EDM01: Ensured Governance Framework Setting and Maintenance - Complete Guide

EDM01: Ensured Governance Framework Setting and Maintenance - Complete Guide

Why is EDM01 Important?

EDM01 is the foundational governance objective in COBIT 2019 because it establishes the framework through which an organization governs its enterprise IT. Without a well-defined governance framework, organizations cannot effectively manage their IT investments, ensure compliance with regulatory requirements, or align IT with business objectives. EDM01 is critical because it:

• Provides the structure and processes for all other governance and management objectives
• Ensures stakeholder accountability and clear governance structures
• Establishes principles, policies, and procedures for IT governance
• Creates mechanisms for monitoring and oversight of IT activities
• Enables alignment between IT strategy and business strategy
• Ensures regulatory compliance and risk management

What is EDM01: Ensured Governance Framework Setting and Maintenance?

EDM01 is an Evaluate, Direct, and Monitor (EDM) governance objective that focuses on establishing and maintaining the organization's governance framework. This objective ensures that:

• A governance framework exists and is clearly defined
• Governance principles and policies are established and communicated
• Roles and responsibilities are assigned and understood
• Accountability mechanisms are in place
• The governance framework is regularly reviewed and updated
• Governance structures support organizational objectives

The governance framework serves as the foundation for directing and controlling enterprise IT. It encompasses the organizational structures, processes, policies, and procedures required to govern IT effectively.

How EDM01 Works

EDM01 operates through a systematic process:

1. Establishing the Governance Framework

• Defining governance principles and policies
• Creating organizational structures for governance (Board, committees, steering groups)
• Assigning roles and responsibilities to governance bodies
• Establishing authority levels and escalation paths
• Creating mechanisms for decision-making and oversight

2. Setting Direction and Policies

• Developing IT strategy aligned with business strategy
• Establishing governance policies and standards
• Defining performance targets and success criteria
• Creating communication channels for governance decisions
• Establishing performance measurement frameworks

3. Monitoring and Oversight

• Monitoring compliance with governance policies
• Assessing the effectiveness of governance structures
• Gathering stakeholder feedback on governance
• Reviewing governance metrics and KPIs
• Identifying gaps and areas for improvement

4. Maintaining and Improving the Framework

• Regularly reviewing the governance framework
• Updating policies and procedures based on changing needs
• Adapting governance structures to organizational changes
• Communicating framework updates to stakeholders
• Training stakeholders on governance framework requirements

Key Components of EDM01

The governance framework established through EDM01 typically includes:

EDM01 in Practice: Example Scenarios

Example 1: IT Governance Committee
An organization establishes an IT Governance Committee composed of C-level executives, business unit leaders, and IT leadership. This committee meets monthly to review IT strategy alignment, approve major IT investments, and oversee IT performance. EDM01 ensures clear charters, decision authorities, and escalation procedures are defined for this committee.

Example 2: Policy Framework Update
As regulatory requirements change, an organization uses EDM01 principles to review and update its IT governance policies. New policies on data protection and cybersecurity are communicated to all stakeholders, and training is provided to ensure understanding and compliance.

Example 3: Governance Performance Assessment
Using EDM01 mechanisms, an organization conducts quarterly reviews of governance effectiveness. It measures metrics such as policy compliance rate, decision turnaround time, and stakeholder satisfaction with governance processes. Based on results, improvements are implemented.

How to Answer EDM01 Exam Questions

Understanding Question Types

EDM01 exam questions typically fall into these categories:

• Definition Questions: "What is the primary purpose of EDM01?"
• Process Questions: "Which step comes first in establishing a governance framework?"
• Best Practice Questions: "What should be included in an IT governance policy?"
• Scenario Questions: "An organization lacks clear IT governance. What should be done first?"
• Relationship Questions: "How does EDM01 relate to other governance objectives?"

Step-by-Step Approach to Answering

Step 1: Identify the Question Type
Determine whether the question asks for a definition, process step, best practice, or scenario-based answer.

