IT Management Maturity Model - ACT-IAC

AmericanCouncilforTechnology‐IndustryAdvisoryCouncil(ACT‐IAC)3040WilliamsDrive,Suite500,Fairfax,VA22031

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AdvancingGovernmentThroughCollaboration,EducationandAction

ITManagementMaturityModel

Insupportoftheimplementationofthe

FederalInformationTechnologyAcquisitionReformAct(FITARA)

PublishedSeptember2015

Version1



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AdvancingGovernmentThroughCollaboration,EducationandAction Page2

AmericanCouncilforTechnology‐IndustryAdvisoryCouncil(ACT‐IAC)TheAmericanCouncilforTechnology(ACT)isanon‐profiteducationalorganizationestablishedin1979toimprovegovernmentthroughtheefficientandinnovativeapplicationofinformationtechnology.In1989ACTestablishedtheIndustryAdvisoryCouncil(IAC)tobringindustryandgovernmentexecutivestogethertocollaborateonITissuesofinteresttothegovernment.ACT‐IACisaunique,public‐privatepartnershipdedicatedtohelpinggovernmentusetechnologytoservethepublic.Thepurposesoftheorganizationaretocommunicate,educate,inform,andcollaborate.ACT‐IACrespondstogovernmentrequestsusingamodelthatincludesgovernmentandindustryworkingtogether,elbow‐to‐elbow.ACT‐IACalsoworkstopromotetheprofessionofpublicITmanagement.ACT‐IACoffersawiderangeofprogramstoaccomplishthesepurposes.ACT‐IACwelcomestheparticipationofallpublicandprivateorganizationscommittedtoimprovingthedeliveryofpublicservicesthroughtheeffectiveandefficientuseofIT.Formembershipandotherinformation,visittheACT‐IACwebsiteatwww.actiac.org.DisclaimerTherecommendationsandfindingscontainedhereinaretheresultofacollaborativeprocessanddonotnecessarilyreflecttheviewsoftheindividualsandorganizationswhoparticipatedinthisprocess.Copyright©AmericanCouncilforTechnology,2015.Thisdocumentmaybequoted,reproduced,and/ordistributedprovidedthatcreditisgiventoACT‐IAC.FurtherInformationForfurtherinformation,contacttheAmericanCouncilforTechnology‐IndustryAdvisoryCouncilat(703)208‐4800orwww.actiac.org.



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IntroductiontotheITManagementMaturityModelTheobjectiveofFITARAistoimprovethemanagementofITwithinanagencyandhence,improvetheabilityforthatagencytodeliveritsmissionandconductitsbusiness.TheOfficeofManagementandBudget(OMB)hasdraftedguidancetoimplementFITARA.Thisguidancesetsfortha“CommonBaseline”toestablishaframeworkofITmanagementcapabilitiesandrelatedrolesandresponsibilitiesthatagenciesareexpectedtoimplement.Recognizingthatonesizedoesnotfitall,theCommonBaselinesetsaminimumlevelofstandardsthatprovideflexibilityforagenciestoimplementthelawinamannerconsistentwitheachagency’suniquerequirements.InAugust2015,agenciesprovidedOMBwithacopyoftheirFITARACommonBaselineself‐assessmentsandimprovementplansforITmanagementandthisITManagementMaturitymodelprovidesbothcontextforOMBandreportingagenciesandawayforthoseagenciestodeveloparoadmaponhowtoimproveITmanagementmaturityovertime.TosupporttheimplementationofFITARA,ACT‐IACformedaworkinggroupofmorethan50peoplefromvariousbackgrounds,toincludethepublicandprivatesector,fromthefieldsofIT,finance,humanresources,andacquisition.ThisprojectteamdevelopedthisITManagementMaturityModel,depictedbelow,tohelpagenciesassesstheirmaturityinfivecriticalfunctionsofITmanagement:

OMB FITARA Guidance

In the June 10, 2015, guidance to agencies on FITARA, OMB identified the following requirements for agencies:

1. Agency chief information officer (CIO) authority enhancements,

2. Enhanced transparency and improved risk management in IT investments,

3. Portfolio review,

4. Federal Data Center Consolidation Initiative,

5. Expansion of training and use of IT cadres,

6. Maximizing the benefit of the Federal Strategic Sourcing Initiative, and

7. Governmentwide software purchasing program.



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• Governance–thecollaborationanddecisionmakinggluebywhich

ITmanagementworks• Budget–theprocesstoformulate,obtainapproval,andexecutethe

useoffundstosupportIT• Acquisition–thebuyingprocessusedtoobtainITproductsand

services• Organization&Workforce–theprocesstodetermineneeded

competenciesanddevelopandsustainaworkforcethathasthosecompetenciesthroughrecruitmentandprofessionaldevelopment

• ProgramManagement–1)thesetofdisciplinesusedtodeliverITcapabilitiestomeetanagencymissionorbusinessneedor2)theoperationsandmaintenanceofanexistingsystem.OMB’sCommonBaselineforITManagementincludessectionsforBudgetFormulation,BudgetExecution,Acquisition,andOrganization&

Workforce,andwehavereorganizedandreorientedthesesectionsslightlytosupportthedevelopmentoftheITManagementMaturityModel.First,wecombinedbudgetformulationandexecutiontohighlightthedegreeofintegrationtypicalinmostagencybudgetprocesses.AstheteamsdevelopedthetraitsandcharacteristicsoftheITManagementMaturityModel,GovernanceandProgramManagementtopicsbecamerecurringthemesthatcutacrossthethreeprimarypillarsofBudget,AcquisitionandOrganization&Workforce.Asaresult,wechosetoillustratetheintegrativepowerofbothGovernanceandProgramManagementtoeffectiveITManagement.Foreachofthesefunctions,theprojectteamdevelopedadescriptionofthefunction,alongwithdefininganumberofattributes,andforeachattribute,traits,whichcanbeusedtoassessthematurityofanorganizationinthatfunction.Themodelspecifiescharacteristicsofthreelevelsofmaturity,toinclude:Level1–BasicCapabilities;Level2–EvolvingMaturity;andLevel3–DemonstratedMaturity.Recognizingthateachagencyisunique,thematuritymodelfocusesonthebehaviorsandoutcomesexpectedateachlevelofmaturity,notontheorganizationalstructuresandprocessesrequiredtoachievethosebehaviorsandoutcomes.Hence



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thematuritymodelcanbeappliedtobothsmall,centralizedagenciesaswellastothelargest,mostdiversifiedcabinet‐leveldepartments.TheITManagementMaturityModelincludesexplicitlinkagestoelementsoftheOMBCommonBaselineandOMB’sAgencySubmissionReviewandAnalysisPlanwheretheteambelievesanagencywouldhaveachievedtherequirementsoftheCommonBaseline.Thelinkagesarehighlightedinthegraphiconpage7andalsoinyellowineachofthefivefunctionalareasofthematuritymodel.FITARArefersto“agency”asoneoftheCFOActAgencieswithsomeexceptionsfortheDepartmentofDefense(DOD),theIntelligenceCommunity,andportionsofotheragenciesthatoperatesystemsrelatedtonationalsecurity.Foragenciesthatarefederated(havebureaus,components,orequivalentandmultipleITorganizations)theagencyCIOcanusethismaturitymodeltoassesstheagencyasawhole,toincludetheappropriateinteraction,authorities,anddelegationsfromtheagencytothebureaus/componentsorprogram.Abureau/componentorprogram‐levelCIOcanalsousethismaturitymodelasappliedtoITmanagementwithinabureau/componentorprogram.Inapplyingthemodel,allattributesandtraitsacrossallfunctionsareimportant,andevenmovingfromoneleveltoasuccessivelevelforevenonetraitisgoodness.Butanagencycanconductaself‐assessmentagainstthemodel,andshouldlookatsequencingitsimprovementinitiatives.Certainlyprogresscanbemadeconcurrentlyacrossallfunctions,butifanagencyislookingtosetprioritiesforimprovement,werecommendthefocusbeinthisorder:

1. Governance(musthaveleadershipalignmenttodriveprogress)2. Budgeting(requiredforbothsustainoperationsandfundnewprograms)3. Organization&Workforce(addressinghaveskilledstaffinproperroles)4. ProgramManagement(addressinghownewfunctionalityisdeliveredandcurrentsystemsareoperated)5. Acquisition(optimizingthebuyingprocess).

