Governance Policies in IT Service Support
Abhinay Puvvala and Veerendra K. Rai
Tata Consultancy Services, 54B, Hadapsar Industrial Estate, Pune- 411013, India
Keywords: IT Service Support, Agent based Model, Governance Policies, Upper Confidence Bound Algorithm.
Abstract: IT Service support provider, whether outsourced or kept in-house, has to abide by the Service Level
Agreements (SLA) that are derived from the business needs. Critical for IT Service support provider are the
human resources that are expected to resolve tickets. It is essential that the policies, which govern the
tickets’ movement amongst these resources, follow the business objectives such as service availability and
cost reduction. In this study, we propose an agent based model that represents an IT Service Support system.
A vital component in the model is the agentGovernor, which makes policy decisions by reacting to
changes in the environment. The paper also studies the impact of various behavioural attributes of the
Governor on the service objectives.
1 INTRODUCTION
Communicating high level business objectives and
their relative importance from the IT Governance to
the IT Operations is a challenging task. The measure
of this challenge lies in understanding that Business-
IT alignment or the lack of it still remains one of the
major corporate concerns and the most critical
measure of the success of information technology as
a value adding component of business enterprises. It
is imperative that the design of each IT system is
aligned to business objectives without compromising
on the efficiency of IT systems (Sallé, 2004). In this
study, we focus our attention on the IT Service
support system. Specifically, this paper proposes a
framework for the governance of IT Service support
engagements.
Governance is a mechanism of course correction
when a project, program or engagement is in
execution mode to help projects meet the intended
outcomes. Scope of governance includes, among
other things, structural and organizational changes,
communications and policies. The scope of
governance in this study is limited to a set of rules
(policies) that includes assignment rules and pre-
emption rules in IT Service support engagement.
These rules play a key role in realizing the intended
objectives of the engagements.
Owing to the volatile nature of IT service support
engagements environments, these rules cannot be set
a priori and be expected to remain optimal
throughout the course of an engagement. Given the
constantly evolving business needs and their
possible repercussions on the IT systems, it is not
feasible to have a static set of rules. Another key
consideration while determining an optimal set of
rules is the interdependencies between them. We
propose an agent based game theoretic approach to
derive the optimal set of rules (assignment,
escalation and pre-emption rules) based on the
objectives and the context of a support engagement.
The rest of this paper is organized as follows:
Section 2 contains survey of relevant literature,
research gaps and the contribution of this study.
Section 3 describes the research model along with
discussions on relevant concepts from literature.
Section 4 contains the illustration of model proposed
in Section 3. Section 4 also has results of what-if and
sensitivity analyses. Section 5 concludes the paper.
2 LITERATURE REVIEW
Studies related to the governance of IT Service
support have primarily focussed on the following
research questions: 1. how to prioritize tickets based
on the business needs, thereby indirectly focusing on
the assignment rule, and 2. how to optimally divide
the staff amongst multiple shifts and technology
towers. While some studies (Gurvich et al, 2007;
Bassamboo et al, 2004) have attempted to address
these questions together, in most of research studies
512
Puvvala, A. and Rai, V.
Governance Policies in IT Service Support.
DOI: 10.5220/0006312805120519
In Proceedings of the 19th International Conference on Enterprise Information Systems (ICEIS 2017) - Volume 1, pages 512-519
ISBN: 978-989-758-247-9
Copyright © 2017 by SCITEPRESS Science and Technology Publications, Lda. All rights reserved
these questions have been addressed independently.
Of these two questions, the focus of this study is
closer to the former rather than the latter. Bartolini
and Salle (2004) have proposed an approach to
present how business needs are used to prioritize
tickets and allocated to human resources.
