Implementing IT Processes The Main 17 IT Processes and Directions For A Successful Implementation 1st Edition Lionel Pilorget (Auth.)

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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
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In addition, we recommend a fifth subcommission, to be known
as the subcommission on statistics, in the membership of which
there shall be one representative of each of the above
subcommissions. …
"The committee also suggests that there are certain subjects

of inquiry which appertain equally to all the groups into
which it has recommended that the Commission be segregated.
The subjects of immigration, of education, of combinations and
trusts, and of taxation at once suggest themselves as
belonging in this category. It is therefore recommended that
these subjects, one or more of them, be examined into by the
full Commission pending the organization of the several
subcommissions."
The subject to which the Commission gave earliest attention

was that of "Trusts and Industrial Combinations," on which it
submitted a preliminary report on the 1st of March, 1900.
See (in this volume)

TRUSTS.
{600}
UNITED STATES OF AMERICA: A. D. 1898 (June).

Act providing for the arbitration of disputes between
employers and employees in inter-state commerce.
The following are the main sections of a very important Act of

Congress, approved June 1, 1898, which provides for the
arbitration of disputes between railway and other employees
engaged in interstate commerce and the companies or
individuals employing them:
"That the provisions of this Act shall apply to any common

carrier or carriers and their officers, agents, and employees,
except masters of vessels and seamen, … engaged in the
transportation of passengers or property wholly by railroad,
or partly by railroad and partly by water, for a continuous
carriage or shipment, from one State or Territory of the
United States or the District of Columbia, to any other State
or Territory of the United States, or the District of
Columbia, or from any place in the United States to an
adjacent foreign country, or from any place in the United
States through a foreign country to any other place in the
United States. …
"Section 2. That whenever a controversy concerning wages,

hours of labor, or conditions of employment shall arise
between a carrier subject to this Act and the employees of
such carrier, seriously interrupting or threatening to
interrupt the business of said carrier, the chairman of the
Interstate Commerce Commission and the Commissioner of Labor
shall, upon the request of either party to the controversy,
with all practicable expedition, put themselves in
communication with the parties to such controversy, and shall
use their best efforts, by mediation and conciliation, to
amicably settle the same; and if such efforts shall be
unsuccessful, shall at once endeavor to bring about an
arbitration of said controversy in accordance with the
provisions of this Act.
"Section 3. That whenever a controversy shall arise between a

carrier subject to this Act and the employees of such carrier
which can not be settled by mediation and conciliation in the
manner provided in the preceding section, said controversy may
be submitted to the arbitration of a board of three persons,
who shall be chosen in the manner following: One shall be
named by the carrier or employer directly interested; the
other shall be named by the labor organization to which the
employees directly interested belong, or, if they belong to
more than one, by that one of them which specially represents
employees of the same grade and class and engaged in services
of the same nature as said employees so directly interested:
Provided, however, That when a controversy involves and
affects the interests of two or more classes and grades of
employees belonging to different labor organizations, such
arbitrator shall be agreed upon and designated by the
concurrent action of all such labor organizations; and in
cases where the majority of such employees are not members of
any labor organization, said employees may by a majority vote
select a committee of their own number, which committee shall
have the right to select the arbitrator on behalf of said
employees. The two thus chosen shall select the third
commissioner of arbitration; but, in the event of their
failure to name such arbitrator within five days after their
first meeting, the third arbitrator shall be named by the
commissioners named in the preceding section. A majority of
said arbitrators shall be competent to make a valid and
binding award under the provisions hereof. The submission
shall be in writing, shall be signed by the employer and by
the labor organization representing the employees, shall
specify the time and place of meeting of said board of
arbitration, shall state the questions to be decided, and
shall contain appropriate provisions by which the respective
parties shall stipulate, as follows:
"First. That the board of arbitration shall commence their

hearings within ten days from the date of the appointment of
the third arbitrator, and shall find and file their award, as
provided in this section, within thirty days from the date of
the appointment of the third arbitrator; and that pending the
arbitration the status existing immediately prior to the
dispute shall not be changed: Provided, That no employee shall
be compelled to render personal service without his consent.
"Second. That the award and the papers and proceedings,

