Implementing IT Processes The Main 17 IT Processes and Directions for a Successful Implementation 1st Edition Lionel Pilorget (Auth.) All Chapters Instant Download

Download the Full Version of textbook for Fast Typing at textbookfull.
com
Implementing IT Processes The Main 17 IT Processes

and Directions for a Successful Implementation 1st
Edition Lionel Pilorget (Auth.)
https://textbookfull.com/product/implementing-it-processes-
the-main-17-it-processes-and-directions-for-a-successful-
implementation-1st-edition-lionel-pilorget-auth/
OR CLICK BUTTON
DOWNLOAD NOW
Download More textbook Instantly Today - Get Yours Now at textbookfull.com

Recommended digital products (PDF, EPUB, MOBI) that
you can download immediately if you are interested.
May It Please the Court, Third Edition: Judicial Processes

and Politics In America Brian L. Porto
https://textbookfull.com/product/may-it-please-the-court-third-
edition-judicial-processes-and-politics-in-america-brian-l-porto/
textboxfull.com
Certifiable Software Applications 1. Main Processes 1st

Edition Jean-Louis Boulanger
https://textbookfull.com/product/certifiable-software-
applications-1-main-processes-1st-edition-jean-louis-boulanger/
textboxfull.com
Align Client and Provider Perspectives Best Practices in

IT Outsourcing Lionel Haas
https://textbookfull.com/product/align-client-and-provider-
perspectives-best-practices-in-it-outsourcing-lionel-haas/
textboxfull.com
Biopharmaceutical Processing Development Design and

Implementation of Manufacturing Processes 1st Edition
Gunter Jagschies
https://textbookfull.com/product/biopharmaceutical-processing-
development-design-and-implementation-of-manufacturing-processes-1st-
edition-gunter-jagschies/
textboxfull.com
A Home for Noelle It s Complicated 1 A Forever Safe
Christmas Book 17 1st Edition Haven Rose [Rose
https://textbookfull.com/product/a-home-for-noelle-it-s-
complicated-1-a-forever-safe-christmas-book-17-1st-edition-haven-rose-
rose/
textboxfull.com
Success and Failure of IS/IT Projects: A State of the Art

Analysis and Future Directions 1st Edition D. Laurie
Hughes
https://textbookfull.com/product/success-and-failure-of-is-it-
projects-a-state-of-the-art-analysis-and-future-directions-1st-
edition-d-laurie-hughes/
textboxfull.com
The Presentation Book: How To Create It, Shape It And

Deliver It 2nd Edition Emma Ledden
https://textbookfull.com/product/the-presentation-book-how-to-create-
it-shape-it-and-deliver-it-2nd-edition-emma-ledden/
textboxfull.com
The Science of Sleep: What It Is, How It Works, and Why It

Matters 1st Edition Wallace B. Mendelson
https://textbookfull.com/product/the-science-of-sleep-what-it-is-how-
it-works-and-why-it-matters-1st-edition-wallace-b-mendelson/
textboxfull.com
Mend It Wear It Love It Stitch Your Way to a Sustainable

Wardrobe Zoe Edwards
https://textbookfull.com/product/mend-it-wear-it-love-it-stitch-your-
way-to-a-sustainable-wardrobe-zoe-edwards/
textboxfull.com
Lionel Pilorget
Implementing
IT Processes
The Main 17 IT Processes and Directions
for a Successful Implementation
Implementing IT Processes
Lionel Pilorget
Implementing IT Processes
The Main 17 IT Processes and Directions
for a Successful Implementation
Lionel Pilorget
Basel, Switzerland
ISBN 978-3-658-04772-6 ISBN 978-3-658-04773-3 (eBook)

DOI 10.1007/978-3-658-04773-3
Library of Congress Control Number: 2014958898
Springer Vieweg
© Springer Fachmedien Wiesbaden 2015
This work is subject to copyright. All rights are reserved, whether the whole or part of the material is
concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting,
reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication
or parts thereof is permitted only under the provisions of the German Copyright Law of September 9,
1965, in its current version, and permission for use must always be obtained from Springer. Violations are
liable to prosecution under the German Copyright Law.
The use of general descriptive names, registered names, trademarks, etc. in this publication does not
imply, even in the absence of a specific statement, that such names are exempt from the relevant protective
laws and regulations and therefore free for general use.
Printed on acid-free paper
Springer is part of Springer Science+Business Media

(www.springer.com)
Preface
The use of modern information technologies has become so pervasive in today’s society
that we no longer perceive it as a novelty. It’s simply there, continuously within reach
as we navigate our world, inform ourselves about our current circumstances, and conduct
our business transactions.
While the use of information technologies has also become overwhelmingly important
to enterprises as they strive to automate their processes and achieve ever higher degrees
of efficiency, the accelerated development and the growing diversity of these technologies
represent a growing challenge. Enterprises repeatedly find themselves struggling to make
major IT investments with no guarantee that the implemented solutions will really deliver
the expected advantages. This is why IT is often an uncomfortable subject and why those
responsible for it are most of the time under pressure.
Owing to the strategic significance of information technologies, it is important to es-
tablish a well-functioning IT organization. The crucial first step towards this goal is to
introduce greater transparency by carefully defining the IT processes that are necessary
for the enterprise. This, however, is naturally easier said than done. What IT processes
are currently in use? Where does each one begin and end? What are the relationships
between the various processes? Difficulties in obtaining answers to these questions often
end in discouragement and decisions to postpone the matter.
It is precisely at this juncture that the process model featured in the present book is
meant to help. The model offers a convenient framework that is based on systematic
analyses and years of practical experience. The origin of the model is actually a bottom-up
approach to the development of standard IT processes that is then converted at the end to a
top-down approach. Seventeen core IT processes are carefully defined and the numerous
dependencies between the various process areas are illuminated. Visualizations of the
processes and dependencies as well as clear information structures are used to minimize
the resulting complexity.
It would be naïve, however, to assume that the mere representation of IT processes will
be enough to solve all of an enterprise’s IT problems. Other factors such as a heightened
awareness of the processes on the part of employees and a commitment to process imple-
mentation are also keys to success. Furthermore, improvements will not happen overnight.
Indeed, it may take a number of years before enterprises begin to reap the full rewards of
v
vi Preface
the standardized processes. Nonetheless, nurturing the right enterprise culture and instill-
ing certain process principles in the minds of the many stakeholders will help to guarantee
an IT organization’s capacity to make the valuable contribution it is expected to make.
In other words, enterprises will wind up with the IT they deserve, either a source of
perpetual complaint or a strategic instrument that propels the enterprise forward.
Lionel Pilorget
List of Abbreviations
BCM Business Continuity Management

BCP Business Continuity Planning
BIA Business Impact Analysis
BMC Software manufacturer founded by Scott Boulett, John Moores, and Dan Cloer
BSC Balanced Scorecard
BSI German Federal Office for Information Security
B2B Business-to-Business
CAB Change Advisory Board
CFO Chief Financial Officer
CIO Chief Information Officer
CIP Continuous Improvement Process
CO Controlling
COBIT Control Objectives for Information and Related Technology
CONFIG Configuration
CPU Central Processing Unit
CRM Customer Relationship Management
CSV Computer System Validation
DC Data Center
DEV Development
DWH Data-Warehouse
ECAB Emergency Change Advisory Board
ERP Enterprise Resource Planning
FIN Finance
FTE Full-Time Equivalent
GB Gigabit
GPS Global PositioningSystem
HP Hewlett-Packard
HR Human Resources
ICA Internal Cost Allocation
ICS Internal Control System
ICT Information Communication Technology
vii
viii List of Abbreviations
IM Information Manager
ISO International Organization for Standardization
IT Information Technology
ITGS IT Grundschutz (term used by the German Federal Office for IT Security to
describe a standard level of IT protection)
ITSM Information Technology Service Management
KPI Key Performance Indicator
LAN Local Area Network
LIMS Laboratory Information Management System
LoC Lines of Code
MGMT Management
NAS Network Attached Storage
OLA Operational Level Agreement
OS Operating System
PCS Process Control System
PDCA Plan-Do-Check-Act
RA Risk Analysis
RCB Release Control Board
RfC Request for Change
ROI Return on Investment
ROM Rough Order of Magnitude
SAN Storage Area Network
SAP System Analysis and Program Development
SL Service Level
SLA Service Level Agreement
SLO Service Level Objective
SLS Service Level Specification
SM Senior Management
SPOC Single Point of Contact
STC Steering Committee
SW Software
SWOT Strengths – Weaknesses – Opportunities – Threats
TOP Technical Operation Procedure
UAT User Acceptance Test
UC Underpinning Contract
UPS Uninterruptible Power Supply
USD US Dollar
Contents
List of figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Part I Introduction of IT Process Modeling
2 Presentation of the IT Process Map . . . . . . . . . . . . . . . . . . . . . . . . . 9
3 Process Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4 IT Governance and Process Roles . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Part II Description of the Individual IT Processes
5 Functional Group: Strategic Decision Making . . . . . . . . . . . . . . . . . . 51
6 Functional Group: Planning and Controlling . . . . . . . . . . . . . . . . . . . 73
7 Functional Group: Account Management . . . . . . . . . . . . . . . . . . . . . 93
8 Functional Group: Implementation of Changes . . . . . . . . . . . . . . . . . 107
9 Functional Group: IT Operation and Configuration Management . . . . . 129
10 Functional Group: Supply Management . . . . . . . . . . . . . . . . . . . . . . 139
11 Functional Group: IT Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
ix
x Contents
Part III Implementation of the Model
12 Introduction of Standard IT Processes . . . . . . . . . . . . . . . . . . . . . . . 159
13 Process Performance Indicators and Reporting . . . . . . . . . . . . . . . . . 177
14 Evaluation of Process Maturity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
15 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
A) IT Management Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
B) COBIT 4.0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237

List of figures
Fig. 2.1 The role of the IT organization . . . . . . . . . . . . . . . . . . .. . . . . . 9

