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itSMF-NL Spring 2008 Conference
                               "Best Practices in IT Management:
                               BEYOND ITIL, BEYOND CONTROL"
                                          April 22, 2008 Hotel & Congrescentrum De Reehorst , Ede , Nederland




 ISO/IEC 29382 - the new standard
 for ICT Governance

 Christophe Feltus
 Member of the ISO Study Group on ICT Governance
 Public Research Centre Henri Tudor,
 29, Rue John F. Kennedy
 L-1855 Luxembourg

 christophe.feltus@tudor.lu

July 21, 2010                                                                                       1
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   2
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   3
Some definitions

  AS 8015 – Australian National Standards
       Corporate Governance of ICT is the system by which the current and
       future use of ICT is directed and controlled. It involves evaluating and
       directing the plans for the use of ICT to support the organization and
       monitoring this use to achieve plans. It includes the strategy and policies
       for using ICT within an organization. (Corporate Governance of
       Information and Communication Technology; January 2005).

  OECD Corporate Governance
       Corporate governance involves a set of relationships between a
       company‘s management, its board, its shareholders and other
       stakeholders. Corporate governance also provides the structure through
       which the objectives of the company are set, and the means of attaining
       those objectives and monitoring performance are determined. Good
       corporate governance should provide proper incentives for the board and
       management to pursue objectives that are in the interests of the company
       and its shareholders and should facilitate effective monitoring. (OECD
       Code on Corporate Governance)



                                            itSMF-NL Spring 2008 Conference
July 21, 2010            "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   4

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Some definitions

  ITGI (IT Governance Institute)
       IT Governance is the responsibility of the board of directors and executive
       management. It is an integral part of enterprise governance and consists
       of the leadership and organisational structures and processes that ensure
       that the organisation‘s IT sustains and extends the organisation‘s
       strategies and objectives. (Board Briefing, 2nd edition; 2003).


  World Bank Definition of Corporate Governance
       Corporate governance refers to the structures and processes for the
       direction and control of companies. Corporate governance concerns the
       relationships among the management, the Board of Directors, the
       controlling shareholders and other stakeholders. Good corporate
       governance contributes to sustainable economic development by
       enhancing the performance of companies and increasing their access to
       outside capital.




                                            itSMF-NL Spring 2008 Conference
July 21, 2010            "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   5
Some definitions
  MIT Sloan Center for Information Systems Research :
       IT Governance is specifying the decision rights and accountability
       framework to encourage desirable behaviour in the use of IT. (MIT CISR
       Working Paper No. 326; April 2002).

  University of Tasmania
       The survey of the literature by academics from the University of Tasmania
       (Webb, Phyl, Pollard, Carol, and Ridley, Gail (2006), Attempting to Define
       IT Governance: Wisdom or Folly?, Proceedings of the 39th Hawaii
       International Conference on Systems Sciences) brings out the ‗elements‘
       that are common to a range of suggested definitions. The elements are:
       strategic alignment, delivery of business values, performance
       management, risk management, policies and procedures, and control and
       accountability. Their resultant definition is : IT Governance is the
       strategic alignment of IT with the business such that maximum
       business value is achieved through the development and
       maintenance of effective IT control and accountability, performance
       management and risk management.



                                           itSMF-NL Spring 2008 Conference
July 21, 2010           "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   6
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvment
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   7
Study Group in ISO

  JTC1 : Information Technology Standards
  JTC1 / SC7 : Software and System Engineering
  JTC1 / SC7 / WG25 : IT Operations (service management)
  Basically : Study Group in WG25
 Study Group Chair : Alison Holt (New Zeland)
 Co-Chair : Ed Lewis (Australia)
                                                           Yoshiyuki Hirano, Japan
 Members :      Alwyn Smit, South Africa
                                                           K.T. Hwang, Korea
                Melanie Cheong, South Africa
                                                           Bill Powell, United States
                Jyrki Lahnalahti, Finland
                                                           Dennis Ravenelle, itSMFI
                Craig Pattison, itSMFI/New Zealand
                                                           Hella Shrader, United Kingdom
                Darcie Destito, United States
                                                           Mark Toomey, Australia
                Gargi Keeni, India
                                                           Mikhail Pototsky, Russian Federation/itSMFI
                Sushil Chatterji, ISACA/ITGI
                                                           Max Shanahan, ISACA/ITGI
                Brian Cusack, New Zealand
                                                           Luis Rosa, Spain
                Christophe Feltus, Luxembourg
                                                           Jenny Dugmore, UK.


