COBIT 5 IT Governance Model: an Introduction

IT Governance Using COBIT 5:
An Introduction
BY:
AQEL M. AQEL
A C C R E D I T E D T R A I N E R B Y A P M G
1
TUESDAY 28-APRIL-2015
E-mail: aqel.aqel@gmail.com

2
P. O. BOX 40496 – 11499
Riyadh - Saudi Arabia
aqel.aqel@gmail.com
+966-502-104-007
Aqel Mohammed Aqel, CISA, MBA, CSSGB, COBIT5
Information Technology & Management Consultant
Information Systems Audit & Control Association – Riyadh Chapter
CISA Coordinator and Research Director
• Certified information System Auditor
• Master of Business Administration- UK
• Certified as Lean Six Sigma Green Built
• Certified COBIT-5 Trainer (Foundation)
• Member of Association for Strategic Planning
http://www.linkedin.com/in/aqelmaqel
http://www.facebook.com/aqel.m.aqel
https://www.youtube.com/channel/UCR0wCpIHdhu5TBsWn-Ar5YA

Topics for tonight session
 Overview: COBIT, the past and present
 The Five Principles
 COBIT Processes
 Enablers
 Process Assessment Model (PAM)
 Implementation Overview
 Closure
3

Why Develop COBIT 5?
 ISACA want “Tie together and reinforce all ISACA knowledge assets with
COBIT.”
 Provide a renewed and authoritative governance and management
framework for enterprise information and related technology
 Integrate all other major ISACA frameworks and guidance
 Align with other major frameworks and standards
4

Governance of Enterprise IT
COBIT 5
IT Governance
COBIT4.0/4.1
Management
COBIT3
Control
COBIT2
Audit
COBIT1
2005/720001998
Evolution
1996 2012
Val IT 2.0
(2008)
Risk IT
(2009)
BMIS
(2010)
The Evolution of COBIT 5
5

Drivers for the development of
a Framework
 Provide guidance in:
◦ Enterprise architecture
◦ Asset and service management
◦ Emerging sourcing and organization models
◦ Innovation and emerging technologies
 End to end business and IT responsibilities
 Controls for user-initiated and user-controlled IT solutions
 A need for the enterprise to:
◦ Achieve increased value creation
◦ Obtain business user satisfaction
◦ Achieve compliance with relevant laws, regulations and policies
6

COBIT 5 Product Family
7
S O U R C E : C O B I T 5 , I S A C A

COBIT and Other IT
Governance Frameworks
COBIT
ISO 9000
ISO 27002
ITIL
COSO
WHAT
HOW
SCOPE OF COVERAGE
8

COBIT 5 Mapping Specifics ..1
 ISO/IEC 38500
o ISO’s 6 principles map to COBIT 5
o ITIL v3 The following 5 areas and domains are covered by ITIL v3:
o A subset of process in the DSS domain
o A sunset of processes in the BAI domain
o Some process in the APO domain
 ISO/IEC 27000
o Security and IT-related processes in domains EDM, APO and DSS
o Some monitoring of security monitoring activities in MEA
 ISO/IEC 31000
o Risk management related activities in EDM and APO
9

COBIT 5 Mapping Specifics ..2
 TOGAF (The Open Group Architecture Framework)
o Resource-related processes in EDM
o TOGAF components of the architecture board and governance areas
o Enterprise architecture processes of APO
 PRINCE2
o Programme and project management processes in the BAI domain
o Portfolio related processes in the APO domain
 CMMI  ISO 15504
o Some organisational and quality-related processes in the APO domain
o Application –building and acquisition related processes in BAI
10

COBIT 5 Principles
 A Principle general truth, that helps people
determine the appropriate decision, given
the circumstance at hand. They are
guidelines that provide an indication of
what to do, but not how to do it. For
example:
◦ Team members ensure they are in
attendance when they feel responsibility
for the success of the team
 Policies or Procedures define specifically
what and how to do something - they
define specific actions or behaviors. For
example:
◦ Team Members who attend late, on more than
three occasions, will receive a formal warning.
12

Principle 1:
Meeting Stakeholder Needs
 Enterprises have many stakeholders
 Governance is about
Negotiating, & Deciding amongst different stakeholders’ value interests
Considering all stakeholders when making benefit, resource and risk assessment decisions
 For each decision, ask:
◦ For whom are the benefits?
◦ Who bears the risk?
◦ What resources are required?
13

Principle 1:
Meeting Stakeholder Needs
 Enterprises exist to
create value for
their stakeholders
 Value creation:
realizing benefits
at an optimal
resource cost
while optimizing
risk.
14

Principle 1: Meeting Stakeholder Needs
15

Principle 1 – Cascade steps Figure 5
16

Principle 1 – Cascade Steps
17

Principle 2:
Covering the Enterprise End–to–End
18

Principle 2:
Main elements of the governance approach:
 Governance Enablers comprising
◦ The organizational resources for governance
◦ The enterprise’s resources
◦ A lack of resources or enablers may affect the ability of the enterprise to
create value
 Governance Scope comprising
◦ The whole enterprise
◦ An entity, a tangible or intangible asset, etc.
19

Principle 2:
 Governance roles, activities and relationships
◦ Define Who is involved in governance
◦ How they are involved
◦ What they do and
◦ How they interact
 COBIT 5 defines the difference between governance and management
activities in principle 5
20

Principle 3:
Applying a Single Integrated Framework
 COBIT 5:
◦ Aligns with the latest relevant standards and frameworks
◦ Is complete in enterprise coverage
◦ Provides a basis to integrate effectively other frameworks, standards and
practices used
◦ Integrates all knowledge previously dispersed over different ISACA
frameworks
◦ Provides a simple architecture for structuring guidance materials and
producing a consistent product set
21

Principle 4:
Enabling a Holistic Approach
COBIT 5 defines a set of enablers to support the implementation of a
comprehensive governance and management system for enterprise IT.
COBIT 5 enablers are:
 Factors that, individually and collectively, influence whether something will
work
 Driven by the goals cascade
 Described by the COBIT 5 framework in seven categories
22

Principle 4:
23

Principle 4:
Enablers:
1. Principles, policies and frameworks
2. Processes
3. Organizational structures
4. Culture, ethics and behaviour
5. Information
6. Services, infrastructure and applications
7. People, skills and competencies
24

Principle 4:
COBIT 5 enabler dimensions:
 All enablers have a set of common dimensions that:
◦ Provide a common, simple and structured way to deal with enablers
◦ Allow an entity to manage its complex interactions
◦ Facilitate successful outcomes of the enablers
25

Principle 5:
Separating Governance from Management
26

Principle 5:
 The COBIT 5 framework makes a clear distinction between governance and
management
 Governance and management
◦ Encompass different types of activities
◦ Require different organizational structures
◦ Serve different purposes
 COBIT 5: Enabling Processes differentiates the activities associated with each
27

Principle 5:
 Governance ensures that stakeholder needs, conditions and options are:
◦ Evaluated to determine balanced, agreed-on enterprise objectives to be achieved
◦ Setting direction through prioritization and decision making
◦ Monitoring performance, compliance and progress against agreed direction and objectives
(EDM)
 Management plans, builds, runs and monitors activities in alignment with the
direction set by the governance body to achieve the enterprise objectives (PBRM)
28

Concept
 Based on PLAN-DO-CHECK-ACT
 Integrated 5 sets of processes that which covers Governance and
management of Enterprise IT:
1. Evaluate, Plan and Monitor
2. Align, Plan and Organize
3. Build, Acquire and Implement
4. Deliver, Service and Support
5. Monitor, Evaluate and Assess
30

COBIT 5 Process Reference Model
© 2012 ISACA. All Rights Reserved.
31

The COBIT 5 Enterprise Enablers
32

Recap Principle 4:
COBIT 5 enabler dimensions:
33

Enabler 1 Principles, Policies &
Frameworks…1
 The purpose: to convey the governing body’s and management’s
direction and instructions.
 They are instruments to communicate the rules of the enterprise, in
support of the governance objectives and enterprise.
o Differences between principles and policies –
o Principles need to be limited in number
o Put in simple language, expressing as clearly as possible the core values of the enterprise
o Policies are more detailed guidance on how to put principles into practice
34

Enabler 1 Principles, Policies &
Frameworks…2
 The characteristics of good policies; they should
o Be effective – achieve their purpose
o Be efficient – especially when implementing them
o Non-intrusive – Should make sense and be logical to those who have to comply with them.
 Policies should have a mechanism (framework) in place where they
can be effectively managed and users know where to go. Specifically
they should be:
o Comprehensive, covering all required areas
o Open and flexible allowing for easy adaptation and change.
o Current and up to date
 The purpose of a policy life cycle is that it must support a policy
framework in order to achieve defined goals.
35

Enabler 2: Processes
 COBIT 5 Enablers: Processes complements COBIT 5 and
contains a detailed reference guide to the processes that
are defined in the COBIT 5 process reference model:
◦ The COBIT 5 goals cascade is recapitulated and complemented with a set of
example metrics for the enterprise goals and the IT-related goals. An
example is given in the appendix
◦ The COBIT 5 process model is explained and its components defined.
◦ The Enabler process guide which is referenced in this module contains the
detailed process information for all 37 COBIT 5 processes shown in the
process reference model.
36

Enabler 2 – Process continued – PRM
Structure…2
 Each process is divided into :
o Process Description
o Process Purpose statement
o IT-related Goals (from the Goals cascade see example in the Appendix)
o Each IT-related goal is associated with a set of generic related metrics
o Process Goals (Also from the Goals cascade mechanism and is referred to as Enabler Goals.
o Each Process Goal is associated or related with a set of generic metrics.
o Each Process contains a set of Management Practices
o These are associated with a generic RACI chart (Responsible, Accountable, Consulted, Informed)
o Each management practices contains a set of inputs and outputs (called work products in
module PC)
o Each management Practice is associated with a set of activities
37

Enabler 3 Organisational Structures
 A number of Good Practices of organisational structure can be distinguished
such as:
o Operating principles – The practical arrangements regarding how the structure will operate,
such as meeting frequency documentation and other rules
o Span of control – The boundaries of the organisation structure’s decision rights.
o Level of authority – The decisions that the structure is authorised to take.
o Delegation of responsibility – The structure can delegate a subset of its decision rights to
other structures reporting to it.
o Escalation procedures – The escalation path for a structure describes the required actions in
case of problems in making decisions.
38

Enabler 4 Culture, Ethics and Behaviour
 Good practices for creating, encouraging and maintaining desired
behaviour throughout the enterprise include:
o Communication throughout the enterprise of desired behaviours and
corporate values.
o Awareness of desired behaviour, strengthened by senior management
example.
o senior management and the executives ‘walk the talk’ so to speak.
o Incentives to encourage and deterrents to enforce desired behaviour.
o Rules and norms which provide more guidance and will typically be found in
a Code of Ethics
39

Enabler 5 Information
 Importance of the Information Quality categories and dimensions;
o The concept of information criteria was introduced in COBIT 3rd edition in 2000 and played a
key role in COBIT 4.1; these were very important to be able show how to meet business
requirements.
 Importance of Information Criteria
o COBIT 4.1 introduced us to the concept of 7 Key Information criteria to meet Business
requirements. This concept has been retained but translated differently in Figure 9 below:
Figure 26 Appendix F.
40

Enabler 6 –Services, Infrastructure and
Applications
 The five architecture principles that govern the implementation and
use of IT-Related resources
o Architecture Principles are overall guidelines that govern the implementation and use of IT-related
resources within the enterprise. Examples of such principles:
o Reuse – Common components of the architecture should be used when designing and
implementing solutions as part of the target or transition architectures.
o Buy vs. build – Solutions should be purchased unless there is an approved rationale for developing
them internally.
o Simplicity – The enterprise architecture should be designed and maintained to be simple as
possible while still meeting enterprise requirements.
o Agility – The enterprise architecture should incorporate agility to meet changing business needs in
an effective and efficient manner.
o Openness - The enterprise architecture should leverage open industry standards.
41

Enabler 6 –Services, Infrastructure and
Applications Cont.
 Relationship To other Enablers
o Information – is a service capability that is leveraged through processes to deliver internal and
external services.
o Cultural and behavioural aspects – relevant when a service-oriented culture needs to be built
o Process inputs and outputs – Most of the inputs and outputs (work products) of the process
management practices and activities in the PRM include service capabilities.
 Consider other frameworks such as:
o ITIL 3
o TOGAF (www.opengroup.org/togaf ) which provides an integrated information infrastructure
reference model.
42

Enabler 7 – People, Skills and
Competencies
 Identify the good practices of people, Skills and Competencies,
specifically:
o Described by different skill levels for different roles.
o Defining Skill requirements for each role
o Mapping skill categories to COBIT 5 process domains (APO; BAI etc.)
o These correspond to the IT-related activities undertaken, e.g. business
analysis, information management etc.
o Using external sources for good practices such as:
 The Skills Framework for the information age (SFIA)
43

What is a Process Assessment
 Process assessment: an activity that can be performed either as part
of a process improvement initiative or as part of a capability
determination approach
 Purpose: to continually improve the enterprise’s effectiveness and
efficiency
 It provides an understandable, logical, repeatable, reliable and robust
methodology for assessing the capability of IT processes.
 COBIT 5 switched to ISO 15504 Approach rather than CMMI.
Source: ISO/IEC 15504-4
45

Advantages of the ISO 15504 Approach
 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:
o Specific process requirements derived from COBIT 4.1& COBIT 5
o Ability to achieve process attributes based on ISO 15504
o Evidence requirements
 Assessor qualifications and experiential requirements
 Results in a more robust, objective and repeatable assessment
46

Key ISO 15504 definitions
 ISO 15504 defines the following key terms:
◦ Process purpose – The high-level measurable objectives of performing the
process and the likely outcomes of effective implementation of the process.
◦ Process outcomes - An observable result of a process (Note: An outcome is
an artefact, a significant change of state or the meeting of specified
constraints.)
◦ Base practices – The activities that, when consistently performed, contribute
to achieving the process purpose
◦ Work product - An artefact associated with the execution of a process –
defined in terms of process ‘inputs’ and process ‘outputs’.
47

Differences between the Capability &
Process Dimension
 ISO 15504 defines two levels:
o A Capability Dimension which focuses on the process capability dimension
(levels 1 to 5) based on process attribute indicators (PAI) that are solely deals
with Generic attributes
o A Process dimension that contains additional indicators for process for
process performance assessment based on very specific performance
indicators.
o ** Note that the PRM or process reference model is used only for this
dimension at LEVEL 1. Levels 2 to 5 focuses only on the Capability dimension
based on generic attributes. The next slide demonstrates this concept.
48

Process capability levels
Level 0 Incomplete
process
Incomplete
The process is not implemented or fails to
achieve its purpose
Level 1 Performed process
PA.1.1 Process Performance attribute
Performed
The process is implemented and
achieves its process purpose
Level 2 Managed Process
PA.2.1 Performance Management attribute
PA.2.2 Work Product Management attribute
Managed
The process is managed i.e. (planned, monitored
and adjusted) work products are appropriately
established, controlled & maintained.
Level 4 Predictable Process
PA.4.1 Process Measurement attribute
PA.4.2 Process Control attribute
Predictable
The process is enacted consistently
within defined limits
Level 5 Optimizing process
PA.5.1 Process Innovation attribute
PA.5.2 Process Optimization attribute
Optimizing
The process is continuously improved to meet relevant
current and projected business goals
Level 3 Established Process
PA.3.1 Process Definition attribute
PA.3.2 Process Deployment attribute
Established
A defined process is used based on a
standard process.
49
49

Assessment Process Activities
50
1 – Initiation
2 – Planning the Assessment
3 – Briefing
4 – Data Collection
5 – Data Validation
6 – Process Rating
7 – Reporting
50

COBIT 5 Implementation
52

Thank
you
53
For Further Questions, Please
Communicate With Aqel:
aqel.aqel@gmail.com
+966-502-104-007
For Arabic lectures about IT Governance - ‫المعلومات‬ ‫تقنية‬ ‫حوكمة‬ ‫حول‬ ‫محاضرات‬ ‫الى‬ ‫استمع‬
https://www.youtube.com/watch?v=itKgLtT4Les

COBIT 5 IT Governance Model: an Introduction

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COBIT 5 IT Governance Model: an Introduction