      • Contractual targets and metrics
      • Customer satisfaction
      • Costs
operations smf overview
Operations SMF Overview


  • Ensure that the work required to successfully operate technology services has been identified and described
  • Reduce time spent by Operations staff on reactive work
  • Minimize service disruptions and downtime
  • Execute recurring and on-demand technology operations tasks effectively and efficiently
operations smf focus
Operations SMF Focus
  • To determine the daily, weekly, monthly, and as-needed tasks are required for maintaining a technology service
  • To ensure that tasks are understood and followed by those responsible for that maintenance
  • Does not, for the most part, say what those tasks are—other than in the form of examples
    • Such tasks vary depending on the service being maintained
    • Addresses how an organization can determine for itself what those tasks should be
  • Key terms:
    • Work instruction
    • Operations guide
  • Service window
  • Operations log
operations smf role types
Operations SMF Role Types
  • Primary accountability is the Operations Accountability
service monitoring and control smf overview
Service Monitoring and Control SMF Overview


  • Observe the health of technology services
  • Take remedial actions that minimize the impact of service incidents and system events
  • Understand the infrastructure components responsible for the delivery of services
  • Provide data on component or service trends that can be used to optimize the performance of technology services
service monitoring and control smf purpose
Service Monitoring and Control SMF Purpose
  • SMC is the real-time observation of and alerting about health conditions in a technology environment
  • Ensures deployed services are operated, maintained, and supported in line with SLA targets
  • Plays key role in managing a service:
    • If a service can’t be defined, it can’t be monitored
    • If a service can’t be monitored, it can’t be measured
    • If a service can’t be measured, it can’t be managed
smc role types
SMC Role Types
  • Primary accountability is the Operations Accountability
customer service smf overview
Customer Service SMF Overview


  • To provide a positive experience for users by:
    • Meeting their technology needs
    • Addressing complaints and issues that arise during the normal course of using a technology service
customer service smf purpose
Customer Service SMF Purpose
  • Customer service is the entry point for users who have questions and concerns about a technology service
  • Most customer service processes and activities are performed by a functional team called the Service Desk
customer service role types
Customer Service Role Types
  • Primary accountability is the Support Accountability
problem management smf overview
Problem Management SMF Overview


  • To reduce the occurrence of failures with technology services
  • To generate data and lessons that can be used to provide feedback during the service lifecycle
  • To help drive the development of more stable solutions
problem management smf purpose
Problem Management SMF Purpose
  • Help resolve complex problems that may be beyond the scope of incident resolution requests (find root cause)
  • Should begin at the start of a service’s lifecycle and should be applied to all aspects of technology
  • Early application means services deployed with fewer failures, higher customer satisfaction
problem management smf role types
Problem Management SMF Role Types
  • Primary accountability is Support Accountability
the role of the manage layer
The Role of the Manage Layer
  • Manage Layer is the foundation of the service lifecycle
  • Three SMFs support the Manage Layer:
    • Governance, Risk, and Compliance (GRC)
    • Change and Configuration
    • Team
  • GRC, Change and Configuration SMFs ensure effective, efficient, and compliant technology services
  • Team SMF ensures someone is ultimately accountable for the work required
grc focus in the operate phase
GRC Focus in the Operate Phase
  • Procedures and controls
  • Recording and documentation
  • Policy compliance
change and configuration focus in the operate phase
Change and Configuration Focus in the Operate Phase
  • Technology environment and configuration baselining
  • Carrying out processes and procedures
  • Dealing with standard changes
team focus in the operate phase
Team Focus in the Operate Phase
  • Principles for organizing operations work
  • Principles for organizing monitoring work
  • Principles for organizing support work
operate phase summary
Operate Phase Summary
  • Operate Phase ensures that deployed services are operated, monitored, and supported in line with SLA targets
  • Operational Health Management Review assesses processes and performance to target improvements
mof 4 0 workflow
MOF 4.0 Workflow
  • Workflow of information exchange between SMFs and MRs

Job Aid 1: MOF 4.0 Workflow

next steps
Next Steps
  • To learn more about MOF:
    • Access for additional information and program updates:
      • White papers
      • Operations guides
      • Services
      • Courseware
  • To consider MOF for your organization, contact Microsoft Services or a Microsoft partner