Withinafunction,thepriorityshouldbeplacedonmovingfromLevel1toLevel2tohaveEvolvingMaturityacrossamanagementfunction,thenworkingtomovetoLevel3‐DemonstratedMaturity.Agenciesshouldusepilotstoimproveonaprojectorpartoftheagency,butrecognizethatachievingalevelofmaturityrequiresthatattributebeexhibitedacrossallITmanagementintheagency.Finally,theobjectiveshouldbetoinstitutionalizepracticesinanagencyatLevel2andeventuallyLevel3throughuseofpolicydirectives,proceduralguidance,andtools–demonstratedmaturitymustsurvivechangesinleadership.



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WhiletheprimaryaudiencesforthisdocumentareOMBandthe24agenciesthatshareresponsibilitytoimplementFITARA,webelievethereanumberofotherkeystakeholderswhowillbeinterestedinthiswork.Inparticular,oversightorganizationslikeCongressandtheGovernmentAccountabilityOfficearekeyplayersensuringtheeffectiveimplementationoftheAct.Likewise,thereanumberofgovernment‐widedomainforumslikethemanagementcouncilsforCIOs,CFOsandCAOsthatwillbehelpingtheirrespectivecommunitiesofpracticetodevelopandsharebestpracticesandlessonslearnedsupportingimplementationofFITARA.



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FunctionalArea Attributes Traits

Level1Basic

CapabilitiesCharacteristics

Level2EvolvingMaturity

Characteristics

Level3DemonstratedMaturity

Characteristics

GOVERN

ANCE

EFFECTIVEGOVERNANCEDRIVESBETTERIT

OUTCOMES

FunctionalAreaDescription:TheobjectiveofFITARAistoimprovethemanagementofITwithinanagencyandhence,improvetheabilityforthatagencytodeliveritsmissionandconductitsbusiness.Toeffectivelyenabletheagency’smissionITmustmeetthecurrentfunctionalneedsaswellasevolvetomeetthefutureneedsaslaidoutintheagency’sstrategicplan.GovernanceisthemeansbywhichITprogramsandprojectsareselectedandmanagedtoensuretheagency’sneedsaremetinaneffectivemannerwhileminimizingunnecessaryduplication.ITgovernancerequiresanapproachthatbringstogetherIT,mission/business,procurement,finance,humanresources,etc.tobetherightauthority,withtherightinformation,attherighttime,tomakethebestpossibledecisionstoeffectivelydeliverITprograms.Thisneedforpropercollaborationanddecisionmakingincludesbothhorizontal(toincludeallappropriatestakeholderorganizations)andvertical(fromstrategyallthewaytoaprogram)integration.Note:AgencymeansadepartmentorestablishmentoftheGovernment(comparetobureau).e.g.,TreasuryisanagencywhereEnterprisegovernancewouldreside.ThebureausunderTreasurywouldincludemissionspecificportfoliosandsub‐portfoliosalignedtothefunctionsofthebureau.

HorizontalIntegration:Isthereproperlevelofinvolvementfromallappropriateagencystakeholders,includingthemission/businessleaders,PrivacyOfficer,GeneralCounsel,andtheCIO,CAO,CFO,CHCO(theCXOs)etc.?Areportfoliostrategiesgovernedbyexecutiveswhoareinthebestpositiontoidentifyexistingcapabilitygaps,

GovernanceframeworkintheagencyacrosstheITmanagementlife‐cycle

Partiallydefined

Fullydefined Governancedrivesdecision‐makingacrossallITManagementlifecycleactivities

KeystakeholderrepresentationofBusiness,ITandrelatedsupportareaslikeFinance,Acquisition,Legaletc.indecision‐making

H.1CIOroleonprogramgovernanceboards.AppropriaterepresentationandparticipationfrombusinessandITtomeetagencyneeds.Participationfromotherareasislagging,especiallyatportfolioandprogramlevelboards

H.2CIOroleonprogramgovernanceboards.AppropriaterepresentationandparticipationfrombusinessandITtomeetagencyneeds.Thereisactive,butnotfull,participationfromotherstakeholdersattheportfolioandprogram‐levelboards

Governanceateachlevel(enterprise,portfolio,program)hasallproperstakeholdersinvolvedwithactiveparticipationtodrivemissionaligned,costeffectiveITspending(bothinvestmentsandoperations&maintenance)



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Level1Basic



Characteristics


CharacteristicssetprioritiesforITspendingandinvestment,andadaptquicklytoevolvingstrategicprioritiesandbusinesschallenges?Isthegovernancemodelproperlyintegratedwithenterprise‐wideprocessesforstrategicplanning,requirementsdevelopment,programming,budgeting,acquisition,andexecution(theITmanagementlife‐cycle)?

Executive‐levelparticipationinenterprisedecision‐making

Senioragencyleadershipparticipationislimitedandparticipationisirregular.Criticalenterprisedecisionsrelyonadhocmeetings

Senioragencyleadershipparticipationincludesregularparticipationingovernanceboardstodriveenterprisedecisions

Highestlevelexecutiveswithintheagencyareactivelyengagedinenterpriseleveldecision‐making

Integrateddecision‐makingacrossfunctions(CXOlanes)usedtodriveconsensus‐basedgovernancedecisions

Fragmenteddecision‐makingbyfunctionimpactsabilitytoimplementgovernancedecisions.Incongruentdecisionsrequiremultiplemeetingstocreatealignment

Fullydefinedframeworkandappropriaterepresentationcreatesbetterintegrationbetweenfunctions.Therearefewdecisionsthatrequireresolutionoutsidethegovernanceframework

Alldecisionsaremadeinanintegratedmannerprovidingcohesivegovernancedecisions.Boardsstriveforconsensus‐baseddecisions

Rolesandresponsibilitiesofgovernanceboardsareclearlyarticulatedandrecognized

Policyisdefined,butroutineattemptsmadetobypassgovernanceoroverrule/ignoregovernancedecisions

Policyisdefined,buttherearestillattemptsmadetobypassgovernanceoroverrule/ignoregovernancedecisions

Policyclearlydefined,andtheagencyrequiresadherencetothegovernanceframeworkanditsdecisions

Mission/BusinessLeadershipfocustodrivemissioncapabilities

MoreemphasisonITprocessesratherthanwhatcapabilitiesareneeded

Focusonshiftingtodesiredservicesandcapabilitiesandlessemphasisonhowthecapabilitieswillbedelivered

Focusondesiredcapabilities,allowingITtoproposebestsolutions

VerticalIntegration:IstherecompletenessandlinkagefromEnterpriseGovernance(overarchingstrategyofanagency)toPortfolioGovernance(the

Governancestructureislinkedacrossenterprise,portfolio,andprogramlevelgovernance

Partiallyaccountsforenterprise,portfolio,andprogramlevelgovernance;governancesetupatalllevelsbutthedecisionmakingalignmentacrossthelevelsisnascent

Enterprise,portfolio,andprogramlevelgovernance;inplace;butthedecisionmakingalignmentacrossthelevelsisstillunderdevelopment

Enterprise,portfolio,andprogramgovernanceareoperationalwithenterprise,portfolio,andprogramgovernanceboardsinplaceandalignmentdecisionsmadeandimplementedateachlevel