Fig. 2.2 The IT process map . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 11
Fig. 2.3 Basic process dependency . . . . . . . . . . . . . . . . . . . . . .. . . . . . 13
Fig. 2.4 Different ways of activating process . . . . . . . . . . . . . . . .. . . . . . 14
Fig. 2.5 Interfaces between enterprise levels and IT organization . . .. . . . . . 15
Fig. 2.6 Preparing for a project to implement standard IT processes .. . . . . . 17
Fig. 3.1 Overview of process integration . . . . . . . . . . . . . . . . . .. . . . . . 23
Fig. 3.2 Process dependencies at the strategic level . . . . . . . . . . . .. . . . . . 24
Fig. 3.3 Process dependencies at the tactical level . . . . . . . . . . . .. . . . . . 25
Fig. 3.4 Process dependencies at the operational level . . . . . . . . . .. . . . . . 26
Fig. 4.1 General organizational model . . . . . . . . . . . . . . . . . . . .. . . . . . 30
Fig. 4.2 General model of IT organization . . . . . . . . . . . . . . . . .. . . . . . 30
Fig. 4.3 Business process roles . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 31
Fig. 4.4 IT process roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 32
Fig. 4.5 Business & IT process roles . . . . . . . . . . . . . . . . . . . . .. . . . . . 46
Fig. 4.6 Main IT roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 48
Fig. 5.1 Description of P01 – IT Strategy . . . . . . . . . . . . . . . . . .. . . . . . 54
Fig. 5.2 Description of P02 – HR Management . . . . . . . . . . . . . .. . . . . . 57
Fig. 5.3 Representation of IT architecture . . . . . . . . . . . . . . . . .. . . . . . 58
Fig. 5.4 Description of P03 – IT Standards & Architecture . . . . . . .. . . . . . 60
Fig. 5.5 IT Financial management as a key process . . . . . . . . . . . .. . . . . . 61
Fig. 5.6 Description of P04 – IT Financial Management . . . . . . . . .. . . . . . 63
Fig. 5.7 Description of P05 – IT Quality Management . . . . . . . . . .. . . . . . 66
Fig. 5.8 Process dependencies in strategic decision-making . . . . . .. . . . . . 67
Fig. 6.1 Project portfolio management process . . . . . . . . . . . . . . .. . . . . . 74
Fig. 6.2 IT project portfolio matrix . . . . . . . . . . . . . . . . . . . . . .. . . . . . 76
Fig. 6.3 Description of P06 – IT Project Portfolio Management . . . .. . . . . . 79
Fig. 6.4 Description of P07 – Capacity and Availability Management . . . . . . 82
Fig. 6.5 The continuity management process . . . . . . . . . . . . . . . .. . . . . . 84
Fig. 6.6 Description of P08 – Continuity Management . . . . . . . . . .. . . . . . 88
Fig. 6.7 Process dependencies in planning and controlling . . . . . . .. . . . . . 89
xi
xii List of figures
Fig. 7.1 Description of P09 – Service Management . . . . . . . . . . . . . . . . . . 99

Fig. 7.2 Description of P10 – Requirements Management . . . . . . . . . . . . . . 102
Fig. 7.3 Process dependencies in Account Management . . . . . . . . . . . . . . . 103
Fig. 8.1 Project development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
Fig. 8.2 Standard project organization . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Fig. 8.3 Standard project phases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Fig. 8.4 Description of P11 – IT Project Management . . . . . . . . . . . . . . . . 116
Fig. 8.5 Release sequence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
Fig. 8.6 Testing types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Fig. 8.7 Description of P12 – Release Management . . . . . . . . . . . . . . . . . . 121
Fig. 8.8 Description of P13 – Application Development . . . . . . . . . . . . . . . 124
Fig. 8.9 Process dependencies in implementation of changes . . . . . . . . . . . . 125
Fig. 8.10 Project management dependencies . . . . . . . . . . . . . . . . . . . . . . . 127
Fig. 9.1 Description of P14 – IT Operation and Configuration Management . . 133
Fig. 9.2 Process dependencies in IT operation and configuration . . . . . . . . . 134
Fig. 10.1 Description of P15 – IT Supplier Management . . . . . . . . . . . . . . . 142
Fig. 10.2 Process dependencies in supplier management . . . . . . . . . . . . . . . 143
Fig. 11.1 Description of P16 – Incident Management . . . . . . . . . . . . . . . . . 149
Fig. 11.2 Problem management (ABB Group) . . . . . . . . . . . . . . . . . . . . . 151
Fig. 11.3 Description of P17 – Problem Management . . . . . . . . . . . . . . . . . 153
Fig. 11.4 Process dependencies in IT support . . . . . . . . . . . . . . . . . . . . . . 154
Fig. 12.1 Procedure for introducing standard IT processes . . . . . . . . . . . . . . 161
Fig. 12.2 IT process introduction plan . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Fig. 12.3 Motivational factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Fig. 12.4 Employee concerns associated with change . . . . . . . . . . . . . . . . . 166
Fig. 13.1 BSC model for IT organizations . . . . . . . . . . . . . . . . . . . . . . . . 182
Fig. 13.2 Reporting model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
Fig. 13.3 Reporting of time taken to complete tasks . . . . . . . . . . . . . . . . . . 193
Fig. 14.1 Levels of process maturity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
Fig. 14.2 Evaluation of process maturity . . . . . . . . . . . . . . . . . . . . . . . . . 213
List of Tables
Table 2.1 Factors that influence the selection of standard IT processes . . . . . . . 18

Table 2.2 Benefits of a project to implement standard IT processes . . . . . . . . . 20
Table 3.1 IT process dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Table 4.1 Process roles for senior management . . . . . . . . . . . . . . . . . . . . . 38
Table 4.2 Process roles for middle management . . . . . . . . . . . . . . . . . . . . . 41
Table 4.3 Process roles for employees . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Table 5.1 Main activities in P01 – IT Strategy . . . . . . . . . . . . . . . . . . . . . . 52
Table 5.2 Roles for P01 – IT Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Table 5.3 Main activities in P02 – HR Management . . . . . . . . . . . . . . . . . . 55
Table 5.4 Roles for P02 – HR Management . . . . . . . . . . . . . . . . . . . . . . . 56
Table 5.5 Main activities in P03 – IT Standards & Architecture . . . . . . . . . . . 59
Table 5.6 Roles for P03 – IT Standards & Architecture . . . . . . . . . . . . . . . . . 59
Table 5.7 Main activities in P04 – IT Financial Management . . . . . . . . . . . . . 61
Table 5.8 Roles for P04 – IT Financial Management . . . . . . . . . . . . . . . . . . 62
Table 5.9 Main activities in P05 – IT quality management . . . . . . . . . . . . . . . 64
Table 5.10 Roles for P05 – IT Quality Management . . . . . . . . . . . . . . . . . . . 65
Table 6.1 Examples of critical success factors for IT projects . . . . . . . . . . . . . 77
Table 6.2 Main activities in P06 – IT Project Portfolio Management . . . . . . . . 77
Table 6.3 Roles for P06 – IT Project Portfolio Management . . . . . . . . . . . . . . 78
Table 6.4 Main activities in P07 – Capacity and Availability Management . . . . 80
Table 6.5 Roles for P07 – Capacity and Availability Management . . . . . . . . . . 81
Table 6.6 Main activities in P08 – Continuity Management . . . . . . . . . . . . . . 85
Table 6.7 Roles for P08 – Continuity Management . . . . . . . . . . . . . . . . . . . 87
Table 7.1 Definition of service times . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Table 7.2 Response times according to application criticality . . . . . . . . . . . . 95
Table 7.3 SLO definition parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Table 7.4 SLO examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Table 7.5 Main activities in P09 – Service Management . . . . . . . . . . . . . . . . 97
Table 7.6 Roles for P09 – Service Management . . . . . . . . . . . . . . . . . . . . . 98
Table 7.7 Main activities in P10 – Requirements Management . . . . . . . . . . . . 100
Table 7.8 Roles for P10 – Requirements Management . . . . . . . . . . . . . . . . . 101
xiii
xiv List of Tables
Table 8.1 Main activities in P11 – IT Project Management . . . . . . . . . . . . . . 114

Table 8.2 Roles for P11 – IT Project Management . . . . . . . . . . . . . . . . . . . 115
Table 8.3 Main activities in P12 – Release Management . . . . . . . . . . . . . . . 117
Table 8.4 Roles for P12 – Release Management . . . . . . . . . . . . . . . . . . . . . 120
Table 8.5 Main activities in P13 – Application Development . . . . . . . . . . . . . 122
Table 8.6 Roles for P13 – Application Development . . . . . . . . . . . . . . . . . . 123
Table 8.7 Release management versus project management . . . . . . . . . . . . . 128
Table 9.1 Main activities in P14 – IT Operation & Configuration Process . . . . . 130
Table 9.2 Roles for P14 – IT Operation and Configuration . . . . . . . . . . . . . . 131
Table 9.3 Tasks handled by the service manager and system owner . . . . . . . . . 132
Table 10.1 Main activities in P15 – IT Supplier Management . . . . . . . . . . . . . 140
Table 10.2 Roles for P15 – IT Supplier Management . . . . . . . . . . . . . . . . . . 141
Table 11.1 Main activities in P16 – Incident Management . . . . . . . . . . . . . . . 148
Table 11.2 Roles for P16 – Incident Management . . . . . . . . . . . . . . . . . . . . 148
Table 11.3 Main activities in P17 – Problem management . . . . . . . . . . . . . . . 151
Table 11.4 Roles for P17 – Problem management . . . . . . . . . . . . . . . . . . . . 152
Table 12.1 Selection criteria for tools used to support IT processes . . . . . . . . . . 169
Table 13.1 List of useful key performance indicators (KPIs) . . . . . . . . . . . . . . 178
Table 13.2 Details on where the measurements take place . . . . . . . . . . . . . . . 183
Table 13.3 Key process performance indicators in the annual IT report . . . . . . . . 195
Table 13.4 Key process performance indicators in the quarterly IT report . . . . . . 196
Table 13.5 Key process performance indicators in the monthly IT report . . . . . . . 197
Table 14.1 COBIT PO processes and Standard IT Processes . . . . . . . . . . . . . . 200
Table 14.2 COBIT AI processes and Standard IT Processes . . . . . . . . . . . . . . 201
Table 14.3 COBIT DS Processes and Standard IT Processes . . . . . . . . . . . . . . 202
Table 14.4 COBIT ME processes and Standard IT Processes . . . . . . . . . . . . . 202
Table 14.5 COBIT Light and Standard IT Processes . . . . . . . . . . . . . . . . . . . 203
Table 14.6 Process maturity model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Table 14.7 Process audit results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
Table 14.8 Criticality card for IT processes . . . . . . . . . . . . . . . . . . . . . . . . . 211
Table 14.9 Identifying maturity gaps in IT processes . . . . . . . . . . . . . . . . . . 212
Introduction
1
There can be no denying the fact that information technology has come to play a prominent
role in our daily lives. While at work, at home and on the road, we make ever greater use of
computers with ever more integrated applications. Moreover, development in the area of
information technology, or IT, continues to accelerate as the degree of our connectedness
continues to rise along with the capacity of the IT components at our disposal.
The IT industry can still be described as a “young” industry. The first computer dates
back only as far as 1939 and microprocessors weren’t patented until 1971, after a hard-
fought patent dispute between Gilbert Hyatt at Micro Computer, Inc. and Gary Boone
at Texas Instruments. However, the requirements that IT systems are expected to meet
has increased tremendously throughout this brief period. Programs and applications are
essentially expected to be failsafe, available around the clock, and impervious to unautho-
rized access and the latest malware. Then there is the matter of protecting our data and the
operational integrity of our systems in the event of worst-case scenarios or disasters, not
to mention the tasks of mastering high levels of data integration complexity and keeping
costs to a minimum.
These circumstances led to a consideration of IT standardization and industrialization.
In order to achieve the necessary degree of maturity, however, it will first be necessary to
develop appropriate standards and methods. The notion of a “process” can be used as a
helpful starting point in this connection for the subsequent definition of reproducible pro-
cedures that can be broken down further into distinct steps so as to reduce the associated
complexity. The definition of standard IT processes enables one to take a holistic and sys-
tematic approach to the IT activities that are necessary for the execution of the electronic
activities of a private individual or an enterprise.
In the present book, a process model for standard IT processes is outlined that en-
ables one to gain a comprehensive view of managing IT needs. This view illuminates the
important relationships between the various processes, for instance, the decisive impact
that the quality of project execution will have on operational compliance with specified
service levels. On the basis of the extensive experience of numerous IT managers and
© Springer Fachmedien Wiesbaden 2015 1
L. Pilorget, Implementing IT Processes, DOI 10.1007/978-3-658-04773-3_1
2 1 Introduction
the systematic use and development of process standards in various IT organizations in

both the manufacturing and service sectors, this process model is anything but an abstract
construction.
The contents and analyses presented in the book are aligned to the featured process
model. In contrast to a mere systematic enumeration of the various models and examples
that have been presented in recent years in the relevant literature, the books offers a wealth
of concrete and pragmatic solutions that are drawn from real-world experience. While the
developed solutions may not apply to all cases, the presented method offers a framework
of approaches that can help one gain one’s bearings when faced with unique assignments
and circumstances.
In addition to a description of the process model, the present book includes 61 figures
and 62 tables. This material is geared to enabling readers to conveniently step back from
focused discussions and gain a quick view of the big picture.
In the interest of greater accessibility, the book is oriented towards the three main levels
in any given enterprise’s organization:
The strategic level

