Phase 7: How Do We Keep the Momentum Going? - COBIT 2019 Foundation Guide

Phase 7: How Do We Keep the Momentum Going? - Complete Guide

Why Phase 7 is Important

Phase 7 represents the critical transition from COBIT implementation to sustainable governance. This phase is essential because:

• Prevents Regression: Without ongoing momentum, organizations risk reverting to old practices and losing the benefits gained during implementation.
• Ensures Long-term Value: Sustaining improvements ensures continued alignment between IT and business objectives.
• Builds Organizational Culture: Establishes governance as a continuous practice rather than a one-time initiative.
• Enables Continuous Improvement: Creates a framework for evolving governance as business needs change.
• Protects Investments: Safeguards the significant time and resources invested in the COBIT implementation journey.

What is Phase 7?

Phase 7: How Do We Keep the Momentum Going? is the final phase of the COBIT Implementation Roadmap. It focuses on transitioning from implementation mode to a sustainable operating model where governance becomes embedded in the organization's culture and processes.

This phase addresses the critical question: How can we ensure that the gains made during implementation are maintained and continuously improved?

Key Objectives of Phase 7:

• Institutionalize governance practices within the organization
• Establish continuous improvement mechanisms
• Monitor and measure the effectiveness of implemented controls
• Adapt governance to changing business and technology landscapes
• Ensure stakeholder engagement and accountability
• Build organizational capability for self-sustaining governance

How Phase 7 Works

1. Institutionalization of Governance

This involves embedding COBIT practices into regular business processes and organizational culture:

• Integration into standard operating procedures
• Incorporation into organizational policies and procedures
• Assignment of permanent roles and responsibilities
• Documentation of governance processes
• Training and awareness programs for all stakeholders

2. Continuous Monitoring and Measurement

Establish systems to track governance effectiveness:

• Key Performance Indicators (KPIs) and metrics definition
• Regular assessment of control effectiveness
• Monitoring of process maturity levels
• Feedback mechanisms from stakeholders
• Audit trails and documentation review

3. Continuous Improvement Cycle

Create a structured approach to ongoing enhancement:

• Plan: Identify improvement opportunities based on monitoring results
• Do: Implement improvements in controlled manner
• Check: Evaluate the impact of improvements
• Act: Standardize successful improvements

4. Stakeholder Engagement and Communication

Maintain ongoing involvement of all parties:

• Regular steering committee meetings
• Communication of governance benefits and achievements
• Feedback collection from users and implementers
• Recognition of successful adoption and compliance
• Addressing resistance and concerns

5. Adaptation and Evolution

Ensure governance remains relevant:

• Assessment of changing business requirements
• Evaluation of emerging technologies and threats
• Adjustment of COBIT processes and controls
• Scaling governance across the organization
• Integration with new systems and acquisitions

6. Capability Building and Knowledge Transfer

Develop internal expertise:

• Training programs for new employees
• Documentation of lessons learned
• Mentoring and knowledge transfer programs
• Building internal capacity for governance management
• Reducing dependency on external consultants

Key Activities in Phase 7

Establishing the Operating Model: Define how governance will be managed on an ongoing basis, including roles, responsibilities, and reporting structures.

Setting Performance Baselines: Document current performance metrics to serve as baseline for future comparisons.

Creating Governance Office: Consider establishing a governance office or center of excellence to oversee ongoing governance activities.

Developing Communication Plans: Create sustained communication strategies to keep stakeholders informed and engaged.

Planning for Scaling: If Phase 7 has been piloted, develop plans to expand governance practices across the entire organization.

Building Risk Management into Operations: Ensure risk management and compliance become standard business practices.

Establishing Review Cycles: Create regular (quarterly, semi-annual, annual) review cycles for governance effectiveness.

Success Factors for Phase 7

• Executive Sponsorship: Continued visible support from senior leadership
• Clear Accountability: Well-defined responsibilities for governance maintenance
• Adequate Resources: Sufficient budget and staffing for ongoing governance activities
• Employee Engagement: Involvement of staff at all levels in governance processes
• Measurement and Transparency: Regular reporting on governance metrics and effectiveness
• Flexibility: Willingness to adapt and improve governance as needed
• Cultural Shift: Movement from perceiving governance as burden to recognizing it as value-add

Exam Tips: Answering Questions on Phase 7

1. Understand the Core Purpose

Remember that Phase 7 is fundamentally about sustaining and continuously improving the governance established in earlier phases. If a question asks about Phase 7, think about permanence, consistency, and ongoing improvement rather than implementation.

2. Recognize Key Terminology

Familiarize yourself with these Phase 7 keywords:

• Institutionalization
• Continuous improvement
• Sustaining momentum
• Embedding governance
• Operating model
• Monitoring and measurement
• Stakeholder engagement
• Capability building

When you see these terms in exam questions, they likely relate to Phase 7 concepts.

3. Distinguish Phase 7 from Earlier Phases

Common exam questions test whether you can differentiate between phases:

• Phase 1-3: Planning and preparation
• Phase 4-6: Implementation and design
• Phase 7: Sustaining and improving

If a question describes implementing new controls or designing governance structures, it's likely NOT Phase 7. If it describes maintaining, improving, or sustaining what's already been done, it likely IS Phase 7.

4. Focus on Sustainability Mechanisms

Phase 7 questions often ask about mechanisms to ensure governance continues. Consider:

• How will staff be trained on ongoing governance?
• How will effectiveness be measured?
• How will improvements be identified and implemented?
• How will stakeholder engagement be maintained?
• How will governance adapt to change?

5. Answer Pattern Recognition

Look for answer options that include words like:

• "Continuous" - this suggests Phase 7
• "Ongoing" - this suggests Phase 7
• "Monitor" - this suggests Phase 7
• "Sustain" - this suggests Phase 7
• "Embedding" - this suggests Phase 7
• "Maintain" - this suggests Phase 7

In contrast, answer options with "design," "implement," "develop framework," or "establish initial" suggest earlier phases.

6. Role-Based Questions

If asked about Phase 7 roles:

• Governance Office: Oversees ongoing governance operations
• Process Owners: Responsible for their respective governance processes day-to-day
• Steering Committee: Continues to provide oversight and strategic direction
• Management: Implements controls and ensures compliance in daily operations
• Internal Audit: Assesses effectiveness and independence

7. Measurement and Metrics Questions

Phase 7 heavily emphasizes measurement. If asked about Phase 7 success:

• Think in terms of KPIs and metrics
• Consider baseline establishment and trending
• Think about reporting mechanisms to stakeholders
• Consider balanced scorecard approaches
• Remember both leading and lagging indicators

8. Common Phase 7 Scenarios in Exams

Scenario: "Six months after COBIT implementation, controls are in place but staff are losing focus. What should happen in Phase 7?"

Answer Approach: Focus on stakeholder re-engagement, communication of benefits, establishment of monitoring mechanisms, and continuous improvement processes to maintain momentum.

Scenario: "Which activity best represents Phase 7?"

Answer Approach: Look for options about monitoring effectiveness, continuous improvement, sustaining practices, or building organizational capability rather than initial implementation.

9. Integration with Other COBIT Concepts

Phase 7 often integrates with:

• COBIT Governance Framework: Phase 7 is where the framework becomes the "new normal"
• Process Maturity: Phase 7 focuses on maintaining or improving maturity levels
• Risk Management: Continuous risk monitoring is a Phase 7 activity
• Compliance: Phase 7 ensures ongoing compliance with standards and regulations

10. Tricky Questions to Watch For

Exam questions might present Phase 7 content but frame it as a different phase question. For example:

• "After initial implementation is complete, how should the organization ensure...?" - This is asking about Phase 7 even if not explicitly stated.
• "What happens after governance design is finished?" - This transitions to Phase 7.
• "How do organizations prevent governance decay?" - This is a Phase 7 concern.

11. Essay or Scenario Questions

If your exam includes longer-form questions about Phase 7, structure your answer around:

1. Transition Strategy: How to move from implementation to operations
2. Operating Model: How governance will function going forward
3. Monitoring Framework: How effectiveness will be measured
4. Improvement Processes: How continuous improvement will occur
5. Stakeholder Management: How to maintain engagement
6. Cultural Embedding: How governance becomes part of organizational DNA

12. Comparison Table for Quick Reference

When differentiating phases, remember:

13. Practice Question Approach

For each Phase 7 question:

1. Identify if question is asking about sustaining existing practices
2. Look for keywords indicating ongoing or continuous nature
3. Consider what happens after initial implementation
4. Think about stakeholder engagement and measurement
5. Evaluate options against these Phase 7 characteristics
6. Select the option that best addresses ongoing, continuous activities

14. Time Management in Exams

Phase 7 questions are usually straightforward once you understand the core concept. Don't overthink them. If you're uncertain whether something is Phase 7:

• Ask: Is this about keeping something going? (If yes, likely Phase 7)
• Ask: Is this about measuring effectiveness? (If yes, likely Phase 7)
• Ask: Is this about continuous improvement? (If yes, likely Phase 7)

15. Final Exam Tip

Remember that Phase 7 is the "reality check" of COBIT implementation. It answers the practical question: "After we've done all this work to implement COBIT, how do we ensure it doesn't fade away?" This perspective often helps you identify correct Phase 7 answers in exam questions.

Summary

Phase 7: How Do We Keep the Momentum Going? is crucial for transforming COBIT from a project into a sustainable governance practice. Success in this phase depends on institutionalizing governance practices, establishing continuous monitoring and improvement mechanisms, maintaining stakeholder engagement, and building organizational capability. For exam purposes, remember that Phase 7 focuses on sustaining, monitoring, and continuously improving governance rather than implementing it for the first time. When answering Phase 7 questions, look for keywords indicating ongoing activities, measurement, and long-term sustainability.