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Level1Basic



Characteristics


Characteristicsappropriategroupingofmission/businessactivitiesofanagencytoProgramGovernance(oversightforprogramplanningandexecutionactivities)?Isthegovernancedecisionmakingprocessrecognizedandadheredtothroughout?Arethereclearescalationrulesandpathsfordecisionsthatcanhavebroaderimpacts?(Caveat:forsmallagencies,itmaybepossibletocombineenterpriseandportfoliogovernance)

Strategicalignmentandobjectivesuccessmeasuresarelinkedtoportfolios

Initialstagesofdevelopingastrategicplanfortheagency,withobjectivesandsuccessmeasurestodriveportfoliodecisionmaking

Establishedstrategicvisionandstrategicalignmentisunderwayandperformancemeasurementandmonitoringareintheearlystagesofinitiation

Overarchingstrategicplaninplace,withobjectivesandsuccessmeasuresusedtodriveportfoliodecisionmaking

Decision‐makingismadeandenforcedattheproperlevelofgovernance

Decision‐makingroutinelybypassed;escalationfrequent

Appropriateleveldecision‐making;occasionalescalationduringnormalmanagementofITportfolio

Appropriateleveldecision‐making;escalationusedrarelyduringnormalmanagementofITportfolio

Escalationrulesandpathsforcontesteddecisionsareclearlydefinedandenforced

Ad‐hoc;fewrulesorpaths Rulesexist,butnotconsistentlyenforced

Rulesexist,andareconsistentlyfollowedandenforced

Portfoliogovernanceisoperationalandallocatesrequirementstoprograms

Emergingwithconstantreorganization;doesnotproperlyallocaterequirementstoprograms

Becomingoperationalthroughthe“Select”phase;doesnotinallcasesallocaterequirementstoprograms

Goodvisibilityintoportfoliostrategiesandtheperformanceofrelatedprograms;allocatesrequirementsandsuccessmetricstoprograms

Programgovernanceisoperationalandprovidessetguidanceforprogramstoachievesuccess

Operational,butnotinplaceforallprogramsandinconsistentsharingwithportfoliogovernance;Inadequateguidanceandoversight

Programgovernanceinplaceforalldevelopmentprogramswithimprovingalignmenttoportfoliogovernance.Processesandmetricsarenotyetstandardized

Programgovernancesetsguidanceforprograms,andhelpsthePMandprogramstaffachievesuccess.Programgovernancecoversallprograms,includingthoseinoperationsandmaintenance



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Level1Basic



Characteristics


Characteristics

RightAuthority:Doeseachlevelofgovernance(andassociatedgovernancebodies)havetheabilitytomakeauthoritativedecisionsthatarebindingforthatorganization(e.g.,doesaprogram‐levelgovernancebodyhaveauthorityovertheprogrambeinggoverned)?Aretheredistinctlydefinedrelationshipsbetweeneachgovernancetierwithclear,non‐redundantroles,responsibilities,andauthorities?Isthespanofgovernanceoptimalfortheboardstobeeffectiveconsideringscopeofgovernance,expertiseandnumberofboards?

Governancemodelcontainsdelegationauthoritiesateachlevelofgovernance,andenablesauthoritativedecisionmaking

Gapspresentindelegationauthoritiesforsomelevelsofgovernance;delegationshavenotbeenmadetoenableauthoritativedecisionmakingonaconsistentbasis

Appropriatedelegationauthoritiesforeachlevelofgovernance,however,inconsistenciesindelegationhinderconsistentauthoritativedecisionmaking

Appropriatedelegationauthoritiesateachlevelofgovernancetoenableauthoritativedecisionmaking

Well‐structuredandnon‐overlappingrolesforeachlevelofgovernanceexist

Structureunderdevelopment.Overlapofrolesiscommonandmayresultinduplicativeorcontradictingdecisions

Exists,buthand‐offsbetweenboardsmaybeunclear

Clearlydefined;cleanhand‐offsoccurbetweenboardsensuringtransparencyandaccountabilityofalldecision‐making

Decisionsbythegovernanceboardsareimplementedandenforced

Frequentlyreversedbyagencyexecutives;underminestheeffectivenessofthegovernanceprocess–resultinginincreasedcostanddelays

Occasionallyreversedbyhigherlevelboards;lowerfrequencyofreversalscreatesmorestability

Decisionsarenotchangedbyahigherlevelboardunlessthereisacompellingbusinessreason

Governancedecisionmakingisconsistent,andbackedbyevidence‐basedinformationandanalysis,onatimelybasis

Inconsistentdecision‐making;maybeswayedbyagencyleadership.Notalwaysmadeinatimelymanner

Demonstrateddecisionmakingthatistypicallywithintheauthorityoftheboard,istimely,andisbasedonappropriatepresentationofdataandanalysistohelpsupportthedecisionprocess

Evidenced‐baseddecisionmakingisdemonstratedatalllevelsofgovernance

Clearlydefinedapproachtoensurethatgovernanceboardsareoperatingconsistentlywithanobjective

Notfullydefinedoroperating,thustheeffectivenessofthegovernanceboardscannotbemeasured

Definedandoperatingconsistently,butmeasuresofgovernanceeffectivenessarestilllagging

Definedandoperatingconsistently;allowingtheeffectivenessofallgovernanceboardstobemeasuredtoensureallboardsaregetting



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Level1Basic



Characteristics


Characteristicsdecision‐makingframework,allowingthemeasurementofgovernanceeffectiveness

theinformationtheyneed,holdingregularmeetings,havingtherightengagement,anddemonstratingtheabilitytomakedecisionsbasedonproperanalysisanddiscussionofthestakeholders

Spanofcontrolingovernanceboardsareappropriatelysizedtoenableeffectivedecisionmakingacrossthebreadthoftheportfolio

Eithertoobroadtobeknowledgeable,ortoonarrowtoeffectivelyseethebigpicture.Thenarrowspanofgovernanceresultstoomanyboardsanddelayeddecision‐making

Boardshaveabetterspanofgovernanceensuringdecisionsaremadewithinsightintoprograms,howeversomelower‐levelgovernanceboards(particularlyataprogramlevel)arenotauthorizedtomakedecisions

Optimalforeffectivedecision‐making

Numberofgovernanceboardsareright‐sizedandappropriatelystaffedtoavoidgovernancefatigue,andtofacilitatetimelyandeffectivedecisions

Proliferationofboardsoftenstaffedbythesamemembers,resultingingovernancefatigue

Betterdefinedrolesandresponsibilitiesresultinlessduplicationofboardsandmembershipisreduced

Appropriatebalanceisstruckamongnumberboards,membership,andtheitemstobegovernedfacilitatingtimelyandeffectivedecisions

RightInformation:Doeseachlevelofgovernance(andassociatedgovernancebodies)havethemeanstoobtaintheright

Governanceboardshavethemeanstoobtaintherightinformationtoinformandsupportdecisionmaking

Operateswiththerighttypesofinformation,buttherearesignificantgapsinthequalityofdataandanalysis

Operateswiththerighttypesofinformation,buthavegapsinthequalityofdataandanalysis

Operateswithreliableinformationandanalysistosupportinformeddecisionmaking



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Level1Basic



Characteristics


Characteristicsinformationtobeabletomakeproperlyinformeddecisions?DoesEnterpriseArchitectureinformthegovernanceprocess?Isthereevidence‐baseddecisionmaking?Istheretransparencyandinformationaccountability?Aremetricsactivelyusedtomeasureeffectivenessofgovernance?(metricsongovernanceprocess–meetingregularly,outputs)(caveat:forsmallagencies,itmaybepossibletocombineenterpriseandportfoliogovernance)

Enterprisegovernanceissuppliedwithobjectiveinformationandanalysistosupportstrategicdecision‐making