including the testimony relating thereto certified under the
hands of the arbitrators and which shall have the force and
effect of a bill of exceptions, shall be filed in the clerk's
office of the circuit court of the United States for the
district wherein the controversy arises or the arbitration is
entered into, and shall be final and conclusive upon both
parties, unless set aside for error of law apparent on the
record.
"Third. That the respective parties to the award will each

faithfully execute the same, and that the same may be
specifically enforced in equity so far as the powers of a
court of equity permit: Provided, That no injunction or other
legal process shall be issued which shall compel the
performance by any laborer against his will of a contract for
personal labor or service.
"Fourth. That employees dissatisfied with the award shall not

by reason of such dissatisfaction quit the service of the
employer before the expiration of three months from and after
the making of such award without giving thirty days' notice in
writing of their intention so to quit. Nor shall the employer
dissatisfied with such award dismiss any employee or employees
on account of such dissatisfaction before the expiration of three
months from and after the making of such award without giving
thirty days' notice in writing of his intention so to
discharge.
"Fifth. That said award shall continue in force as between the

parties thereto for the period of one year after the same
shall go into practical operation, and no new arbitration upon
the same subject between the same employer and the same class
of employees shall be had until the expiration of said one
year if the award is not set aside as provided in section
four. That as to individual employees not belonging to the
labor organization or organizations which shall enter into the
arbitration, the said arbitration and the award made therein
shall not be binding, unless the said individual employees
shall give assent in writing to become parties to said
arbitration. …
"Section 7. That during the pendency of arbitration under this
Act it shall not be lawful for the employer, party to such
arbitration, to discharge the employees, parties thereto,
except for inefficiency, violation of law, or neglect of duty;
nor for the organization representing such employees to order,
nor for the employees to unite in, aid, or abet, strikes
against said employer; nor, during a period of three months
after an award under such an arbitration, for such an employer
to discharge any such employees, except for the causes
aforesaid, without giving thirty days' written notice of an
intent so to discharge; nor for any of such employees, during
a like period, to quit the service of said employer without
just cause, without giving to said employer thirty days'
written notice of an intent so to do; nor for such
organization representing such employees to order, counsel, or
advise otherwise.
{601}
Any violation of this section shall subject the offending
party to liability for damages; Provided, that nothing herein
contained shall be construed to prevent any employer, party to
such arbitration, from reducing the number of its or his
employees whenever in its or his judgment business necessities
require such reduction. …
"Section 10. That any employer subject to the provisions of

this Act and any officer, agent, or receiver of such employer
who shall require any employee, or any person seeking
employment, as a condition of such employment, to enter into
an agreement, either written or verbal, not to become or
remain a member of any labor corporation, association, or
organization; or shall threaten any employee with loss of
employment, or shall unjustly discriminate against any
employee because of his membership in such a labor
corporation, association, or organization; or who shall
require any employee or any person seeking employment, as a
condition of such employment, to enter into a contract whereby
such employee or applicant for employment shall agree to
contribute to any fund for charitable, social or beneficial
purposes; to release such employer from legal liability for
any personal injury by reason of any benefit received from
such fund beyond the proportion of the benefit arising from
the employer's contribution to such fund; or who shall, after
having discharged an employee, attempt or conspire to prevent
such employee from obtaining employment, or who shall, after
the quitting of an employee, attempt or conspire to prevent
such employee from obtaining employment, is hereby declared to
be guilty of a misdemeanor, and, upon conviction thereof in
any court of the United States of competent jurisdiction in
the district in which such offense was committed, shall be
punished for each offense by a fine of not less than one
hundred dollars and not more than one thousand dollars."
United States Statutes at Large,

volume 30, page 424.
UNITED STATES OF AMERICA: A. D. 1898 (June).

The War with Spain.
Seizure of the island of Guam.
The following order, dated May 10, 1898, was addressed by the
Secretary of the Navy to the Commander of the U. S. S.
'Charleston':
"Upon the receipt of this order, which is forwarded by the

steamship 'City of Pekin' to you at Honolulu, you will proceed
with the 'Charleston' and 'City of Pekin' in company, to
Manila, Philippine Islands. On your way, you are hereby
directed to stop at the Spanish Island of Guam. You will use
such force as may be necessary to capture the port of Guam,
making prisoners of the governor and other officials and any
armed force that may be there. You will also destroy any
fortifications on said island and any Spanish naval vessels
that may be there, or in the immediate vicinity. These
operations at the Island of Guam should be very brief, and
should not occupy more than one or two days. Should you find
any coal at the Island of Guam, you will make such use of it
as you consider desirable. It is left to your discretion
whether or not you destroy it. From the Island of Guam,
proceed to Manila and report to Rear-Admiral George Dewey, U.
S. N., for duty in the squadron under his command."
In a despatch dated June 24, Captain Glass, of the

