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1 ISACA’s COBIT ® Assessment Programme (based on COBIT ® 5) Presented by:

2  Understanding the COBIT Assessment Programme, its ISOIEC base and the use of COBIT 5 content in it  Understanding the relationship to ISO/IEC and why ISACA selected this standard and approach  Understanding the COBIT Assessment Programme materials and support from ISACA Session Objectives Copyright ISACA 2014 All rights reserved Slide 2

3  ISO/IEC identifies process assessment as an activity that can be performed either as part of a process improvement initiative or as part of a capability determination approach.  The purpose of process improvement is to continually improve the enterprise’s effectiveness and efficiency.  The purpose of process capability determination is to identify the strengths, weaknesses and risk of selected processes with respect to a particular specified requirement through the processes used and their alignment with the business need.  It provides an understandable, logical, repeatable, reliable and robust methodology for assessing the capability of IT processes. What is A Process Assessment? Copyright ISACA 2014 All rights reserved Slide 3

4  The COBIT Assessment Programme brings together two proven heavyweights in the IT arena, ISO and ISACA.  The process assessment standard from ISO, ISO/IEC is combined with the process model from COBIT 5 to provide an understandable, logical, repeatable, reliable and robust methodology for assessing the capability of IT processes. What is the COBIT Assessment Programme? Copyright ISACA 2014 All rights reserved Slide 4

5 Programme support  The COBIT Assessment Programme Center/cobit/Pages/COBIT-Assessment-Programme.aspx products include:www.isaca.org/Knowledge- Center/cobit/Pages/COBIT-Assessment-Programme.aspx COBIT Self Assessment Guide: Using COBIT 5 A self-assessment tool kit COBIT Assessor Guide: Using COBIT 5 COBIT Process Assessment Model (PAM): Using COBIT 5  In addition, Accredited Training Organizations (ATOs) deliver the COBIT Assurance training course to candidates who have obtained the COBIT 5 Foundation certification.  ISACA has established a Certified COBIT Assessor certification, to allow appropriately trained and experienced assessors to be able to demonstrate their competence to assessment project sponsors, Assessor-Program.aspx.www.isaca.org/COBIT/Pages/COBIT-5-Certified- Assessor-Program.aspx Copyright ISACA 2014 All rights reserved Slide 5

6 Self-assessment approach Copyright ISACA 2014 All rights reserved Slide 6  Simple, stand alone guidance (10 pages plus short appendices and a supporting tool kit) has been developed in a Self- assessment Guide to support completion of a simplified assessment approach.  This approach can be used to perform a less rigorous status assessment, perhaps to determine problem or issue areas for internal discussion or for targeting a formal future compliant assessment.  This approach is aligned with the formal approach but does not require evidence collection. It is a good way to learn initially about the programme.

7 Assessment Overview This figure is reproduced from ISO :2003 with the permission of ISO at Copyright remains with ISO. Process Assessment Model Assessment Process Copyright ISACA 2014 All rights reserved Slide 7

8 Process Reference Model (PRM)  The COBIT process reference model (PRM) is defined in the Process Assessment Model publication.  The PRM content is directly based on COBIT 5: Enabling Processes content, with adjustments only made to reflect ISO/IEC terminology as necessary.  Process domain and scope, purpose and outcomes are defined for each of the 37 COBIT 5 processes. Copyright ISACA 2014 All rights reserved Slide 8

9 Assessment Overview This figure is reproduced from ISO :2003 with the permission of ISO at Copyright remains with ISO. Copyright ISACA All rights reserved Slide 9

10  The COBIT assessment process measures the extent to which a given process achieves specific attributes relative to that process— ‘process attributes.’  The COBIT assessment process defines nine process attributes (based on ISO/IEC ) PA 1.1 Process performance PA 2.1 Performance management PA 2.2 Work product management PA 3.1 Process definition PA 3.2 Process deployment PA 4.1 Process measurement PA 4.2 Process control PA 5.1 Process innovation PA 5.2 Continuous optimisation Measurement Framework Copyright ISACA All rights reserved Slide 10