In practice, basic and intuitive assignment
policies such as First Come First Serve (FCFS) and
priority based FCFS are often put to use. While
FCFS follows a strict first come first serve routine,
priority based FCFS gives precedence to requests
with higher priority. While these policies are
intuitive and easy to implement, they do not consider
the SLA norms, penalty costs etc. Assuncao et al
(2012) have studied the impact of both assignment
and pre-emption policies on ticket resolution and
service level agreement attainment. The dependence
of the policy optimum on the distribution of
workload is evident in their study. Lunardi et al
(2010) also have studied the management of changes
in the domain IT service support. Beyond that, there
is a vast amount of literature in the domain of
operations research on task scheduling (Rothkopf
1966; Pinedo 1995) in manufacturing that can be
drawn upon.
As mentioned in section 1, we use Agent Based
Modelling (ABM) to represent the engagement.
Agent-based modelling is an effective simulation
modelling technique that has grown rapidly in the
last few years. Agent based modelling is considered
a powerful paradigm to model human centric
systems like IT service support (Bonabeau, 2002).
The basic tenet of ABM is that a collection of
autonomous decision making agents that produce
emergent behaviour by interacting in an
environment under a given set of rules (Davidsson,
2002). This view resonates well with IT service
support system where various agents such as tickets
and resources who individually interact with each
other under defined processes which in turn are a
result of the policies. These interactions are analysed
by simulation of the agents’ behaviour. It is a
relatively new and emerging method in social
sciences, which can be applied to a problem by
defining a set of agents with related attributes,
behaviours and fitness function, the simulation
environment and the overall performance-measuring
objectives of the environment (Mataric, 1993).
A typical ABM model consists of an agent
having certain attributes, rules/actions, goals and
decisions to make. These defined agents are
generally governed by a fitness function. The aim of
creating a fitness function is that it allows multiple
agents of similar nature to have different attributes
by creating differences in parameters of fitness
function. This heterogeneity thus created is an
essential component of ABM and helps mimic the
real world more closely than other methods. These
countless interactions lead to ‘emergence’ of new
behaviour which had not been programmed into the
behaviour of the individual agents (Waldrop, 1992).
Agent based modelling has already been extensively
used in economics (Agent Based Computational
Economics (ACE)). Zaffar et al (2008) used it to
identify the impact of Variability of Open Source
Software (OSS) support costs, length of upgrade
cycle and interoperability costs on OSS diffusion.
Applications of Agent based modelling in IT
systems are limited. Jha et al (2014) have proposed
an agent based approach for estimating effort
required to resolve incidents in an IT support
engagement. In the next section, we discuss how
agent based modelling has been used to model IT
service support engagement.
Figure 1: Model Topology.
3 MODEL
3.1 Agents
Although the literature on Agent based modelling
does not provide a clear cut consensus on the
approach to identify agents in a system, there are
some basic guidelines that are common across
various definitions of agents. Bonabeau (2001)
considers any entity that has independent behaviour
governed by very basic reactive decision rules to a
complex and adaptive artificial intelligence. In
contrast, some researchers emphasize on the ability
of these entities to be adaptive to the environments
and have a learning component ingrained in their
behaviours. Casti (1997) separates these behavioural
elements into base level and higher level rules.
While the base level rules are meant to respond to
the environment, higher level rules can dynamically
change the base level rules (rules to change the
Governance Policies in IT Service Support
513
rules) by learning and adapting to the environment.
Jennings (2000) too emphasizes the need for
presence of agent attributes that are active rather
than purely passive. Active agent attributes are
essential for autonomous behaviour by which agent
can make independent decisions.
We adopt Bonebeau’s (2001) view to identify
agents in this system. The agent-set is a mixture of
autonomous, semi-autonomous and dependent
agents. Figure 1 has the topology of the agent based
model used in this study. Each agent is explained in
detail in the following sub sections.
3.1.1 Tickets
In IT production support, a ticket is an abstract unit
of work. Ticket can be any one of events, incidents,
problems, access requests and change requests.
