The explanation of the COBIT®   framework in this PowerPoint   presentation is designed for use by   professors whose clas...
Disclaimer         The IT Governance InstituteTM (ITGITM) and the author of IT Governance        Using COBIT® and Val IT T...
Disclosure         © 2007 IT Governance Institute. All rights reserved. This         publication is intended solely for ac...
Acknowledgements        Researcher     –   Ed O’Donnell, University of Kansas, USA        Contributors     –   Roger Ste...
This presentation  includes...   Driving forces for IT governance and    Control Objectives for Information and    relate...
The Governance Environment© 2007 IT Governance Institute. All rights reserved. www.itgi.org   6
Forces Driving     IT Governance                                                                    Business/IT           ...
IT Governance Needs a Management Framework                                                                                ...
C OBI T 4.1—The IT   Governance Framework                                                                Internationally a...
C OBI T 4.1—The IT  Governance Framework                                                      Is a reference, set of best ...
Key Driving Forces forC OBI T          How IT is                                                                       Wha...
How Does C OBI T Link to IT  Governance?                                                                    Direction and ...
An Overview of C OBI T© 2007 IT Governance Institute. All rights reserved. www.itgi.org   13
Process Orientation                  Business                Requirements    IT    Processes                 IT           ...
Process Orientation                                                                                               Business...
Process Orientation        Plan and Organise            Description                This domain covers strategy and tacti...
Waterfall Model              The control of                  IT Processes             that satisfy                        ...
C OBI T                                           Business Objectives                                               Criter...
C OBI T Processes                                       PO1        Define an IT strategic plan.                           ...
C OBI T Processes                                      DS1       Define and manage service levels.                        ...
Processes in the     Student Book     The following processes are included in the     Student Book, 2nd Edition:      DS2...
Navigating in C OBI T     DS2 Process Level                                              Information                      ...
DS2 Waterfall© 2007 IT Governance Institute. All rights reserved. www.itgi.org   23
DS2 ManagementGuidelines© 2007 IT Governance Institute. All rights reserved. www.itgi.org   24
DS2 Management Guidelinescont.© 2007 IT Governance Institute. All rights reserved. www.itgi.org   25
DS2 Maturity Model       DS2 Manage Third-party Services       Management of the process Manage third-party services that ...
DS2 Maturity Modelcont.        3 Defined when        Well-documented procedures are in place to govern third-party service...
Control Practices     COBIT Control Practices, 2nd Edition      Detailed guidance on each of the control       objectives...
DS2 Control Practices© 2007 IT Governance Institute. All rights reserved. www.itgi.org   29
DS2 Control Practices cont.© 2007 IT Governance Institute. All rights reserved. www.itgi.org   30
IT Assurance Guide  IT Assurance Guide: Using COBIT   Detailed guidance to support assurance    practitioners in:        ...
DS2 Assurance Steps© 2007 IT Governance Institute. All rights reserved. www.itgi.org   32
DS2 Assurance Steps cont.© 2007 IT Governance Institute. All rights reserved. www.itgi.org   33
Implementation Guide, 2 nd     Edition     IT Governance Implementation Guide,     2nd Edition      Detailed, structured ...
Where C OBI T     Typically Sits                                      Governance                                          ...
