COBIT 2019 Foundation: Phase 5 - How Do We Get There? Complete Guide

COBIT 2019 Foundation: Phase 5 - How Do We Get There? Complete Guide

Why Is Phase 5 Important?

Phase 5: How Do We Get There? is a critical component of the COBIT 2019 implementation journey. This phase is important because it bridges the gap between strategic planning and execution. It addresses the practical question of implementation—how an organization will actually move from its current state to the desired future state. Without a clear roadmap and action plan, even the best strategies remain theoretical.

Understanding this phase is essential for organizations because it helps them:

• Develop realistic and achievable implementation plans
• Allocate resources efficiently and effectively
• Manage stakeholder expectations throughout the implementation
• Identify potential barriers and risks early
• Create accountability mechanisms for the implementation process
• Ensure sustained focus on governance and management objectives

What Is Phase 5: How Do We Get There?

Phase 5: How Do We Get There? is the implementation planning and execution phase in the COBIT 2019 maturity model. It represents the stage where organizations transition from defining their desired governance and management state to actually implementing the necessary changes.

This phase focuses on:

1. Implementation Roadmap Development

Organizations create a detailed roadmap that outlines the sequence of activities, initiatives, and projects needed to achieve their target state. This roadmap considers:

• Dependencies between different implementation activities
• Resource constraints and availability
• Organizational readiness and capacity for change
• Risk tolerance and mitigation strategies
• Timeline and milestones for achieving goals

2. Program and Project Management

The phase emphasizes the need for structured program and project management to guide implementation efforts. This includes:

• Establishing governance structures for implementation oversight
• Defining clear roles and responsibilities
• Setting measurable objectives and key performance indicators (KPIs)
• Managing scope, schedule, and budget
• Tracking progress and adjusting plans as needed

3. Change Management

Recognizing that implementation involves significant organizational change, this phase addresses:

• Communication and stakeholder engagement strategies
• Training and capability development programs
• Resistance management and mitigation
• Cultural considerations and alignment
• Sustainability of changes over time

4. Risk and Issue Management

The phase requires organizations to identify and manage risks and issues that could impede implementation:

• Identifying potential implementation risks
• Assessing probability and impact
• Developing mitigation and contingency strategies
• Managing emerging issues and problems
• Maintaining risk registers and monitoring status

How Does Phase 5 Work?

Phase 5 operates through a structured, iterative process that moves organizations from planning to execution. Here's how it typically works:

Step 1: Define Implementation Approach

Organizations determine how they will approach implementation, considering options such as:

• Big Bang: Implementing all changes simultaneously (high risk but quick results)
• Phased Implementation: Rolling out changes in phases to manage risk and build capability
• Process-Based Implementation: Focusing on specific governance and management processes
• Hybrid Approach: Combining multiple approaches based on specific circumstances

Step 2: Develop Detailed Plans

Once the approach is selected, organizations develop comprehensive implementation plans that include:

• Work breakdown structures (WBS) detailing all activities
• Timelines and schedules with critical path analysis
• Resource allocation and budget planning
• Communication and stakeholder management plans
• Training and capability development schedules
• Risk and issue management plans

Step 3: Build Implementation Capacity

Organizations invest in developing the necessary capabilities for implementation:

• Establishing implementation teams with appropriate expertise
• Providing training and development for team members
• Securing necessary tools and technology
• Creating governance structures for oversight and decision-making
• Building organizational knowledge and experience

Step 4: Execute Implementation Initiatives

The actual implementation of planned activities begins, involving:

• Launching and managing implementation projects
• Executing specific improvement initiatives
• Managing organizational change and resistance
• Communicating progress and maintaining engagement
• Adjusting approaches based on feedback and learning

Step 5: Monitor, Control, and Adjust

Throughout implementation, organizations continuously monitor progress and make adjustments:

• Tracking metrics against established baselines and targets
• Monitoring actual performance against planned performance
• Identifying and addressing variances promptly
• Escalating issues and risks as needed
• Learning from implementation experiences and refining approaches
• Making adjustments to plans and strategies as needed

Step 6: Stabilize and Sustain

As implementations near completion, focus shifts to stabilization and sustainability:

• Ensuring changes become embedded in normal operations
• Formalizing new processes and procedures
• Transitioning from implementation teams to operational teams
• Establishing ongoing monitoring and improvement mechanisms
• Recognizing and celebrating successes
• Capturing lessons learned for future improvements

Key Components and Considerations in Phase 5

Governance and Decision-Making

Effective governance structures ensure that implementation stays aligned with organizational strategy. This includes:

• Clear decision-making authorities and escalation paths
• Regular reviews of implementation progress
• Oversight of budget and resource utilization
• Strategic alignment assessments

Resource Management

Successful implementation requires appropriate allocation and management of resources:

• Human resources (people, expertise, time)
• Financial resources (budget allocation)
• Technology resources (tools, systems, infrastructure)
• Information resources (data, knowledge, documentation)

Communication Strategy

Effective communication is critical for implementation success:

• Clear articulation of vision and objectives
• Regular progress updates to stakeholders
• Two-way communication channels for feedback
• Targeted messaging for different stakeholder groups
• Celebration of milestones and successes

Capability Development

Organizations must develop the capabilities needed to sustain improvements:

• Training programs for affected staff
• Knowledge transfer and documentation
• Coaching and mentoring for key personnel
• Building organizational expertise and experience

Performance Management

Establishing clear metrics and monitoring mechanisms:

• Definition of success metrics and KPIs
• Baseline establishment before implementation
• Regular monitoring of performance indicators
• Trend analysis and predictive assessment
• Feedback loops for continuous improvement

Exam Tips: Answering Questions on Phase 5: How Do We Get There?

Tip 1: Understand the Purpose and Context

When answering questions about Phase 5, remember its core purpose: turning strategic plans into action. Key concepts to emphasize include:

• Phase 5 is about the how of implementation, not the what
• It bridges strategy (Phases 1-3) with reality (execution)
• It focuses on practical roadmaps and actionable plans
• It considers organizational capacity and readiness

Tip 2: Know the Implementation Approach Options

Exam questions often ask about different implementation approaches. Be prepared to discuss:

• Big Bang Approach: Advantages (quick results), Disadvantages (high risk, resource intensive)
• Phased Approach: Advantages (manageable risk, capability building), Disadvantages (longer timeline, complex coordination)
• Process-Based Approach: Advantages (targeted improvements), Disadvantages (fragmented implementation)
• When and why each approach might be appropriate for different organizational contexts

Tip 3: Emphasize the Importance of Planning

Exam questions frequently test understanding of detailed planning. When answering:

• Highlight the need for comprehensive work breakdown structures
• Discuss the importance of identifying dependencies and critical paths
• Explain how proper planning reduces risks and delays
• Connect planning to resource allocation and budgeting
• Mention the role of planning in stakeholder expectation management

Tip 4: Remember That This Phase Involves Change Management

Change management is a critical aspect of Phase 5 that exam questions often address:

• Discuss organizational change readiness assessments
• Explain communication and engagement strategies
• Address resistance management and mitigation
• Highlight the importance of training and capability development
• Explain how change management contributes to implementation success

Tip 5: Connect Phase 5 to Governance and Control

Exam questions may test your understanding of governance structures:

• Explain governance structures for implementation oversight
• Discuss roles and responsibilities in implementation
• Mention monitoring, control, and reporting mechanisms
• Explain how governance ensures alignment with strategy
• Discuss escalation and decision-making processes

Tip 6: Understand Risk and Issue Management in Implementation

Risk management is a key component of Phase 5:

• Explain how implementation risks are identified and assessed
• Discuss mitigation and contingency strategies
• Explain issue vs. risk distinction
• Discuss how risks are monitored and controlled
• Connect risk management to implementation success rates

Tip 7: Know How Phase 5 Relates to Other Phases

Exam questions often test understanding of how phases connect:

• Explain how Phase 5 builds on outcomes from Phases 1-4
• Discuss how Phase 5 implementation leads to capability improvements
• Explain feedback loops and continuous improvement cycles
• Mention how implementation informs future assessments and planning

Tip 8: Use Practical Examples

When answering scenario-based questions about Phase 5:

• Reference specific implementation elements (roadmaps, timelines, resource allocation)
• Discuss how different organizational contexts affect implementation approaches
• Explain how various organizational factors influence implementation success
• Use concrete language about activities and deliverables
• Show understanding of practical implementation challenges

Tip 9: Remember Sustainability and Transition to Operations

Many exam questions address the end of Phase 5 and transition to sustained operations:

• Explain how improvements are embedded in normal operations
• Discuss the transition from implementation teams to operational teams
• Explain the importance of establishing ongoing improvement mechanisms
• Discuss how organizational knowledge is captured and retained
• Mention the role of stabilization activities

Tip 10: Be Prepared for "Why" Questions

Exam questions often ask why certain aspects of Phase 5 are important:

• Why is detailed planning important? - It reduces risks, clarifies expectations, optimizes resources
• Why is change management essential? - It addresses resistance, builds support, ensures sustainability
• Why is governance necessary? - It ensures alignment, enables decision-making, facilitates accountability
• Why monitor and control? - It enables adjustments, manages risks, ensures effectiveness
• Why focus on sustainability? - It ensures lasting improvements, embeds changes in operations

Tip 11: Understand the Iterative Nature

Phase 5 is not a one-time activity. When answering:

• Explain that implementation can be iterative or incremental
• Discuss how feedback loops enable continuous adjustment
• Mention how learning from one implementation informs subsequent phases
• Explain the concept of staged maturity improvement

Tip 12: Connect to Business Value

Exam questions often test understanding of business value:

• Explain how Phase 5 activities lead to improved governance and management
• Connect implementation to organizational objectives and strategy
• Discuss how capability improvements translate to business benefits
• Explain measurement and realization of value

Common Question Types for Phase 5

Scenario-Based Questions

Example: "An organization is implementing COBIT. What should be the first consideration when planning implementation?"

How to answer: Discuss selecting appropriate implementation approach, assessing organizational readiness, defining objectives, developing detailed plans, and identifying risks.

Multiple Choice - Concepts

Example: "Which of the following is a primary focus of Phase 5?"

How to answer: Look for options that emphasize execution, planning, roadmaps, and practical implementation activities rather than strategic planning or assessment.

Why/How Questions

Example: "Why is change management important in Phase 5?"

How to answer: Explain that changes involve people and processes, resistance must be managed, stakeholders need engagement, and changes must be sustained.

Best Practice Questions

Example: "What is best practice for monitoring Phase 5 implementation?"

How to answer: Discuss establishing governance, defining metrics, regular monitoring, managing variance, escalating issues, and adjusting plans.

Quick Reference Summary

Phase 5 At a Glance:

• What: Implementation planning and execution phase
• When: After strategic planning (Phases 1-4), before operational maturity
• Why: To translate strategy into action with practical roadmaps
• How: Through structured planning, execution, monitoring, and adjustment
• Key Activities: Planning, resource allocation, execution, monitoring, change management
• Success Factors: Clear governance, adequate resources, effective communication, risk management, capability development
• Outcome: Implemented improvements embedded in organizational operations