The strategic level corresponds to the uppermost level of an enterprise’s management.
This is referred to in the present book as the senior management. This is the level at which
strategic decisions are made, decisions that can be expected to have a profound impact on
the further development of the enterprise.
The tactical level

The tactical level primarily includes planning activities that encompass both the provision
of services and the implementation of projects. Responsibility at this level is assigned to
the so-called middle management, which also plays the role of the IT customer or client.
The operational level

The operational level encompasses all of the activities that are necessary for the actual
manufacturing of a product or the actual provision of a service. This is the level of the IT
user.
The following offers an overview of the book’s basic structure and its individual chap-
ters.
The book is divided into three main parts:
Part I Introduction of IT Process Modeling (Chaps. 2 to 4)

This introductory part of the book offers a look at the theory behind the process model.
On the basis of empirical observations and a consideration of the organizational prob-
lems faced by IT organizations, the pivotal IT processes are abstracted and compiled in a
process model.
1 Introduction 3
Part II Description of the Individual IT Processes (Chaps. 5 to 11)

Part II is devoted to the task of defining and fleshing out the various IT processes with
individual procedures and process steps. The process descriptions include key process
inputs and outputs as well as the roles that are required for process execution.
Part III Implementation of Standard IT Processes (Chaps. 12 to 14)

The defined IT processes are to be implemented and monitored. The focus of Part III
is on the operational level and the concerns that arise in connection with the practical
implementation of the defined processes.
The individual chapters are outlined below.

Part I: Introduction to IT Process Modeling
Chapter 2 The standard IT process map is defined and used as a basis for the develop-
ment of the process model.
The 17 standard IT processes are introduced.
Chapter 3 The high degree of inter-process dependency represents a conceptual diffi-

culty when it comes to representing the processes. This can be dealt with by developing a
certain feel for the processes. A distinction is drawn between three different levels:
The strategic level

The tactical level
The operational level
Chapter 4 In the context of introducing standard processes within the organization, it

is essential to ensure that their status is clear and unequivocal. This will require, and at
the same time promote, smooth cooperation between the various business units and the IT
organization. A distinction is drawn in this connection between three different levels:
Senior management
Middle management
Employees
Part II: Description of the Individual IT Processes
Chapter 5 This chapter offers a description of the following five processes that all
belong to the functional group known as Strategic Decision Making:
P01 – IT Strategy
P02 – HR Management
P03 – IT Standards & Architecture
4 1 Introduction
P04 – Financial Management

P05 – Quality Management
The various processes and roles that make up each of the processes are described and
then compiled in a table to generate a process overview. An outline of the corresponding
process dependencies is then presented.
Chapter 6 This chapter offers a description of the following three processes that all
belong to the functional group known as Planning and Controlling:
P06 – IT Project Portfolio Management

P07 – Capacity & Availability Management
P08 – Continuity Management
Chapter 7 This chapter offers a description of the following two processes that belong
to the functionial group known as Account Management:
P09 – Service Management

P10 – Requirements Management
Chapter 8 This chapter offers a description of the following three processes that all
belong to the functionial group known as Implementation of changes:
P11 – Project Management

P12 – Release Management
P13 – Application Development
Chapter 9 This chapter offers a description of the single process that makes up the
functionial group known as IT Operation and Configuration Management:
P14 – IT Operation & Configuration Management

1 Introduction 5
The various processes and roles that make up the process are described and then com-
piled in a table to generate a process overview. An outline of the corresponding process
dependencies is then presented.
Chapter 10 This chapter offers a description of the single process that makes up the
functionial group known as Supply Management:
P15 – IT Supplier Management
The various processes and roles that make up the process are de-scribed and then com-
piled in a table to generate a process overview. An outline of the corresponding process
dependencies is then presented.
Chapter 11 This chapter offers a description of the following two processes that belong
to the functionional group known as IT Support:
P16 – Incident Management

P17 – Problem Management
Part III: Implementation of Standard IT Processes
Chapter 12 Chapter 12 focuses on the task of process implementation and includes a

proposal for approaching this task. The introduction of a new IT tool or the commence-
ment of a new outsourcing arrangement represent favorable opportunities for introducing
standard IT processes. It is also important in this connection to take account of organiza-
tional development.
Chapter 13 Key performance indicators (KPIs) are defined and performance is mon-
itored accordingly as a means of securing the efficient management of the standard IT
processes. There are essentially no limits when it comes to devising suitable KPIs.
The present chapter includes a presentation of various examples as well as a sketch of
a system for IT reporting.
Chapter 14 Standard processes should naturally not be regarded as carved in stone for
all eternity. On the contrary, it is essential to ensure their continuous development. COBIT
offers a compelling model for measuring process maturity. Such measurements create a
basis for the continuous improvement of standard processes.
Part I
Introduction of IT Process Modeling
Presentation of the IT Process Map
2
As illustrated in Fig. 2.1, the IT organization receives requests for IT services and com-
missions suppliers to help meet these requests.
It is important to properly consider the needs of the enterprise and to make sure that the
IT services that are purchased bring the expected advantages for the enterprise’s develop-
ment.
Enterprise IT Supplier
Enterprise Levels IT
IT management • IT outsourcing
Senior -> General contractor
management IT projects IT services • IT service delivery
-> Service level
-> Service monitoring
-> Project activities
Applications
Server
Middle • Software
-> Procurement
management -> Delivery
-> Testing
Network -> Licensing
-> Further development
(software releases)
Employees • Hardware
Desktop -> Procurement
services -> Delivery and installation
-> Maintenance
Fig. 2.1 The role of the IT organization
© Springer Fachmedien Wiesbaden 2015 9

L. Pilorget, Implementing IT Processes, DOI 10.1007/978-3-658-04773-3_2
10 2 Presentation of the IT Process Map
To illustrate this, a distinction is drawn between three different levels of responsibility

within an enterprise:
1. Senior management: this term refers to the group of individuals responsible for the
wealth and development of the enterprise as a whole and for overseeing its various
units.
2. Middle management: this term refers to managers at department level.
3. Employees: this term refers to employees who are responsible for handling individual
operational assignments, but not for collective results.
In the context of defining the process map, these three levels are conceived of as distinct
roles, with the senior management sometimes being referred to as the “board,” middle
management sometimes being referred to as the “IT client,” and employees sometimes
being referred to as “IT users.”
2.1 The IT Process Map
An IT process map is as indispensable for executives and IT administrators as a compass

is for seafarers navigating the vast oceans. The map enables one to systematically order
the various processes and to specify the individual process tasks that are performed within
the IT organization.
In the interest of greater clarity, the standard IT processes are grouped according to dis-
tinct functional groups, i. e., the superordinate functions they serve to fulfill. This enables
one to demarcate the corresponding tasks and to gain a better understanding of process
dependencies (See Fig. 2.2).
The functional group known as “Strategic Decision Making” is relevant to the strate-
gic level and is primarily a matter of strategic decision-making in the area of IT.
The functional groups known as “Planning and Controlling,” “Account Manage-
ment,” and “Implementation of Changes” are primarily associated with the tactical level.
The functional group known as “IT Support” is primarily associated with the opera-
tional level.
Two of the functional groups are distributed across at least two levels:
IT Operation and Configuration Management: This functional group includes both

tactical and operational aspects.
Supply Management: The procurement of external services concerns all levels. The
CIO may need the support of strategy consultants to restructure the enterprise’s IT
organization. A project manager may procure IT services to parameterize a new IT
system. A system owner may procure additional storage capacity to make sure that the
system continues to run smoothly.
The functional group “Strategic Decision Making” includes definitions of the various
IT services and descriptions of how they are to be provided so as to optimally meet the
2.1 The IT Process Map 11
Board Strategic Decision-Making Processes
Management
Supply
P02 - HR P03 - IT P04 - P05 -
P01 - IT
Management Standards & Financial Quality
Strategy
(IT staff) Architecture Management Management
Account Planning & Controlling

Management P06 - IT Project P07 - Capacity & P08 -
Portfolio Availability Continuity
IT Supplier
P09 - Management Management Management
IT Client
Service
P15 - Supplier Management

Management
Implementation
P10 - P11 - P12 - P13 - Operation

Requirements Project Release Application &
Management Management Management Development
Configuration
Management
IT Support P14 - IT
IT User
Operation &
Configuration
P16 - Incident P17 - Problem
Management Management
Fig. 2.2 The IT process map
needs of the enterprise. This also ensures a proper consideration of the enterprise’s IT
security needs.
The following standard processes are defined for this functional group:
P01 – IT Strategy
P02 – HR Management
P03 – IT Standards & Architecture
P04 – Financial Management
P05 – Quality Management
The functional group “Planning and Controlling” includes the planning of all of the
activities and monitoring tasks that are necessary to guarantee the quality of the IT ser-
vices.
The following processes are defined for this functional group:
P06 – IT Project Portfolio Management

P07 – Capacity & Availability Management
P08 – Continuity Management
The focus of Account Management is to optimize client relationships so as to opti-

mally align one’s business requirements to the relevant IT guidelines.
P09 – Service Management

P10 – Requirements Management
The purpose of Implementation of Changes is to ensure the timely implementation

of planned changes. The changes need to be approved pursuant to an analysis of their
associated risks.
P11 – Project Management

P12 – Release Management
P13 – Application Development
The purpose of IT Operation and Configuration Management is to make sure that

the existing IT services continue to run smoothly. The information base for the configura-
tion elements used to secure service provision is updated continuously.
The following process is defined for this functional group:
P14 – IT Operation & Configuration
Supplier Management encompasses the evaluation of selective sourcing on the basis

of the strategic significance of the services in question. This enables the procurement of IT
services and IT products from external companies and covers other important IT matters
such as licensing and agreements.
The following process is defined for this functional group:
P15 – Supplier Management
The purpose of IT Support is to ensure proper user support and the continued smooth
functioning of existing IT services. This includes an early warning mechanism that helps
to prevent and mitigate problems.
P16 – Incident Management

P17 – Problem Management
2.2 Process Dependency 13
2.2 Process Dependency
Analyses and descriptions of the 17 standard IT processes give us an indication of the