Someobjectiveanalysisbutmuchinformationtendstobeanecdotal

Analysisandinformationisgenerallyprovidedtosupportstrategicdecisionmaking;improvementscanbemadeinobtaininginformation,particularlyfromtheportfoliosandexternalentities

Informationissuppliedfrombothinternal(portfolios)andexternalentitiesregardingexpectationsofperformancefortheagency,perceivedorrealshortfalls,politicalimperatives,etc.thatfullysupportsdecisionmakingonstrategicdirectionandobjectives

Enterprisearchitecture(EA)modelenablesportfolio‐levelgovernancetoassessthestateoftheportfolio,assistingwithdecisionsthatareinalignmentwithmissionorbusinessoutcomes

EAexists,butdoesnotfullyrepresentcurrentstateoftheportfolio;thereisunevenanalysisofthe‘to‐be’statetosupportimprovedmissionorbusinessoutcomes

EAisincompleteinatleastonedimension;thecurrentportfolioismostlyunderstoodbuthasgapsinthe‘to‐be’statetosupportimprovedmissionorbusinessoutcomes

MatureEAenablesfulltransparencyofthecurrentstateoftheportfolio,andenablingcompleteanalysisofthe‘to‐be’statetosupportimprovedmissionorbusinessoutcomes

Programstaffisabletoprovidereportingonprogramstatus,risks,issues,andrecommendationsviadashboards;standardsandtoolsforreportingaredefinedandimplemented

Programstaffisintheinitialstagesofestablishingstandardsandtoolsforconsistentandaccuratereportingonprogramstatus

Programstaffhasdefinedstandardsfortrackingandprogrammetrics,andisintheprocessofimplementingtoolsforconsistentcollectionofdata;dataqualityimprovementisinprogressthroughanalysisandtraining

Programstaffisabletoprovideconsistentandcompletereportingonprogramstatus,risks,issues,andrecommendationsduetofullydefinedandimplementedstandardsandtools



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Level1Basic



Characteristics


Characteristics

Governanceoutcomesandeffectivenesstrackingisinplace,supportedwithdatareflectingthestatusofITspending

Outcomes,effectivenesstracking,andprocessmetricsareyettobemeasured

Decisionsaretracked,butimplementationtrackingislagging.Governanceoutcomeandeffectivenesstrackingisnascent

Outcomes,effectivenesstrackingarestandardprocess,withdataaccuratelyreflectingthetruestatusofITspending.Governanceprocessmetricsaretrackedandusedtomakeimprovements

RightTiming:Doesenterprisegovernanceworkwellwithinthetimingrequiredforstrategicplanning,requirementsdevelopment,programming,budgeting,acquisition,andexecution?Aretheretimelydecisionsforaprograminexecutionattheprogramgovernancelevel,especiallyasenterprisesleveragemodularandagilemethodologiestodrivesmallerandmore

GovernancestructureisoperationaltomakedecisionsinsupportofallphasesoftheITmanagementlife‐cycle

Operating;butgovernanceatalllevelsstrugglestomaketimelydecisions

Operatingatalllevels,butthereareoccasionallyfailurestomaketimelydecisions

Fullyoperationalatalllevelsandmakingtimelydecisions

GovernanceboardmeetingsarealignedwiththeITmanagementlife‐cycle

Governancemeetingsarenotaligned;decisionsareoftenmadeoutsideofgovernanceframework

Governancemeetingsaremostlyaligned;mostdecisionsareprioritizedandstagedfordecisionmaking

Governancemeetingsarefullyaligned,ensuringdecisionsareprioritizedandstagedfortimelydecisionmaking

Boardmeetingsareheldconsistentlyandattendedbyprincipalattendees

Inconsistentmeetings,orprincipalattendeesdonotconsistentlyattend

Consistentmeetings,however,principalsdonotalwaysattend;delegatesaresentwithoutappropriatebackgroundorempowermentresultingindelayeddecisionmaking

Consistentmeetingsandattendedbyprincipalattendees



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Level1Basic



Characteristics


Characteristicsfrequentincrementalreleases? Enterprisegovernance

boardmeetscontinuouslythroughouttheyear

Onlymeetsduringthebudgetpreparationcycle

Meetsthroughouttheyear,andmaymeetmorefrequentlyduringbudgetpreparation

Meetsthroughouttheyear,andwillmeetmorefrequentlyduringbudgetpreparation

Portfoliogovernanceboardsmeetscontinuouslythroughouttheyear

Meetslessthanquarterlyduringayear;orboardsessionsarecancelledordelayedsignificantly

MeetsquarterlyaftertheportfolioEAhasbeendeveloped.Theremaybeunevennessinthematurityandmeetingfrequencyoftheportfoliogovernanceboards

MeetquarterlyafteramatureportfolioEAhasbeendeveloped

Donotmeetoftenenoughtosupporttheprogram(s),providinglimitedproactivehelp

Varyinmeetingfrequency;occasionallyfailtoprovidetimelydecisionmakingforaprogram(s),butmakingimprovementsthroughincrementalimplementationandagiledevelopment

Varyinmeetingfrequency;butboardswillmeetwithproperfrequencytoprovidetimelydecisionmakingforaprogram(s)

RiskManagement(whileaspecificmanagementdiscipline,riskmanagementissocriticaltoanagency’ssuccessthatis

Agencyhasarobustriskmanagementprograminplace

Agencyhasacomprehensiveriskmanagementprocessbutitisnotusedconsistentlyatalllevelsofgovernance

Agencyhasacomprehensiveriskmanagementprocessbutthatisusedatalllevelsofgovernancebutdoesnotcoverallprograms

Agencyhasacomprehensiveandwelldocumentedriskmanagementprocessinplacesupportingalllevelsofgovernanceandallprograms



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Level1Basic



Characteristics


Characteristicsrecognizedasanattributeforassessinggovernancematurity):Doestheagencyhaveacomprehensiveriskmanagementapproach,toincluderiskidentificationandimpactassessment,riskprioritizationanalysis,riskmitigation,andriskreporting?Arerisksconsideredinalllevelsofgovernance?

Risksareintegratedintoagencydecision‐making

Risksareclearlyunderstoodbysenioragencyleadership.Decision‐makingfocusesonrisksproactively.Prioritizationisbasedonabalancedsetoffactors,includingprobability,degreeofimpact,pasthistoryandinterdependencies

Risksareclearlyunderstoodatenterpriseandportfoliolevelsofgovernance.Decision‐makingfocusesonproactivemanagementofrisks.Prioritizationisbasedonabalancedsetoffactors,includingprobability,degreeofimpact,pasthistoryandinterdependencies

Risksareclearlyunderstoodatalllevelsofgovernance.Decision‐makingfocusesonproactivemanagementofrisks.Prioritizationisbasedabalancedsetoffactors,includingprobability,degreeofimpact,pasthistoryandinterdependencies

InformationSecurity(IS)(whileaspecifictechnologyareaandsetofrequirementsforanITenvironment,informationsecurityissocriticalthatisrecognizedasanattributeforassessinggovernancematurity):Doestheagencyproperlyrecognizeandincorporateinformationsecurityrequirements?

