ISACA’s COBIT ® Assessment Programme Presented by:

ISACA’s COBIT® Assessment Programme ISACA’s COBIT® Assessment Programme

Presented by:

An understanding of the new COBIT assessment programme

An understanding of the relationship to ISO/IEC 15504 and why ISACA selected this standard

A walk through with one of the key COBIT 4.1 processes DS1 Define and manage service levels

Session Objectives

Copyright ISACA 2012. All rights reserved Slide 2

ISO/IEC 15504-4 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?


The COBIT Assessment Programme includes:• COBIT Process Assessment Model (PAM): Using

COBIT 4.1• COBIT Assessor Guide: Using COBIT 4.1• COBIT Self Assessment Guide: Using COBIT 4.1

The COBIT PAM brings together two proven heavyweights in the IT arena, ISO and ISACA

The COBIT PAM adapts the existing COBIT 4.1 content into an ISO 15504 compliant process assessment model

What is the new COBIT Assessment Programme?


But don’t we already have maturity models for COBIT 4.1 processes?

The new COBIT assessment programme is:• A robust assessment process based on ISO 15504• An alignment of COBIT’s maturity model scale with the international

standard• A new capability-based assessment model which includes:

• Specific process requirements derived from COBIT 4.1• Ability to achieve process attributes based on ISO 15504• Evidence requirements• Assessor qualifications and experiential requirements

Results in a more robust, objective and repeatable assessment

Assessment results will likely vary from existing COBIT maturity models!

What’s different?


The COBIT 4.1 PAM uses a measurement framework that is similar in terminology to the existing maturity models in COBIT 4.1

While the words are similar the scales are NOT the same:• The COBIT PAM uses the capability scale from ISO/IEC 15504, whereas the existing COBIT

maturity models uses a scale derived from SEI\CMM• A PAM level 3 is NOT the same as a CMM level 3• Assessments done under the PAM are likely to result in ‘lower’ scores• PAM assessments are based on more fully defined and defensible attributes

Differences to COBIT Maturity Model

COBIT 4.1 Process Maturity Level

ISO/IEC 15504 ProcessCapability Level Attribute

5 Optimised 5 Optimizing PA 5.1 Process innovationPA 5.2 Process optimization

4 Managed and measurable

4 Predictable PA 4.1 Process measurementPA 4.2 Process control

3 Defined 3 Established PA 3.1 Process definitionPA 3.2 Process deployment

2 Repeatable but intuitive

2 Managed PA 2.1Performance managementPA 2.2 Work product management

1 Initial/ad hoc 1 Performed PA 1.1 Process performance0 Non-existent 0 Incomplete


Assessment Overview

This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.

Process Assessment Model

Assessment Process


Process Reference Model

The high-level measurable objectives of performing the process and the likely outcomes of effective implementation of the process


Process Reference Model

The activities that, when consistently performed, contribute to achieving the process purpose

The artefacts associated with the execution of a process – defined in terms or process ‘inputs’ and process ‘outputs’

An observable result of a process - an artefact, a significant change of state or the meeting of specified constraints


PRM Based on COBIT 4.1Process ID DS1Process Name Define and Manage Service LevelsPurpose Satisfy the business requirement of ensuring the alignment of key IT services with the business needs.Outcomes (Os) Number Description

DS1-O1 A service management framework is in place to define the organisational structure for service level management, covering the base definitions of services, roles, tasks and responsibilities of internal and external service providers and customers.

DS1-O2 Internal and external SLAs are formalised in line with customer requirements and delivery capabilities.DS1-O3 Operating level agreements (OLAs) are developed to specify the technical processes required to support SLAs.DS1-O4 Processes are in place to monitor (and periodically review) SLAs and achievements.

Base Practices (BPs)

Number Description SupportsDS1-BP1 Create a framework for defining IT services. DS1-O1DS1-BP2 Build an IT service catalogue. DS1-O1, O2DS1-BP3 Define SLAs for critical IT services. DS1-O2DS1-BP4 Define OLAs for meeting SLAs. DS1-O3DS1-BP5 Monitor and report end-to-end service level performance. DS1-O4DS1-BP6 Review SLAs and underpinning contracts. DS1-O4DS1-BP7 Review and update the IT service catalogue. DS1-O1DS1-BP8 Create a service improvement plan. DS1-O1

Work Products (WPs)Inputs

Number Description SupportsPO1-WP1 Strategic IT plan DS1-O1, O2, O3, O4PO1-WP4 IT service portfolio DS1-O1, O2, O3, O4PO2-WP5 Assigned data classifications DS1-O1PO5-WP3 Updated IT service portfolio DS1-O4AI2-WP4 Initial planned SLAs DS1-O3AI3-WP7 Initial planned OLAs DS1-O3DS4-WP5 Disaster service requirements, including roles and responsibilities DS1-O1ME1-WP1 Performance input to IT planning DS1-O1, O2