Based on the business needs, tickets have to be
handled within specified time as directed by the
Service Level Agreements (SLAs). Typically, the
SLA terms are dependent on the ticket’s priority.
Priority is a composite of the urgency of the ticket
(how soon the business needs to be resolved) and
impact (how many users are affected by the ticket).
Also, tickets vary based on the type of skill required
for resolution. A “Technology Tower” signifies a
method of work organization usually employed in IT
production support where issues are grouped along
technical domains. Examples of technology tower
could be “.net”, “Java”, “SQL” etc. Naturally, the
skills needed to resolve tickets belonging to each of
these technology towers are different. While the type
of skill needed for resolution determines the ticket’s
technology tower, difference in level of skill needed
for resolution determines the level of support tickets
are routed to or eventually escalated to.
Since ticket handling is a knowledge intensive
task, a repository of all the information known about
tickets is maintained. The repository can take the
form of a set of standard operating procedures
(SOPs) or entries in Known Error Database
(KEDB). The effort needed to resolve tickets has
been observed to follow Power Law Distribution
(PLD). Based on the above described characteristics
the list of ticket attributes are shown in Table 1.
3.1.2 Resources
Despite the ongoing drive towards automation,
ITSM is majorly a human centric system. Tickets are
handled by resources, which are categorized into
multiple teams based on their skills and
specializations. In a typical IT production support
setup, tickets are responded and resolved by
resources. Response includes identifying, logging,
categorizing, prioritizing, routing and conducting
initial diagnosis of tickets. Whereas, Resolution
relatively is a more complex task. It involves
performing a set of steps to resolve a ticket. And, it
is done at the level of support that corresponds to the
ticket’s required resolution skills.
As given in Table 1 resources are characterized by a
set of static and dynamics attributes in our model.
While, technology tower, competency, cost,
likelihood of absence are the attributes that remain
static over the simulation. In contrast, ticket, shift,
net effort are the attributes that change dynamically
with the environment. The support structure support
in the model comprises of two technology towers
with teams divided into three and two levels of
support. Further, the support service is to be
provided 24x7, divided into 3 shifts of 8 hours each..
3.1.3 KEDB Agent
It is critical for any IT production support
engagement to record the knowledge acquired by
human resources in the process of handling tickets to
the extent possible. Of the multiple knowledge
management processes proposed in ITIL v3 (Cannon
et al, 2007), maintaining a well recorded Known
Error Database (KEDB) is vital to conduct efficient
IT service operations.
The purpose of a Known Error Database
(KEDB) is to store the knowledge of tickets– and
how they were overcome to allow quicker
diagnosis and resolution when they recur (Cannon et
al, 2007). The first response to any service outage is
to quickly fix the issue and bring the system back up
to ensure service availability. The issue would then
be sent for root cause analysis, where a decision to
implement a change to prevent future occurrences of
incidents or update the KEDB with a workaround is
taken. The cost benefit analysis determines if there is
a business case for a permanent solution.
In our model, KEDB, as an agent, is
characterised by the following attributes. Integral to
the KEDB is its software efficiency which identifies
a new incident and matches with a KEDB record if it
exists. We codify the search efficiency of KEDB on
a scale of 0 to 1. The number of records/articles in
the database is the second attribute. The last attribute
is the overall efficiency of KEDB which directly
impacts the average resolution time. It is derived
from the other two attributes (number of articles and
search efficiency).
ICEIS 2017 - 19th International Conference on Enterprise Information Systems
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3.1.4 Governor
A key agent in our model is the Governor, who
makes policy decisions at the start of operations on
every day. In a real setting, this role is played by the
engagement manager. To replicate the cognitive
process of decision making by the manager, we
adopt Auer’s (2003) upper confidence bound
algorithm for exploration and exploitation.