"Charleston," reported the execution of these orders as
follows: "I have the honor to report that in obedience to the
Department's telegraphic order of May 24, 1898, this ship
sailed from Honolulu, Hawaiian Islands, on the 4th instant for
Manila with the transports 'City of Pekin,' 'Australia,' and
'City of Sydney' under convoy. When clear of land, I opened
the confidential order of May 10, 1898, and changed course for
the Island of Guam, next day informing Commander Gibson, in
charge of transports, and Brigadier-General Anderson,
commanding expeditionary force, of the change in my orders and
that the transports would accompany the 'Charleston.' Arriving
off the north end of the island at daylight, June 20, I first
visited the port of Agana, the capital of Guam, and of the
Mariana group, and finding no vessels there of any kind,
proceeded to San Luis D'Apra, where it was expected that a
Spanish gunboat and a military force would be found, a rumor
to that effect having reached me while at Honolulu. Arriving
off the port at 8.30 a. m., it was found that Fort Santiago,
on Oroté Point, was abandoned and in ruins, and I steamed
directly into the harbor, having ordered the transports to
take a safe position outside and await instructions. A few
shots were fired from the secondary battery at Fort Santa Cruz
to get the range and ascertain if it was occupied. Getting no
response, ceased firing and came to anchor in a position to
control the harbor, and it was then found that this fort also
was abandoned. The only vessel in port was a small Japanese
trading vessel from Yokohama. An officer had just shoved off
from the ship to board the Japanese vessel, and obtain
information as to the condition of affairs on shore, when a
boat was seen approaching the ship, through the reefs at the
head of the harbor, flying the Spanish flag and bringing two
officers, the captain of the port, a lieutenant-commander in
the Spanish navy, and the health officer, a surgeon of the
Spanish army. These officers came on board, and, in answer to
my questions, told me they did not know that war had been
declared between the United States and Spain, their last news
having been from Manila, under date of April 14. I informed
them that war existed and that they must consider themselves
as prisoners. As they stated that no resistance could be made
by the force on the island, I released them on parole for the
day, to proceed to Agana and inform the governor that I
desired him to come on board ship at once, they assuring me
that he would do so as soon as he could reach the port. While
awaiting the return of these officers, an examination was made
of the harbor, the only dangers to navigation were buoyed, and
the transports came in during the afternoon.
"At 5 p. m. the governor's secretary, a captain in the Spanish

army, came on board, bringing me a letter from the governor,
in which he stated that he was not allowed by law to go on
board a foreign vessel and requested me to meet him on shore
for a conference. This letter is appended, marked A. As it was
then too late to land a party, from the state of the tide on
the reef between the ship and the landing place, I directed
the secretary to return and say to the governor that I would
send an officer ashore with a communication for him early next
day.
{602}
… At 8.30 a. m. on June 21 Lieutenant William Braunersreuther
was sent ashore, under flag of truce, with a written demand
for the immediate surrender of the defenses of the Island of
Guam and all officials and persons in the military service of
Spain. Mr. Braunersreuther was directed to wait half an hour
only for a reply, to bring the governor and other officials on
board as prisoners of war in case of surrender, or in case of
refusal or delay beyond the time given, to return and take
command of the landing force, which he would find in
readiness, and proceed to Agaña. At 12.15 p. m. Mr.
Braunersreuther returned to the ship, bringing off the
governor and three other officers, his staff, and handed me a
letter from the governor acceding fully to my demand. Having
received the surrender of the Island of Guam, I took formal
possession at 2.45 p. m., hoisting the American flag on Fort
Santa Cruz and saluting it with 21 guns from the 'Charleston.'
From a personal examination of Fort Santa Cruz, I decided that
it was entirely useless as a defensive work, with no guns and
in a partly ruinous condition, and that it was not necessary
to expend any mines in blowing it up. The forts at Agaña, San
Luis D'Apra, and Umata are of no value and no guns remain in
the island except four small cast-iron guns of obsolete
pattern at Agaña, formerly used for saluting, but now
condemned as unsafe even for that purpose. No Spanish vessel
of war has visited Guam during the last eighteen months. No
coal was found on the island."
Annual Reports of the Navy Department, 1898,

volume 2, pages 151-3.
UNITED STATES OF AMERICA: A. D. 1898 (June-July).