                                       itSMF-NL Spring 2008 Conference
July 21, 2010       "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"                       8

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Study Group in ISO

  In Seoul (2006) :
       Reduce – if not remove – the confusion in the professional and the
       academic literature about the topic
       Resolutions :
           - New SG
           - 1st report
           - Fast Track


  In Moscow (May 2007) :
               Preparation of 1st report
               Definition of ICT Governance
               What is ICT Governance ?


                                               itSMF-NL Spring 2008 Conference
July 21, 2010               "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   9
Study Group in ISO
 Montreal (November 2007)
  Fast Track on Australian Standard on ICT Governance
          Accepted in July
          Resolution of comments on Fast Track : 149
                   Canada : 2
                   Spain : 1
                   France : 5
                   Italy : 10
                   Japan : 10
                   Korea : 1
                   Luxembourg : 46
                   New Zealand : 6
                   UK : 4
                   Sweden : 9
                   USA : 15
                   South Africa : 40

          1st report
          NWI


                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   10
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   11
ISO – itSMF liaison (by WG)




                                     itSMF-NL Spring 2008 Conference
July 21, 2010     "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   12

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                                     itSMF-NL Spring 2008 Conference
July 21, 2010     "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   13
Link with ISO 20000

        ISO 20000 - The standard describes the controls needed to effectively
           deliver services that meet the needs of the customer and business
           requirements.

        The processes described in ISO 20000 underpin an effective
           governance framework and therefore need to be closely aligned to
           any proposed ICT Governance standard.

        All reviewed standards have a relationship with ICT Governance
            and many sections overlap not only in comparison to ISO/IEC
            38500 standard but also amongst the individual reviewed
            standards. Any drafting of a new international ICT
            Governance standard needs to take the above existing
            standards into account and ensure that a) there are no
            conflicts and b) all governance related sections are covered.
            A weakness of all reviewed standards is around the need for
            strategic direction and the implementation of controls to
            support and manage this area.



                                            itSMF-NL Spring 2008 Conference
July 21, 2010            "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   14
Advisory Board Paper

                The formal description it offers is:

                “Governance is the collective set of procedures, policies, roles
                  and responsibilities, and organizational structures required
                  to support an effective decision-making process”.




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   15
Advisory Board Paper
        Benefits of Governance : (Key words)

               Achieving business objectives by ensuring that each element of the mission and
                strategy are assigned and managed with a clearly understood and transparent
                decisions rights and accountability framework.

               Defining and encouraging desirable behavior in the use of IT and in the execution
                of IT outsourcing arrangements.

               Implementing and integrating the desired business processes into the organization.

               Providing stability and overcoming the limitations of organizational structure.

               Improving customer, business and internal relationships and satisfaction, and
                reducing internal territorial strife by formally integrating the customers, business
                units, and external IT providers into a holistic IT governance framework.

               Enabling effective and strategically aligned decision making for the IT Principles
                that define the role of IT, IT Architecture, IT Infrastructure, Application Portfolio and
                Frameworks, Service Portfolio, Information and Competency Portfolios and IT
                Investment & Prioritization.

                                                    itSMF-NL Spring 2008 Conference
July 21, 2010                    "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"    16

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Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   17
Interim Report
  A review of national governance activities
  The identification of a set of guiding principles for the development of an ICT
   Governance standard to meet market requirements
  The identification of the ICT governance needs to be addressed in the
   standard
  An assessment of where ICT governance sits within JTC1
  A review of elements of ICT governance in existing SC7 standards
  Analysis to determine the level of standard required to sit above existing
   frameworks and methodologies without replacing or displacing existing
   material. Identification of the sort of ―standard‖ required - TR, code of
   practice or guidelines
  Analysis of what would need to be added to AS 8015 to meet these needs
  Analysis of whether a maturity framework could be included from the outset
  Liaison Relationships: Contributions requested from existing bodies of
   knowledge
  Call to action dependent on AS 8015 fast tack result (which is now known)




                                         itSMF-NL Spring 2008 Conference
July 21, 2010         "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   18
Review of the status of ICT
                        Governance across different nations

                Written and oral reports were presented to the ICT Study
                Group reviewing the state of different ICT Standards
                environments within the different jurisdictions.