IT organization’s complexity. Indeed, all of the various processes are interrelated. Close
process dependencies tend to make it harder to maintain a clear view of the individual
procedures and activities within a given process. It is therefore essential to clearly de-
marcate the various processes. Given that it is not possible to integrate all of the many
IT activities into a single global process, one is forced to clearly define and ensure the
implementation of the relevant process interfaces. In order to be able to provide answers
to fundamental questions concerning the functioning of a successful IT organization, one
must first arrive at a precise definition of the procedures and gain a good understanding of
how IT processes behave.
Processes of various degrees of complexity are initiated by certain triggers. Such trig-
gers are themselves activated by individual employees, groups of employees, or by other
processes. In the latter case, the relationship between the processes is defined as a process
dependency, as is illustrated in Fig. 2.3.
In the example outlined above, process P0X is comprised of three main actions and a
status check that is carried out after activity P0X-B. Depending on the result of the status
check, the process will either be brought to completion or, if the status is not the desired
status, recourse will be taken to process P0Y. In this latter case, process P0Y is directly
dependent on process P0X.
Fig. 2.3 Basic process depen-

dency
Start of
process P0X
Activity P0X-A
Activity P0X-B
No
Status okay? Process P0Y
Yes
Activity P0X-C
End
Fig. 2.4 Different ways of Start of Process P0X

activating process
Case 1 Case 2
Start Start
via external trigger via process P0Z
Activity P0X-A Activity P0X-A
The following symbol is used to signify process dependencies:
The symbol enables one to determine at a glance how many processes are dependent
on a given process.
Figure 2.4 shows two different ways of activating process P0X. In Example 1 process
P0X is activated by an external trigger. In Example 2 process P0X is dependent on process
P0Z and is triggered by process P0Z.
2.3 Principles of IT Governance
IT organizations develop IT services as a means of optimally supporting the various busi-

ness units within an enterprise. This enables them to determine and record specific client
requirements, measure the quality of the provided services, and quantify the utility gener-
ated by the services in the form of service invoices. In addition to this, special IT projects
are conceived and executed with the aim of securing the further development of the enter-
prise.
In the face of increasingly complex system dependencies and growing pressures to con-
tain costs, attempts are made in this context to meet service requirements via standard IT
processes. In addition to greater efficiency, the standardization of these services can help
one to keep the desired benefits of such services in focus whilst at the same time contain-
ing IT costs and to thereby secure added value for the enterprise. The implementation of
an enhanced service and customer orientation will depend on the introduction of new IT
roles and processes whose impact on the procurement, development, and operation of the
IT systems is tangible.
The nature of the interaction that takes place between the IT organization and its in-
ternal clients is especially critical. Indeed, harmonized interaction between these two is
a condition for the successful implementation of the standard IT processes. The manage-
ment of the relationships between an enterprise’s business units and its IT organization
2.3 Principles of IT Governance 15
Business Units IT Organization
Senior Management CIO / IT Management

Strategic orientation IT strategy
IT investment decisions Strategic IT organization
Monitoring and controlling IT budgeting
IT controlling
IT Clients Account Management

IT requirements Requirements management
IT project implementation Tactical Service management
Resource planning Project management
Prioritization
IT Users Help Desk

(+ 2nd & 3rd level support)
IT system use Incident management
IT training programs Operational Problem management
Project activities
Fig. 2.5 Interfaces between enterprise levels and IT organization
(i. e., IT Governance) is in general a crucial factor when it comes to the successful pro-
vision of IT services. The role played by the executive management warrants special
mention in this regard because many of the decisions that have a direct impact on the IT
organization are made by the executive management. The CIO faces the double challenge
of ensuring a streamlined IT organization and exerting influence over the executive man-
agement so as to enable sound decision-making. Smooth functioning cooperation at the
level of middle management is also essential. Projects, for instance, will only be success-
ful if all of the relevant parties are willing and able to work together.
As seen in the context of IT governance, the enterprise’s management must support
the implementation of the standard IT processes. There is otherwise no point in making
an attempt. IT performance reporting is an important channel of communication in this
context, as it can help to ensure the necessary alignment of strategic decision-making and
operational management.
As is illustrated in Fig. 2.5, each level of an enterprise will have specific requirements
that it hopes will be met by the IT organization.
In addition to meeting the needs of its internal clients, the IT organization is also ex-
pected to properly formulate the service requests it issues to external IT service providers,
properly arrange for the provision of such services, and properly manage the actual pro-
vision of the services. In critical sectors such as the pharmaceutical sector, the medical
device sector, and the banking sector, the IT organization will also be expected to take
account of the applicable statutory provisions, especially when outsourcing essential IT
services.
2.4 Roadmap for Implementing Standard IT Processes
Unlike self-contained tasks, the implementation of a standard process is not a matter of

completing a single action. Preparing for the introduction of a standard process takes a
lot of time and it often takes a year or more for a process to become well established
in an enterprise. In order to ensure the quality of the process, it will first be necessary
to introduce a means of measuring its maturity. Doing so will enable the organization
to determine where to concentrate its efforts to support the various business units and to
measure progress towards full process implementation. It will then be possible to contin-
uously raise the degree to which the various stakeholders in the enterprise are aware of the
value of standard processes and the efficiency they enable within the enterprise.
The current state of the enterprise can be expected to play a significant role in this
connection. Indeed, IT processes are often introduced as a response to a crisis. The
following examples warrant consideration:
Inadequate IT organization
It is advisable in such a context to aim for an incremental introduction. Figure 2.6 offers
an outline of the activities that can be initiated to arrive at a favorable position for taking
the initial steps.
Company merger
Here, the question arises as to whether and the extent to which the enterprise’s IT services
are to be outsourced. Otherwise, it may be more cost-effective to simply integrate the one
IT organization into the dominant organization. In both cases, it will be advantageous
to clearly define and document the relevant IT processes. This will enable one to con-
duct negotiations in a more professional manner and to arrive at a clear analysis of the
organization’s development.
Outsourcing IT services
If a decision is made to outsource the enterprise’s IT services, then it will be crucial to
address the financial, legal, organizational, and technological issues in the framework of
a transition project. The option of hiring the IT staff for the IT organization is a central
issue. There is a major risk of losing an important knowledge base as a result of em-
ployee dismissals, whether these dismissals are desired or not. A financial plan should be
established for maintaining key staff members.
Company formation
The founding of a company presents an opportunity for establishing a basis for a solid IT
infrastructure. It is important to ensure the scalability of the IT organization.
While it may make sense to purchase the necessary IT services from an external
provider – depending on the size of the enterprise – it will generally be advantageous to
1 2 3 4 5
Initiate Devise Analyze Assess Launch
Launch
- Define the scope of - Form a project team. - Conduct a SWOT analysis.
project to
analysis. introduce
- Define the project - Complete project planning. - Conduct audits and interviews. standard
approach. IT processes.
2.4 Roadmap for Implementing Standard IT Processes
- Define the project - Consider industry benchmarks.

- Get budget approval. deliverables.
- Select a consulting - Conclude an agreement - Draft a catalogue of proposals (quick

company. with the consulting wins, medium-term activities, etc.).
company.
Fig. 2.6 Preparing for a project to implement standard IT processes