War with Spain.
Expedition of the army under General Shafter
against Santiago de Cuba.
Battles of El Caney and San Juan Hill.
To co-operate with the navy in operations for the capture of

Santiago de Cuba, and of the Spanish fleet blockaded in the
harbor of that town, orders were issued from Washington on the
31st of May, by Major-General Miles, Commanding the Army,
"with the approval of the Secretary of War," which directed
General Shafter, commanding the forces assembled at Tampa,
Florida, to place them on transports and proceed with them,
under convoy of the navy, to Santiago. Owing to an extreme
lack of both railway and harbor facilities at Tampa, an entire
week was consumed in the embarkation of the troops and
supplies. When on shipboard, the expedition was delayed
another week by false reports of the appearance of Spanish
cruisers on the Cuban coast, which seemed to the Washington
authorities to call for a stronger naval convoy to guard the
transport fleet. It was not until the 14th of June that the
fleet was permitted to sail, with 16,000 men. It arrived off
Guantanamo, near Santiago, on the morning of the 20th.
Meantime, the blockading fleet had bombarded the forts at

Santiago twice, on the 6th and on the 16th, and had silenced
them, for the time being, on both occasions, but apparently
with no permanent effect. With more success, two vessels from
the fleet had entered the harbor of Guantanamo on the 7th and
taken possession of the lower bay, where a marine battalion
was landed on the 10th and established in camp, to hold ground
until the army arrived. Meantime, also, communication with
General Garcia, commanding Cuban forces, had been opened, and
arrangements made, the results of which were subsequently
acknowledged by General Miles, in his annual report, as
follows:
"General Garcia regarded my requests as his orders, and

promptly took steps to execute the plan of operations. He sent
3,000 men to check any movement of the 12,000 Spaniards
stationed at Holguín. A portion of this latter force started
to the relief of the garrison at Santiago, but was
successfully checked and turned back by the Cuban forces under
General Feria. General Garcia also sent 2,000 men, under
Perez, to oppose the 6,000 Spaniards at Guantánamo, and they
were successful in their object. He also sent 1,000 men, under
General Ríos, against the 6,000 men at Manzanillo. Of this
garrison, 3,500 started to reenforce the garrison at Santiago,
and were engaged in no less than thirty combats with the
Cubans on their way before reaching Santiago. … With an
additional force of 5,000 men General Garcia besieged the
garrison of Santiago, taking up a strong position on the west
side and in close proximity to the harbor, and he afterwards
received General Shafter and Admiral Sampson at his camp near
that place. He had troops in the rear, as well as on both
sides of the garrison at Santiago before the arrival of our
troops."
Annual Reports of the War Department, 1898,

volume 1, part 2, page 16.
The troops from Tampa, under General Shafter, arriving on the

20th, were disembarked on the 22d, 23d and 24th, at Daiquiri,
and advanced to Siboney. The first resistance encountered was
at La Guasima, three miles from Siboney, on the Santiago road,
where the Spaniards were driven from strong entrenchments by a
part of Young's brigade of General Wheeler's cavalry division
(dismounted). The brigade thus first in the fighting was
composed of the 1st and 10th regiments of regular cavalry and
the 1st United States Volunteer cavalry, commonly called the
"Rough Riders." After the engagement at La Guasima, six days
were occupied in concentrating the army (including the Cuban
auxiliaries of General Garcia), mostly at Sevilla, a short
distance beyond La Guasima, on the same road, and in
overcoming great difficulties of transportation for supplies.
On June 30, General Shafter reconnoitered the country around

