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Play-04 > AG: 4-Performing A Process Assessment > Flashcards

AG: 4-Performing A Process Assessment Flashcards

0
Q

What are the core activities of the (Initiation) step in COBIT 5 assessment?

A
  • confirming the sponsor
  • ensuring agreement on the purpose and scope of the assessment
  • identifying any constraints
  • doing the initial planning of the assessment (including any additional information that needs to be gathered)
  • choosing the assessment participants and the full assessment team
  • defining the roles of the team members
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1
Q

What are the basic 7 steps in COBIT 5 assessment process?

A
  • Initiation
  • Planning
  • Briefing
  • Data collection (evidence-based for each process)
  • Data validation (evidence-based for each process)
  • Process attribute rating (evidence-based for each process)
  • Assessment reporting
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2
Q

What are the core activities of the (Planning) step in COBIT 5 assessment?

A
  • development of the detailed assessment plan that describes (all activities performed in gathering evidence and conducting the assessment)
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3
Q

What are the core activities of the (Briefing) step in COBIT 5 assessment?

A
  • Assessment Team: ensure that the assessment team understands the assessment input, process and output
  • Assessment Participants: people in the enterprise who should be consulted in the assessment should also be briefed on how the assessment will be performed
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4
Q

What are the core activities of the (Data Collection) step in COBIT 5 assessment?

A
  • obtaining objective evidence to support the evaluation
  • data collection (strategy) should be developed and approved during the planning step
  • data collection (period) should be considered because it may affect the assessment results
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5
Q

What are the core activities of the (Data Validation) step in COBIT 5 assessment?

A
  • Validation can commence during data collection
  • The assessor, while gathering information, should ensure that the information obtained from various sources is consistent
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6
Q

What are the core activities of the (Process Attributes Rating) step in COBIT 5 assessment?

A
  • A rating is assigned for each process attribute up to and including the highest capability level defined in the assessment scope
  • The rating is based on data validated in the previous activity
  • Traceability must be maintained between the objective evidence collected and the process attribute ratings assigned
  • The relationship between the indicators and the objective evidence needs to be recorded
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7
Q

What are the core activities of the (Assessment Reporting) step in COBIT 5 assessment?

A
  • The results of the assessment are analysed and presented to the sponsor/stakeholders as appropriate
  • important to highlight in the report that it is: An assessment report, based on a PAM, performed by a certified/competent assessor and not an attestation or assurance report on the effectiveness of the internal control, risk management or other aspects of enterprise performance & Meant as an internal report for management’s use ONLY
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8
Q

What are the key issues associated with of the (Initiation) step in COBIT 5 assessment?

A

T

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9
Q

What are the key issues associated with of the (Planning) step in COBIT 5 assessment?

A

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10
Q

What are the key issues associated with of the (Briefing) step in COBIT 5 assessment?

A

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11
Q

What are the key issues associated with of the (Data Collection) step in COBIT 5 assessment?

A

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12
Q

What are the key issues associated with of the (Data Validation) step in COBIT 5 assessment?

A

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13
Q

What are the key issues associated with of the (Process Attributes Rating) step in COBIT 5 assessment?

A

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14
Q

What are the key issues associated with of the (Assessment Reporting) step in COBIT 5 assessment?

A

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15
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Sponsor) in the (Initiation) step in COBIT 5 assessment?

A
  • have the authority to engage an assessment team

- make sure adequate resources and competencies are made available to perform a conformant assessment

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16
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Participants/Assesses) in the (Initiation) step in COBIT 5 assessment?

A
  • involvement of people with knowledge about the processes
  • provide an accurate view of the process capability
  • processes to be assessed should be mapped to the enterprise units undertaking the process or using its work products
  • initial arrangements can be made to have appropriate representation in the assessment
17
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Pre-assessment Questionnaire) in the (Initiation) step in COBIT 5 assessment?

A

It should allows the assessor or assessor team gain an understanding of the:

  • enterprise unit
  • management’s expectations
18
Q

What are the typical typically questions that should be included in the pre-assessment questionnaire?

A

• The enterprise unit being assessed
• Products and services
• Any issues or problem areas
• The scoping tool and process to be used
• The type of assessment being requested, i.e., class one, two or three
• Knowledge of COBIT 5
• Awareness of what is involved in an assessment process
• Awareness of the time and resource commitment necessary to achieve the desired objective

19
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Scoping of the Assessment) in the (Initiation) step in COBIT 5 assessment?

A
  • should focus the assessment on the business needs of the enterprise
  • reduces the overall effort involved with the assessment.
20
Q

What are the major steps in the (Scoping & Mappping Process) happens during the initiation step in the COBIT 5 assessment?

A
  • Identify relevant (business drivers) and associated (stakeholder needs)
  • Define the (objectives) of the assessment
  • The (prioritization and selection) of (COBIT 5 processes)
  • (Identify and prioritize) enterprise (IT processes)
  • (Confirm) the preliminary selection of target COBIT processes with the project sponsor and key stakeholders
  • Finalize the COBIT processes selection
  • Document the scoping methodology in the assessment records
  • i.e. refer to goal cascade and value creation mechanisms in COBIT 5
21
Q

What are the typical business drivers for assessing IT processes in a COBIT 5 assessment?