11 Process Capability Levels Level 0Incomplete process Incomplete The process is not implemented or fails to achieve its purpose. Level 1Performed process PA 1.1Process performance attribute Level 1Performed process PA 1.1Process performance attribute Performed The process is implemented and achieves its process purpose. Level 2Managed process PA 2.1Performance management attribute PA 2.2Work product management attribute Level 2Managed process PA 2.1Performance management attribute PA 2.2Work product management attribute Managed The process is managed and work products are established, controlled and maintained. Level 4Predictable process PA 4.1Process measurement attribute PA 4.2Process control attribute Level 4Predictable process PA 4.1Process measurement attribute PA 4.2Process control attribute Predictable The process is enacted consistently within defined limits. Level 5Optimizing process PA 5.1Process innovation attribute PA 5.2Process optimization attribute Level 5Optimizing process PA 5.1Process innovation attribute PA 5.2Process optimization attribute Optimizing The process is continuously improved to meet relevant current and projected business goals. Level 3Established process PA 3.1Process definition attribute PA 3.2Process deployment attribute Level 3Established process PA 3.1Process definition attribute PA 3.2Process deployment attribute Established A defined process is used based on a standard process. Copyright ISACA All rights reserved Slide 11

12  PA 1.1 Process performance The process performance attribute is a measure of the extent to which the process purpose is achieved. As a result of full achievement of this attribute, the process achieves its defined outcomes. Process Attributes (example) Copyright ISACA 2014 All rights reserved Slide 12

13  PA 2.1 Performance management A measure of the extent to which the performance of the process is managed. As a result of full achievement of this attribute: a.Objectives for the performance of the process are identified. b.Performance of the process is planned and monitored. c.Performance of the process is adjusted to meet plans. d.Responsibilities and authorities for performing the process are defined, assigned and communicated. e.Resources and information necessary for performing the process are identified, made available, allocated and used. f.Interfaces between the involved parties are managed to ensure effective communication and clear assignment of responsibility.  PA 2.2 Work product management A measure of the extent to which the work products produced by the process are appropriately managed. As a result of full achievement of this attribute: a.Requirements for the work products of the process are defined. b.Requirements for documentation and control of the work products are defined. c.Work products are appropriately identified, documented and controlled. d.Work products are reviewed in accordance with planned arrangements and adjusted as necessary to meet requirements. Process Attributes (example) Copyright ISACA All rights reserved Slide 13

14  The COBIT assessment process measures the extent to which a given process achieves the ‘process attributes:’ Process Attribute Rating Scale NNot achieved—0 to 15% achievement There is little or no evidence of achievement of the defined attribute in the assessed process. PPartially achieved—> 15% to 50% achievement There is some evidence of an approach to, and some achievement of, the defined attribute in the assessed process. Some aspects of achievement of the attribute may be unpredictable. LLargely achieved—> 50% to 85% achievement There is evidence of a systematic approach to, and significant achievement of, the defined attribute in the assessed process. Some weakness related to this attribute may exist in the assessed process. FFully achieved—> 85% to 100% achievement There is evidence of a complete and systematic approach to, and full achievement of, the defined attribute in the assessed process. No significant weaknesses related to this attribute exist in the assessed process. Copyright ISACA All rights reserved Slide 14

15 PA 2.2 Work product management PA 2.1 Performance management Level 2 - Managed PA 1.1 Process performance Level 1 - Performed Level 0 - Incomplete PA 3.2 Deployment PA 3.1 Definition Level 3 - Established PA 4.2 Control PA 4.1 Measurement Level 4 - Predictable PA 5.1 Innovation PA 5.2 Optimization Level 5 - Optimizing 1 L/FL/F 2 L/FL/F F F 3 L/FL/F F 4L/FL/F F F F L/FL/F 5F F F F L/F = Largely or Fully F= Fully Process Attribute Ratings and Capability Levels This figure is reproduced from ISO :2003 with the permission of ISO at Copyright remains with ISO. Copyright ISACA All rights reserved Slide 15

16 COBIT Assessment Process Overview This figure is reproduced from ISO :2003 with the permission of ISO at Copyright remains with ISO. Copyright ISACA All rights reserved Slide 16

17 Process Capability Levels and Attributes Slide 17 COBIT 5 ISO This figure is reproduced from ISO :2003 with the permission of ISO at Copyright remains with ISO.

18 Process Attribute Rating  Assessment indicators in the PAM are used to support the assessors’ judgement in rating process attributes: Provide the basis for repeatability across assessments  A rating is assigned based on objective, validated evidence for each process attribute.  Traceability needs to be maintained between an attribute rating and the objective evidence used in determining that rating. Copyright ISACA All rights reserved Slide 18

19 Overview This figure is reproduced from ISO :2003 with the permission of ISO at Copyright remains with ISO. Copyright ISACA 2014 All rights reserved Slide 19

20 1Initiation 2Planning the assessment 3Briefing 4Data collection 5Data validation 6Process attributes rating 7 Reporting the results Assessment Process Activities Copyright ISACA All rights reserved Slide 20