Santiago and made his plan of attack. "From a high hill," says
his subsequent report, "from which the city was in plain view,
I could see the San Juan Hill and the country about El Caney. The
roads were very poor, and, indeed, little better than
bridlepaths, until the San Juan River and El Caney were
reached. The position of El Caney, to the northeast of
Santiago, was of great importance to the enemy as holding the
Guantanamo road, as well as furnishing shelter for a strong
outpost that might be used to assail the right flank and rear
of any force operating against San Juan Hill. In view of this
I decided to begin the attack next day at El Caney with one
division, while sending two divisions on the direct road to
Santiago, passing by El Poso House, and, as a diversion, to
direct a small force against Aguadores from Siboney along the
railroad by the sea, with a view of attracting the attention
of the Spaniards in the latter direction and of preventing
them from attacking our left flank.
"During the afternoon I assembled the division commanders and

explained to them my general plan of battle. Lawton's division
[composed of Chaffee's, Miles' and Ludlow's brigades],
assisted by Capron's light battery, was ordered to move out
during the afternoon toward El Caney, to begin the attack
there early the next morning.
{603}
Map Illustrating the Santiago Campaign…
{604}
After carrying El Caney, Lawton was to move by the Caney road

toward Santiago and take position on the right of the line.
Wheeler's division of dismounted cavalry [embracing Sumner's
brigade—3d, 6th and 9th regular cavalry, and Young's brigade
mentioned above] and Kent's division of infantry [Wikoft's,
Hawkins's and Pearson's brigades] were directed on the
Santiago road, the head of the column resting near El Poso,
toward which heights Grimes's battery moved on the afternoon
of the 30th, with orders to take position thereon early the
next morning and at the proper time prepare the way for the
advance of Wheeler and Kent on San Juan Hill. The attack at
this point was to be delayed until Lawton's guns were heard
at El Caney and his infantry fire showed he had become well
engaged.
"The remainder of the afternoon and night was devoted to

cutting out and repairing the roads and to other necessary
preparations for battle. These preparations were far from what
I desired them to be; but we were in a sickly climate; our
supplies had to be brought forward by a narrow wagon road,
which the rains might at any time render impassable; fear was
entertained that a storm might drive the vessels containing
our stores to sea, thus separating us from our base of
supplies; and lastly, it was reported that General Pando, with
8,000 reenforcements for the enemy, was en route from
Manzanillo and might be expected in a few days. Under those
conditions I determined to give battle without delay.
"Early on the morning of July 1, Lawton was in position around

El Caney, Chaffee's brigade [7th, 12th, and 13th U. S.
Infantry] on the right, across the Guantanamo road; Miles's
brigade [1st, 4th, and 25th U. S. Infantry] in the center, and
Ludlow's [8th and 22d U. S. Infantry and 2d Microcassettes
Volunteers] on the left. The duty of cutting off the enemy's
retreat along the Santiago road was assigned to the latter
brigade. The artillery opened on the town at 6.15 A. M. The
battle here soon became general and was hotly contested. The
enemy's position was naturally strong and was rendered more so
by blockhouses, a stone fort, and entrenchments cut in solid
rock, and the loopholing of a solidly built stone church. The
opposition offered by the enemy was greater than had been
anticipated, and prevented Lawton from joining the right of
the main line during the day, as had been intended.
"After the battle had continued for some time Bates's brigade
of two regiments (3d and 20th United States Infantry] reached
my headquarters from Siboney. I directed him to move near El
Caney, to give assistance, if necessary. He did so and was put
in position between Miles and Chaffee. The battle continued
with varying intensity during most of the day and until the
place was carried by assault, about 4.30 p. m. As the
Spaniards endeavored to retreat along the Santiago road,
Ludlow's position enabled him to do very effective work and to
practically cut off all retreat in that direction.
"After the battle at El Caney was well opened and the sound of
the small-arms fire caused us to believe that Lawton was
driving the enemy before him, I directed Grimes's battery to
open fire from the heights of El Poso on the San Juan'
blockhouse, which could be seen situated in the enemy's
entrenchments extending along the crest of San Juan Hill. This
fire was effective and the enemy could be seen running away
from the vicinity of the blockhouse. The artillery fire from
El Poso was soon returned by the enemy's artillery. They
evidently had the range of this hill, and their first shells
killed and wounded several men. As the Spaniards used
smokeless powder it was very difficult to locate the positions
of their pieces, while, on the contrary, the smoke caused by our
black powder plainly indicated the position of our battery.
"At this time the cavalry division [of General Wheeler] under
General Sumner (commanding temporarily in consequence of the
illness of General Wheeler, who returned to duty that day],
which was lying concealed in the general vicinity of the El
Poso House, was ordered forward, with directions to cross the
San Juan River and deploy to the right on the Santiago side,
while Kent's division was to follow closely in its rear and
deploy to the left. These troops moved forward in compliance
with orders, but the road was so narrow as to render it
impracticable to retain the column of fours formation at all
points, while the undergrowth on either side was so dense as
to preclude the possibility of deploying skirmishers. It
naturally resulted that the progress made was slow, and the
long range rifles of the enemy's infantry killed and wounded a
number of our men while marching along this road and before
there was any opportunity to return this fire. At this time
Generals Kent and Sumner were ordered to push forward with all
possible haste and place their troops in position to engage the
enemy. General Kent, with this end in view, forced the head of
his column alongside of the cavalry column as far as the
narrow trail permitted, and thus hurried his arrival at the
San Juan and the formation beyond that stream. A few hundred
yards before reaching the San Juan the road forks, a fact that
was discovered by Lieutenant-Colonel Derby, of my staff, who
had approached well to the front in a war balloon. This
information he furnished to the troops, resulting in Sumner
moving on the right-hand road, while Kent was enabled to
utilize the road to the left. … After crossing the stream, the
cavalry moved to the right with a view of connecting with
Lawton's left when he should come up, and with their left
resting near the Santiago road. In the meanwhile Kent's
division, with the exception of two regiments of Hawkins's
brigade, being thus uncovered, moved rapidly to the front from
the forks previously mentioned in the road, utilizing both
trails, but more especially the one to the left, and crossing
the creek formed for attack in the front of San Juan Hill."
"The particulars of this gallant attack, which won the hill

and decided the fate of Santiago, are given with more
clearness in the report of General Kent, who commanded the
division which had most of the fighting to do, than in that of
General Shafter. Wikoff's 'heroic brigade,' writes General
Kent, 'consisting of the 13th, 9th, and 24th United States
Infantry, speedily crossed the stream and were quickly
deployed to the left of the lower ford.
{605}
While personally superintending this movement Colonel Wikoff
was killed, the command of the brigade then devolving upon
Lieutenant-Colonel Worth, 13th Infantry, who immediately fell
severely wounded, and then upon Lieutenant-Colonel Liscum,
24th Infantry, who, five minutes later, also fell under the
withering fire of the enemy. The command of the brigade then
devolved upon Lieutenant-Colonel E. P. Ewers, 9th Infantry.
Meanwhile I had again sent a staff officer to hurry forward
the second brigade [Pearson's] which was bringing up the rear.
The 10th and 2d Infantry, soon arriving at the forks, were
deflected to the left to follow the Third Brigade [Wikoff's],
while the 21st was directed along the main road to support
Hawkins [whose brigade was composed of the 6th and 16th U. S.
Infantry and the 71st New York Volunteers].
"Crossing the lower ford a few minutes later, the 10th and 2d
moved forward in column in good order toward the green knoll …
on the left. Approaching the knoll the regiments deployed,
passed over the knoll, and ascended the high ridge beyond,
driving back the enemy in the direction of his trenches. I
observed this movement from the Fort San Juan Hill. … Prior to
this advance of the second brigade, the third, connecting with
Hawkins's gallant troops on the right, had moved toward Fort
San Juan, sweeping through a zone of most destructive fire,
scaling a steep and difficult hill, and assisting in capturing
the enemy's strong position (Fort San Juan) at 1.30 p. m. This
crest was about 125 feet above the general level and was
defended by deep trenches and a loopholed brick fort
surrounded by barbed-wire entanglements. General Hawkins, some
time after I reached the crest, reported that the 6th and 16th
Infantry had captured the hill, which I now consider
incorrect. Credit is almost equally due the 6th, 9th, 13th,
16th, and 24th regiments of infantry. … The Thirteenth
Infantry captured the enemy's colors waving over the fort, but
unfortunately destroyed them. …
"The greatest credit is due to the officers of my command,

whether company, battalion, regimental, or brigade commanders,
who so admirably directed the formation of their troops,
unavoidably intermixed in the dense thicket, and made the
desperate rush for the distant and strongly defended crest, I
have already mentioned the circumstances of my third brigade's
advance across the ford, where, in the brief space of ten
minutes, it lost its brave commander (killed) and the next two
ranking officers by disabling wounds; yet in spite of these
confusing conditions the formations were effected without
hesitation, although under a stinging fire, companies acting
singly in some instances and by battalions and regiments in
others, rushing through the jungle, across the stream, waist
deep, and over the wide bottom thickly set with barbed-wire
entanglements. …
"The enemy having retired to a second line of rifle pits, I