17
Exploring the Variety of Random
Documents with Different Content
The fifth A fifth law of nature, is COMPLAISANCE; that is to say,
mutual that every man strive to accommodate himself to the
accommodati rest. For the understanding whereof, we may consider,
on, or
complaisance that there is in men’s aptness to society, a diversity of
. nature, rising from their diversity of affections; not
unlike to that we see in stones brought together for
building of an edifice. For as that stone which by the asperity, and
irregularity of figure, takes more room from others, than itself fills; and
for the hardness, cannot be easily made plain, and thereby hindereth
the building, is by the builders cast away as unprofitable, and
troublesome: so also, a man that by asperity of nature, will strive to
retain those things which to himself are superfluous, and to others
necessary; and for the stubbornness of his passions, cannot be
corrected, is to be left, or cast out of society, as cumbersome thereunto.
For seeing every man, not only by right, but also by necessity of nature,
is supposed to endeavour all he can, to obtain that which is necessary
for his conservation; he that shall oppose himself against it, for things
superfluous, is guilty of the war that thereupon is to follow; and
therefore doth that, which is contrary to the fundamental law of nature,
which commandeth to seek peace. The observers of this law, may be
called SOCIABLE, the Latins call them commodi; the contrary, stubborn,
insociable, froward, intractable.
The sixth, A sixth law of nature, is this, that upon caution of the
facility to future time, a man ought to pardon the offences past of
pardon. them that repenting, desire it. For PARDON, is nothing but
granting of peace; which though granted to them that persevere in their
hostility, be not peace, but fear; yet not granted to them that give
caution of the future time, is sign of an aversion to peace; and therefore
contrary to the law of nature.
The seventh, A seventh is, that in revenges, that is, retribution of
that in evil for evil, men look not at the greatness of the evil
revenges, past, but the greatness of the good to follow. Whereby
men respect
only the we are forbidden to inflict punishment with any other
future good. design, than for correction of the offender, or direction
of others. For this law is consequent to the next before
it, that commandeth pardon, upon security of the future time. Besides,
revenge without respect to the example, and profit to come, is a
triumph, or glorying in the hurt of another, tending to no end; for the
end is always somewhat to come; and glorying to no end, is vain-glory,
and contrary to reason, and to hurt without reason, tendeth to the
introduction of war; which is against the law of nature; and is commonly
styled by the name of cruelty.
The eighth, And because all signs of hatred, or contempt, provoke
against to fight; insomuch as most men choose rather to hazard
contumely. their life, than not to be revenged; we may in the
eighth place, for a law of nature, set down this precept, that no man by
deed, word, countenance, or gesture, declare hatred, or contempt of
another. The breach of which law, is commonly called contumely.
The ninth, The question who is the better man, has no place in
against pride. the condition of mere nature; where, as has been
shewn before, all men are equal. The inequality that now is, has been
introduced by the laws civil. I know that Aristotle in the first book of his
Politics, for a foundation of his doctrine, maketh men by nature, some
more worthy to command, meaning the wiser sort, such as he thought
himself to be for his philosophy; others to serve, meaning those that
had strong bodies, but were not philosophers as he; as if master and
servant were not introduced by consent of men, but by difference of wit:
which is not only against reason; but also against experience. For there
are very few so foolish, that had not rather govern themselves, than be
governed by others: nor when the wise in their own conceit, contend by
force, with them who distrust their own wisdom, do they always, or
often, or almost at any time, get the victory. If nature therefore have
made men equal, that equality is to be acknowledged: or if nature have
made men unequal; yet because men that think themselves equal, will
not enter into conditions of peace, but upon equal terms, such equality
must be admitted. And therefore for the ninth law of nature, I put this,
that every man acknowledge another for his equal by nature. The
breach of this precept is pride.
The tenth, On this law, dependeth another, that at the entrance
against into conditions of peace, no man require to reserve to
arrogance. himself any right, which he is not content should be
reserved to every one of the rest. As it is necessary for all men that seek
peace, to lay down certain rights of nature; that is to say, not to have
liberty to do all they list: so is it necessary for man’s life, to retain some;
as right to govern their own bodies; enjoy air, water, motion, ways to go
from place to place; and all things else, without which a man cannot
live, or not live well. If in this case, at the making of peace, men require
for themselves, that which they would not have to be granted to others,
they do contrary to the precedent law, that commandeth the
acknowledgment of natural equality, and therefore also against the law
of nature. The observers of this law, are those we call modest, and the
breakers arrogant men. The Greeks call the violation of this law
πλεονεξία; that is, a desire of more than their share.
The eleventh, Also if a man be trusted to judge between man and
equity. man, it is a precept of the law of nature, that he deal
equally between them. For without that, the controversies of men
cannot be determined but by war. He therefore that is partial in
judgment, doth what in him lies, to deter men from the use of judges,
and arbitrators; and consequently, against the fundamental law of
nature, is the cause of war.
The observance of this law, from the equal distribution to each man,
of that which in reason belongeth to him, is called EQUITY, and, as I have
said before, distributive justice: the violation, acception of persons,
προσωποληψία.
The twelfth, And from this followeth another law, that such things
equal use of as cannot be divided, be enjoyed in common, if it can
things be; and if the quantity of the thing permit, without
common.
stint; otherwise proportionably to the number of them
that have right. For otherwise the distribution is unequal, and contrary
to equity.
The But some things there be, that can neither be
thirteenth, of divided, nor enjoyed in common. Then, the law of
lot. nature, which prescribeth equity, requireth, that the
entire right; or else, making the use alternate, the first possession, be
determined by lot. For equal distribution, is of the law of nature; and
other means of equal distribution cannot be imagined.
The Of lots there be two sorts, arbitrary, and natural.
fourteenth, of Arbitrary, is that which is agreed on by the competitors:
primogenitur natural, is either primogeniture, which the Greek calls
e, and first
seizing. κληρονομία, which signifies, given by lot; or first
seizure.
And therefore those things which cannot be enjoyed in common, nor
divided, ought to be adjudged to the first possessor; and in some cases
to the first born, as acquired by lot.
The fifteenth, It is also a law of nature, that all men that
of mediators. mediate peace, be allowed safe conduct. For the law
that commandeth peace, as the end, commandeth intercession, as
the means; and to intercession the means is safe conduct.
[Illustration: The sixteenth, of submission to arbitrement.]
And because, though men be never so willing to observe these
laws, there may nevertheless arise questions concerning a man’s
action; first, whether it were done, or not done; secondly, if done,
whether against the law, or not against the law; the former whereof,
is called a question of fact; the latter a question of right, therefore
unless the parties to the question, covenant mutually to stand to the
sentence of another, they are as far from peace as ever. This other
to whose sentence they submit is called an ARBITRATOR. And therefore
it is of the law of nature, that they that are at controversy, submit
their right to the judgment of an arbitrator.
The And seeing every man is presumed to do all
seventeenth, things in order to his own benefit, no man is a fit
no man is his arbitrator in his own cause; and if he were never so
own judge.
fit; yet equity allowing to each party equal benefit, if
one be admitted to be judge, the other is to be admitted also; and
so the controversy, that is, the cause of war, remains, against the
law of nature.
The For the same reason no man in any cause ought
eighteenth, to be received for arbitrator, to whom greater profit,
no man to be or honour, or pleasure apparently ariseth out of the
judge, that
has in him a victory of one party, than of the other: for he hath
natural cause taken, though an unavoidable bribe, yet a bribe;
of partiality. and no man can be obliged to trust him. And thus
also the controversy, and the condition of war
remaineth, contrary to the law of nature.
The And in a controversy of fact, the judge being to
nineteenth of give no more credit to one, than to the other, if
witnesses. there be no other arguments, must give credit to a
third; or to a third and fourth; or more: for else the question is
undecided, and left to force, contrary to the law of nature.
These are the laws of nature, dictating peace, for a means of the
conservation of men in multitudes; and which only concern the
doctrine of civil society. There be other things tending to the
destruction of particular men; as drunkenness, and all other parts of
intemperance; which may therefore also be reckoned amongst those
things which the law of nature hath forbidden; but are not necessary
to be mentioned, nor are pertinent enough to this place.
A rule, by And though this may seem too subtle a deduction
which the of the laws of nature, to be taken notice of by all
laws of men; whereof the most part are too busy in getting
nature may
easily be food, and the rest too negligent to understand; yet
examined. to leave all men inexcusable, they have been
contracted into one easy sum, intelligible even to
the meanest capacity; and that is, Do not that to another, which
thou wouldest not have done to thyself; which sheweth him, that he
has no more to do in learning the laws of nature, but, when
weighing the actions of other men with his own, they seem too
heavy, to put them into the other part of the balance, and his own
into their place, that his own passions, and self-love, may add
nothing to the weight; and then there is none of these laws of
nature that will not appear unto him very reasonable.
The laws of The laws of nature oblige in foro interno; that is
nature oblige to say, they bind to a desire they should take place:
in conscience but in foro externo; that is, to the putting them in
always, but
in effect then act, not always. For he that should be modest, and
only when tractable, and perform all he promises, in such time,
there is and place, where no man else should do so, should
security. but make himself a prey to others, and procure his
own certain ruin, contrary to the ground of all laws of nature, which
tend to nature’s preservation. And again, he that having sufficient
security, that others shall observe the same laws towards him,
observes them not himself, seeketh not peace, but war; and
consequently the destruction of his nature by violence.
And whatsoever laws bind in foro interno, may be broken, not only
by a fact contrary to the law, but also by a fact according to it, in
case a man think it contrary. For though his action in this case, be
according to the law; yet his purpose was against the law; which,
where the obligation is in foro interno, is a breach.
The laws of The laws of nature are immutable and eternal; for
nature are injustice, ingratitude, arrogance, pride, iniquity,
eternal. acception of persons, and the rest, can never be
made lawful. For it can never be that war shall preserve life, and
peace destroy it.
And yet easy. The same laws, because they oblige only to a
desire, and endeavour, I mean an unfeigned and
constant endeavour, are easy to be observed. For in that they
require nothing but endeavour, he that endeavoureth their
performance, fulfilleth them; and he that fulfilleth the law, is just.
The science And the science of them, is the true and only
of these laws, moral philosophy. For moral philosophy is nothing
is the true else but the science of what is good, and evil, in the
moral
philosophy. conversation, and society of mankind. Good, and
evil, are names that signify our appetites, and
aversions; which in different tempers, customs, and doctrines of
men, are different: and divers men, differ not only in their judgment,
on the senses of what is pleasant, and unpleasant to the taste,
smell, hearing, touch, and sight; but also of what is conformable, or
disagreeable to reason, in the actions of common life. Nay, the same
man, in divers times, differs from himself; and one time praiseth,
that is, calleth good, what another time he dispraiseth, and calleth
evil: from whence arise disputes, controversies, and at last war. And
therefore so long as a man is in the condition of mere nature, which
is a condition of war, as private appetite is the measure of good, and
evil: and consequently all men agree on this, that peace is good, and
therefore also the way, or means of peace, which, as I have shewed
before, are justice, gratitude, modesty, equity, mercy, and the rest
of the laws of nature, are good; that is to say; moral virtues; and
their contrary vices, evil. Now the science of virtue and vice, is moral
philosophy; and therefore the true doctrine of the laws of nature, is
the true moral philosophy. But the writers of moral philosophy,
though they acknowledge the same virtues and vices; yet not seeing
wherein consisted their goodness; nor that they come to be praised,
as the means of peaceable, sociable, and comfortable living, place
them in a mediocrity of passions: as if not the cause, but the degree
of daring, made fortitude; or not the cause, but the quantity of a
gift, made liberality.
These dictates of reason, men used to call by the name of laws,
but improperly: for they are but conclusions, or theorems concerning
what conduceth to the conservation and defence of themselves;
whereas law, properly, is the word of him, that by right hath
command over others. But yet if we consider the same theorems, as
delivered in the word of God, that by right commandeth all things;
then are they properly called laws.
CHAPTER XVI.
OF PERSONS, AUTHORS, AND THINGS

PERSONATED.
A person A PERSON, is he, whose words or actions are

what. considered, either as his own, or as representing the
words or actions of another man, or of any other thing, to whom
they are attributed, whether truly or by fiction.
Person When they are considered as his own, then is he
natural, and called a natural person: and when they are
artificial.
considered as representing the words and actions of
another, then is he a feigned or artificial person.
The word The word person is Latin: instead whereof the
person, Greeks have πρόσωπον, which signifies the face, as
whence.
persona in Latin signifies the disguise, or outward
appearance of a man, counterfeited on the stage; and sometimes
more particularly that part of it, which disguiseth the face, as a mask
or vizard: and from the stage, hath been translated to any
representer of speech and action, as well in tribunals, as theatres.
So that a person, is the same that an actor is, both on the stage and
in common conversation; and to personate, is to act, or represent
himself, or another; and he that acteth another, is said to bear his
person, or act in his name; in which sense Cicero useth it where he
says, Unus sustineo tres personas; mei, adversarii, et judicis: I bear
three persons; my own, my adversary’s, and the judge’s; and is
called in divers occasions, diversly; as a representer, or
representative, a lieutenant, a vicar, an attorney, a deputy, a
procurator, an actor, and the like.
Of persons artificial, some have their words and actions owned by
those whom they represent. And then the person is Actor.
the actor; and he that owneth his words and
actions, is the AUTHOR: in which case the actor acteth Author.
by authority. For that which in speaking of goods
and possessions, is called an owner, and in Latin dominus, in Greek
κύριος speaking of actions, is called author. And as the right of
possession, is called dominion; so the right of doing Authority.
any action, is called AUTHORITY. So that by authority,
is always understood a right of doing any act; and done by
authority, done by commission, or licence from him whose right it is.
Covenants by From hence it followeth, that when the actor
authority, maketh a covenant by authority, he bindeth thereby
bind the the author, no less than if he had made it himself;
author.
and no less subjecteth him to all the consequences
of the same. And therefore all that hath been said formerly, (chap.
XIV) of the nature of covenants between man and man in their
natural capacity, is true also when they are made by their actors,
representers, or procurators, that have authority from them, so far
forth as is in their commission, but no further.
And therefore he that maketh a covenant with the actor, or
representer, not knowing the authority he hath, doth it at his own
peril. For no man is obliged by a covenant, whereof he is not author;
nor consequently by a covenant made against, or beside the
authority he gave.
But not the When the actor doth anything against the law of
actor. nature by command of the author, if he be obliged
by former covenant to obey him, not he, but the author breaketh the
law of nature; for though the action be against the law of nature;
yet it is not his: but contrarily, to refuse to do it, is against the law of
nature, that forbiddeth breach of covenant.
The authority And he that maketh a covenant with the author,
is to be by mediation of the actor, not knowing what
shown. authority he hath, but only takes his word; in case
such authority be not made manifest unto him upon demand, is no
longer obliged: for the covenant made with the author, is not valid,
without his counter-assurance. But if he that so covenanteth, knew
beforehand he was to expect no other assurance, than the actor’s
word; then is the covenant valid; because the actor in this case
maketh himself the author. And therefore, as when the authority is
evident, the covenant obligeth the author, not the actor; so when
the authority is feigned, it obligeth the actor only; there being no
author but himself.
Things There are few things, that are incapable of being
personated, represented by fiction. Inanimate things, as a
inanimate. church, an hospital, a bridge, may be personated by
a rector, master, or overseer. But things inanimate, cannot be
authors, nor therefore give authority to their actors: yet the actors
may have authority to procure their maintenance, given them by
those that are owners, or governors of those things. And therefore,
such things cannot be personated, before there be some state of
civil government.
Irrational. Likewise children, fools, and madmen that have
no use of reason, may be personated by guardians,
or curators; but can be no authors, during that time, of any action
done by them, longer than, when they shall recover the use of
reason, they shall judge the same reasonable. Yet during the folly,
he that hath right of governing them, may give authority to the
guardian. But this again has no place but in a state civil, because
before such estate, there is no dominion of persons.
False gods. An idol, or mere figment of the brain, may be
personated; as were the gods of the heathen: which
by such officers as the state appointed, were personated, and held
possessions, and other goods, and rights, which men from time to
time dedicated, and consecrated unto them. But idols cannot be
authors: for an idol is nothing. The authority proceeded from the
state: and therefore before introduction of civil government, the
gods of the heathen could not be personated.
The true God. The true God may be personated. As he was;
first, by Moses; who governed the Israelites, that
were not his, but God’s people, not in his own name, with hoc dicit
Moses; but in God’s name, with hoc dicit Dominus. Secondly, by the
Son of man, his own Son, our blessed Saviour Jesus Christ, that
came to reduce the Jews, and induce all nations into the kingdom of
his father; not as of himself, but as sent from his father. And thirdly,
by the Holy Ghost, or Comforter, speaking, and working in the
Apostles: which Holy Ghost, was a Comforter that came not of
himself; but was sent, and proceeded from them both.
A multitude A multitude of men, are made one person, when
of men, how they are by one man, or one person, represented;
one person. so that it be done with the consent of every one of
that multitude in particular. For it is the unity of the representer, not
the unity of the represented, that maketh the person one. And it is
the representer that beareth the person, and but one person: and
unity, cannot otherwise be understood in multitude.
Every one is And because the multitude naturally is not one,
author. but many; they cannot be understood for one; but
many authors, of every thing their representative saith, or doth in
their name; every man giving their common representer, authority
from himself in particular; and owning all the actions the representer
doth, in case they give him authority without stint: otherwise, when
they limit him in what, and how far he shall represent them, none of
them owneth more than they gave him commission to act.
An actor may And if the representative consist of many men,
be many men the voice of the greater number, must be considered
made one by as the voice of them all. For if the lesser number
plurality of
voices. pronounce, for example, in the affirmative, and the
greater in the negative, there will be negatives more
than enough to destroy the affirmatives; and thereby the excess of
negatives, standing uncontradicted, are the only voice the
representative hath.
Representati And a representative of even number, especially
ves, when the when the number is not great, whereby the
number is contradictory voices are oftentimes equal, is
even,
unprofitable. therefore oftentimes mute, and incapable of action.
Yet in some cases contradictory voices equal in
number, may determine a question; as in condemning, or absolving,
equality of votes, even in that they condemn not, do absolve; but
not on the contrary condemn, in that they absolve not. For when a
cause is heard; not to condemn, is to absolve: but on the contrary,
to say that not absolving, is condemning, is not true. The like it is in
a deliberation of executing presently, or deferring till another time:
for when the voices are equal, the not decreeing execution, is a
decree of dilation.
Negative Or if the number be odd, as three, or more, men
voice. or assemblies; whereof every one has by a negative
voice, authority to take away the effect of all the affirmative voices
of the rest, this number is no representative; because by the
diversity of opinions, and interests of men, it becomes oftentimes,
and in cases of the greatest consequence, a mute person, and
unapt, as for many things else, so for the government of a
multitude, especially in time of war.
Of authors there be two sorts. The first simply so called; which I
have before defined to be him, that owneth the action of another
simply. The second is he, that owneth an action, or covenant of
another conditionally; that is to say, he undertaketh to do it, if the
other doth it not, at, or before a certain time. And these authors
conditional, are generally called SURETIES, in Latin, fidejussores, and
sponsores; and particularly for debt, prædes; and for appearance
before a judge, or magistrate, vades.
PART II.
OF COMMONWEALTH.
CHAPTER XVII.
OF THE CAUSES, GENERATION, AND DEFINITION

OF A COMMONWEALTH.
The end of The final cause, end, or design of men, who

commonweal naturally love liberty, and dominion over others, in
th, particular
the introduction of that restraint upon themselves,
security:
in which we see them live in commonwealths, is the
foresight of their own preservation, and of a more contented life
thereby; that is to say, of getting themselves out from that miserable
condition of war, which is necessarily consequent, as hath been
shown in chapter XIII, to the natural passions of men, when there is
no visible power to keep them in awe, and tie them by fear of
punishment to the performance of their covenants, and observation
of those laws of nature set down in the fourteenth and fifteenth
chapters.
Which is not For the laws of nature, as justice, equity,
to be had modesty, mercy, and, in sum, doing to others, as
from the law
we would be done to, of themselves, without the
of nature:
terror of some power, to cause them to be
observed, are contrary to our natural passions, that carry us to
partiality, pride, revenge, and the like. And covenants, without the
sword, are but words, and of no strength to secure a man at all.
Therefore notwithstanding the laws of nature, which every one hath
then kept, when he has the will to keep them, when he can do it
safely, if there be no power erected, or not great enough for our
security; every man will, and may lawfully rely on his own strength
and art, for caution against all other men. And in all places, where
men have lived by small families, to rob and spoil one another, has
been a trade, and so far from being reputed against the law of
nature, that the greater spoils they gained, the greater was their
honour; and men observed no other laws therein, but the laws of
honour; that is, to abstain from cruelty, leaving to men their lives,
and instruments of husbandry. And as small families did then; so
now do cities and kingdoms which are but greater families, for their
own security, enlarge their dominions, upon all pretences of danger,
and fear of invasion, or assistance that may be given to invaders,
and endeavour as much as they can, to subdue, or weaken their
neighbours, by open force, and secret arts, for want of other
caution, justly; and are remembered for it in after ages with honour.
Nor from the Nor is it the joining together of a small number of
conjunction men, that gives them this security; because in small
of a few men numbers, small additions on the one side or the
or families:
other, make the advantage of strength so great, as
is sufficient to carry the victory; and therefore gives encouragement
to an invasion. The multitude sufficient to confide in for our security,
is not determined by any certain number, but by comparison with
the enemy we fear; and is then sufficient, when the odds of the
enemy is not of so visible and conspicuous moment, to determine
the event of war, as to move him to attempt.
Nor from a And be there never so great a multitude; yet if
great their actions be directed according to their particular
multitude, judgments, and particular appetites, they can
unless
directed by expect thereby no defence, nor protection, neither
one against a common enemy, nor against the injuries of
judgment: one another. For being distracted in opinions
concerning the best use and application of their
strength, they do not help but hinder one another; and reduce their
strength by mutual opposition to nothing: whereby they are easily,
not only subdued by a very few that agree together; but also when
there is no common enemy, they make war upon each other, for
their particular interests. For if we could suppose a great multitude
of men to consent in the observation of justice, and other laws of
nature, without a common power to keep them all in awe; we might
as well suppose all mankind to do the same; and then there neither
would be, nor need to be any civil government, or Commonwealth at
all; because there would be peace without subjection.
And that Nor is it enough for the security, which men
continually. desire should last all the time of their life, that they
be governed, and directed by one judgment, for a limited time; as in
one battle, or one war. For though they obtain a victory by their
unanimous endeavour against a foreign enemy; yet afterwards,
when either they have no common enemy, or he that by one part is
held for an enemy, is by another part held for a friend, they must
needs by the difference of their interests dissolve, and fall again into
a war amongst themselves.
Why certain It is true, that certain living creatures, as bees,
creatures and ants, live sociably one with another, which are
without therefore by Aristotle numbered amongst political
reason, or
speech, do creatures; and yet have no other direction, than
nevertheless their particular judgments and appetites; nor
live in speech, whereby one of them can signify to another,
society, what he thinks expedient for the common benefit:
without any and therefore some man may perhaps desire to
coercive
power. know, why mankind cannot do the same. To which I
answer,
First, that men are continually in competition for honour and
dignity, which these creatures are not; and consequently amongst
men there ariseth on that ground, envy and hatred, and finally war;
but amongst these not so.
Secondly, that amongst these creatures, the common good
differeth not from the private; and being by nature inclined to their
private, they procure thereby the common benefit. But man, whose
joy consisteth in comparing himself with other men, can relish
nothing but what is eminent.
Thirdly, that these creatures, having not, as man, the use of
reason, do not see, nor think they see any fault, in the
administration of their common business; whereas amongst men,
there are very many, that think themselves wiser, and abler to
govern the public, better than the rest; and these strive to reform
and innovate, one this way, another that way; and thereby bring it
into distraction and civil war.
Fourthly, that these creatures, though they have some use of
voice, in making known to one another their desires, and other
affections; yet they want that art of words, by which some men can
represent to others, that which is good, in the likeness of evil; and
evil, in the likeness of good; and augment, or diminish the apparent
greatness of good and evil; discontenting men, and troubling their
peace at their pleasure.
Fifthly, irrational creatures cannot distinguish between injury and
damage; and therefore as long as they be at ease, they are not
offended with their fellows: whereas man is then most troublesome,
when he is most at ease: for then it is that he loves to shew his
wisdom, and control the actions of them that govern the
commonwealth.
Lastly, the agreement of these creatures is natural; that of men, is
by covenant only, which is artificial: and therefore it is no wonder if
there be somewhat else required, besides covenant, to make their
agreement constant and lasting; which is a common power, to keep
them in awe, and to direct their actions to the common benefit.
The The only way to erect such a common power, as
generation of may be able to defend them from the invasion of
a foreigners, and the injuries of one another, and
commonweal
th. thereby to secure them in such sort, as that by their
own industry, and by the fruits of the earth, they
may nourish themselves and live contentedly; is, to confer all their
power and strength upon one man, or upon one assembly of men,
that may reduce all their wills, by plurality of voices, unto one will:
which is as much as to say, to appoint one man, or assembly of
men, to bear their person; and every one to own, and acknowledge
himself to be author of whatsoever he that so beareth their person,
shall act, or cause to be acted, in those things which concern the
common peace and safety; and therein to submit their wills, every
one to his will, and their judgments, to his judgment. This is more
than consent, or concord; it is a real unity of them all, in one and
the same person, made by covenant of every man with every man,
in such manner, as if every man should say to every man, I
authorise and give up my right of governing myself, to this man, or
to this assembly of men, on this condition, that thou give up thy
right to him, and authorize all his actions in like manner. This done,
the multitude so united in one person, is called a COMMONWEALTH, in
Latin CIVITAS. This is the generation of that great LEVIATHAN, or rather,
to speak more reverently, of that mortal god, to which we owe under
the immortal God, our peace and defence. For by this authority,
given him by every particular man in the commonwealth, he hath
the use of so much power and strength conferred on him, that by
terror thereof, he is enabled to perform the wills of them all, to
peace at home, and mutual aid against their enemies abroad. And in
him consisteth the essence of the commonwealth; The definition
which, to define it, is one person, of whose acts a of a
great multitude, by mutual covenants one with commonwealth.
another, have made themselves every one the
author, to the end he may use the strength and means of them all,
as he shall think expedient, for their peace and common defence.
Sovereign, And he that carrieth this person, is called
and subject, SOVEREIGN, and said to have sovereign power; and
what. every one besides, his SUBJECT.
The attaining to this sovereign power, is by two ways. One, by
natural force; as when a man maketh his children, to submit
themselves, and their children to his government, as being able to
destroy them if they refuse; or by war subdueth his enemies to his
will, giving them their lives on that condition. The other, is when
men agree amongst themselves, to submit to some man, or
assembly of men, voluntarily, on confidence to be protected by him
against all others. This latter, may be called a political
commonwealth, or commonwealth by institution; and the former, a
commonwealth by acquisition. And first, I shall speak of a
commonwealth by institution.
CHAPTER XVIII.
OF THE RIGHTS OF SOVEREIGNS BY INSTITUTION.
The act of A commonwealth is said to be instituted, when a

