ISACAs
ISACAs COBIT Assessment
COBIT
Assessment Programme
Programme
(based
(based on
on COBIT
COBIT 5)
5)
Presented by:
Session Objectives
Understanding the COBIT
Assessment Programme, its
ISOIEC 15504 base and the use of
COBIT 5 content in it
Understanding the relationship to
ISO/IEC 15504 and why ISACA
selected this standard and
approach
Understanding the COBIT
Assessment Programme materials
and support from ISACA
Copyright ISACA 2014 All rights reserved Slide 2
What is A Process Assessment?
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 enterprises 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.
Copyright ISACA 2014 All rights reserved Slide 3
What is the COBIT Assessment
Programme?
The COBIT Assessment Programme brings
together two proven heavyweights in the IT arena,
ISO and ISACA.
The process assessment standard from ISO,
ISO/IEC 15504 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.
Copyright ISACA 2014 All rights reserved Slide 4
Programme support
The COBIT Assessment Programme
www.isaca.org/Knowledge-Center/cobit/Pages/COBIT-Assessmen
t-Programme.aspx
products include:
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,
www.isaca.org/COBIT/Pages/COBIT-5-Certified-Assessor-Progra
m.aspx
.
Copyright ISACA 2014 All rights reserved Slide 5
Self-assessment approach
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 15504 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.
Copyright ISACA 2014 All rights reserved Slide 6
Assessment Overview
Process Assessment
Model
Assessment Process
This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014 All rights reserved Slide 7
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 15504 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
Assessment Overview
This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014. All rights reserved Slide 9
Measurement Framework
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 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
Copyright ISACA 2014. All rights reserved Slide 10
Process Capability Levels
Optimizing Level
Level 55 Optimizing
Optimizing process
process
The process is continuously improved to meet relevant PA
PA5.1
5.1 Process
Process innovation
innovation attribute
attribute
current and projected business goals. PA
PA5.2
5.2 Process
Process optimization
optimizationattribute
attribute
Predictable Level
The process is enacted consistently
Level 44 Predictable
Predictable process
process
PA
PA4.1
4.1 Process
Process measurement
measurement attribute
attribute
within defined limits.
PA
PA4.2
4.2 Process
Process control
controlattribute
attribute
Established
A defined process is used based on a Level
Level 33 Established
Established process
process
standard process. PA
PA3.1
3.1 Process
Process definition
definitionattribute
attribute
PA 3.2
PA 3.2 Process
Process deploymentattribute
deployment attribute
Level Managed
Level 22 Managed
Managed process
process The process is managed and work
PA
PA2.1
2.1 Performance
Performance management
managementattribute
attribute
products are established, controlled
PA
PA2.2
2.2 Work
Work product
productmanagement
managementattribute
attribute and maintained.
Level
Level 11 Performed
Performed process
process Performed
PA
PA1.1
1.1 Process
Process performance
performance attribute
attribute The process is implemented and
achieves its process purpose.
Incomplete
Level
Level 00 Incomplete
Incomplete process
process The process is not implemented or fails to
achieve its purpose.
Copyright ISACA 2014. All rights reserved Slide 11
Process Attributes (example)
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.
Copyright ISACA 2014 All rights reserved Slide 12
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.
Copyright ISACA 2014. All rights reserved Slide 13
Process Attribute Rating Scale
The COBIT assessment process measures the extent to which a
given process achieves the process attributes:
N Not achieved0 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% 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.
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.
Copyright ISACA 2014. All rights reserved Slide 14
Process Attribute Ratings and
Capability Levels
1 2 3 4 5
PA 5.2 Optimization L
Level 5 - Optimizing /
PA 5.1 Innovation F
PA 4.2 Control L F
Level 4 - Predictable /
PA 4.1 Measurement F
PA 3.2 Deployment L F F
Level 3 - Established /
PA 3.1 Definition F
PA 2.2 Work product management L F F F
Level 2 - Managed /
PA 2.1 Performance management F
L F F F F
Level 1 - Performed PA 1.1 Process performance /
F
Level 0 - Incomplete L/F = Largely or Fully F= Fully
This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014. All rights reserved Slide 15
COBIT Assessment Process
Overview
This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014. All rights reserved Slide 16
Process Capability Levels and
Attributes
ISO
COBIT 5
This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO. Slide 17
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 2014. All rights reserved Slide 18
Overview
This figure is reproduced from ISO 15504-2:2003 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014 All rights reserved Slide 19
Assessment Process Activities
1 Initiation
2 Planning the assessment
3 Briefing
4 Data collection
5 Data validation
6 Process attributes rating
7 Reporting the results
Copyright ISACA 2014. All rights reserved Slide 20
1. Initiation
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.
Copyright ISACA 2014. All rights reserved Slide 21
2. Planning the Assessment
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.
Copyright ISACA 2014. All rights reserved Slide 22
3. Briefing
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.
Copyright ISACA 2014. All rights reserved Slide 23
4. Data Collection
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.
Copyright ISACA 2014. All rights reserved Slide 24
5. Data Validation
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.
Copyright ISACA 2014. All rights reserved Slide 25
6. Process Attribute Rating
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.
Copyright ISACA 2014. All rights reserved Slide 26
7. Reporting the Results
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
Copyright ISACA 2014. All rights reserved Slide 27
Target Process Capabilities (example)
Level 1 Level 2 Level 3
PA 1.1 PA 2.1 PA 2.2 PA 3.1 PA 3.2
Process A Target Capability L
Assessed
Process B Target Capability F L L
Assessed
Process C Target Capability F F F L L
Assessed
Copyright ISACA 2014 All rights reserved Slide 28
Consequence of Capability Gaps
Consequence of Gaps at Various Capability Levels
This figure is reproduced from ISO 15504-4 2006 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014. All rights reserved Slide 29
Capability Gaps and Risk
Risk Associated With Each Capability Level
This figure is reproduced from ISO 15504-4 2006 with the permission of ISO at www.iso.org. Copyright remains with ISO.
Copyright ISACA 2014. All rights reserved Slide 30
Assessor roles and competencies
COBIT process assessment roles:
Lead assessora competent assessor responsible for
overseeing the assessment activities
Assessoran 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
Copyright ISACA 2014. All rights reserved Slide 31
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, www.isaca.org/COBIT/Pages/COBIT-5-Certified-
Assessor-Program.aspx
Copyright ISACA 2014. All rights reserved Slide 32
Goodbye and thank you . . .
COBIT Assessment Programme:
www.isaca.org/cobit-assessment-programme
Contact Information:
research@isaca.org
Copyright ISACA 2014. All rights reserved Slide 33