Step 2: Recall Key Concepts
Remember the four main activities of EDM01: Evaluating governance needs, Directing governance framework, Monitoring effectiveness, and Maintaining/updating the framework.

Step 3: Consider the COBIT Context
Remember that EDM01 is foundational and affects all other governance and management objectives. Most answers should reflect alignment with overall business strategy and stakeholder needs.

Step 4: Apply the Governance Framework Elements
When answering, consider which elements of the governance framework are relevant: structures, policies, roles, responsibilities, processes, or monitoring mechanisms.

Step 5: Choose the Most Comprehensive Answer
In multiple-choice questions, select answers that reflect the holistic nature of governance frameworks rather than narrow, tactical IT management.

Common EDM01 Exam Question Patterns and How to Answer

Pattern 1: "What is the primary purpose of establishing a governance framework?"

Answer Approach: Focus on the overarching purpose: to direct and control IT in alignment with business objectives. The framework provides structure, accountability, and oversight.

Avoid: Technical IT management activities. Focus on governance-level direction and oversight.

Pattern 2: "Which stakeholders should be involved in developing the IT governance framework?"

Answer Approach: Include executive leadership (Board, C-suite), IT leadership, business unit representatives, and compliance/risk personnel. Emphasize cross-functional participation.

Avoid: Limiting the answer to IT personnel only. Governance requires multi-stakeholder input.

Pattern 3: "What should be included in IT governance policies?"

Answer Approach: Policies should cover roles and responsibilities, decision authorities, performance expectations, compliance requirements, and escalation procedures. They should align with business strategy and regulatory requirements.

Avoid: Overly technical IT operational policies. Focus on governance-level direction.

Pattern 4: "How often should the governance framework be reviewed?"

Answer Approach: Regular reviews (typically annually or bi-annually) are needed, with ad-hoc reviews when organizational changes occur. The framework should be continuously maintained.

Avoid: Suggesting the framework is static once established. Maintenance and updates are essential.

Pattern 5: Scenario: "An organization has no defined IT governance structure. What should be the first step?"

Answer Approach: The first step should be to assess governance needs and establish a governance framework with clear structures, roles, and responsibilities. This aligns with EDM01's foundational nature.

Avoid: Jumping to implementing specific management processes. The governance framework must be established first.

Exam Tips: Answering Questions on EDM01

Tip 1: Remember EDM01 is Foundational

EDM01 is the foundation for all other governance and management objectives. When you see governance-related questions, think about how EDM01 establishes the framework that enables everything else. Questions often ask about establishing foundations before moving to specific processes.

Tip 2: Focus on Governance Not Operational IT

EDM01 is about governance—direction, oversight, and strategic alignment. Avoid confusing it with operational IT management. Look for keywords like "framework," "policy," "strategic alignment," "accountability," and "oversight." Avoid answers that focus purely on technical IT operations like server management or help desk operations.

Tip 3: Think Holistically About Frameworks

When a question mentions "governance framework," remember it encompasses multiple elements: organizational structures (Board committees, steering groups), policies and procedures, roles and responsibilities, performance measurement, and communication mechanisms. Comprehensive answers that touch on multiple elements are often better than narrow answers.

Tip 4: Stakeholder Involvement is Key

EDM01 emphasizes multi-stakeholder involvement in governance. When answering questions about who should be involved in governance decisions, always include representatives from business leadership, IT leadership, and affected departments. Never suggest IT should govern in isolation.

Tip 5: Recognize the Evaluate-Direct-Monitor Cycle

EDM01 follows an Evaluate-Direct-Monitor cycle. Evaluate current governance needs and effectiveness, Direct the creation or update of governance framework and policies, and Monitor governance effectiveness. Questions about the sequence of governance activities often follow this pattern. If a question asks "What comes after assessing governance needs?" the answer likely involves directing the framework.

Tip 6: Alignment is a Central Theme

A key purpose of EDM01 is to ensure IT governance aligns with business strategy and objectives. Questions often emphasize this alignment. Look for answer choices that mention alignment with business strategy, and avoid choices that suggest IT governance operates independently from business needs.