                A general movement towards compliance frameworks was
                reported in terms of legislation, Standards adoption and
                control framework adoption (eg. CobiT, ITIL, and so on).

                Several reports noted that regulatory requirements were
                pending and that there is considerable momentum gathering
                for comprehensive directives (both explicit and implicit). The
                importance of ICT Governance and the current opportune
                moment in time for ICT Governance advancement was
                reported in each case.

                                               itSMF-NL Spring 2008 Conference
July 21, 2010               "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   19
What is ICT Governance?

  The Working Group should establish a Glossary of governance
   terms. The Glossary especially should include definitions that help
   to establish the difference between Governance and Management.
   The definitions must be compatible with those in existing ISO
   Standards

  Director
    Member of the most senior governing body of an organization.
    Includes owners, board members, partners, senior executives or
    similar, and officers authorized by legislation or regulation.

 Management
   Management is the process of controlling the activities required to
   achieve the strategic objectives set by the organisation's governing
   body. Management is subject to the policy guidance and
   monitoring set through corporate governance.


                                       itSMF-NL Spring 2008 Conference
July 21, 2010       "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   20

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What is ICT Governance?

  The objective of governance is to determine and cause the desired
   behavior and results to achieve the strategic impact of IT.

               The system in which directors monitor, evaluate and direct IT management to
                ensure effectiveness, accountability and compliance of IT


  The active distribution of decision-making rights and accountabilities
   among different stakeholders in an organization and the rules and
   procedures for making and monitoring those decisions to determine and
   achieve desired behaviors and results .

               who makes directing, controlling and executing decisions
               how the decisions will be made
               what information is required to make the decisions
               what decision-making mechanisms should be required
               how exceptions will be handled
               how the governance results should be reviewed and improved


                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   21
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   22
Beyond ISO 29382 : scope


  The objective of this Standard is to provide a framework of principles
    for Directors to use when evaluating, directing and monitoring the
    use of information technology (IT) in their organizations.




                                       itSMF-NL Spring 2008 Conference
July 21, 2010       "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   23
Beyond ISO 29382 : scope

  Governance is distinct from management, and for the avoidance of
    confusion, the two concepts are clearly defined in the standard.

  …the members of the governing body may also occupy the key roles
    in management.

  It provides guidance to those advising, informing, or assisting
     directors. They include:
          • Senior managers.
          • Members of groups monitoring the resources within the organization.
          • External business or technical specialists, such as legal or accounting
          specialists, retail associations, or professional bodies.
          • Vendors of hardware, software, communications and other IT products.
          • Internal and external service providers (including consultants).
          • IT auditors.

  The standard is applicable for all organizations, from the smallest, to
    the largest, regardless of purpose, design and ownership structure.

                                              itSMF-NL Spring 2008 Conference
July 21, 2010              "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   24

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Some companies have achieved better performance as a result of their IT investments, while others have not, as organizations are interested in calculating the value added by their IT. There is a wide range of literature that agrees that the best practices used by organizations promote continuous improvement in service delivery. Nevertheless, overuse of these practices can have undesirable effects and unquantified investments. This paper proposed a practical tool formally developed according to the DSR design science approach, it addresses a domain relevant to both practitioners and academics by providing IT service governance (ITSG) domain model ontology, concerned with maximizing the clarity and veracity of the concepts within it. The results revealed that the proposed ontology resolved key barriers to ITSG process adoption in organizations, and that combining COBIT and ITIL practices would help organizations better manage their IT services and achieve better business-IT alignment.

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Smart-X: an Adaptive Multi-Agent Platform for Smart-Topics
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Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
                    Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   25
Beyond ISO 29382 : application


  This standard is applicable to all organizations, including public and
     private companies, government entities, and not-for-profit
     organizations.

  The standard is applicable to organizations of all sizes from the
    smallest to the largest, regardless of the extent of their use of IT.




                                        itSMF-NL Spring 2008 Conference
July 21, 2010        "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   26
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   27
Beyond ISO 29382 : objectives


  The purpose of this Standard is to promote effective, efficient, and
    acceptable use of IT in all organizations by:

        assuring stakeholders (including consumers, shareholders, and
         employees) that, if the standard is followed, they can have
         confidence in the organization’s corporate governance of IT;

        informing and guiding directors in governing the use of IT in their
         organization; and

        providing a basis for objective evaluation of the corporate
         governance of IT.