Theagencyhasmechanismsinplacetomonitorandresponsetocyberthreats

TheagencyhasbegunimplementingautomatedSecurityAssessmentToolsforcontinuousmonitoringandasecurityoperationscenter(SOC)providescontinuousmonitoringanddiagnosticsofISposture

TheagencyhasimplementedautomatedSecurityAssessmentToolsforcontinuousmonitoring,reportsviaCyberScope,andworkscloselywithUS‐CERT

TheagencyhasimplementedafullyautomatedSecurityAssessmentToolsforcontinuousmonitoring,reportsviaCyberScope,andworkscloselywithUS‐CERT

TheagencyleveragesleadingISpracticestoimprovementtheirITsecurityposture

ThereisaprocesstoreviewandleverageleadingISpracticestobeusedtomakeimprovementstotheagency’sISposture

SomeISprocessmetricsaretrackedandthereisaprocesstoreviewandleverageleadingITsecuritypracticestobeusedtomakeimprovementstotheagency’sITsecurityposture

ISprocessmetricsaretrackedandthereisaprocesstoreviewandleverageleadingISpracticestobeusedtomakeimprovementstotheagency’sITsecurityposture



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Level1Basic



Characteristics


CharacteristicsDoestheagencyhaveproactivemeansinplacetokeepinformationsecuritypoliciesandapproachescurrent?Doestheagencymeasureeffectivenessofinformationsecurityoutcomesbyactivelycollectingmetrics?Doestheagencyusemetricstoimproveprogramsandacquisitionprocesses?

TheagencyhasalignedISpolicieswithorganizationallevels,performsassessments,providestraining,usesmetricsactivelytomeasureeffectivenessofISoutcomesandimproveprograms

Theagencyhasstand‐aloneISpoliciesandprocedures,addressesassessmentsandtrainingtomeetminimalrequirements.TheagencycollectsmetricsonlyasrequiredforFISMAreporting

TheagencyhasestablishedalinkagebetweenISpoliciesateachlevelintheagency,activelyassessesrisks,andcollectsmetricsforFISMAreporting.AssessmentsandriskmanagementarekeyITresponsibilities

TheISprogramfullysupportedthroughouttheagency,hasintegratedISintoagency’smissionandperformancemeasures,hasarobustIStraining,collectsmetricsforFISMAreportingandusesthemusedforcontinuousISprocessimprovement

Therearemodernizationeffortstoreplaceantiquatedandinsecurenetworksandinfrastructure,andtoimproveresilienceoflegacyapplications

Theagencyisworkingtosecurefundingtoimplementincrementalmodernizationeffortstoreplaceinsecurenetworks,infrastructure,andlegacyapplications

Theagencyisworkingtosecurefundingandschedulesincrementalmodernizationeffortstoreplaceinsecurenetworks,infrastructure,andlegacyapplications

Theagencyhassecuredfundingandisincrementallyimplementingmoderninfrastructuretoreplaceinsecurenetworks,infrastructure,andlegacyapplications



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Level1Basic



Characteristics


Characteristics

BUDGET

TRANSLATINGSTRATEGYINTO

ACTION

FunctionalAreaDescription:TheITbudgetprocesstranslatesstrategyintoactionableplansbymakingfundingchoicesforinvestmentsandoperationalprograms.ForIT,thebudgetprocessbeginswithformulationprocessesthatresultinbudgetjustificationsthatdemonstratetheroleofITinfulfillingagencymission,business,andprogramgoals.Budgetjustificationdocumentsattheprogram,bureau/componentandagencyeventuallyfindtheirwaytoCongressthrougheitherthePresident’sbudgetorinsupportingdocumentationlikeCongressionaljustificationsfortheAppropriationscommittees.ThisprocessandtheresultingartifactsbecometheprimarymechanismfordemonstratingthevaluepropositionandmissioncriticalityofITspending.TheITbudgetprocesscontinueswithbudgetexecution,whichensuresalinkageofagencystrategicdirectiontotacticalcommitmentofresources.Inparticular,budgetexecutionisoneofthemostreliablemechanismstoensurethatITspendingacrosstheorganizationiseconomicalandeffectivesupportingagencymissions.BudgetexecutionsupportsFITARAthroughCIOapprovalofdecisionstoobligatefundsbyapprovingITacquisitions,reprogrammingrequestsforIT,andevenstoppingpaymentsforpoorcontractorperformance.

Horizontalintegration:Istheretheproperlevelofinvolvementfromallappropriatestakeholders,includingCIO,CAO,CFO,CHCO(theCXOs)andthemission/businessleadershipoftheagencyinthebudgetpreparationandexecutionprocess?

TheagencyhasanenterprisegoverningboardthatoverseesallfacetsoftheagencyITbudget

Agency‐wideboardexistsandmeets

B1.CIOroleinpre‐budgetsubmission.Agency‐wideboardincludesallCXOsandmission/businessleadersandaddressesallphasesofthespendinglifecyclefrominvestmenttoO&MandbalancesbothITandnon‐ITconsiderations

Agency‐wideboardistheauthoritativedecisionmakingbodyforallfacetsofITspendingoveritslifecycle

PlannedITexpendituresareestablishedandreportedaccordingtoagencypolicy

TheCIOhasdefinedapolicyfordefiningandcommunicatingITspendplans

A1,A2&F1.VisibilityofITresources&VisibilityofITplannedexpenditurereportingtoCIO.TheCIO,CFOandCAOcollaborateontheagency‐widepolicytoestablishandreportonplannedexpendituresforalltransactionsthatincludeITresources

TheCIO,CFOandCAOcollaborateontheenforcementoftheagencywidepolicytoestablishandreportonplannedexpendituresforalltransactionsthatincludeITresources



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Level1Basic



Characteristics


Characteristics

Mission/businessleadershipalongwithITmanagementareheldjointlyaccountableforperformanceonITinitiativesandthecontributionofITtotheagencymission

AllITspendingisassessedthroughavarietyofmeasuresincludingbothbusinessoutcomemeasuresandITprojectprogressmeasures

C1,E1.CIOroleinplanningprogrammanagement&OngoingCIOengagementwithprogrammanagers.OngoingITspendingisregularlyevaluatedwithregardtoprojectprogressagainsttheplanandcontinuedcontributiontotheagency’smission

TheCIOissignificantlyinvolvedinthedevelopmentoftheAgencyStrategicPlan,andtheCIO’sIRMPlanexplicitlysupportsthatplan.ITspendingisregularlyassessedregardingitscontributiontotheagencymissionandStrategicPlan

ITspendingreviewexaminebothinvestmentsandbasespendingforoperationsandmaintenanceactivities

ITspendingreviewincludesreviewofinvestmentsandsomeoperationalprograms

AgencyhasarobustoperationalanalysiscapabilitytolookforeconomiesandunnecessaryspendinginoperationalITsystems

Agencyhasconductedazero‐basedbudgetreviewofITspendingtoidentifytoeliminateunnecessaryandfreeupspendingfornewITinvestments

RulesareestablishedthatprovideforrepurposingandreprogrammingofITspendingconsistentwithagencyprioritiesandappropriateuseoffunds

J1.CIOroleinrecommendingmodification,termination,orpauseofITprojectsorinitiatives.ITspendingismonitoredandreportedonbytheCIOthroughestablishedperformancemeasuresandTechStats(orsimilar)reviews

C1.CIOroleinplanningprogrammanagementOngoingITspendingisregularlyevaluatedwithregardtotheirprogressandcontinuedcontributiontotheagency’spriorities.ThisinformationinformstheprioritizationofITspendingonaregularbasisbytheinvestmentboard,onwhichtheCIOsits

Agency‐leveldecisionmakingishighlyadaptabletoexternalitiesandsupportsjustintimedecision‐makingthatprovidesforeffectiveagencyresponsestoemergingrequirements

VerticalIntegration:Isthereclearlystatedand

Theagencyhasprocessesand

GenerallinkagetoITspendingtobusinessgoals

SpecificlinkageofITspendingelementstomission

E1.OngoingCIOengagementwithprogram



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Level1Basic



Characteristics


Characteristics

quantifiedrelationshipbetweenagencymission/businessoutcomesandinvestmentscopeandtimelines?

workforcecapabilitieslinkingmeasurablemission/businessgoals,benefits,andoutcomestotimeandITresourcesinvested

accomplishment managers. LinkagesofITspendingtobusinessgoalsandmissionaccomplishmentsupportedbyamixofquantitativeandqualitativemeasuresofimpact

