Evaluate, Direct & Monitor! EDM1 Set and Maintain the Governance Framework 1. Evaluate the design of the enterprise governance of IT 2. Direct the governance system. 3. Monitor the governance system. EDM2 Ensure Value Optimisation 1. Evaluate value optimisation. 2. Direct value optimisation. 3. Monitor value optimisation. EDM3 Ensure Risk Optimisation 1. Evaluate risk management. 2. Direct risk management. 3. Monitor IT risk management. EDM4 Ensure Resource Optimisation 1. Evaluate IT resourcing strategies. 2. Direct resource management. 3. Monitor resource management. EDM5 Ensure Stakeholder Transparency 1. Evaluate stakeholder reporting requirements. 2. Direct stakeholder communication and reporting. 3. Monitor stakeholder communication.
Align, Plan & Organise! APO1 Define the Management Framework for IT 1. Define the organisational structure. 2. Establish roles and responsi0.6bilities. 3. Maintain the enablers of the management system. 4. Communicate management objectives and direction. 5. Optimise the placement of the IT function.
6. Define information (data) and system ownership. 7. Manage continual improvement of processes. 8. Ensure compliance with policies and procedures. APO2 Define Strategy 1. Understand enterprise direction. 2. Assess the current environment, capabilities and performance. 3. Define the target IT capabilities. 4. Conduct a gap analysis. 5. Define the strategic plan and road map. 6. Communicate the IT strategy and direction. APO3 Manage Enterprise Architecture 1. Develop the enterprise architecture vision. 2. Define reference architecture. 3. Select opportunities and solutions. 4. Define architecture implementation. 5. Provide enterprise architecture services. APO4 Manage Innovation 1. Create an environment conducive to innovation. 2. Maintain an understanding of the enterprise environment. 3. Monitor and scan the technology environment. 4. Assess the potential of emerging technologies and innovation ideas. 5. Recommend appropriate further initiatives. 6. Monitor the implementation and use of innovation. APO5 Manage Portfolio 1. Establish target investment mix. 2. Determine the availability and sources of funds. 3. Evaluate and select programmes to fund.
4. Monitor, optimise and report on investment portfolio performance. 5. Maintain portfolios. 6. Manage benefits achievement. APO6 Manage Budget and Cost 1. Manage finance and accounting. 2. Prioritise resource allocation. 3. Create and maintain budgets. 4. Model and allocate costs. 5. Manage costs. APO7 Manage Human Resources 1. Maintain adequate and appropriate staffing. 2. Identify key IT personnel. 3. Maintain the skills and competencies of personnel. 4. Evaluate employee job performance. 5. Plan and track the usage of IT and business human resources. 6. Manage contract staff. APO8 Manage Relationships 1. Understand business expectations. 2. Identify opportunities, risks and constraints for IT to enhance the business. 3. Manage business relationship. 4. Co‐ordinate and communicate. 5. Provide input to the continual improvement of services.
Cobit 5 Domains - Processes - Best Practices
COBIT is a registered trademark by ISACA (http://www.isaca.org/), COBIT 5 Information according to Exposure Draft June 2011
APO9 Manage Service Agreements 1. Identify IT services. 2. Define IT services and maintain the service portfolio. 3. Catalogue IT‐enabled services. 4. Define and prepare service agreements. 5. Monitor and report service levels. 6. Review service agreements and contracts. APO10 Manage Suppliers 1. Identify and evaluate supplier relationships and contracts. 2. Select suppliers. 3. Manage supplier relationships and contracts. 4. Manage supplier risk. 5. Monitor supplier performance and compliance. APO11 Manage Quality 1. Establish a quality management system. 2. Define and manage quality standards, practices and procedures. 3. Focus quality management on customers. 4. Perform quality monitoring, control and reviews. 5. Integrate quality management into solutions for development and service delivery. 6. Ensure continuous improvement. APO12 Manage Risk 1. Collect data. 2. Analyse risk. 3. Maintain a risk profile. 4. Articulate risk. 5. Define a risk management action portfolio. 6. Respond to risk.
Build, Acquire and Implement! BAI1 Manage Programmes and Projects 1. Maintain a standard approach for Programme and project management. 2. Initiate a programme. 3. Manage stakeholder engagement. 4. Develop and maintain the programme plan. 5. Launch and execute the programme. 6. Monitor, control and report on the programme outcomes. 7. Start up and initiate projects within a programme. 8. Plan projects. 9. Manage programme and project quality. 10. Manage programme and project risk. 11. Monitor and control a project. 12. Execute a project. 13. Close a project. 14. Close a programme. BAI2 Define Requirements 1. Define and maintain business functional and technical requirements. 2. Perform a feasibility study and formulate alternative solutions. 3. Manage requirements risk. 4. Obtain approval of requirements and solutions. BAI3 Identify and Build Solutions 1. Design high-level solutions. 2. Design detailed solution components. 3. Develop solution components. 4. Procure solution components. 5. Build solutions. 6. Perform quality assurance. 7. Prepare for solution testing. 8. Execute solution testing. 9. Manage changes to requirements. 10. Maintain solutions.