                                           itSMF-NL Spring 2008 Conference
July 21, 2010           "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   28

Recommended for you

Joint workshop on security modeling archimate forum and security forum
Joint workshop on security modeling archimate forum and security forumJoint workshop on security modeling archimate forum and security forum
Joint workshop on security modeling archimate forum and security forum

This document provides an agenda and overview for a joint workshop on security modeling hosted by the ArchiMate Forum and Security Forum. The workshop aims to identify opportunities to improve the conceptual and visual modeling of enterprise information security using TOGAF and ArchiMate. The agenda includes introductions, a research spotlight on strengthening role-based access control with responsibility modeling, an open discussion on complementing TOGAF and ArchiMate with enhanced security modeling, and identifying next steps. The workshop purpose is to enable better security architecture decisions and drive usage of TOGAF and ArchiMate for security architecture.

capabilitysecurityresponsibility metamodel
Alignment of remmo with rbac to manage access rights in the frame of enterpri...
Alignment of remmo with rbac to manage access rights in the frame of enterpri...Alignment of remmo with rbac to manage access rights in the frame of enterpri...
Alignment of remmo with rbac to manage access rights in the frame of enterpri...

Aligning the business operations with the appropriate IT infrastructure is a challenging and critical activity. Without efficient business/IT alignment, the companies face the risk not to be able to deliver their business services satisfactorily and that their image is seriously altered and jeopardized. Among the many challenges of business/IT alignment is the access rights management which should be conducted considering the rising governance needs, such as taking into account the business actors' responsibility. Unfortunately, in this domain, we have observed that no solution, model and method, fully considers and integrates the new needs yet. Therefore, the paper proposes firstly to define an expressive Responsibility metamodel, named ReMMo, which allows representing the existing responsibilities at the business layer and, thereby, allows engineering the access rights required to perform these responsibilities, at the application layer. Secondly, the Responsibility metamodel has been integrated with ArchiMate® to enhance its usability and benefits from the enterprise architecture formalism. Finally, a method has been proposed to define the access rights more accurately, considering the alignment of ReMMo and RBAC. The research was realized following a design science and action design based research method and the results have been evaluated through an extended case study at the Hospital Center in Luxembourg.

responsibility modelenterprise architectureaccess rights
Modeling enterprise risk management and secutity with the archi mate language
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Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   29
Beyond ISO 29382 : 6 principles


  Principle 1: Establish clearly understood responsibilities for IT

  Principle 2: Plan IT to best support the organization

  Principle 3: Acquire IT validly

  Principle 4: Ensure that IT performs well, whenever required

  Principle 5: Ensure IT conforms with formal rules

  Principle 6: Ensure IT use respects human factors




                                         itSMF-NL Spring 2008 Conference
July 21, 2010         "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   30
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   31
Beyond ISO 29382 : Model for
                          Corporate Governance of ICT




     Directors should govern ICT through three main tasks:
                (a) Evaluate the use of ICT.
                (b) Direct preparation and implementation of plans and policies.
                (c) Monitor conformance to policies, and performance against the plans.


                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   32

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Towards an innovative systemic approach of risk management
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This document proposes an innovative systemic approach to risk management across interconnected sectors. It suggests using enterprise architecture models to manage cross-sector risks in Luxembourg's complex ICT ecosystem. The approach would provide regulators an overview of all players and systems, as well as models of different sectors to analyze collected data and risks at a national level, fostering accurate and reactive risk mitigation across economic domains.

Evaluate


  Directors should examine and make judgement on the current and
   future use of IT, including strategies, proposals and supply
   arrangements (whether internal, external, or both).

  In evaluating the use of IT, directors should consider the pressures
   acting upon the business, such as technological change, economic
   and social trends, and political influences.

  Directors should also take account of both current and future
   business needs — the current and future organizational objectives
   that they must achieve, such as maintaining competitive
   advantage, as well as the specific objectives of the strategies and
   proposals they are evaluating.