Tip 7: Maintenance and Continuous Improvement Matter

Don't assume governance frameworks are "set and forget." EDM01 includes maintenance and continuous improvement. When questions ask about governance frameworks, consider that they must be regularly reviewed, updated, and adapted to changing organizational needs and regulatory requirements.

Tip 8: Know the Key Roles and Responsibilities

Be familiar with typical governance roles:

• Board/Board of Directors: Overall governance oversight and strategic direction
• Executive Leadership (C-Suite): Implementation of governance policies
• Chief Information Officer (CIO): IT strategy and governance implementation
• IT Governance Committee: Oversight of IT investments and performance
• Enterprise Risk Committee: Risk management oversight

Exam questions often ask about appropriate roles for specific governance responsibilities.

Tip 9: Look for Keywords That Signal EDM01

When you see these keywords, the question likely relates to EDM01:

• "Governance framework"
• "Policy and procedures"
• "Roles and responsibilities"
• "Governance structure"
• "Strategic alignment"
• "Governance oversight"
• "Governance effectiveness"
• "Stakeholder accountability"
• "Board governance"

Tip 10: Eliminate Overly Narrow or Tactical Answers

In multiple-choice questions, eliminate answers that are too narrow or focus on operational IT management. For example:

Poor Answer: "The IT department should implement a new network monitoring tool."
Better Answer: "The Board should establish governance committees to oversee IT strategy alignment and performance."

EDM01 is strategic and governance-focused, not tactical and operational.

Tip 11: Understand the Difference Between EDM01 and Other EDM Objectives

The EDM objectives are:

• EDM01: Ensured Governance Framework Setting and Maintenance (establishes how we govern)
• EDM02: Ensured Benefits Delivery (ensures IT delivers value)
• EDM03: Ensured Risk Optimization (ensures risk is managed appropriately)
• EDM04: Ensured Resource Optimization (ensures resources are used efficiently)
• EDM05: Ensured Stakeholder Transparency (ensures transparency in governance)

If a question asks about frameworks, structures, policies, and roles—it's EDM01. If it asks about value delivery, risk management, resource efficiency, or transparency—it's a different objective.

Tip 12: Practice with Scenario-Based Questions

Many EDM01 exam questions are scenario-based. Read the full scenario carefully. Identify what governance challenge exists, then apply EDM01 principles:

• Is a governance framework missing? Establish one.
• Are roles unclear? Define them.
• Are policies inconsistently applied? Review and reinforce policies.
• Is oversight insufficient? Establish monitoring mechanisms.

Tip 13: Emphasize Continuous Nature of Governance

When answering questions, remember governance is continuous, not a one-time activity. The right answer typically includes ongoing review, monitoring, and improvement rather than one-time setup. Look for answer choices that mention "regular review," "continuous monitoring," or "periodic assessment."

Tip 14: Consider Regulatory and Compliance Context

EDM01 governance frameworks must support compliance with regulatory requirements (SOX, GDPR, HIPAA, etc.). When a question mentions compliance or regulatory requirements, EDM01 is likely relevant because the governance framework must ensure compliance.

Tip 15: Test Your Knowledge with Sample Questions

Sample Question 1: "What is the primary purpose of EDM01 in COBIT 2019?"
Answer: To establish and maintain the governance framework that directs and controls IT in alignment with business strategy and ensures stakeholder accountability.

Sample Question 2: "An organization is experiencing inconsistent IT investment decisions and unclear accountability for IT performance. Which EDM objective should be addressed first?"
Answer: EDM01, because the foundation must be establishing clear governance structures, roles, responsibilities, and decision-making frameworks.

Sample Question 3: "What should be included in an IT governance policy framework?"
Answer: Roles and responsibilities, decision authorities, performance expectations, compliance requirements, escalation procedures, and alignment with business strategy.

Summary and Quick Reference

By understanding EDM01 as the foundational governance objective and applying these exam tips, you'll be well-prepared to answer questions about governance framework setting and maintenance in COBIT 2019 exams.