Enabling Processes

Recommendations

Info

Monitor, Evaluate and Assess 210 : ENABLING PROCESSES MEA02 Process Practices, Inputs/Outputs and Activities (cont.) Management Practice Inputs Outputs MEA02.04 Identify and report control deficiencies. Identify control deficiencies and analyse and identify their underlying root causes. Escalate control deficiencies and report to stakeholders. From Description Description To APO11.05 Root causes of quality delivery failures APO12.06 Risk-related root causes DSS06.01 � �� recommendations � �� effectiveness reviews DSS06.04 Evidence of error correction and remediation Activities Control deficiencies All APO All BAI All DSS All MEA Remedial actions All APO All BAI All DSS All MEA 1. Identify, report and log control exceptions, and assign responsibility for resolving them and reporting on the status. 2. Consider related enterprise risk to establish thresholds for escalation of control exceptions and breakdowns. 3. Communicate procedures for escalation of control exceptions, root cause analysis, and reporting to process owners and IT stakeholders. 4. Decide which control exceptions should be communicated to the individual responsible for the function and which exceptions should be escalated. Inform affected process owners and stakeholders. 5. Follow up on all exceptions to ensure that agreed-on actions have been addressed. 6. Identify, initiate, track and implement remedial actions arising from control assessments and reporting. Management Practice Inputs Outputs From Description Description To MEA02.05 Ensure that assurance providers are Results of assurance Internal independent and qualified. Ensure that the entities performing assurance are independent from the function, groups or organisations in scope. The entities performing assurance should demonstrate an appropriate attitude and appearance, competence in the skills and knowledge necessary to perform assurance, and adherence to codes of ethics and professional standards. provider evaluations Activities 1. Establish adherence to applicable codes of ethics and standards (e.g., Code of Professional Ethics of ISACA) and (industry- and geography-specific) �� International Framework for Assurance Engagements (IAASB Assurance Framework). 2. Establish independence of assurance providers. 3. Establish competency and qualification of assurance providers. Management Practice Inputs Outputs MEA02.06 Plan assurance initiatives. From Description Description To �� and strategic priorities, inherent risk, resource BAI01.05 Programme audit plans High-level assessments Internal constraints, and sufficient knowledge of the enterprise. DSS01.02 Independent assurance Assurance plans EDM01.03 plans All APO All BAI All DSS All MEA Activities Assessment criteria Internal �� Personal Copy of: Mr. Dong Hong Wang
CHAPTER 5 COBIT 5 PROCESS REFERENCE GUIDE CONTENTS MEA02 Process Practices, Inputs/Outputs and Activities (cont.) Management Practice Inputs Outputs MEA02.07 Scope assurance initiatives. From Description Description To Define and agree with management on the scope of the �� APO11.05 Root causes of quality delivery failures Assurance review scope Internal APO12.06 Risk-related root causes Engagement plan Internal DSS06.01 Root cause analyses and Assurance review Internal recommendations practices MEA03.04 Reports of non-compliance issues and root causes Activities 1. Define the actual scope by identifying the enterprise and IT goals for the environment under review, the set of IT processes and resources, and all the relevant auditable entities within the enterprise and external to the enterprise (e.g., service providers), if applicable. 2. Define the engagement plan and resource requirements. 3. Define practices for gathering and evaluating information from process(es) under review to identify controls to be validated, and current findings (both positive assurance and any deficiencies) for risk evaluation. 4. Define practices to validate control design and outcomes and determine whether the level of effectiveness supports acceptable risk (required by organisational or process risk assessment). 5. Where control effectiveness is not acceptable, define practices to identify residual risk (in preparation for reporting). Management Practice Inputs Outputs MEA02.08 Execute assurance initiatives. From Description Description To Execute the planned assurance initiative. Report on identified findings. Provide positive assurance opinions, where appropriate, and recommendations for improvement relating to identified operational performance, external compliance and internal control APO11.05 Root causes of quality delivery failures Refined scope All APO All BAI All DSS All MEA system residual risk. APO12.04 Risk analysis and Assurance review results EDM05.01 risk profile reports for EDM05.03 stakeholders All APO APO12.06 Risk-related root causes All BAI All DSS DSS05.02 Results of penetration tests All MEA DSS06.01 Root cause analyses and Assurance review report EDM05.03 recommendations All APO �� MEA03.03 Identified compliance gaps Activities All BAI All DSS All MEA �� 5. Document the impact of control weaknesses. 6. Communicate with management during execution of the initiative so that there is a clear understanding of the work performed and agreement on and acceptance of the preliminary findings and recommendations. �� 8. Provide management with a report (aligned with the terms of reference, scope and agreed-on reporting standards) that supports the results of the initiative and enables a clear focus on key issues and important actions. MEA02 Related Guidance Related Standard Detailed Reference �� Personal Copy of: Mr. Dong Hong Wang 211 Monitor, Evaluate and Assess
Page 1 and 2:
Enabling Processes Personal Copy of
Page 3 and 4:
ACKNOWLEDGEMENTS ISACA wishes to re
Page 5 and 6:
ACKNOWLEDGEMENTS (CONT.) ACKNOWLEDG
Page 7 and 8:
TABLE OF CONTENTS TABLE OF CONTENTS
Page 9 and 10:
LIST OF FIGURES LIST OF FIGURES Fig
Page 11 and 12:
CHAPTER 1 INTRODUCTION CHAPTER 1 IN
Page 13 and 14:
CHAPTER 2. THE GOALS CASCADE AND ME
Page 15 and 16:
Page 17 and 18:
Page 19 and 20:
CHAPTER 3 THE COBIT 5 PROCESS MODEL
Page 21 and 22:
Enabler Performance Management CHAP
Page 23 and 24:
CHAPTER 4 THE COBIT 5 PROCESS REFER
Page 25 and 26:
CHAPTER 5 COBIT 5 PROCESS REFERENCE
Page 27 and 28:
Generic Guidance for Processes CHAP
Page 29 and 30:
Page 31 and 32:
Page 33 and 34:
Page 35 and 36:
Page 37 and 38:
EDM02 Process Practices, Inputs/Out
Page 39 and 40:
Page 41 and 42:
EDM03 Process Practices, Inputs/Out
Page 43 and 44:
Page 45 and 46:
Page 47 and 48:
Page 49 and 50:
Page 51 and 52:
Page 53 and 54:
Page 55 and 56:
APO01 Process Practices, Inputs/Out
Page 57 and 58:
Page 59 and 60:
Page 61 and 62:
Page 63 and 64:
Page 65 and 66:
Page 67 and 68:
Page 69 and 70:
Page 71 and 72:
APO04 Manage Innovation (cont.) CHA
Page 73 and 74:
Page 75 and 76:
Page 77 and 78:
Page 79 and 80:
Page 81 and 82:
Page 83 and 84:
Page 85 and 86:
Page 87 and 88:
Page 89 and 90:
Page 91 and 92:
Page 93 and 94:
Page 95 and 96:
Page 97 and 98:
Page 99 and 100:
Page 101 and 102:
Page 103 and 104:
Page 105 and 106:
Page 107 and 108:
Page 109 and 110:
Page 111 and 112:
Page 113 and 114:
APO13 Manage Security Process Descr
Page 115 and 116:
Page 117 and 118:
Page 119 and 120:
Page 121 and 122:
Page 123 and 124:
BAI01 Process Practices, Inputs/Out
Page 125 and 126:
Page 127 and 128:
Page 129 and 130:
Page 131 and 132:
Page 133 and 134:
Page 135 and 136:
Page 137 and 138:
Page 139 and 140:
Page 141 and 142:
Page 143 and 144:
Page 145 and 146:
Page 147 and 148:
Page 149 and 150:
Page 151 and 152:
Page 153 and 154:
Page 155 and 156:
Page 157 and 158:
Page 159 and 160: CHAPTER 5 COBIT 5 PROCESS REFERENCE
Page 179 and 180: DSS02 Process Practices, Inputs/Out
Page 195 and 196: DSS05 Process Practices, Inputs/Out
Page 205 and 206: MEA01 Process Practices, Inputs/Out
Page 209: CHAPTER 5 COBIT 5 PROCESS REFERENCE
Page 217 and 218: APPENDIX A MAPPING BETWEEN COBIT 5
Page 225 and 226: APPENDIX B DETAILED MAPPING ENTERPR
Page 227 and 228: APPENDIX C DETAILED MAPPING IT-RELA
Page 229 and 230: Deliver, Service and Support Monito
show all

Enabling Processes

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?