                                       itSMF-NL Spring 2008 Conference
July 21, 2010       "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   33
Direct


  Directors should assign responsibility for, and direct preparation
   and implementation of plans and policies. Plans should set the
   direction for investments in IT projects and IT operations. Policies
   should establish sound behaviour in the use of IT.

  Directors should ensure that the transition of projects to
   operational status is properly planned and managed, taking into
   account impacts on business and operational practices and
   existing IT systems and infrastructure.

  Directors should encourage a culture of good governance of IT in
   their organization by requiring managers to provide timely
   information, to comply with direction and to conform with the six
   principles of good governance.

                                       itSMF-NL Spring 2008 Conference
July 21, 2010       "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   34
Monitor


  To complete the cycle, directors should monitor, through
   appropriate measurement systems, the performance of IT use.
   They should reassure themselves that performance is in
   accordance with plans, particularly with regard to business
   objectives.

  They should also make sure that the use of IT conforms with
   external obligations (regulatory, legislation, common law,
   contractual) and internal work practices. If necessary, directors
   should direct the submission of proposals for approval to address
   identified needs.




                                      itSMF-NL Spring 2008 Conference
July 21, 2010      "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   35
Outline

 ICT Governance definitions
 SG on ICT Governance
               itSMF involvement
               Interim Report
               Beyond ISO 29382
                    Scope
                    Application
                    Objectives
                    6 principles
                    Model for Corporate Governance of ICT
 Conclusions




                                                  itSMF-NL Spring 2008 Conference
July 21, 2010                  "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   36

Recommended for you

Towards a hl7 based metamodeling integration approach for embracing the priva...
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Towards a hl7 based metamodeling integration approach for embracing the priva...

This document proposes extending the HL7 standard with a responsibility perspective to better manage access rights to patient health records. It presents the ReMMo responsibility metamodel, which defines actors' responsibilities and associated access rights. The paper aims to align ReMMo with the HL7-based eSanté healthcare platform model in Luxembourg to semantically enhance access controls based on users' real responsibilities rather than just roles. It will first map concepts between the two models, then evaluate the alignment through a prototype applying inference rules.

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Strengthening employee’s responsibility to enhance governance of it – cobit r...
Strengthening employee’s responsibility to enhance governance of it – cobit r...Strengthening employee’s responsibility to enhance governance of it – cobit r...
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This document presents a study that aims to develop and validate a responsibility model to improve IT governance. It analyzes concepts of responsibility from literature and frameworks like COBIT. The researchers developed a responsibility model with key concepts like obligation, accountability, right, and commitment. They then compare this model to COBIT's representation of responsibility to identify areas for potential enhancement, like adding concepts that COBIT lacks. The document illustrates how the responsibility model could be used to refine COBIT's process for identifying system owners and their responsibilities.

Conclusions and Future Works

          Review the use of the Plan, Do, Check Act (PDCA) lifecycle versus Evaluate,
          Direct Monitor (EDM). Show mapping of EDM versus PDCA.


          Incorporate human behavioural aspects to the chosen lifecycle.


          Produce a diagram demonstrating the inter-relation of principles.


          Develop derivative material to cover:
          ·     Clarification on the risks of poor governance and decision making;
          ·     Analysis on the benefits of Governance across the IT lifecycle; and
          ·     The explanation of each principle.




                                              itSMF-NL Spring 2008 Conference
July 21, 2010              "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   37
Conclusions and Future Works

       Determine market requirements and then determine the coverage of future
       standards for example IT Projects, IT Operations, IT Use or some other
       frameworks.


       Development of a TR2 for CIOs and executives to assist them in explaining
       the rationale and implications (risks and benefits) of the principles.


       Development of a TR2 for guidelines for the use of the standard by Public
       Sector organizations




                                             itSMF-NL Spring 2008 Conference
July 21, 2010             "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL"   38

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Iso iec 29382 the new standard for ict governance christophe feltus

