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Concept Phase: Control Classification & Function

Governance Controls: Establish the control culture, clarify organisational expectations, and include organisation wide policies and procedures

Management Oversight Controls: Are set at the Business unit or line management level to address achievement of business unit objectives and mitigation of

business unit risk

Process Level Controls: Are established by a process owner to ensure that the objectives of the process are achieved and that process are achieved and that

process-level risks are addressed

Transaction Level Controls: Are specific to individual transactions. They exist to ensure that the objectives of the transaction specific risks are addressed

Key Controls: Controls that must operate effectively to reduce a significant risk to an acceptable level

Secondary Controls: Controls that help the process run smoothly but are not essential – these mitigate risk

Preventative Controls: These are proactive controls that deter undesirable events from occurring

Detective Controls: These controls are reactive and detect undesirable events that have occurred

Corrective Controls: These controls are reactive designed to allow manual or automated correction of errors or irregularities discovered by detective controls

Directive Controls: These controls are proactive controls that cause or encourage a desirable event to occur

Mitigating Controls: These controls reduce the potential impact should an event occur

Compensating Controls: These controls compensate for the lack of an expected control

Redundant Controls: These backup/duplicate a control objective or a secondary control that operates only if a key control fails

Tier 1: Fundamentals Tier 2: Subject Matter Expert Tier 3: Assurance

Entity LevelProcess

Level

Transaction

LevelKey Control

Secondary

ControlPreventative Detective Corrective Directive Mitigating

Compen

satingRedundant

1 1 PDM Issues Discovery Instruction PCA Management Oversight

2 1 Standard ID Used BSM Management Oversight

3 2 Business Value Confirmed BSM Management Oversight

4 1 Business Value Signed-Off BSM Management Oversight

5 2 High Level Requirements Completed BSM Management Oversight

6 2 High Level Requirements Peer Reviewed BSM Management Oversight

7 1 High Level Requirements Signed-Off BA Management Oversight

8 2 Exemptions Formally Tabled BA Management Oversight

9 1 Exemptions Formally Mandated PGM Management Oversight

10 2 Traceability Setup BA Management Oversight

11 2 Discovery Management Plan Completed PM Management Oversight

12 1 Discovery Management Plan Approved PM Management Oversight

13 2 Discovery Management Plan Peer Reviewed PDM Management Oversight

14 1 PADO Mandated Discovery Management Plan Template Utilised PDM,PGM Management Oversight

15 3 Quality Assurance Conducted on Discovery Management Plan and Annexes PAM Management Oversight

16 3 Gate Clearance Assessment PGM,PAM Management Oversight

17 3 Gate Clearance PGM Management Oversight

NA 2 Practice Checks (Including all PCA Actions) PDM Management Oversight

NA 2 Reporting PGM Governance

NA 1,2 Communications as per PADO and DMP Communications Plans BSM,PDM,PCA Management Oversight

NA 1,2,3 Document KPI's PAM Management Oversight

DiscoveryPhase:

Concept

Control # Tier Control Control Owner

Primary ClassificationSecondary

ClassificationControl Function

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Control # Tier Control Control OwnerProcess Step KPI

ApplicationGate KPI

Exemption

Possible

Deferment

Possible

1 1 PDM Issues Discovery Instruction PCA 2,16 P O O

2 1 Standard ID Used BSM 1,5 O P O

3 2 Business Value Confirmed BSM 5,9,13,16 P O P

4 1 Business Value Signed-Off BSM 5,6,7,9,13,16 P O P

5 2 High Level Requirements Completed BSM 5,9,13,16 P O P

6 2 High Level Requirements Peer Reviewed BSM 6,13,16 P P P

7 1 High Level Requirements Signed-Off BA 6,7,13,16 P P P

8 2 Exemptions Formally Tabled BA 8,9,10,13,16 O P P

9 1 Exemptions Formally Mandated PGM 9,10,13,16 P O P

10 2 Traceability Setup BA 11,13,14,16 P O P

11 2 Discovery Management Plan Completed PM 12,13,14,15,16,17,18 P O P

12 1 Discovery Management Plan Approved PM 12,13,14,15,16,17,18 P O P

13 2 Discovery Management Plan Peer Reviewed PDM 14,15,16,17,18 P O P

14 1 PADO Mandated Discovery Management Plan Template Utilised PDM,PGM All Phases P O P