OutputsNumber Description Input To Supports

DS1-WP1 Contract review report DS2 DS1-O1, O4DS1-WP2 Process performance reports ME1 DS1-O4DS1-WP3 New/updated service requirements PO1 DS1-O2, O3DS1-WP4 SLAs AI1, DS2, DS3, DS4, DS6, DS8, DS13 DS1-O2DS1-WP5 OLAs DS4 to DS8, DS11, DS13 DS1-O3DS1-WP6 Updated IT service portfolio PO1 DS1-O1, O4


PRM Based on COBIT 4.1Process ID DS1Process Name Define and Manage Service LevelsPurpose Satisfy the business requirement of ensuring the alignment of key IT services with the business needs.Outcomes (Os) Number Description










Assessment Overview



Process Capability Levels

Level 0 Incomplete process

Level 0 Incomplete process

IncompleteThe process is not implemented or fails to achieve its purpose

Level 1 Performed processPA 1.1 Process performance attribute

Level 1 Performed processPA 1.1 Process performance attribute

PerformedThe process is implemented and achieves its process purpose

Level 2 Managed processPA 2.1 Performance management attribute

PA 2.2 Work product management attribute

Level 2 Managed processPA 2.1 Performance management attribute

PA 2.2 Work product management attribute

ManagedThe process is managed and work products are established, controlled and maintained

Level 4 Predictable processPA 4.1 Process measurement attribute

PA 4.2 Process control attribute

Level 4 Predictable processPA 4.1 Process measurement attribute

PA 4.2 Process control attribute

PredictableThe process is enacted consistently within defined limits

Level 5 Optimizing processPA 5.1 Process innovation attribute

PA 5.2 Process optimization attribute

Level 5 Optimizing processPA 5.1 Process innovation attribute

PA 5.2 Process optimization attribute

OptimizingThe process is continuously improved to meet relevant current and projected business goals

Level 3 Established processPA 3.1 Process definition attribute

PA 3.2 Process deployment attribute

Level 3 Established processPA 3.1 Process definition attribute

PA 3.2 Process deployment attribute

EstablishedA defined process is used based on a standard process


COBIT assessment process measures the extent to which a given process achieves specific attributes relative to that process— ‘process attributes’

COBIT assessment process defines 9 process attributes (based on ISO/IEC 15504-2)• 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


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)


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)


COBIT assessment process measures the extent to which a given process achieves the ‘process attributes’

Process Attribute Rating Scale

N Not achieved—0 to 15% achievement There is little or no evidence of achievement of the defined attribute in the assessed process

P Partially achieved—> 15% to 50% achievementThere 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

L Largely 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

F Fully 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


PA 2.2 Work product management

PA 2.1 Performance managementLevel 2 - Managed

PA 1.1 Process performanceLevel 1 - Performed

Level 0 - Incomplete

PA 3.2 Deployment

PA 3.1 DefinitionLevel 3 - Established

PA 4.2 Control

PA 4.1 MeasurementLevel 4 - Predictable

PA 5.1 Innovation

PA 5.2 OptimizationLevel 5 - Optimizing

1

L/F

2

L/F

F

F

3

L/F

F

4

L/F

F

F

F

L/F

5

F

F

F

F

L/F = Largely or Fully F= Fully

Process Attribute Ratings and Capability Levels



COBIT Assessment Process Overview



Process Attributes and Capability Levels

Incomplete

Performed

Managed

Established

Predictable

Optimizing

Slide 20

9 Process Attributes Process Attribute Indicators (PAI)

COBIT

ISO


Process Attributes and Capability Levels

Incomplete

Performed

Managed

Established

Predictable

Optimizing

Slide 21This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.

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


Example from COBIT 4.1: DS1 Define and manage service levels


Process Reference Model Example DS1

Process ID DS1Process Name Define and Manage Service LevelsPurpose Satisfy the business requirement of ensuring the alignment of key IT services with the business needs.Outcomes (Os) Number Description










Does the process achieve its defined outcomes (PA1.1)?– As evidenced by: • Production of an object • A significant change of state;• Meeting of specified constraints, e.g., requirements, goals

N Not achieved 0 to 15 % achievement P Partially achieved > 15 % to 50 % achievement L Largely achieved > 50 % to 85 % achievement F Fully achieved > 85 % to 100 % achievement.

Assessing Process Capability

Figure 6—PA1.1 Process Performance

Result of Full Achievement of the Attribute

Base Practices (BPs) Work Products (WPs)

The process achieves its defined outcomes.

BP 1.1.1 Achieve the process outcomes. There is evidence that the intent of base practice is being performed.

Work products are produced that provide evidence of process outcomes, as outlined in section 3.



PA 2.1 Performance managementa. Have objectives for the performance of the process been identified?

b. Is performance of the process planned and monitored?

c. Is performance of the process adjusted to meet plans?

d. Are responsibilities and authorities for performing the process defined, assigned and communicated?

e. Are resources and information necessary for performing the process identified, made available, allocated and used?

f. Are interfaces between the involved parties managed to ensure effective communication and clear assignment of responsibility?