Originally, designed for modelling the random
bandit problem (Robbins, 1952), the algorithm
models the problem of a gambler in a room with
multiple slot machines and has to decide which slot
machine he wants to play in each trail. It is
analogous to the problem of engagement manager
who has multiple policy options and has to decide
which one to adopt each day. As often is the case
with humans, while making policy decisions, the
algorithm assumes to have only limited knowledge
about the rewards associated with each policy
choice. Hence, occasionally the algorithm explores
various policy options to improve the knowledge
about rewards. Exploration, however, does not
necessarily improve the current payoff.
To account for the varying levels of exploratory
nature of the decision maker, a penalty term that dis-
incentivizes is added to the payoff. The penalty term
is multiplied by a quantifier that ranges between -1
to 1. The quantifier and penalty term are critical in
bringing the exploration and exploitation trade off
associated with making policy decisions. The
average of payoffs implies the current knowledge of
the decision maker and more importantly, facilitates
the learning aspect in the algorithm and also guides
agent’s future exploration. As the agent plays the
game more, i.e. gains more experience, his ability to
choose the optimal policy increases. Another key
aspect of decision making process is the ability to
respond to changes in the environment. By using a
sliding window that attaches more weightage to
newer policy runs, the agent accounts for changes in
the environment. A volatile environment mandates a
more responsive decision maker; hence a smaller
sliding window would be more beneficial. To start
with, each policy option is executed once during the
initialization period to compute payoffs. The payoff
(X) in our model is defined in equation 1.



1
∗
(1)
F represents the penalty for each ticket that is not
SLA compliant. It is important to note that this
penalty is different from the penalty described in
previous paragraph. While penalty (F) is to choose
policies that minimize tickets out of SLA, the
penalty (P) described in the above paragraph is a
behavioural parameter of the decision maker.
n
SLA
represents the tickets resolved within SLA,
n
SLA
represents the total number of tickets that
missed SLA. λ is used to attach relative importance
between non compliant SLA tickets and total effort
(E) available for resolving tickets. Effort available
(E) is the product of number of resources and
number of hours each resource can work for and is
represented in person-hours. A policy that achieves
maximum SLA compliance while consuming
minimum effort is ought to have maximum payoff.
Expected reward of each policy option is computed
as shown in equation 2.



(2)
ln


(3)
While X

is the average payoff of the policy
P
over all the runs in the sliding window, P is the
penalty term that introduces the sensitivity to
exploratory nature of the agent while making
decisions. While B at -1 indicates extreme
exploitation, +1 indicates the exploration extreme.
Exploitation promotes use of policies that are tried,
tested and produced relatively better rewards.
Exploration strategy encourages the use of policies
that have not been used recently in search higher
rewards. B quantifies the exploratory behaviour or
risk taking nature of the policy maker.
Table 1: Agents and their Attributes.
Agent Attributes Agent Attributes
Static Dynamic Static Dynamic
Resource Technology tower Net Effort Governor Window Size Active Policy Set
Competency Ticket B Payoffs
Cost Shift Λ
P(absence) KEDB Search Efficiency Articles
Ticket Tower Net Effort Effectiveness
KEDB Entry Resource
SLA Shift
Competency
Priority
Governance Policies in IT Service Support
515
Table 2: SLA Violations and Average Effort times of Tickets.
Technology tower 1 Technology tower 2
Priority % Violations Average Effort % Violations Average Effort
Critical 2.97% 8.46% 28 min 4.59% 9.78% 17 min
High 41.47% 6.37% 146 min 38.97% 8.45% 197 min
Medium 40.60% 5.43% 3346 min 42.64% 6.66% 2876 min
Low 14.96% 3.86% 14547 min 13.80% 4.87% 16543 min
Some of the other key attributes of ‘Governor’ as
an agent are as follows. Window size is to fix the
number of periods that are considered for computing
average payoff. As discussed earlier, smaller
window sizes suit volatile engagements. Active
Policy is a dynamic attribute that changes based on
the prevailing set of governance policies. λ is used to
alter the relative importance attached between
effort/cost reduction and better SLA compliance
levels.
3.2 Policies
3.2.1 Assignment Policy
Assignment rules define how to assign tickets to
resources on the basis of priority, competency and
technology tower. Assignment policy decides the
order in which incoming tickets would be allocated
to a resource and to which particular resource they
are assigned to. The allocation of ticket to a resource
depends on various factors such as the type of ticket,
the expertise level required to resolve the, particular
competency required for resolution and whether
fungibility across levels and technology towers is
present. Fungibility here means resources are free to
move across levels and technology towers of support
to complete the pending tasks. A fungible structure
in production service engagements allows more
equitable distribution of work amongst resources
leading to higher utilization of resources and lower
waiting time for issues to be resolved. However, due
to reasons such as geographical distances, shift
timings, cost of resources etc. fungibility is not
always feasible.
3.2.2 Pre-emption Policy
Pre-emption rules outline the conditions under
which a resource can pre-empt the resolution process
of the ticket he is currently assigned to pick up
another ticket. Pre-emption policy decides whether
there would be an interruption to prioritize
resolution of some tickets over others in process at
any given time. Further, the interruption would be
based upon the priority of ticket or SLA time of the
ticket or both. Pre-emption policies also decide the
way in which overhead caused by pre-emption
should be handled.
4 EXPERIMENTAL RESULTS
To feed our simulation model, we used a ticket
workload log spanning one month. The total ticket
inflow during this period was about 1,839 tickets
spread over two supports technology towers of a
large financial services provider. The ticket log
comprises other relevant information such as arrival
times, priority, resolution time, effort time, time
spent at each support layer, SLA compliance and
reassignment reason. Some basic observations of the
ticket log are shown in table 2. In addition, the
staffing structure of the engagement is presented in
table 3.
To ensure the model conditions are reproduced
to the extent possible, the tickets are fed into the
model as it is from the ticket log. We avoided
deriving distributions from the log and regenerating
tickets within the model as the workload remained
constant in all the experiments. We evaluate
parameters such as SLA compliance, cost of
optimized resource set under multiple governor
configurations while observing the movement of
optimal governance policy set (Table 4).
Table 3: Staffing Structure.
Shift Technology tower Levels Resources
1 1 (1,2,3) (5,1,3)
2 (1,2,3) (3,3,1)
2 1 (1,2,3) (5,1,3)
2 (1,2,3) (3,2,1)
3 1 (1,2,3) (5,1,3)
2 (1,2,3) (2,3,1)
Cost $432645 SLA 95.36%
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Table 4: Ticket Handling Policies.
# Assignment Policies # Pre-emption Policies
A1 No fungibility M1 No Pre-emption
A2 Fungibility across levels M2 Pre-emption based on Priority
A3 Fungibility across levels and technology towers M3 Pre-emption based on SLA expiry
Hybrid Policy Configurations
P1 P2 P3 P4 P5 P6 P7 P8 P9
A1,M1 A1,M2 A1,M3 A2,M1 A2,M2 A2,M3 A3,M1 A3,M2 A3,M3
4.1 Scenario Analysis
The purpose of this exercise is to feed the same
ticket log and see the performance under multiple
governor configurations. To start with, the three
governor configurations mentioned in table 5 are
used to see the policy movements. To evaluate these
configurations and their impact on SLA compliance
and effort reduction, a simulator based on the agent
based model discussed in section 3 has been
developed in Netlogo. On top of the simulator is an
optimizer that was built to produce the optimal
resource configuration given a workload, SLA
constraints and a set of governor’s policy choices.
Figures 2a, 2b and 2c show the prevailing policy
choice along with the payoff. The impact of changes
in the governor configuration is visibly evident in
the graphs.
Table 5: Governor Configurations.