15 3 Quality Assurance Conducted on Discovery Management Plan and Annexes PAM 14,17,18 P O P

16 3 Gate Clearance Assessment PGM,PAM 17,18 P O P

17 3 Gate Clearance PGM 18 O O P

NA 2 Practice Checks (Including all PCA Actions) PDM NA O O

NA 2 Reporting PGM NA O O

NA 1,2 Communications as per PADO and DMP Communications Plans BSM,PDM,PCA NA O O

NA 1,2,3 Document KPI's PAM All Phases P O

DiscoveryConcept

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1 Issue Discovery Instruction P P P P P P P P P P P P P

2 Assign Sol A, BA, SA, &PM P P P P P P P

3 PCA Transacting P P

4 Appoint DE, Internal Supplier, & Senior User P P P P P P P

5Identify Primary Benefits, Perform High Level

Requirements, & Define Scope P P P P P P P P P P P P P P

6 Documents Peer Review P P P P P P P P P P P P

7 Documents Approval P P P P P P P P P P P P P P

8Define Business Expectations / Approach &

Excemptions Application P P P P P P P P P P P P

9 Approval of Exemptions & Approach P P P P P P P P P P P P P P P

10 Expectations & Approach Approval P P P P P P P P P P P P

11 Establish Discovery Board P P P P P P P P P P

12 Develop DMP P P P P P P P P P P P P P P P P P

13 Documents Peer Review P P P P P P P P P P P P

14 Documents QA P P P P P P P P P P P P P P P P P P

15 Documents Approval P P P P P P P P P P P P P P

16 Gate Clearance Preparation & Application P P P P P P P

17 Gate Clearance Assessment P P P P P P P P P P P P P P P P

18 Definition Gate P P P P P P P P P P P P P P P P

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All Project Boards P P P P P P P P P P P P P P P P P P P P P P P

All Reporting P P P P P P P P P P P P P P P P

All PCA Checks P P P P P P P

AllCommunications as per PADO & DMP Comms

PlansP P P P P P P P P P P P P P P P

All Document KPI's P P P P P P P P P P P P

Discovery Concept

Step Description

COBIT Control Objectives

Evaluate, Direct, and Monitor (EDM) Align, Plan, & Organise (AP) Build, Acquire, & Implement (BAI) Deliver, Service, & Support (DSS)Monitor, Evaluate,

& Assess (MEA)

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0 1 0 2 0 3 0 4 0 5 0 1 0 2 0 3 0 1 0 2 0 3 0 4 0 5 0 1 0 2 0 3 0 1 0 2 0 3 0 1 0 2 0 1 0 2 0 3 0 1 0 2 0 3 0 1 0 2 0 3 0 4 0 1 0 2 0 3

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1 Issue Discovery Instruction P P P P

2 Assign BA, SA, Sol A, & PM P P

3 PCA Transacting P P P P

4Appoint DE, Internal Supplier, & Senior

User P P

5Identify Business VAlue, Perform High

Level Requirements, & Define Scope P P P P P P P P P P P P P P P

6 Documents Peer Review P P P P P P

7 Documents Approval P P P P P

8Define Business Expectations / Approach

& Excemptions ApplicationP P P P P P P

9 Approval of Exemptions & Approach P P P

10 Expectations & Approach Approval P P

11 Establish Discovery Board P P P P P P P

12 Develop DMP P P P P P P P P P P P P P P P P P P

13 Documents Peer Review P P P P P P P P

14 Documents QA P P P P P P

15 Documents Approval P P P P P

16Gate Clearance Preparation &

Application P

17 Gate Clearance Assessment P P P P P

18 Definition Gate P P P P P P P

All Project Boards P P P P P P P P P P P P P

All Reporting P P P P P P P P P

All PCA Checks P P P P P

All Communications as per PADO & DMP

Comms Plans P P P

All Document KPI's P P P P P

Discovery Concept

Step Description

PMBOK Knowledge Areas

Integration Management Scope Management Time Management Cost ManagementQuality

Management

HR

Managemen

t

Communications

ManagementRisk Management Procurement Management

Stakeholder

Management