  • 1. itSMF-NL Spring 2008 Conference "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" April 22, 2008 Hotel & Congrescentrum De Reehorst , Ede , Nederland ISO/IEC 29382 - the new standard for ICT Governance Christophe Feltus Member of the ISO Study Group on ICT Governance Public Research Centre Henri Tudor, 29, Rue John F. Kennedy L-1855 Luxembourg christophe.feltus@tudor.lu July 21, 2010 1
  • 2. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 2
  • 3. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 3
  • 4. Some definitions  AS 8015 – Australian National Standards Corporate Governance of ICT is the system by which the current and future use of ICT is directed and controlled. It involves evaluating and directing the plans for the use of ICT to support the organization and monitoring this use to achieve plans. It includes the strategy and policies for using ICT within an organization. (Corporate Governance of Information and Communication Technology; January 2005).  OECD Corporate Governance Corporate governance involves a set of relationships between a company‘s management, its board, its shareholders and other stakeholders. Corporate governance also provides the structure through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. Good corporate governance should provide proper incentives for the board and management to pursue objectives that are in the interests of the company and its shareholders and should facilitate effective monitoring. (OECD Code on Corporate Governance) itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 4
  • 5. Some definitions  ITGI (IT Governance Institute) IT Governance is the responsibility of the board of directors and executive management. It is an integral part of enterprise governance and consists of the leadership and organisational structures and processes that ensure that the organisation‘s IT sustains and extends the organisation‘s strategies and objectives. (Board Briefing, 2nd edition; 2003).  World Bank Definition of Corporate Governance Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns the relationships among the management, the Board of Directors, the controlling shareholders and other stakeholders. Good corporate governance contributes to sustainable economic development by enhancing the performance of companies and increasing their access to outside capital. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 5
  • 6. Some definitions  MIT Sloan Center for Information Systems Research : IT Governance is specifying the decision rights and accountability framework to encourage desirable behaviour in the use of IT. (MIT CISR Working Paper No. 326; April 2002).  University of Tasmania The survey of the literature by academics from the University of Tasmania (Webb, Phyl, Pollard, Carol, and Ridley, Gail (2006), Attempting to Define IT Governance: Wisdom or Folly?, Proceedings of the 39th Hawaii International Conference on Systems Sciences) brings out the ‗elements‘ that are common to a range of suggested definitions. The elements are: strategic alignment, delivery of business values, performance management, risk management, policies and procedures, and control and accountability. Their resultant definition is : IT Governance is the strategic alignment of IT with the business such that maximum business value is achieved through the development and maintenance of effective IT control and accountability, performance management and risk management. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 6
  • 7. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvment  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 7
  • 8. Study Group in ISO  JTC1 : Information Technology Standards  JTC1 / SC7 : Software and System Engineering  JTC1 / SC7 / WG25 : IT Operations (service management)  Basically : Study Group in WG25 Study Group Chair : Alison Holt (New Zeland) Co-Chair : Ed Lewis (Australia) Yoshiyuki Hirano, Japan Members : Alwyn Smit, South Africa K.T. Hwang, Korea Melanie Cheong, South Africa Bill Powell, United States Jyrki Lahnalahti, Finland Dennis Ravenelle, itSMFI Craig Pattison, itSMFI/New Zealand Hella Shrader, United Kingdom Darcie Destito, United States Mark Toomey, Australia Gargi Keeni, India Mikhail Pototsky, Russian Federation/itSMFI Sushil Chatterji, ISACA/ITGI Max Shanahan, ISACA/ITGI Brian Cusack, New Zealand Luis Rosa, Spain Christophe Feltus, Luxembourg Jenny Dugmore, UK. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 8
  • 9. Study Group in ISO  In Seoul (2006) : Reduce – if not remove – the confusion in the professional and the academic literature about the topic Resolutions : - New SG - 1st report - Fast Track  In Moscow (May 2007) :  Preparation of 1st report  Definition of ICT Governance  What is ICT Governance ? itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 9
  • 10. Study Group in ISO  Montreal (November 2007) Fast Track on Australian Standard on ICT Governance  Accepted in July  Resolution of comments on Fast Track : 149  Canada : 2  Spain : 1  France : 5  Italy : 10  Japan : 10  Korea : 1  Luxembourg : 46  New Zealand : 6  UK : 4  Sweden : 9  USA : 15  South Africa : 40  1st report  NWI itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 10
  • 11. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 11
  • 12. ISO – itSMF liaison (by WG) itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 12
  • 13. ISO – itSMF liaison (by WG) itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 13
  • 14. Link with ISO 20000 ISO 20000 - The standard describes the controls needed to effectively deliver services that meet the needs of the customer and business requirements. The processes described in ISO 20000 underpin an effective governance framework and therefore need to be closely aligned to any proposed ICT Governance standard. All reviewed standards have a relationship with ICT Governance and many sections overlap not only in comparison to ISO/IEC 38500 standard but also amongst the individual reviewed standards. Any drafting of a new international ICT Governance standard needs to take the above existing standards into account and ensure that a) there are no conflicts and b) all governance related sections are covered. A weakness of all reviewed standards is around the need for strategic direction and the implementation of controls to support and manage this area. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 14