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  • Return on Investment (ROI)
  • Cobit presentation

    1. 1. The explanation of the COBIT® framework in this PowerPoint presentation is designed for use by professors whose classes cover topics such as: •Information systems management •Information security management •Auditing •Information systems auditing •Accounting information systems IT Governance Using C OBI T ® and Val IT™: Presentation, 2 nd Edition© 2007 IT Governance Institute. All rights reserved. www.itgi.org 1
    2. 2. Disclaimer The IT Governance InstituteTM (ITGITM) and the author of IT Governance Using COBIT® and Val IT TM: Presentation, 2nd Edition, have designed the publication primarily as an educational resource for educators. ITGI, ISACA® and the authors make no claim that use of this product will assure a successful outcome. The publication should not be considered inclusive of all proper procedures and tests or exclusive of other procedures and tests that are reasonably directed to obtaining the same results. In determining the propriety of any specific procedure or test, controls professionals should apply their own professional judgement to the specific control circumstances presented by the particular systems or IT environment. Note this publication is an update of COBIT in Academia: COBIT Presentation Package.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 2
    3. 3. Disclosure © 2007 IT Governance Institute. All rights reserved. This publication is intended solely for academic use and shall not be used in any other manner (including for any commercial purpose). Reproductions of selections of this publication are permitted solely for the use described above and must include the following copyright notice and acknowledgement: ‘Copyright © 2007 IT Governance Institute. All rights reserved. Reprinted by permission.’ IT Governance Using COBIT® and Val IT™: Presentation, 2nd Edition, may not otherwise be used, copied or reproduced, in any form by any means (electronic, mechanical, photocopying, recording or otherwise), without the prior written permission of ITGI. Any modification, distribution, performance, display, transmission or storage, in any form by any means (electronic, mechanical, photocopying, recording or otherwise) of IT Governance Using COBIT® and Val IT™: Presentation, 2nd Edition, is strictly prohibited. No other right or permission is granted with respect to this work. IT Governance Using COBIT® and Val IT™: Presentation, 2nd Edition ISBN 978-1-60420-029-4© 2007 IT Governance Institute. All rights reserved. www.itgi.org 3
    4. 4. Acknowledgements  Researcher – Ed O’Donnell, University of Kansas, USA  Contributors – Roger Stephen Debreceny, Ph.D., FCPA, University of Hawaii, USA – Steven DeHaes, University of Antwerp Management School, Belgium – Erik Guldentops, CISA, CISM, University of Antwerp Management School, Belgium – Robert Parker, CISA, CA, CMC, FCA, Canada – V. Sambamurthy, Ph.D., Michigan State University, USA – Scott Lee Summers, Ph.D., Brigham Young University, USA – John Thorp, The Thorp Network, Canada – Wim Van Grembergen, Ph.D., University of Antwerp Management School, Belgium – Ramesh Venkataraman, Ph.D., Indiana University, USA© 2007 IT Governance Institute. All rights reserved. www.itgi.org 4
    5. 5. This presentation includes...  Driving forces for IT governance and Control Objectives for Information and related Technology (COBIT®)  An introduction to: • The COBIT framework • COBIT supporting materials  An explanation of where COBIT fits with other frameworks and standards© 2007 IT Governance Institute. All rights reserved. www.itgi.org 5
    6. 6. The Governance Environment© 2007 IT Governance Institute. All rights reserved. www.itgi.org 6
    7. 7. Forces Driving IT Governance Business/IT Compliance Alignment ROI Project Execution Security© 2007 IT Governance Institute. All rights reserved. www.itgi.org 7
    8. 8. IT Governance Needs a Management Framework V gic t D alu t e en eli e Driving Forces a m tr n S ig ve ry Al Map Onto the IT Governance Perf ureme Perf ureme ent IT Governance Mea Mea Dom ains agem Man isk orm orm s s Domains R ance t ance t Resource n n Management© 2007 IT Governance Institute. All rights reserved. www.itgi.org 8
    9. 9. C OBI T 4.1—The IT Governance Framework Internationally accepted good CobiT C OBI T practices Management-oriented best practices Supported by tools and repository for training Freely available at IT Processes www.itgi.org IT Management Processes Sharing knowledge and IT Governance Processes leveraging expert volunteers Continually evolving The only IT management Maintained by reputable not- and control framework for-profit organisation that covers the end-to-end Maps 100 percent to COSO IT life cycle Maps strongly to all major related standards© 2007 IT Governance Institute. All rights reserved. www.itgi.org 9
    10. 10. C OBI T 4.1—The IT Governance Framework Is a reference, set of best practices, not an ‘off-the-shelf’ cure Enterprises still to need to analyse their control requirements and customise based on:  Value drivers CobiT C OBI T  Risk profile  IT infrastructure, organisation best practices and project portfolio repository for IT Processes IT Management Processes IT Governance Processes© 2007 IT Governance Institute. All rights reserved. www.itgi.org 10