21  Identify the sponsor and define the purpose of the assessment: Why it is being carried out?  Define the scope of the assessment: Which processes are being assessed? What constraints, if any, apply to the assessment?  Identify any additional information that needs to be gathered.  Select the assessment participants, the assessment team and define the roles of team members.  Define assessment inputs and outputs: Have them approved by the sponsor. 1. Initiation Copyright ISACA All rights reserved Slide 21

22  An assessment plan describing all activities performed in conducting the assessment: Is developed Is documented Contains an assessment schedule  Identify the project scope.  Secure the necessary resources to perform the assessment.  Determine the method of collating, reviewing, validating and documenting the information required for the assessment.  Co-ordinate assessment activities with the organisational unit being assessed. 2. Planning the Assessment Copyright ISACA All rights reserved Slide 22

23  The assessment team leader ensures that the assessment team understands the assessment: Input Process Output  Brief the organisational unit on the performance of the assessment: PAM, assessment scope, scheduling, constraints, roles and responsibilities, resource requirements, etc. 3. Briefing Copyright ISACA All rights reserved Slide 23

24  The assessor obtains (and documents) an understanding of the process(es) including process purpose, inputs, outputs and work products, sufficient to enable and support the assessment.  Data required for evaluating the processes within the scope of the assessment are collected in a systematic manner.  The strategy and techniques for the selection, collection and analysis of data and justification of the ratings are explicitly identified and demonstrable.  Each process identified in the assessment scope is assessed on the basis of objective evidence: ­ The objective evidence gathered for each attribute of each process assessed must be sufficient to meet the assessment purpose and scope. ­ Objective evidence that supports the assessors’ judgement of process attribute ratings is recorded and maintained in the assessment record: This record provides evidence to substantiate the ratings and to verify compliance with the requirements. 4. Data Collection Copyright ISACA All rights reserved Slide 24

25  Actions are taken to ensure that the data are accurate and sufficiently cover the assessment scope, including: Seeking information from firsthand, independent sources Using past assessment results Holding feedback sessions to validate the information collected  Some data validation may occur as the data is being collected. 5. Data Validation Copyright ISACA All rights reserved Slide 25

26  For each process assessed, a rating is assigned for each process attribute up to and including the highest capability level defined in the assessment scope.  The rating is based on data validated in the previous activity.  Traceability must be maintained between the objective evidence collected and the process attribute ratings assigned.  For each process attribute rated, the relationship between the indicators and the objective evidence is recorded. 6. Process Attribute Rating Copyright ISACA All rights reserved Slide 26

27  The results of the assessment are analysed and presented in a report.  The report also covers any key issues raised during the assessment such as: Observed areas of strength and weakness Findings of high risk, i.e., magnitude of gap between assessed capability and desired/required capability 7. Reporting the Results Copyright ISACA All rights reserved Slide 27

28 Level 1Level 2 PA 1.1 PA 2.1PA 2.2PA 3.1PA 3.2 Level 3 Process ATarget Capability Assessed Process CTarget Capability Assessed L LLF LLFFF Process BTarget Capability Assessed Target Process Capabilities (example) Copyright ISACA 2014 All rights reserved Slide 28

29 Consequence of Gaps at Various Capability Levels Consequence of Capability Gaps This figure is reproduced from ISO with the permission of ISO at Copyright remains with ISO. Copyright ISACA All rights reserved Slide 29

30 Risk Associated With Each Capability Level Capability Gaps and Risk This figure is reproduced from ISO with the permission of ISO at Copyright remains with ISO. Copyright ISACA All rights reserved Slide 30

31  COBIT process assessment roles: Lead assessor—a ‘competent’ assessor responsible for overseeing the assessment activities Assessor—an individual, developing assessor competencies, who performs the assessment activities  Assessor competencies: Knowledge, skills and experience: With the process reference model; process assessment model, methods and tools; and rating processes With the processes/domains being assessed Personal attributes that contribute to effective performance Assessor roles and competencies Copyright ISACA All rights reserved Slide 31

32 Assessor training and certification opportunities  Accredited training organizations (ATOs) deliver the COBIT Assurance training course to candidates who have obtained the COBIT 5 Foundation certification.  ISACA has established a Certified COBIT Assessor certification, to allow appropriately trained and experienced assessors to be able to demonstrate their competence to assessment project sponsors, Assessor-Program.aspxwww.isaca.org/COBIT/Pages/COBIT-5-Certified- Assessor-Program.aspx Copyright ISACA All rights reserved Slide 32

33 COBIT Assessment Programme: Contact Information: Goodbye and thank you... Copyright ISACA All rights reserved Slide 33


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