directed my line to hold their positions and intrench. At ten
minutes past 3 p. m. I received almost simultaneously two
requests—one from Colonel Wood, commanding a cavalry brigade,
and one from General Sumner—asking for assistance for the
cavalry on my right, 'as they were hard pressed.' I
immediately sent to their aid the 13th Infantry, who promptly
went on this further mission, despite the heavy losses they
had already sustained. Great credit is due to the gallant
officer and gentleman, Brigadier General H. S. Hawkins, who,
placing himself between the two regiments, leading his
brigade, the 6th and 16th Infantry, urged and led them by
voice and bugle calls to the attack so successfully
accomplished."

The part borne by the dismounted cavalry division in the

capture of the Spanish intrenchments on San Juan Hill is
described as follows in the report of General Sumner,
temporarily in command:
"After crossing the creek with sufficient strength to hold it

and protect the crossing, I received verbal orders to move by
the right flank to connect with Lawton's left. During the
execution of this movement a balloon, under command of Colonel
Derby, came up the road, forcing open Wood's Brigade and
cutting it in two, thereby delaying the movement. The
artillery fire of the enemy opened upon the balloon and
continued for more than an hour, thereby subjecting part of my
command massed and the rest moving by the flank to long
shrapnel fire. Many officers and men were wounded here by
exploding shells and small arms' firing of the enemy. After
completing the deployment the command was so much committed to
battle that it became necessary either to advance or else
retreat under fire.
"Lieutenant Miley, representing General Shafter, authorized an

advance, which was ordered, Carroll's brigade taking the
advance, reinforced on the right by Roosevelt's regiment and
supported by the 1st and 10th Cavalry of Wood's Brigade. The
advance was made under heavy infantry fire through open flat
ground, cut up by wire fences, to the creek, dIstant about 600
yards. The advance was made in good order, the enemy's fire
being returned only under favorable opportunities. In crossing
the flat one officer (Captain O'Neil) and several men were
killed and several officers and men wounded. Both sides of the
creek are heavily wooded for about 200 yards. The creek was
swollen, and the crossing through this space and the creek was
made with great difficulty. After passing through the thick
woods the ground was entirely open and fenced by wire. From
this line it was necessary to storm the hill, upon the top of
which is a house loopholed, etc., for defense. The slope of
the hill is very difficult, but the assault was made with
great gallantry and with much loss to the enemy. In this
assault Colonel Hamilton, Lieutenants Smith and Shipp were
killed; Colonel Carroll, Lieutenants Thayer and Myer were
wounded. A number of casualties occurred among the enlisted
men. After taking this hill the front line advanced to take
the Fort San Juan Hill under fire from strong force of the
enemy in trenches and house known as 'Blockhouse.' … The
assault was successful, the line storming the trenches and
blockhouse with conspicuous gallantry and coolness, capturing
three prisoners, wounding and killing many of the enemy. …
Connected with my left, Hawkins's brigade of Kent's division
carried everything in front of it and captured the house and
hill known as 'Fort San Juan' proper."

volume 1, part 2. page 370.
{606}
Lieutenant Colonel Roosevelt, who commanded the Rough Riders

regiment that day, while Colonel Wood commanded the brigade,
tells the story of the fight, and what followed, very tersely,
in his report: "After crossing the river at the ford," says
the Lieutenant-Colonel, "we were moved along and up its light
bank under fire, and were held in reserve at a sunken road.
Here we lost a good many men, including Captain O'Neil,
killed, and Lieutenant Haskell, wounded. We then received your
order to advance and support the regular cavalry in the attack

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Implementing IT Processes The Main 17

IT Processes and Directions for a

May It Please the Court, Third Edition: Judicial

Certifiable Software Applications 1. Main Processes 1st

Align Client and Provider Perspectives Best Practices

Biopharmaceutical Processing Development Design and

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

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

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

Mend It Wear It Love It Stitch Your Way to a

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

Fig. 2.1 The role of the IT organization

© Springer Fachmedien Wiesbaden 2015 9

To illustrate this, a distinction is drawn between three different levels of responsibility

2.1 The IT Process Map