    11. 11. Key Driving Forces forC OBI T How IT is What the The resources The resources How IT is What the made available to— organised to organised to stakeholders stakeholders made available to— respond to the Business expect from IT and built up by—IT and built up by—IT respond to the Requirements expect from IT requirements IT requirements Processes IT Resources IT Business IT Resources Requirements Processes  Data  Plan and  Effectiveness Organise  Application  Efficiency systems  Aquire and  Confidentiality Implement  Technology  Integrity  Deliver and  Facilities Support  Availability  Compliance  People  Monitor and Evaluate  Information reliability © 2007 IT Governance Institute. All rights reserved. www.itgi.org 11
    12. 12. How Does C OBI T Link to IT Governance? Direction and Requirements Resourcing Control Goals Responsibilities Objectives Business IT Governance Information the Information business needs to executives and board achieve its objectives need to exercise their responsibilities IT Governance© 2007 IT Governance Institute. All rights reserved. www.itgi.org 12
    13. 13. An Overview of C OBI T© 2007 IT Governance Institute. All rights reserved. www.itgi.org 13
    14. 14. Process Orientation Business Requirements IT Processes IT Resources Natural grouping of processes, often matching an organisational Domains domain of responsibility A series of joined activities with natural control breaks Processes Actions needed to achieve a measurable result—activities have a life cycle, whereas tasks are Activities discrete or Tasks© 2007 IT Governance Institute. All rights reserved. www.itgi.org 14
    15. 15. Process Orientation Business Requirements IT Domains IT Processes • Plan and IT Resources Organise IT Processes • Acquire and • IT strategy Implement • Computer operations • Deliver and • Incident handling Activities Support • Acceptance testing • Record new problem. • Monitor and • Change management • Analyse. Evaluate • Contingency planning • Propose solution.Natural grouping of • Problem management • Monitor solution.processes, often matching • Record known problem. A series of joined activitiesan organisational domain of with natural (control) breaks • Etc. …responsibility Actions needed to achieve a measurable result—activities have a life cycle, whereas tasks are discrete© 2007 IT Governance Institute. All rights reserved. www.itgi.org 15
    16. 16. Process Orientation Plan and Organise  Description  This domain covers strategy and tactics, and concerns the identification of the way IT can best contribute to the achievement of the business objectives. The realisation of the strategic vision needs to be planned, communicated and managed for different perspectives. Proper organisation and technological infrastructure must be put in place.  Topics Businesss n a mo D  Strategy and tactics Requirements IT  Vision planned Processes IT  Organisation and infrastructure Resources  Questions  Are IT and the business strategy aligned? i  Is the enterprise achieving optimum use of its resources?  Does everyone in the organisation understand the IT objectives?  Are IT risks understood and being managed?  Is the quality of IT systems appropriate for business needs? © 2007 IT Governance Institute. All rights reserved. www.itgi.org 16
    17. 17. Waterfall Model The control of IT Processes that satisfy Business Requirements is enabled by Control Statements considering Control Practices 4 Domains - 34 Processes - 210 Control Objectives© 2007 IT Governance Institute. All rights reserved. www.itgi.org 17
    18. 18. C OBI T Business Objectives CriteriaFramework • • • Effectiveness Efficiency Confidentiality • Integrity • Availability • Compliance • Reliability IT Resources • Data • Application systems • Technology Monitor and • Facilities • People Evaluate Plan and IT Life Organise Deliver and Cycle Support Acquire and Implement© 2007 IT Governance Institute. All rights reserved. www.itgi.org 18
    19. 19. C OBI T Processes PO1 Define an IT strategic plan. PO2 Define the information architecture. PO3 Determine technological direction. PO4 Define the IT processes, organisation and relationships. Plan and PO5 Manage the IT investment. Organise PO6 Communicate management aims and direction. PO7 Manage IT human resources. PO8 Manage quality. PO9 Assess and manage IT risks. PO10 Manage projects. AI1 Identify automated solutions. AI2 Acquire and maintain application software. AI3 Acquire and maintain technology infrastructure. Acquire and AI4 Enable operation and use. Implement AI5 Procure IT resources. AI6 Manage changes. AI7 Install and accredit solutions and changes.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 19
    20. 20. C OBI T Processes DS1 Define and manage service levels. DS2 Manage third-party services. DS3 Manage performance and capacity. DS4 Ensure continuous service. DS5 Ensure systems security. DS6 Identify and allocate costs. Deliver and DS7 Educate and train users. Support DS8 Manage service desk and incidents. DS9 Manage the configuration. DS10 Manage problems. DS11 Manage data. DS12 Manage the physical environment. DS13 Manage operations. ME1 Monitor and evaluate IT performance. Monitor and ME2 Monitor and evaluate internal control. Evaluate ME3 Ensure compliance with external requirements. ME4 Provide IT governance.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 20
    21. 21. Processes in the Student Book The following processes are included in the Student Book, 2nd Edition:  DS2 Manage third-party services.  PO9 Assess and manage IT risks.  AI2 Acquire and maintain application software.  DS5 Ensure systems security.  ME2 Monitor and evaluate internal control. DS2 is used as an example in the Student Book, 2nd Edition, and the following slides use DS2 to illustrate the related COBIT information for a process.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 21
    22. 22. Navigating in C OBI T DS2 Process Level Information Criteria Waterfall IT Governance IT Resources© 2007 IT Governance Institute. All rights reserved. www.itgi.org 22