Theagencyhastheabilitytoreviewandprioritizetheinvestmentbacklogattheagency,bureauorcomponent,andprogramlevels

Agency‐levelinvestmentbacklogmanagement

Agency,bureau/componentandprogram‐levelinvestmentbacklogmanagement

Integratedbacklogmanagementamongagency,bureau/componentandprogramlevelportfolios

TheagencyITstrategicplansatisfiesthreeobjectives:1)alignstoagencymissionandstrategicgoals;2)addressesgapsthecurrentstrategicandorganizationalplanthroughITspending;and3)setsacourseforsuccessfuldeploymentofITinitiativesto

AlignmentofITspendingprioritiestoagencymissionsandstrategicgoals

AlignmentofITspendingtoaddressagreed‐upongapsinorganizationalcapabilities

AlignmentofITspendingagencyprioritiesandtoaddressagreed‐upongapsinorganizationalcapabilitiesoveranumberofyearswithhigh‐levelmilestonesandanticipateddeliverables



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Level1Basic



Characteristics


Characteristics

advancerealizationofagencymissionandbusinessgoals

AnEAenablestheagencytounderstandtherelationshipamongthemissionandbusinessrequirementsandprovidesthebasisfororganizingITspendingportfoliosforthoserequirements.

ExistenceofanEAprogram AnEAprogramthatshapesITspendingportfolios

AnEAprogramthatoutlinesspendingneedsandprioriesacrossportfolios

TheagencyhasaITcostestimatingpolicyandpractices

ITcostestimatingpolicy ITcostestimatingguidanceandrelatedtrainingprogram

AcceptablemethodsofperformingITcostestimatesthatcanbeappliedtovaryingkindsofITspendingprojects

TechnicalbasisofITspendingestimates

ProgramstaffdevelopsITspendingestimates

TechnicalSMEsinformITspendingestimates

ProgramstaffandtechnicalSMEsinformITspendingestimatesbasedonhistoricaldatabyspendingclassandavailableindustrydata



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Level1Basic



Characteristics


Characteristics

Budgetsareexecutedinawaythatprovidestransparencyintocommitments,obligations,andexpendituresforappropriatestakeholders

A1,A2&.F1.VisibilityofITresources&VisibilityofITplannedexpenditurereportingtoCIO.ITbudget(formulationandexecution)datainformationissharedamongrelevantstakeholdersuponrequest

ITbudget(formulationandexecution)dataaresharedregularlyamongrelevantstakeholders

ITbudget(formulationandexecution)dataarepostedinternallyforappropriatestafftoreview

SupportforModularExecution:DoestheagencyITbudgetingprocessenablemanyoftheobjectivesforincrementalandmodulardevelopment?

DoestheITbudgetingprocessenableITspendingforprojectsandprogramstobebrokendownintodiscreteincrementsorusefulsegmentsthatdelivervalueandmeasurableoutcomesovertime?

ITbudgetsforprogramsandprojectsaresometimesdescribedinamodularmanneraimedatachievingoverallprogramobjectivesoveratimeperiod

ITbudgetsforprogramsandprojectsareconsistentlydescribedinamodularmanneraimedatachievingoverallprogramobjectivesoveratimeperiodandenablelogicalandprogressiveprogramandacquisitionplanningandbudgetexecution

TheagencymaintainsafullymatureITbudgetprocessthatcanrelatetheprocessesformissionandbusiness‐driveninvestmenttosupportplanningformodularexecutioninwaysthatenableextensiveuseofStrategicSourcingvehiclesandenterprisesourcingconceptsacrosstheagency,includingextensiveconsolidationofcommodityITinfrastructureandservice

RightAuthority:IsthereclearreviewandapprovalauthorityinbudgetformulationandexecutiondecisionsforITprogramsandacquisitions?

TheITbudgetingprocessensurestheCIOhelpstoshapeagencyITspendingpoliciesandrequirementsthroughallbudgetformulationand

H1.CIOroleonprogramgovernanceboards.TheCIOisaformalmemberoftheITbudgetprocessoftheagency

D1,G1.CIOroleinbudgetrequest&CIOdefinesITprocessesandpolicies.TheCIOisanactiveparticipantinandhasreviewandapprovalauthorityoverITspendingthroughouttheITspendinglifecycleforallmajorITspending.TheCIOand

L1.CIOapprovalofreprogramming.CIOisinformedandparticipatesinnegotiationswithOMBandCongressregardinganychangesontheITbudgettoincludere‐allocation/reprogramming



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Level1Basic



Characteristics


Characteristics

executionprocesses CFOjointlyaffirmtheCIO’ssignificantroleindevelopingtheITbudgetrequest

requests. CIOapprovesallreprogrammingofITfundsthatrequireCongressionalnotification.CFOensuresCIOparticipation

RightTiming:Doestheagencyhaveplanandallocatesufficientresourcesandtimefor:

Budgetformulation Budgetplan

development Budgetexecutiontomakesoundportfoliodecisionsandmeetbudgetarytimelines?

Duringbudgetexecution,arethereupdatestocostestimatestoreflectactualcostexpendituresandcurrentforecastsforfutureexpendituresforthecompletearrayofITresourcesrequiredacrosstheagency?

ITspendingdataaregenerallyavailable,subjecttosomereportinglags,withsomemanualadjustmentandinterpretationtosupportagencydecisionmaking

ITspendingdataareavailablewithminimalmanualinterventionandreportinglagstosupportagencydecisionmaking

Real‐timeITspendingdataareavailableondemandtosupportagencydecisionmaking

Doesthetimingofupdatestoactualcostsandforecastexpendituressupportroutineagencycostandscheduleperformancereporting,anddoesitfullysupportagencyreportingrequirementsforTechStatandPortfolioStat?

ITspendingdataaregenerallyavailable,subjecttosomereportinglags,withsomemanualadjustmentandinterpretationtosupportexternalreportingrequirements

ITspendingdataareavailablewithminimalmanualinterventionandreportinglagstosupportagencyexternalreportingrequirements.

ITspendingdataareavailablerealtimewithnomanualintervention.Thedataincludesupdatesforlatestactualcostsandcurrentforecastcost,scheduleandperformanceoutcomes.ThedatasupportsinternalmanagementinformationrequirementsandexternalreportingtoOMB,Congressandotherexternalstakeholders



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

ACQUISITION

AGILEACQUISITIONS–THECORNERSTONEFOR

SPEEDINDELIVERY

FunctionalAreaDescription:FunctionalAreaDescription:FITARAaimstostreamlinetheacquisitionsprocessandeliminatewastefulbuyingpractices.Thiswillrequirechangesfromthecurrentmodelofpurchasingcurrentlyusedinmanyagencies,toincludemorerapiddeliveryofcapabilitiestosupporttheshorteningITlife‐cycle,morecentralizedbuyingtotakeadvantageofsharedservicesandleveragethegovernment'sbuyingpower,betterintegrationwithprogramstaffstoensureacquisitionsmeetprogramobjectives,andbettercollaborationamongststakeholderstoensureacquiredcapabilitiesmeetbusinessandmissionneeds.Forclarificationofthedistinctionbetweenacquisitionandprogrammanagement–programmanagementisthesetofactivitiestodeliveraneworupgradedsetofcapabilitiestoultimatelysupportmissionorbusinessneedsoftheagency,andaprogrammayinvolvetheaseriesofrelated,ongoingprojects.Aspartofaprogram,theremaybeoneormoreacquisitions(buyingoflabororITservices,orhardwareandsoftware)tosupporttheoveralldeliveryoftheprogram.

Horizontalintegration:Isthereproperlevelofinvolvementfromallappropriatestakeholdersforanacquisition,includingrepresentativesfromCAO,themissionandbusinessorganization,CAO,CFO,GeneralCounsel,etc.?Arethereclearandmeasurablesuccesscriteriaforacquisitionsthatallstakeholdersagreeto?Arethereincentivesforvariousstakeholderstocollaborate?