Config 1 Config 2 Config 3
Penalties ($)
Low 6 10 6
Medium 8 12 7
High 15 14 9
Critical 20 15 11
Governor Parameters
λ 0.6 0.7 0.1
B -1.0 0.2 1.0
Window 7 days
Figure 2a: Policies-Payoffs for Configuration 1. Figure 2b: Policies-Payoffs for Configuration 2.
Figure 2c: Policies Payoffs for Configuration 3. Figure 2d: Policy changes across configurations.
Governance Policies in IT Service Support
517
The governor using the terms of reinforcement
learning at the start of operations on each day
represent the state of the environment and the choice
of an alternative represents the action of the learning
algorithm. The balance between these two
phenomena is shown by the difference in policy
choices of configuration 1 and 3, where the value of
B varies from one extreme to another. The policy
choices (Figure 2d) in each of these configurations
may not signify much standalone but when put
together with their corresponding SLA compliance
levels and cost parameters can provide interesting
insights. As shown in table 6, for the same context
(ticket workload, priority and SLA norms), changing
the Governor configurations can impact the
objective realization.
Table 6: SLA, Costs across configurations.
Scenario SLA Compliance Cost ($)
Config 1 95.98% 428617
Config 2 94.43% 427343
Config 3 96.87% 441667
λ signifies the relative weights attached to cost
and SLA compliance. Therefore, it is expected that
Configuration 3 to have more SLA Compliance than
Configurations 1 and 2. Similarly, Configuration 2
would focus make policy choices that minimize cost
considerations. In contrast, the implications of
parameter B, which signifies the exploratory
behaviour of the policy maker, are not so
straightforward. In the next section, we conduct
sensitivity analysis by varying B across the two
extremes of exploration and exploitation to
understand its impact on SLA compliance and cost
objectives.
4.2 Sensitivity Analysis
We divided the spectrum of B from -1 to 1 into a set
of 21 values spaced with a difference of .1. To
derive the relation between B and Cost, the
simulation is run for each of these values of B with
different resource configurations (number of
resources at each level, technology tower) before
zeroing in on the configuration that satisfies SLA
constraints with minimum cost. The optimizer that
was built to work on the results generated from the
simulator outputs the minimum cost.
The second part of the sensitivity analysis is to
derive the relation between B and SLA compliance.
To conduct this experiment, we have kept the
resources constant while varying the parameter B to
see the changes in SLA compliance.
Figure 3: Sensitivity Analysis (B vs Cost and SLA
Compliance).
The results are shown in Figure 3. It is
interesting to observe the magnitude of changes in
both black and grey curves despite the ticket
workload remaining constant throughout the
sensitivity analyses. Consequently, the impact of
governance policy choices on the goal realization is
very pronounced. In this case, with the given
distribution and frequency of ticket inflow, a value
close to .3 yields the best SLA compliance. In
comparison, a value of -.7 for B is better suited to
minimize the overall resource costs.
5 CONCLUSIONS
We have shown in this study the impact of
governance rules in an IT service support
engagement on the business level goals such as
service availability and cost reduction. The first
contribution of this study is to replicate the IT
service support system with an agent based model.
Central to the model is the Governor agent, which
plays the role of manager in an actual setting. Due
its parallels with the popular ‘Random Bandit’
problem, we have borrowed the Upper confidence
bound algorithm for exploration and exploitation
algorithm to model the cognitive process of the
Governor’s decision making. The agent is designed
to be autonomous and can independently make
policy choices based on the environmental variables.
The second contribution of this study is to connect
the Governor’s attributes/behaviour to key business
objectives such as SLA compliance and resource
costs. Since Governor’s attribute configurations
have a direct bearing on the policy choices, the link
between policy choices and business objectives is
incidental. An interesting direction for future
research is how to extrapolate the behavioural
attributes of the Governor to the manager of an
ICEIS 2017 - 19th International Conference on Enterprise Information Systems
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actual IT service support engagement, thereby,
establishing an association between the suitability of
a manager and the nature of support engagement.
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