    23. 23. DS2 Waterfall© 2007 IT Governance Institute. All rights reserved. www.itgi.org 23
    24. 24. DS2 ManagementGuidelines© 2007 IT Governance Institute. All rights reserved. www.itgi.org 24
    25. 25. DS2 Management Guidelinescont.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 25
    26. 26. DS2 Maturity Model DS2 Manage Third-party Services Management of the process Manage third-party services that satisfies the business requirement for IT of providing satisfactory third-party services whilst being transparent about benefits, costs and risks is: 0 Non-existent when Responsibilities and accountabilities are not defined. There are no formal policies and procedures regarding contracting with third parties. Third-party services are neither approved nor reviewed by management. There are no measurement activities and no reporting by third parties. In the absence of a contractual obligation for reporting, senior management is not aware of the quality of the service delivered. 1 Initial/Ad Hoc when Management is aware of the need to have documented policies and procedures for third-party management, including signed contracts. There are no standard terms of agreement with service providers. Measurement of the services provided is informal and reactive. Practices are dependent on the experience (e.g., on demand) of the individual and the supplier. 2 Repeatable but Intuitive when The process for overseeing third-party service providers, associated risks and the delivery of services is informal. A signed, pro forma contract is used with standard vendor terms and conditions (e.g., the description of services to be provided). Reports on the services provided are available, but do not support business objectives.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 26
    27. 27. DS2 Maturity Modelcont. 3 Defined when Well-documented procedures are in place to govern third-party services, with clear processes for vetting and negotiating with vendors. When an agreement for the provision of services is made, the relationship with the third party is purely a contractual one. The nature of the services to be provided is detailed in the contract and includes legal, operational and control requirements. The responsibility for oversight of third-party services is assigned. Contractual terms are based on standardised templates. The business risk associated with the third-party services is assessed and reported. 4 Managed and Measurable when Formal and standardised criteria are established for defining the terms of engagement, including scope of work, services/deliverables to be provided, assumptions, schedule, costs, billing arrangements and responsibilities. Responsibilities for contract and vendor management are assigned. Vendor qualifications, risks and capabilities are verified on a continual basis. Service requirements are defined and linked to business objectives. A process exists to review service performance against contractual terms, providing input to assess current and future third-party services. Transfer pricing models are used in the procurement process. All parties involved are aware of service, cost and milestone expectations. Agreed-upon goals and metrics for the oversight of service providers exist. 5 Optimised when Contracts signed with third parties are reviewed periodically at predefined intervals. The responsibility for managing suppliers and the quality of the services provided is assigned. Evidence of contract compliance to operational, legal and control provisions is monitored, and corrective action is enforced. The third party is subject to independent periodic review, and feedback on performance is provided and used to improve service delivery. Measurements vary in response to changing business conditions. Measures support early detection of potential problems with third-party services. Comprehensive, defined reporting of service level achievement is linked to the third-party compensation. Management adjusts the process of third-party service acquisition and monitoring based on the measurers.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 27
    28. 28. Control Practices COBIT Control Practices, 2nd Edition  Detailed guidance on each of the control objectives  Management-oriented  From three to 12 control practices per control objective© 2007 IT Governance Institute. All rights reserved. www.itgi.org 28
    29. 29. DS2 Control Practices© 2007 IT Governance Institute. All rights reserved. www.itgi.org 29
    30. 30. DS2 Control Practices cont.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 30
    31. 31. IT Assurance Guide IT Assurance Guide: Using COBIT  Detailed guidance to support assurance practitioners in: • Financial statement audit • Internal audit • Value for money • Operational improvement  Guidance on: • How to leverage COBIT for assurance • Detailed assurance testing steps© 2007 IT Governance Institute. All rights reserved. www.itgi.org 31
    32. 32. DS2 Assurance Steps© 2007 IT Governance Institute. All rights reserved. www.itgi.org 32
    33. 33. DS2 Assurance Steps cont.© 2007 IT Governance Institute. All rights reserved. www.itgi.org 33
    34. 34. Implementation Guide, 2 nd Edition IT Governance Implementation Guide, 2nd Edition  Detailed, structured guidance to the implementation of IT governance  Generic IT governance implementation guidance, not just COBIT© 2007 IT Governance Institute. All rights reserved. www.itgi.org 34
    35. 35. Where C OBI T Typically Sits Governance COS King Management Governance Layer OOBI T C Layer ITIL IT 17799 CMM TickIT Layer IT© 2007 IT Governance Institute. All rights reserved. www.itgi.org 35
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