A
  • (Strengths) and (opportunities for improvement) of IT processes and their enabling of one or more key enterprise goals
  • (Prioritized improvement initiatives) related to achieving one or more identified IT goals
  • Opportunities for improving the enterprise’s governance and management information and technology assets
22
Q

What is the basic advantage of using COBIT 5 scoping and mapping technique?

A

The benefits of using COBIT 5 as the PRM is that it has extensive mappings from (enterprise goals) and (IT-related goals) to (IT processes)

23
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Setting Target Capability Levels) in the (Initiation) step in COBIT 5 assessment?

A
  • The impact on the (business objectives) of the enterprise if a specified level of capability is not achieved
  • 1st: The impact on the (enterprise) if the process is non-existent or not working effectively or efficiently
  • 2nd: The (additional consequences) of the effective and efficient operation of the processes at the various capability levels
24
Q

What is the minimum size of the assessment team in class (one) assessment? And characteristics of the lead assessor?

A
  • At least two members, including the lead assessor

- The certified assessor shall be independent of the organisation unit being assessed.

25
Q

What is the minimum size of the assessment team in class (two) assessment? And characteristics of the lead assessor?

A
  • At least two members, ideally including a certified assessor
  • Can be performed internally or by an independent assessor
26
Q

What is the minimum size of the assessment team in class (three) assessment? And characteristics of the lead assessor?

A
  • At least one member

- Can be performed internally or by an independent assessor.

27
Q

What are the minimum evidential requirements for class (one) assessment?

A
  • A minimum of four process instances for each process attribute
28
Q

What are the minimum evidential requirements for class (two) assessment?

A
  • A minimum of two process instances for each process attribute
29
Q

What are the minimum evidential requirements for class (three) assessment?

A
  • There is no minimum of process instances stated
30
Q

What are the major difference between self-assessment and class three assessment?

A
  • No need for a certified competent lead assessor
  • No need for evidences
  • Only for internal use and no comparison
31
Q

From which part of the organization can the sponsor be?

A

The sponsor can belong to the same enterprise, but not necessarily to the part of the enterprise being assessment

32
Q

What is the (LAC) role?

A

The local assessment co-ordinator (LAC), who will manage the assessment logistics and interface with the various enterprise units

33
Q

What is the (PAQ)? And how does it help?

A
  • The pre-assessment questionnaires (PAQs) is submitted to the local assessment co-ordinator
  • The PAQs help structure the onsite interviews
34
Q

What are the typical COBIT 5 assessment constrains?

A
  • Availability of key resources
  • Maximum amount of time
  • Specific processes or enterprise units to be excluded
  • Minimum, maximum or specific sample size or coverage
  • Ownership of the assessment outputs and any restrictions on their use
  • Controls on information resulting from a confidentiality agreement
35
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Project Management) in the (Planning) step in COBIT 5 assessment?

A
  • A successful assessment is conducted as a small project
  • appropriate project plan, monitoring of progress, adjusting of the plan when appropriate and keeping the project sponsor informed
36
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Level of Efforts) in the (Planning) step in COBIT 5 assessment?

A
  • Scope of the assessment (the number of processes to be assessed)
  • Type of assessment, which determines the level of evidence required to be collected
  • Capability level to which the assessment is to be taken
37
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Assessment Tools) in the (Planning) step in COBIT 5 assessment?

A
  • Selection of paper-based and automated

- The appropriateness of a tool depends on the planned mode of use and assessment methodology

38
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Data Collection Strategy) in the (Planning) step in COBIT 5 assessment?

A
  • The assessment input shall be defined prior to the data collection phase of an assessment and approved by the sponsor
  • The strategy should ensure that the appropriate level of evidence is collected and recorded in line with the requirements of class and scope of the assessment
39
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Management Support) in the (Briefing) step in COBIT 5 assessment?

A
  • Sponsor motivates participants to be open and constructive
  • Sponsor made clear that process assessments focus on the process, not on the performance of enterprise unit members implementing the process
  • The intent is to make the processes more effective in support of the defined business goals
  • ensure that participants are a principal source of knowledge and experience about the process and that they are in a good position to identify potential weaknesses in the process
  • respect for the confidentiality of the sources of information
  • ensure that participants do not feel threatened or have any concerns regarding confidentiality
  • adequate confidentiality arrangements/agreements are in place to handle such information and manage its use in the assessment process
40
Q

What are the (Major Concerns) that the lead assessor should take care of, which are associated with the key issue (Training) in the (Briefing) step in COBIT 5 assessment?

A
  • The participants should be appropriately trained and have the necessary experience
  • In addition to competence in operating the tools, training and/or experience should provide a good theoretical understanding of the underlying principles related to the COBIT PAM, indicators and rating

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