Objectivesandperformancemeasuresaresynchronizedacrossfunctionswhoparticipateintheacquisitionprocess

Thereisacollaborativeworkingenvironmentamongstallstakeholders,includingbetweenrepresentativesoftheprogram,CAO,CIO,andCFO

Allmembersofanacquisitionteamareincentivizedbaseduponprogramsuccessandtheirperformanceistosomedegreemeasuredonmeetingthesuccesscriteria

Acquisitionpersonnelaretreatedaspartoftheprogramstaffwhenacquisitionsaretosupportaspecificprogram.Allmembersofanacquisitionteamareincentivizedbaseduponwell‐definedoutcome‐basedprogramsuccesscriteriaandtheirperformanceissubstantiallymeasuredonmeetingthesuccesscriteria

Allfunctionsparticipatingintheacquisitionprocessareappropriatelyengagedintheprocess

CIO,CAO,CFO,andprogramleadersworktogetherinformally

K1,K2CIOreviewandapprovalofacquisitionstrategyandacquisitionplan.CIO,CAO,CFO,andprogramteamsmeetregularlytoreviewacquisitionstatusandissuesinaccordancewiththeirdefinedrolesintheprocess

CIO,CAO,CFOandprogramleadersconsiderthemselvestobestrategicpartnersandprioritizeattendanceatmeetingsorreviewsrequiredinordertoclearroadblocksintheprocess



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

VerticalIntegrationthroughCategoryandSupplierManagementStrategies:Howwelldevelopedistheorganization’sCategoryManagementandStrategicSourcingcapability?Dotheygobeyondsimplecontractconsolidationandmoveintosystemconsolidationandtotalcostofownership(TCO)reduction?DotheyprovideITinfrastructureconsolidationthatprovidesacommonplatformthatenablesmorerapiddeploymentofnewcapability?

TheagencyculturerecognizesandembracestheuseofCategoryManagementandStrategicSourcingapproachestoleveragebuyingpower,simplifytheITinfrastructure,andenablemorerapidacquisitionofnewcapabilities

ThereissomeuseofStrategicSourcingvehiclesacrosstheagency.Procurementstrategiesattheprogramlevelhavesomealignmentwithanoverallenterprisestrategy

I2.Sharedacquisitionandprocurementresponsibilities.

ThereisuseofStrategicSourcingvehiclesacrosstheagency,withanefforttoconsolidatesomecontractingofcommodityITinfrastructureandservices.Sourcingisguidedbyaconsistentsupplierselectionprocessthatisinformedbyenterprisestrategyandpriorities.TheagencyactivelyparticipatesininteragencyCategoryandCommodityTeamstoassemblecross‐agencyagreements

ThereisextensiveuseofStrategicSourcingvehiclesandenterprisesourcingconceptsacrosstheagency,includingextensiveconsolidationofcommodityITinfrastructureandservicesandincrementalormodularcontracting.TheagencyvolunteersinternalstafftoleadGovernment‐widesourcingandcategorymanagementefforts

Appropriateflexibilityexiststobalanceprogram‐levelneedswithenterprisebuyingstrategies

ThereisflexibilitybuiltintoStrategicSourcingtoensuretheappropriatecontractvehicleisusedandtolimitroadblocks

ThereareprocessesinplacetorequestandapprovewaiversifitisdeterminedthataspecificStrategicSourcingvehicleisnotappropriate

WithinStrategicSourcingcontractsandcategorystrategies,theflexibilityexiststocustomizesourcingstrategiestofitindividualprogramneeds

Continuousprocessimprovementisutilizedtorefineandenhancetheeffectivenessofenterprisebuyingstrategies

Onceawarded,contractsand/orstrategiesareoccasionallyrevisited

TheagencyconductsannualStrategicSourcingreviewstoidentifyroadblocksandopportunitiestodevelopactionplansforcontinualimprovement

Theagencyroutinelyconductsalternativesassessmentstoidentifyandsunsetobsoleteorlow‐valuepurchases.Foritssize,theagencyisabletoobtainbest‐In‐classpricingforproductsandservices



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

RightInformation:Doacquisitionteamshavethehavethemeanstoobtaintherightinformationtobeabletomakeproperlyinformeddecisions?Aretherequalitycontrolmechanismstohelpensurethattheinformationiscorrect?Isevidence‐baseddecisionmakingproperlyintegratedwiththegovernanceprocess?Aretheretransparencyandinformationaccountability?Aremetricsactivelyusedtomeasureeffectivenessoftheacquisitionprocess?

Qualityinformationisavailableformakingdecisionsduringtheacquisitionprocess

Acquisitionsgenerallyrelyontherighttypesofinformationandmetrics,butinmanycasestherearegapsinthequalityoftheunderlyingdataandanalysistosupportdecisionmaking

Acquisitionsgenerallyrelyontherighttypesofinformationandmetrics,butinsomecasestherearegapsinthequalityoftheunderlyingdataandanalysistosupportdecisionmaking

Demonstratedcapabilitytoprovideallacquisitionsinformationandanalysisrequiredtosupportinformeddecisionmakingusingreliableunderlyingdata

QualityAssuranceSurveillancePlansareusedtoensureinformationintegrity

ThereisabasicQualityAssuranceSurveillancePlan

ThereisaQualityAssuranceSurveillancePlanestablishedtoensurethecorrectnessofinformationusedtosupporttheacquisitionprocess

ThereisacomprehensiveQualityAssuranceSurveillancePlanestablishedtoensurethecorrectnessofinformationusedtosupporttheacquisitionprocess

Acquisitionoutcomesandprogrameffectivenessaretrackedandmeasured

Programstaffandacquisitionpersonnelhaveadhocstandardsfortrackingprogrammetricsandinconsistentcollectionofdata.Acquisitionoutcomeandeffectivenesstrackingisnascent

Programstaffandacquisitionpersonnelhavedefinedstandardsfortrackingprogramandacquisitionmetricsandthereisaninitiativetoimplementtoolsforconsistentcollectionofdata.Dataqualityimprovementisinprogressthroughanalysisandtraining.Acquisitionoutcomeandeffectivenesstrackingisbeingimplemented

Programstaffandacquisitionpersonnelprovideconsistentandcompletereportingonacquisitionstatus,risks,issues,andrecommendationsviadashboardsbecausestandardsandtoolsforreportingarefullydefinedandimplemented.Acquisitionoutcomeandeffectivenesstrackingarepartoftheprocesswithdataaccuratelyreflectingthetruestatusoftheinvestments.Acquisitionprocessmetricsaretrackedandusedtomakeimprovements



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

Dataconcerningplannedandactualspendingisavailable,accurate,andactionable.

SomevisibilityexiststoplannedexpendituresinvolvingITresources,butthereislittleavailabilityofkeypurchase/spendingdataatbothatanagencylevelacrossmultiplecategories,commoditiesandservices

F1.VisibilityofITplannedexpenditurereportingtoCIO.PlannedexpendituresinvolvingITresourcesarereportedinaccordancewithCIO,CFO,andCAOpolicy,andthereisavailabilityofsomekeypurchasedataatanagencylevelacrossmultiplecategories,commoditiesandservices

Keyplannedandactualpurchasedataisavailableindetailatbothagovernment‐wideandagencylevelacrossmultiplecategories,commoditiesandservices.Dashboardsproviderealtimeviewofportfolioprogram,andacquisitionstatus,allowfordrill‐downsforspecifics,andaretailorsforspecificstakeholderneeds

Dataisusedtoidentifyopportunitiestoimproveleverageandpricing

Thereisadhocopportunityanalysestoidentifyopportunitiestoimproveleverageandpricing

Thereisadhocopportunityanalysestoidentifyopportunitiestoimproveleverageandpricing

Theagencyroutinelyconductsopportunityanalysestoidentifyopportunitiestoimproveleverageandpricing

Approvalauthoritiesaredelegatedtotheappropriatelevelwithintheagency

Eithernoformaldelegationauthorityexists,ormostdecisionsrequireapprovalatseniorlevelswithintheagency

K1.CIOreviewandapprovalofacquisitionstrategyandplan.Theagencyhasagovernanceprocesstodelegateatleastsomedecisionmakingtothelowestlevelpossible,basedonprogramandacquisitionsize,complexity,andrisk

Theagencyhasacultureandgovernanceprocesstodelegatedecisionmakingtothelowestlevelpossible,basedonprogramandacquisitionsize,complexity,andrisk.Acquisitionpersonnelandcontractorsareeachincentivizedtovaluespeedindeliverywithoutsacrificingrisk,quality,orcost.