instituting a multitude of men do agree; and covenant, every
commonweal
one, with every one, that to whatsoever man, or
th, what.
assembly of men, shall be given by the major part,
the right to present the person of them all, that is to say, to be their
representative; every one, as well he that voted for it, as he that
voted against it, shall authorize all the actions and judgments, of
that man, or assembly of men, in the same manner, as if they were
his own, to the end, to live peaceably amongst themselves, and be
protected against other men.
The From this institution of a commonwealth are
consequence derived all the rights, and faculties of him, or them,
s to such
on whom sovereign power is conferred by the
institution,
are. consent of the people assembled.
1. The First, because they covenant, it is
subjects to be understood, they are not
cannot
obliged by former covenant to
change the
form of anything repugnant hereunto. And
government. consequently they that have
already instituted a commonwealth,
being thereby bound by covenant, to own the actions, and
judgments of one, cannot lawfully make a new covenant, amongst
themselves, to be obedient to any other, in any thing whatsoever,
without his permission. And therefore, they that are subjects to a
monarch, cannot without his leave cast off monarchy, and return to
the confusion of a disunited multitude; nor transfer their person
from him that beareth it, to another man, or other assembly of men:
for they are bound, every man to every man, to own, and be
reputed author of all, that he that already is their sovereign, shall
do, and judge fit to be done: so that any one man dissenting, all the
rest should break their covenant made to that man, which is
injustice: and they have also every man given the sovereignty to him
that beareth their person; and therefore if they depose him, they
take from him that which is his own, and so again it is injustice.
Besides, if he that attempteth to depose his sovereign, be killed, or
punished by him for such attempt, he is author of his own
punishment, as being by the institution, author of all his sovereign
shall do: and because it is injustice for a man to do anything, for
which he may be punished by his own authority, he is also upon that
title, unjust. And whereas some men have pretended for their
disobedience to their sovereign, a new covenant, made, not with
men, but with God; this also is unjust: for there is no covenant with
God, but by mediation of somebody that representeth God’s person;
which none doth but God’s lieutenant, who hath the sovereignty
under God. But this pretence of covenant with God, is so evident a
lie, even in the pretenders’ own consciences, that it is not only an
act of an unjust, but also of a vile, and unmanly disposition.
2. Sovereign Secondly, because the right of bearing the person
power cannot of them all, is given to him they make sovereign, by
be forfeited. covenant only of one to another, and not of him to
any of them; there can happen no breach of covenant on the part of
the sovereign; and consequently none of his subjects, by any
pretence of forfeiture, can be freed from his subjection. That he
which is made sovereign maketh no covenant with his subjects
beforehand, is manifest; because either he must make it with the
whole multitude, as one party to the covenant; or he must make a
several covenant with every man. With the whole, as one party, it is
impossible; because as yet they are not one person: and if he make
so many several covenants as there be men, those covenants after
he hath the sovereignty are void; because what act soever can be
pretended by any one of them for breach thereof, is the act both of
himself, and of all the rest, because done in the person, and by the
right of every one of them in particular. Besides, if any one, or more
of them, pretend a breach of the covenant made by the sovereign at
his institution; and others, or one other of his subjects, or himself
alone, pretend there was no such breach, there is in this case, no
judge to decide the controversy; it returns therefore to the sword
again; and every man recovereth the right of protecting himself by
his own strength, contrary to the design they had in the institution.
It is therefore in vain to grant sovereignty by way of precedent
covenant. The opinion that any monarch receiveth his power by
covenant, that is to say, on condition, proceedeth from want of
understanding this easy truth, that covenants being but words and
breath, have no force to oblige, contain, constrain, or protect any
man, but what it has from the public sword; that is, from the untied
hands of that man, or assembly of men that hath the sovereignty,
and whose actions are avouched by them all, and performed by the
strength of them all, in him united. But when an assembly of men is
made sovereign; then no man imagineth any such covenant to have
passed in the institution; for no man is so dull as to say, for
example, the people of Rome made a covenant with the Romans, to
hold the sovereignty on such or such conditions; which not
performed, the Romans might lawfully depose the Roman people.
That men see not the reason to be alike in a monarchy, and in a
popular government, proceedeth from the ambition of some, that
are kinder to the government of an assembly, whereof they may
hope to participate, than of monarchy, which they despair to enjoy.
3. No man Thirdly, because the major part hath by
can without consenting voices declared a sovereign; he that
injustice dissented must now consent with the rest; that is,
protest
against the be contented to avow all the actions he shall do, or
institution of else justly be destroyed by the rest. For if he
the sovereign voluntarily entered into the congregation of them
declared by that were assembled, he sufficiently declared
the major thereby his will, and therefore tacitly covenanted, to
part.
stand to what the major part should ordain: and
therefore if he refuse to stand thereto, or make protestation against
any of their decrees, he does contrary to his covenant, and therefore
unjustly. And whether he be of the congregation, or not; and
whether his consent be asked, or not, he must either submit to their
decrees, or be left in the condition of war he was in before; wherein
he might without injustice be destroyed by any man whatsoever.
4. The Fourthly, because every subject is by this
sovereign’s institution author of all the actions, and judgments
actions of the sovereign instituted; it follows, that
cannot be
justly whatsoever he doth, it can be no injury to any of his
accused by subjects; nor ought he to be by any of them
the subject. accused of injustice. For he that doth anything by
authority from another, doth therein no injury to him
by whose authority he acteth: but by this institution of a
commonwealth, every particular man is author of all the sovereign
doth: and consequently he that complaineth of injury from his
sovereign, complaineth of that whereof he himself is author; and
therefore ought not to accuse any man but himself; no nor himself
of injury; because to do injury to one’s self, is impossible. It is true
that they that have sovereign power may commit iniquity; but not
injustice, or injury in the proper signification.
5. Fifthly, and consequently to that which was said
Whatsoever last, no man that hath sovereign power can justly
the sovereign be put to death, or otherwise in any manner by his
doth is
unpunishable subjects punished. For seeing every subject is
by the author of the actions of his sovereign; he punisheth
subject. another for the actions committed by himself.
6. The And because the end of this
sovereign is institution, is the peace and defence
judge of what of them all; and whosoever has
is necessary
for the peace right to the end, has right to the
and defence means; it belongeth of right, to
of his whatsoever man, or assembly that
subjects. hath the sovereignty, to be judge
both of the means of peace and defence, and also of the hindrances,
and disturbances of the same; and to do whatsoever he shall think
necessary to be done, both beforehand, for the preserving of peace
and security, by prevention of discord at home, and hostility from
abroad; and, when peace and security are lost, for the recovery of
the same. And therefore,
And judge of Sixthly, it is annexed to the sovereignty, to be
what judge of what opinions and doctrines are averse,
doctrines are and what conducing to peace; and consequently, on
fit to be
taught them. what occasions, how far, and what men are to be
trusted withal, in speaking to multitudes of people;
and who shall examine the doctrines of all books before they be
published. For the actions of men proceed from their opinions; and
in the well-governing of opinions, consisteth the well-governing of
men’s actions, in order to their peace, and concord. And though in
matter of doctrine, nothing ought to be regarded but the truth; yet
this is not repugnant to regulating the same by peace. For doctrine
repugnant to peace, can no more be true, than peace and concord
can be against the law of nature. It is true, that in a commonwealth,
where by the negligence, or unskilfulness of governors, and
teachers, false doctrines are by time generally received; the contrary
truths may be generally offensive. Yet the most sudden, and rough
bursting in of a new truth, that can be, does never break the peace,
but only sometimes awake the war. For those men that are so
remissly governed, that they dare take up arms to defend, or
introduce an opinion, are still in war; and their condition not peace,
but only a cessation of arms for fear of one another; and they live,
as it were, in the precincts of battle continually. It belongeth
therefore to him that hath the sovereign power, to be judge, or
constitute all judges of opinions and doctrines, as a thing necessary
to peace; thereby to prevent discord and civil war.
7. The right Seventhly, is annexed to the sovereignty, the
of making whole power of prescribing the rules, whereby every
rules; man may know, what goods he may enjoy, and
whereby the
subjects may what actions he may do, without being molested by
every man any of his fellow-subjects; and this is it men call
know what is propriety. For before constitution of sovereign
so his own, power, as hath already been shown, all men had
as no other right to all things; which necessarily causeth war:
subject can
without and therefore this propriety, being necessary to
peace, and depending on sovereign power, is the act
of that power, in order to the public peace. These
injustice take rules of propriety, or meum and tuum, and of good,
it from him. evil, lawful, and unlawful in the actions of subjects,
are the civil laws; that is to say, the laws of each commonwealth in
particular; though the name of civil law be now restrained to the
ancient civil laws of the city of Rome; which being the head of a
great part of the world, her laws at that time were in these parts the
civil law.
8. To him also Eighthly, is annexed to the sovereignty, the right
belongeth of judicature; that is to say, of hearing and deciding
the right of all controversies, which may arise concerning law,
judicature
and decision either civil, or natural; or concerning fact. For
of without the decision of controversies, there is no
controversy. protection of one subject, against the injuries of
another; the laws concerning meum and tuum are
in vain; and to every man remaineth, from the natural and necessary
appetite of his own conservation, the right of protecting himself by
his private strength, which is the condition of war, and contrary to
the end for which every commonwealth is instituted.
9. And of Ninthly, is annexed to the sovereignty, the right of
making war, making war and peace with other nations, and
and peace, as commonwealths; that is to say, of judging when it is
he shall think
best. for the public good, and how great forces are to be
assembled, armed, and paid for that end; and to
levy money upon the subjects, to defray the expenses thereof. For
the power by which the people are to be defended, consisteth in
their armies; and the strength of an army, in the union of their
strength under one command; which command the sovereign
instituted, therefore hath; because the command of the militia,
without other institution, maketh him that hath it sovereign. And
therefore whosoever is made general of an army, he that hath the
sovereign power is always generalissimo.
10. And of Tenthly, is annexed to the sovereignty, the
choosing all choosing of all counsellors, ministers, magistrates,
counsellors and officers, both in peace, and war. For seeing the
and
ministers, sovereign is charged with the end, which is the
common peace and defence, he is understood to
both of peace have power to use such means, as he shall think
& war. most fit for his discharge.
11. And of Eleventhly, to the sovereign is committed the
rewarding power of rewarding with riches, or honour, and of
and punishing with corporal or pecuniary punishment, or
punishing,
and that with ignominy, every subject according to the law he
(where no hath formerly made; or if there be no law made,
former law according as he shall judge most to conduce to the
hath encouraging of men to serve the commonwealth, or
determined deterring of them from doing disservice to the
the measure
of it) same.
arbitrarily. 12. And of Lastly, considering what value
honour and men are naturally apt to set upon
order. themselves; what respect they look
for from others; and how little they value other men; from whence
continually arise amongst them, emulation, quarrels, factions, and at
last war, to the destroying of one another, and diminution of their
strength against a common enemy; it is necessary that there be laws
of honour, and a public rate of the worth of such men as have
deserved, or are able to deserve well of the commonwealth; and
that there be force in the hands of some or other, to put those laws
in execution. But it hath already been shown, that not only the
whole militia, or forces of the commonwealth; but also the judicature
of all controversies, is annexed to the sovereignty. To the sovereign
therefore it belongeth also to give titles of honour; and to appoint
what order of place, and dignity, each man shall hold; and what
signs of respect, in public or private meetings, they shall give to one
another.
These rights These are the rights, which make the essence of
are sovereignty; and which are the marks, whereby a
indivisible. man may discern in what man, or assembly of men,
the sovereign power is placed, and resideth. For these are
incommunicable, and inseparable. The power to coin money; to
dispose of the estate and persons of infant heirs; to have
præemption in markets; and all other statute prerogatives, may be
transferred by the sovereign; and yet the power to protect his
subjects be retained. But if he transfer the militia, he retains the
judicature in vain, for want of execution of the laws: or if he grant
away the power of raising money; the militia is in vain; or if he give
away the government of doctrines, men will be frighted into
rebellion with the fear of spirits. And so if we consider any one of
the said rights, we shall presently see, that the holding of all the rest
will produce no effect, in the conservation of peace and justice, the
end for which all commonwealths are instituted. And this division is
it, whereof it is said, a kingdom divided in itself cannot stand: for
unless this division precede, division into opposite armies can never
happen. If there had not first been an opinion received of the
greatest part of England, that these powers were divided between
the King, and the Lords, and the House of Commons, the people had
never been divided and fallen into this civil war; first between those
that disagreed in politics; and after between the dissenters about
the liberty of religion; which have so instructed men in this point of
sovereign right, that there be few now in England that do not see,
that these rights are inseparable, and will be so generally
acknowledged at the next return of peace; and so continue, till their
miseries are forgotten; and no longer, except the vulgar be better
taught than they have hitherto been.
And can by And because they are essential and inseparable
no grant pass rights, it follows necessarily, that in whatsoever
away without words any of them seem to be granted away, yet if
direct
renouncing of the sovereign power itself be not in direct terms
the sovereign renounced, and the name of sovereign no more
power. given by the grantees to him that grants them, the
grant is void: for when he has granted all he can, if
we grant back the sovereignty, all is restored, as inseparably
annexed thereunto.
The power This great authority being indivisible, and
and honour inseparably annexed to the sovereignty, there is
of subjects little ground for the opinion of them, that say of
vanisheth in
the presence sovereign kings, though they be singulis majores, of
greater power than every one of their subjects, yet
they be universis minores, of less power than them
of the power all together. For if by all together, they mean not the
sovereign. collective body as one person, then all together, and
every one, signify the same; and the speech is absurd. But if by all
together, they understand them as one person, which person the
sovereign bears, then the power of all together, is the same with the
sovereign’s power; and so again the speech is absurd: which
absurdity they see well enough, when the sovereignty is in an
assembly of the people; but in a monarch they see it not; and yet
the power of sovereignty is the same in whomsoever it be placed.
And as the power, so also the honour of the sovereign, ought to
be greater, than that of any, or all the subjects. For in the
sovereignty is the fountain of honour. The dignities of lord, earl,
duke, and prince are his creatures. As in the presence of the master,
the servants are equal, and without any honour at all; so are the
subjects, in the presence of the sovereign. And though they shine
some more, some less, when they are out of his sight; yet in his
presence, they shine no more than the stars in the presence of the
sun.
Sovereign But a man may here object, that the condition of
power not so subjects is very miserable; as being obnoxious to
hurtful as the the lusts, and other irregular passions of him, or
want of it,
and the hurt them that have so unlimited a power in their hands.
proceeds for And commonly they that live under a monarch, think
the greatest it the fault of monarchy; and they that live under
part from not the government of democracy, or other sovereign
submitting assembly, attribute all the inconvenience to that
readily to a
less. form of commonwealth; whereas the power in all
forms, if they be perfect enough to protect them, is
the same: not considering that the state of man can never be
without some incommodity or other; and that the greatest, that in
any form of government can possibly happen to the people in
general, is scarce sensible, in respect of the miseries, and horrible
calamities, that accompany a civil war, or that dissolute condition of
masterless men, without subjection to laws, and a coercive power to
tie their hands from rapine and revenge: nor considering that the
greatest pressure of sovereign governors, proceedeth not from any
delight, or profit they can expect in the damage or weakening of
their subjects, in whose vigour, consisteth their own strength and
glory; but in the restiveness of themselves, that unwillingly
contributing to their own defence, make it necessary for their
governors to draw from them what they can in time of peace, that
they may have means on any emergent occasion, or sudden need,
to resist, or take advantage on their enemies. For all men are by
nature provided of notable multiplying glasses, that is their passions
and self-love, through which, every little payment appeareth a great
grievance; but are destitute of those prospective glasses, namely
moral and civil science, to see afar off the miseries that hang over
them, and cannot without such payments be avoided.
CHAPTER XIX.
OF THE SEVERAL KINDS OF COMMONWEALTH BY