  • 15. Advisory Board Paper The formal description it offers is: “Governance is the collective set of procedures, policies, roles and responsibilities, and organizational structures required to support an effective decision-making process”. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 15
  • 16. Advisory Board Paper Benefits of Governance : (Key words)  Achieving business objectives by ensuring that each element of the mission and strategy are assigned and managed with a clearly understood and transparent decisions rights and accountability framework.  Defining and encouraging desirable behavior in the use of IT and in the execution of IT outsourcing arrangements.  Implementing and integrating the desired business processes into the organization.  Providing stability and overcoming the limitations of organizational structure.  Improving customer, business and internal relationships and satisfaction, and reducing internal territorial strife by formally integrating the customers, business units, and external IT providers into a holistic IT governance framework.  Enabling effective and strategically aligned decision making for the IT Principles that define the role of IT, IT Architecture, IT Infrastructure, Application Portfolio and Frameworks, Service Portfolio, Information and Competency Portfolios and IT Investment & Prioritization. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 16
  • 17. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 17
  • 18. Interim Report  A review of national governance activities  The identification of a set of guiding principles for the development of an ICT Governance standard to meet market requirements  The identification of the ICT governance needs to be addressed in the standard  An assessment of where ICT governance sits within JTC1  A review of elements of ICT governance in existing SC7 standards  Analysis to determine the level of standard required to sit above existing frameworks and methodologies without replacing or displacing existing material. Identification of the sort of ―standard‖ required - TR, code of practice or guidelines  Analysis of what would need to be added to AS 8015 to meet these needs  Analysis of whether a maturity framework could be included from the outset  Liaison Relationships: Contributions requested from existing bodies of knowledge  Call to action dependent on AS 8015 fast tack result (which is now known) itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 18
  • 19. Review of the status of ICT Governance across different nations Written and oral reports were presented to the ICT Study Group reviewing the state of different ICT Standards environments within the different jurisdictions. A general movement towards compliance frameworks was reported in terms of legislation, Standards adoption and control framework adoption (eg. CobiT, ITIL, and so on). Several reports noted that regulatory requirements were pending and that there is considerable momentum gathering for comprehensive directives (both explicit and implicit). The importance of ICT Governance and the current opportune moment in time for ICT Governance advancement was reported in each case. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 19
  • 20. What is ICT Governance?  The Working Group should establish a Glossary of governance terms. The Glossary especially should include definitions that help to establish the difference between Governance and Management. The definitions must be compatible with those in existing ISO Standards Director Member of the most senior governing body of an organization. Includes owners, board members, partners, senior executives or similar, and officers authorized by legislation or regulation. Management Management is the process of controlling the activities required to achieve the strategic objectives set by the organisation's governing body. Management is subject to the policy guidance and monitoring set through corporate governance. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 20
  • 21. What is ICT Governance?  The objective of governance is to determine and cause the desired behavior and results to achieve the strategic impact of IT.  The system in which directors monitor, evaluate and direct IT management to ensure effectiveness, accountability and compliance of IT  The active distribution of decision-making rights and accountabilities among different stakeholders in an organization and the rules and procedures for making and monitoring those decisions to determine and achieve desired behaviors and results .  who makes directing, controlling and executing decisions  how the decisions will be made  what information is required to make the decisions  what decision-making mechanisms should be required  how exceptions will be handled  how the governance results should be reviewed and improved itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 21
  • 22. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 22
  • 23. Beyond ISO 29382 : scope The objective of this Standard is to provide a framework of principles for Directors to use when evaluating, directing and monitoring the use of information technology (IT) in their organizations. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 23