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BAI4 Manage Availability and Capacity 1. Assess current availability, performance and capacity and create a baseline. 2. Assess business impact. 3. Plan for new or changed service requirements. 4. Monitor and review availability and capacity. 5. Investigate and address availability, performance and capacity issues. BAI5 Enable Organisational Change 1. Establish the desire to change. 2. Form an effective implementation team. 3. Communicate desired vision. 4. Empower role players and identify short-term wins. 5. Enable operation and use. 6. Embed new approaches. 7. Sustain changes. BAI6 Manage changes 1. Perform impact assessment; prioritise and authorise changes. 2. Manage emergency changes. 3. Track and report change status. 4. Close and document the changes. BAI7 Accept and Transition of Change 1. Establish an implementation plan. 2. Plan business process, system and data conversion. 3. Plan acceptance tests. 4. Establish a test environment. 5. Perform acceptance tests. 6. Promote to production and manage releases. 7. Provide early production support. 8. Perform a post-implementation review. BAI8 Knowledge Management 1. Nurture and facilitate a knowledgesharing culture 2. Identify and classify sources of information.
3. Organise and contextualise information into knowledge. 4. Use and share knowledge. 5. Evaluate and retire information.
Deliver, Service and Support! DSS1 Manage Operations 1. Maintain regular operational procedures. 2. Manage outsourced IT services. 3. Monitor IT infrastructure. 4. Manage the environment. 5. Manage facilities. DSS2 Manage Assets 1. Identify and record current assets. 2. Manage critical assets. 3. Manage the asset life cycle. 4. Optimise asset costs. 5. Manage licences. DSS3 Manage Configuration 1. Establish and maintain a configuration model. 2. Establish and maintain a configuration repository and baseline. 3. Maintain and control configuration items. 4. Produce status and configuration reports. 5. Verify and review integrity of the configuration repository. DSS4 Manage Service Requests and Incidents 1. Define incident and service request classification schemes. 2. Record, classify and prioritise requests and incidents. 3. Verify, approve and fulfil service requests. 4. Investigate, diagnose and allocate incidents.
5. Resolve and recover from incidents. 6. Close service requests and incidents. 7. Track status and produce reports. DSS5 Manage Problems 1. Identify and classify problems. 2. Investigate and diagnose problems. 3. Raise known errors. 4. Resolve and close problems. 5. Perform proactive problem management. DSS6 Manage Continuity 1. Define the business continuity policy, objectives and scope. 2. Maintain a continuity strategy. 3. Develop and implement a business continuity response. 4. Ensure continuity of operations. 5. Exercise, test and review the business continuity plan. 6. Review, maintain and improve the continuity plan. 7. Conduct continuity plan training. 8. Manage backup arrangements. 9. Conduct post-resumption review. DSS7 Manage Security 1. Protect against malware. 2. Manage network and connectivity security. 3. Manage endpoint security. 4. Manage user identity and access. 5. Manage physical security. 6. Manage sensitive documents and output devices. 7. Manage information security incidents. 8. Manage information handling. DSS8 Manage Business Process Controls 1. Control the processing of business information. 2. Manage roles, responsibilities, access privileges and levels of authority.
COBIT is a registered trademark by ISACA (http://www.isaca.org/), COBIT 5 Information according to Exposure Draft June 2011
3. Manage errors and exceptions. 4. Ensure traceability of Information events and accountabilities. 5. Protect information assets.
Monitor, Evaluate and Assess! MEA1 Monitor and Evaluate Performance and Conformance 1. Establish a monitoring approach. 2. Set performance and conformance targets. 3. Collect and process performance and conformance data. 4. Analyse and report performance. 5. Ensure the implementation of corrective actions. MEA2 Monitor System of Internal Control 1. Monitor internal controls. 2. Review business process controls effectiveness. 3. Perform control self-assessments. 4. Identify and report control deficiencies. 5. Ensure that assurance providers are independent and qualified. 6. Plan assurance initiatives. 7. Scope assurance initiatives. 8. Execute assurance initiatives. MEA3 Monitor and Evaluate Compliance with External Requirements 1. Identify external compliance requirements. 2. Optimise response to external requirements. 3. Confirm external compliance. 4. Assure external compliance.
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