INSTITUTION, AND OF SUCCESSION TO THE
SOVEREIGN POWER.
The different The difference of commonwealths, consisteth in

forms of the difference of the sovereign, or the person
commonweal
representative of all and every one of the multitude.
ths but three.
And because the sovereignty is either in one man,
or in an assembly of more than one; and into that assembly either
every man hath right to enter, or not every one, but certain men
distinguished from the rest; it is manifest, there can be but three
kinds of commonwealth. For the representative must needs be one
man, or more: and if more, then it is the assembly of all, or but of a
part. When the representative is one man, then is the
commonwealth a MONARCHY: when an assembly of all that will come
together, then it is a DEMOCRACY, or popular commonwealth: when an
assembly of a a part only, then it is called an ARISTOCRACY. Other kind
of commonwealth there can be none: for either one, or more, or all,
must have the sovereign power, which I have shown to be
indivisible, entire.
Tyranny and There be other names of government, in the
oligarchy, but histories, and books of policy; as tyranny, and
different
oligarchy: but they are not the names of other
names of
monarchy, forms of government, but of the same forms
and misliked. For they that are discontented under
aristocracy. monarchy, call it tyranny; and they that are
displeased with aristocracy, call it oligarchy: so also,
they which find themselves grieved under a democracy, call it
anarchy, which signifies want of government; and yet I think no man
Welcome to our website – the ideal destination for book lovers and
knowledge seekers. With a mission to inspire endlessly, we offer a
vast collection of books, ranging from classic literary works to
specialized publications, self-development books, and children's
literature. Each book is a new journey of discovery, expanding
knowledge and enriching the soul of the reade
Our website is not just a platform for buying books, but a bridge
connecting readers to the timeless values of culture and wisdom. With
an elegant, user-friendly interface and an intelligent search system,
we are committed to providing a quick and convenient shopping
experience. Additionally, our special promotions and home delivery
services ensure that you save time and fully enjoy the joy of reading.
Let us accompany you on the journey of exploring knowledge and

personal growth!
textbookfull.com

Implementing IT Processes The Main 17 IT Processes and Directions for a Successful Implementation 1st Edition Lionel Pilorget (Auth.) All Chapters Instant Download

Uploaded by

Copyright:

Available Formats

Implementing IT Processes The Main 17 IT Processes and Directions for a Successful Implementation 1st Edition Lionel Pilorget (Auth.) All Chapters Instant Download

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Implementing IT Processes The Main 17 IT Processes and Directions for a Successful Implementation 1st Edition Lionel Pilorget (Auth.) All Chapters Instant Download

Uploaded by

Copyright:

Available Formats

Download the Full Version of textbook for Fast Typing at textbookfull.

Implementing IT Processes The Main 17 IT Processes

Download More textbook Instantly Today - Get Yours Now at textbookfull.com

May It Please the Court, Third Edition: Judicial Processes

Certifiable Software Applications 1. Main Processes 1st

Align Client and Provider Perspectives Best Practices in

Biopharmaceutical Processing Development Design and

Success and Failure of IS/IT Projects: A State of the Art

The Presentation Book: How To Create It, Shape It And

The Science of Sleep: What It Is, How It Works, and Why It

Mend It Wear It Love It Stitch Your Way to a Sustainable

ISBN 978-3-658-04772-6 ISBN 978-3-658-04773-3 (eBook)

Library of Congress Control Number: 2014958898

Printed on acid-free paper

Springer is part of Springer Science+Business Media

BCM Business Continuity Management

List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

Part I Introduction of IT Process Modeling

2 Presentation of the IT Process Map . . . . . . . . . . . . . . . . . . . . . . . . . 9

4 IT Governance and Process Roles . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Part II Description of the Individual IT Processes

5 Functional Group: Strategic Decision Making . . . . . . . . . . . . . . . . . . 51

6 Functional Group: Planning and Controlling . . . . . . . . . . . . . . . . . . . 73

7 Functional Group: Account Management . . . . . . . . . . . . . . . . . . . . . 93

8 Functional Group: Implementation of Changes . . . . . . . . . . . . . . . . . 107

9 Functional Group: IT Operation and Configuration Management . . . . . 129

10 Functional Group: Supply Management . . . . . . . . . . . . . . . . . . . . . . 139

11 Functional Group: IT Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145

Part III Implementation of the Model

12 Introduction of Standard IT Processes . . . . . . . . . . . . . . . . . . . . . . . 159

13 Process Performance Indicators and Reporting . . . . . . . . . . . . . . . . . 177

14 Evaluation of Process Maturity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199

A) IT Management Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217

B) COBIT 4.0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221

Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237

Fig. 2.1 The role of the IT organization . . . . . . . . . . . . . . . . . . .. . . . . . 9

Fig. 7.1 Description of P09 – Service Management . . . . . . . . . . . . . . . . . . 99

Table 2.1 Factors that influence the selection of standard IT processes . . . . . . . 18

Table 8.1 Main activities in P11 – IT Project Management . . . . . . . . . . . . . . 114

the systematic use and development of process standards in various IT organizations in

The strategic level

The tactical level

The operational level

Part I Introduction of IT Process Modeling (Chaps. 2 to 4)

Part II Description of the Individual IT Processes (Chaps. 5 to 11)

Part III Implementation of Standard IT Processes (Chaps. 12 to 14)

The individual chapters are outlined below.

Chapter 3 The high degree of inter-process dependency represents a conceptual diffi-

The strategic level

Chapter 4 In the context of introducing standard processes within the organization, it

Part II: Description of the Individual IT Processes

P04 – Financial Management

P06 – IT Project Portfolio Management

P09 – Service Management

P11 – Project Management

P14 – IT Operation & Configuration Management

P15 – IT Supplier Management

P16 – Incident Management

Part III: Implementation of Standard IT Processes

Chapter 12 Chapter 12 focuses on the task of process implementation and includes a