  • 24. Beyond ISO 29382 : scope Governance is distinct from management, and for the avoidance of confusion, the two concepts are clearly defined in the standard. …the members of the governing body may also occupy the key roles in management. It provides guidance to those advising, informing, or assisting directors. They include: • Senior managers. • Members of groups monitoring the resources within the organization. • External business or technical specialists, such as legal or accounting specialists, retail associations, or professional bodies. • Vendors of hardware, software, communications and other IT products. • Internal and external service providers (including consultants). • IT auditors. The standard is applicable for all organizations, from the smallest, to the largest, regardless of purpose, design and ownership structure. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 24
  • 25. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 25
  • 26. Beyond ISO 29382 : application This standard is applicable to all organizations, including public and private companies, government entities, and not-for-profit organizations. The standard is applicable to organizations of all sizes from the smallest to the largest, regardless of the extent of their use of IT. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 26
  • 27. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 27
  • 28. Beyond ISO 29382 : objectives The purpose of this Standard is to promote effective, efficient, and acceptable use of IT in all organizations by:  assuring stakeholders (including consumers, shareholders, and employees) that, if the standard is followed, they can have confidence in the organization’s corporate governance of IT;  informing and guiding directors in governing the use of IT in their organization; and  providing a basis for objective evaluation of the corporate governance of IT. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 28
  • 29. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 29
  • 30. Beyond ISO 29382 : 6 principles Principle 1: Establish clearly understood responsibilities for IT Principle 2: Plan IT to best support the organization Principle 3: Acquire IT validly Principle 4: Ensure that IT performs well, whenever required Principle 5: Ensure IT conforms with formal rules Principle 6: Ensure IT use respects human factors itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 30
  • 31. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 31
  • 32. Beyond ISO 29382 : Model for Corporate Governance of ICT Directors should govern ICT through three main tasks: (a) Evaluate the use of ICT. (b) Direct preparation and implementation of plans and policies. (c) Monitor conformance to policies, and performance against the plans. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 32
  • 33. Evaluate  Directors should examine and make judgement on the current and future use of IT, including strategies, proposals and supply arrangements (whether internal, external, or both).  In evaluating the use of IT, directors should consider the pressures acting upon the business, such as technological change, economic and social trends, and political influences.  Directors should also take account of both current and future business needs — the current and future organizational objectives that they must achieve, such as maintaining competitive advantage, as well as the specific objectives of the strategies and proposals they are evaluating. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 33
  • 34. Direct  Directors should assign responsibility for, and direct preparation and implementation of plans and policies. Plans should set the direction for investments in IT projects and IT operations. Policies should establish sound behaviour in the use of IT.  Directors should ensure that the transition of projects to operational status is properly planned and managed, taking into account impacts on business and operational practices and existing IT systems and infrastructure.  Directors should encourage a culture of good governance of IT in their organization by requiring managers to provide timely information, to comply with direction and to conform with the six principles of good governance. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 34
  • 35. Monitor  To complete the cycle, directors should monitor, through appropriate measurement systems, the performance of IT use. They should reassure themselves that performance is in accordance with plans, particularly with regard to business objectives.  They should also make sure that the use of IT conforms with external obligations (regulatory, legislation, common law, contractual) and internal work practices. If necessary, directors should direct the submission of proposals for approval to address identified needs. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 35
  • 36. Outline  ICT Governance definitions  SG on ICT Governance  itSMF involvement  Interim Report  Beyond ISO 29382  Scope  Application  Objectives  6 principles  Model for Corporate Governance of ICT  Conclusions itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 36
  • 37. Conclusions and Future Works Review the use of the Plan, Do, Check Act (PDCA) lifecycle versus Evaluate, Direct Monitor (EDM). Show mapping of EDM versus PDCA. Incorporate human behavioural aspects to the chosen lifecycle. Produce a diagram demonstrating the inter-relation of principles. Develop derivative material to cover: · Clarification on the risks of poor governance and decision making; · Analysis on the benefits of Governance across the IT lifecycle; and · The explanation of each principle. itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 37
  • 38. Conclusions and Future Works Determine market requirements and then determine the coverage of future standards for example IT Projects, IT Operations, IT Use or some other frameworks. Development of a TR2 for CIOs and executives to assist them in explaining the rationale and implications (risks and benefits) of the principles. Development of a TR2 for guidelines for the use of the standard by Public Sector organizations itSMF-NL Spring 2008 Conference July 21, 2010 "Best Practices in IT Management: BEYOND ITIL, BEYOND CONTROL" 38