N Not achieved 0 to 15 % achievement P Partially achieved > 15 % to 50 % achievement L Largely achieved > 50 % to 85 % achievement F Fully achieved > 85 % to 100 % achievement



PA 2.1 Performance managementa. Have objectives for the performance of the process been identified?

b. Is performance of the process planned and monitored?

c. Is performance of the process adjusted to meet plans?

d. Are responsibilities and authorities for performing the process defined, assigned and communicated?

e. Are resources and information necessary for performing the process identified, made available, allocated and used?

f. Are interfaces between the involved parties managed to ensure effective communication and clear assignment of responsibility?

N Not achieved 0 to 15 % achievement P Partially achieved > 15 % to 50 % achievement L Largely achieved > 50 % to 85 % achievement F Fully achieved > 85 % to 100 % achievement.



PA 2.2 Work product managementa. Have requirements for the work products of the process been defined?

b. Have requirements for documentation and control of the work products been defined?

c. Are work products appropriately identified, documented and controlled?

d. Are work products reviewed in accordance with planned arrangements and adjusted as necessary to meet requirements?

N Not achieved 0 to 15 % achievement P Partially achieved > 15 % to 50 % achievement L Largely achieved > 50 % to 85 % achievement F Fully achieved > 85 % to 100 % achievement


Fully

PA 1.1 Process performance


PA 2.1 Performance management

PA 3.2 Deployment

PA 3.1 Definition

PA 4.2 Control

PA 4.1 Measurement

PA 5.1 Innovation

PA 5.2 Optimisation

Assessing Attribute Achievement

Attribute Achievement

Not Partially Largely


PA1.1 Process performance


PA 2.1 Performance management

PA 3.2 Deployment

PA 3.1 Definition

PA 4.2 Control

PA 4.1 Measurement

PA 5.1 Innovation

PA 5.2 Optimisation

Level 1 Performed

F

F

F

F

F

F

F

F

F

F

L/F = Largely or Fully F= Fully

Assessing Process Capability Levels

L/F

Level 2 Managed

Level 3 Established

Level 4 Predictable

Level 5 Optimising

L/F

L/F

L/F

L/F

Level 0 Incomplete


Overview



1 Initiation

2 Planning the assessment

3 Briefing

4 Data collection

5 Data validation

6 Process attributes rating

7 Reporting the results

Assessment Process Activities


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


SCOPING GUIDANCE

Process Assessment Model Walkthrough


The aim of the scoping as part of Assessment Initiation is to focus on the assessment on the business needs of the enterprise. This reduces the overall effort involved the assessment

One of the benefits of using COBIT 4.1 as the process reference model is that it has extensive validated mappings from business objectives, and IT Objectives and IT processes. [COBIT 4.1 Appendix 1]. These are available in the tool kit

There is a six Step Selection Process: Step 1 Identify relevant business drivers for the IT processes assessment. Step 2 Prioritise the enterprise’s IT processes that may be included within the

scope of the assessment Step 3 Perform a preliminary selection of target processes for inclusion in the

assessment, based on the above prioritisation Step 4 Confirm the preliminary selection of target processes with the project

sponsor and key stakeholders of the process assessment Step 5 Finalise the processes to be included in the assessment Step 6 Document the scoping methodology in the assessment records

Scoping ..1


Available Mappings Linking Business Goals to IT Goals Linking IT Goals to IT processes Mapping IT processes to IT governance focus areas and

COSO US Sarbanes-Oxley Act Cloud Computing Self Diagnostic

Scoping ..2


Available Mappings Linking Business Goals to IT Goals Linking IT Goals to IT processes

Scoping ..3


An assessment plan describing all activities performed in conducting the assessment is: • Developed• Documented together with• 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


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


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, 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


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


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


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


Level 1 Level 2

PA 1.1 PA 2.1 PA 2.2 PA 3.1 PA 3.2

Level 3

Process A Target Capability

Assessed

Process C Target Capability

Assessed

L

L LF

L LF F F

Process B Target Capability

Assessed

Target Process Capabilities (example)


Figure A.3—Consequence of Gaps at Various Capability Levels

Consequence of Capability Gaps

This figure is reproduced from ISO 15504-4 2006 with the permission of ISO at www.iso.org. Copyright remains with ISO.


Figure A.4—Risk Associated With Each Capability Level

Capability Gaps and Risk

This figure is reproduced from ISO 15504-4 2006 with the permission of ISO at www.iso.org. Copyright remains with ISO.


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

A training and certification scheme is being developed for COBIT 4.1 and COBIT 5

Assessor Certification


COBIT Assessment Programme: www.isaca.org/cobit-assessment-programme

Contact Information: [email protected]

And so Goodbye . . .

Questio

ns?


http://www.isaca.org/cobit-assessment-programme

mailto:[email protected]

Documents

ISACA’s COBIT ® Assessment Programme Presented by: