Enabling Processes

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Align, Plan and Organise 98 : ENABLING PROCESSES APO10 Process Practices, Inputs/Outputs and Activities Management Practice Inputs Outputs APO10.01 Identify and evaluate supplier From Description Description To relationships and contracts. Identify suppliers and associated contracts and categorise them into type, significance and criticality. Outside COBIT Supplier contracts Supplier significance and evaluation criteria Internal Establish supplier and contract evaluation criteria and Supplier catalogue BAI02.02 evaluate the overall portfolio of existing and alternative suppliers and contracts. Potential revisions to supplier contracts Internal Activities 1. Establish and maintain criteria relating to type, significance and criticality of suppliers and supplier contracts, enabling a focus on preferred and important suppliers. 2. Establish and maintain supplier and contract evaluation criteria to enable overall review and comparison of supplier performance in a consistent way. 3. Identify, record and categorise existing suppliers and contracts according to defined criteria to maintain a detailed register of preferred suppliers that need to be managed carefully. 4. Periodically evaluate and compare the performance of existing and alternative suppliers to identify opportunities or a compelling need to reconsider current supplier contracts. Management Practice Inputs Outputs APO10.02 Select suppliers. From Description Description To Select suppliers according to a fair and formal practice to ensure a viable best fit based on specified requirements. Requirements should be optimised with input from potential suppliers. BAI02.02 �� development plan Supplier requests for information (RFIs) and requests for proposals (RFPs) BAI02.01 BAI02.02 RFI and RFP evaluations BAI02.02 Decision results of supplier evaluations EDM04.01 BAI02.02 Activities 1. Review all RFIs and RFPs to ensure that they: � �� 3. Select the supplier that best fits the RFP. Document and communicate the decision, and sign the contract. 4. In the specific case of software acquisition, include and enforce the rights and obligations of all parties in the contractual terms. These rights and obligations may include ownership and licencing of intellectual property, maintenance, warranties, arbitration procedures, upgrade terms, and fit for purpose, including security, escrow and access rights. 5. In the specific case of acquisition of development resources, include and enforce the rights and obligations of all parties in the contractual terms. These rights and obligations may include ownership and licencing of intellectual property; fit for purpose, including development methodologies; testing; quality management processes, including required performance criteria; performance reviews; basis for payment; warranties; arbitration �� 6. Obtain legal advice on resource development acquisition agreements regarding ownership and licencing of intellectual property. 7. In the specific case of acquisition of infrastructure, facilities and related services, include and enforce the rights and obligations of all parties in the contractual terms. These rights and obligations may include service levels, maintenance procedures, access controls, security, performance review, basis for payment and arbitration procedures. Personal Copy of: Mr. Dong Hong Wang
CHAPTER 5 COBIT 5 PROCESS REFERENCE GUIDE CONTENTS APO10 Process Practices, Inputs/Outputs and Activities (cont.) Management Practice Inputs Outputs APO10.03 Manage supplier relationships From Description Description To and contracts. Formalise and manage the supplier relationship for each supplier. Manage, maintain and monitor contracts BAI03.04 Approved acquisition plans Supplier roles and responsibilities Internal and service delivery. Ensure that new or changed Communication and Internal contracts conform to enterprise standards and legal and review process regulatory requirements. Deal with contractual disputes. Activities Results and suggested improvements Internal 1. Assign relationship owners for all suppliers and make them accountable for the quality of service(s) provided. 2. Specify a formal communication and review process, including supplier interactions and schedules. 3. Agree on, manage, maintain and renew formal contracts with the supplier. Ensure that contracts conform to enterprise standards and legal and regulatory requirements. 4. Within contracts with key service suppliers include provisions for the review of supplier site and internal practices and controls by management or independent third parties. 5. Evaluate the effectiveness of the relationship and identify necessary improvements. 6. Define, communicate and agree on ways to implement required improvements to the relationship. 7. Use established procedures to deal with contract disputes, first using, wherever possible, effective relationships and communications to overcome service problems. 8. Define and formalise roles and responsibilities for each service supplier. Where several suppliers combine to provide a service, consider allocating a lead contractor role to one of the suppliers to take responsibility for an overall contract. Management Practice Inputs Outputs APO10.04 Manage supplier risk. From Description Description To �� to continually provide secure, efficient and effective service delivery. APO12.04 � �� risk assessments � �� Identified supplier delivery risk APO12.01 APO12.03 BAI01.01 profile reports for stakeholders Activities Identified contract requirements to minimise risk Internal �� and continually. 2. When defining the contract, provide for potential service risk by clearly defining service requirements, including software escrow agreements, alternative suppliers or standby agreements to mitigate possible supplier failure; security and protection of intellectual property (IP); and any legal or regulatory requirements. Management Practice Inputs Outputs APO10.05 Monitor supplier performance From Description Description To and compliance. Periodically review the overall performance of suppliers, compliance to contract requirements, and value for Supplier compliance monitoring criteria Internal money, and address identified issues. Activities Supplier compliance monitoring review results MEA01.03 1. Define and document criteria to monitor supplier performance aligned with service level agreements and ensure that the supplier regularly and transparently reports on agreed-on criteria. 2. Monitor and review service delivery to ensure that the supplier is providing an acceptable quality of service, meeting requirements and adhering to contract conditions. 3. Review supplier performance and value for money to ensure that they are reliable and competitive, compared with alternative suppliers and market conditions. 4. Request independent reviews of supplier internal practices and controls, if necessary. 5. Record and assess review results periodically and discuss them with the supplier to identify needs and opportunities for improvement. 6. Monitor and evaluate externally available information about the supplier. Personal Copy of: Mr. Dong Hong Wang 99 Align, Plan and Organise
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Enabling Processes Personal Copy of
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ACKNOWLEDGEMENTS ISACA wishes to re
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ACKNOWLEDGEMENTS (CONT.) ACKNOWLEDG
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TABLE OF CONTENTS TABLE OF CONTENTS
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LIST OF FIGURES LIST OF FIGURES Fig
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CHAPTER 1 INTRODUCTION CHAPTER 1 IN
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CHAPTER 2. THE GOALS CASCADE AND ME
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CHAPTER 3 THE COBIT 5 PROCESS MODEL
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Enabler Performance Management CHAP
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CHAPTER 4 THE COBIT 5 PROCESS REFER
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CHAPTER 5 COBIT 5 PROCESS REFERENCE
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Generic Guidance for Processes CHAP
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EDM02 Process Practices, Inputs/Out
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EDM03 Process Practices, Inputs/Out
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Page 47 and 48: CHAPTER 5 COBIT 5 PROCESS REFERENCE
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DSS02 Process Practices, Inputs/Out
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DSS05 Process Practices, Inputs/Out
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MEA01 Process Practices, Inputs/Out
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APPENDIX A MAPPING BETWEEN COBIT 5
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APPENDIX B DETAILED MAPPING ENTERPR
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APPENDIX C DETAILED MAPPING IT-RELA
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Deliver, Service and Support Monito
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Enabling Processes

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