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

RightTiming:BestpracticeforITprogramsistofieldsmallerandmoreincrementalreleasesoffunctionalitytolowerriskandgetenduserfeedbacktoensuretheprogramisprovidevaluetothecustomer.Aretheagency’sleadership,processes,andcultureenablingacquisitionstobecompletedtomeettheseshorttimelines?Isdecisionmakingstreamlinedtominimizedelays?

Approvalprocessesarestreamlinedand/orcanbefast‐trackedtoensurethatprogramsmeetbusinessanddeliverydeadlines

AgencypoliciesanddirectionfavoruseofStrategicSourcingcontractstoacceleratecontractingtimelinesbutotherwisearenotdesignedtospeedacquisitionprocesses

K1.CIOreviewandapprovalofacquisitionstrategyandplan.Approvalprocessesanddocumentsforacquisitionsareintegratedanddevelopedwiththeintenttoshortentimebutnotsacrificecompletenessorquality.Small,lowcost,lowriskprogramscannavigatefasttrackacquisitionprocessesinweeks

Programsleverageportfoliostrategies,contracts,andarchitecturestoacceleratedeliveries.Thereisanacquisitionprioritizationprocesstoenablethefast‐trackingoftimecriticalacquisitions.Policiesandtoolskeepapprovalreviewprocessflowingandrapidlyaddressdisconnectsorobjections.CAOensuresthatITcontractactionsandinter‐agencyagreementsthatincludeITarereviewedandapprovedbytheCIO



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

ORGAN

IZATION&W

ORK

FORCE

ASKILLEDAND

EXPERIENCED

WORKFORCEISTHE

FOUNDATION

FunctionalAreaDescription:FunctionalAreaDescription:TheobjectiveofFITARAistoimprovethemanagementofITwithinanagencyandhence,improvetheabilityforthatagencytodeliveritsmissionsecurelyandprovideappropriateinformationaccesstotheAmericanpublic.Tobemosteffective,ITmustaligntothefunctionalneedsofanagencyandtheagency’sorganizationandworkforcestrategiesaretightlyintegratedtosupporttheagency’sITportfolio.Inordertomaximizethesuccessofeachprograminmeetingtheiruniquebusinessdrivers,thereneedstobecooperationandcommunicationasorganizationalandworkforceprocessesareintegratedtoreflectinclusionofallnecessaryinputsandtominimizeunnecessaryduplication.Further,ITmanagementrequiresthattheappropriateskillsandexperiencebeleveragednotonlywithinleadership,butalsothroughouttheworkforce,bymeansofstrategicplanningandcompetencymodeling.TheworkforcegoeswellbeyondITprofessionals,butincludesacquisition,programmanagement,finance,andothersthatareinstrumentalinsupportingsoundITmanagement.Workforceplanningtomeetmissionandbusinessneeds,developmentofcompetenciesneededthroughouttheworkforce,andcollaborationanddecisionmakingtoaddressworkforcedevelopmentalneedsarekeyelementsofmaturityfortheorganizationandworkforcefunction.

Horizontalintegration:Istheretheproperlevelofinvolvementbyallstakeholders,toincludetheCIO,CAO,CFOandCHCO,inthedevelopmentanduseofworkforceplanningprocesses,competenciesmodels,andcriticalelementsdefinitions?Areagencykeycriticalelementsincludedinbureau/componentCIOevaluations?

TheCIOandCHCOworkinfullpartnershiptodevelopanduseworkforceplanningprocesses,tools,competenciesmodelstoeffectivelyplanandexecutehiring,retention,promotion,andtrainingactivities

P1.ITworkforceplanning.TheCIOandCHCOworktogethertodevelopanduseworkforceplanningprocesses,tools,competenciesmodelstoplanandexecutehiring,retention,promotion,andtrainingactivities

ITWorkforceplanningstrategies,processes,andmodelshaveallproperstakeholdersinvolvedwithCIOparticipation

Agencyworkforceplanningstrategies,processes,competencymodels,arefullyintegratedacrosstheagency

Agencyhumancapitalpoliciesexplicitlysupporttheneedsofanagency’sCIOsandtheITworkforceacrosstheagency

AgencyhumancapitalpoliciesaligntoITworkforceplanningstrategies,processes,andmodelsacrosstheagency

SelectedITworkforceplanningandimplementationeffortshavethesupportofmission,businessandITleaders

AtalllevelsofITworkforceplanning,significantrepresentationofthemissionandbusinessleadershiptoensureITisbeingdriventomeetagencyneeds



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

VerticalIntegration:Doagencyworkforcepoliciesclearlyaligntoworkforceplanningstrategies,processes,andmodelsatabureau/componentandprogramlevel?Isthereproper,timely,involvementbytheagencyCXOsintherecruitment,selection,andevaluationofallapplicablebureau/componentandprogram‐levelCXOs(e.g.,AgencyCFOinvolvedinselectionofbureau/componentandprogram‐levelCFO?)

CIOandCHCOjointlypublishadatasetidentifyingallbureau/componentofficialswithtitleofCIOordutiesofaCIOandpostresultsasapublicdataset

O1.BureauITLeadershipDirectory.TheCIOandCHCOjointlypublishadatasetofallbureau/componentofficialswiththetitleofCIOorduties,anditismadepubliclyavailable

TheCIOandCHCOjointlypublishadatasetofallbureau/componentofficialswiththetitleofCIOorduties,anditismadepubliclyavailable.Thedatasetisupdatedregularly

TheCIOandCHCOjointlypublishadatasetofallbureauofficialswiththetitleofCIOorduties,anditismadepubliclyavailable.Thedatasetisupdatedregularly

AgencyCIOisinvolvedwiththerecruitment,includingtheinterviewprocess,ofanynewbureau/componentandprogram‐levelCIO.AgencyCIOapprovestheselectionofanynewbureau/componentandprogram‐levelCIO

M1.CIOapprovesnewbureauCIOs.TheCIOisinvolvedintherecruitmentandinterviewprocess,andapprovestheselectionofanynewbureau/componentandprogram‐levelCIO

CIOandCHCOjointlydefinetheimplementationoftheCIOroleintherecruitmentofbureau/componentCIOs,approvaloftheselectionofbureau/componentandprogram‐levelCIOs

TheappropriateagencyCXOisanactiveparticipantwiththeCHCOinthedevelopmentofpositionrequirementsforrecruitment,selectionofallrelevantbureau/componentandprogram‐levelCXOs(e.g.,AgencyCIOsforbureauCIOs,etc.)

ITworkforceplanningstrategies,processes,competencymodels,andcriticalelementsforbureau/componentCIOevaluationsarefully

TheCIOplaysaroleinestablishingconsistentcriticalelementsforbureau/componentandprogram‐levelCIOs

N1.CIORoleinongoingbureauCIO’sevaluation.TheCIOplaysanintegralrolewiththeCHCOinestablishingconsistent,fullyintegratedcriticalelementsforbureau/componentand

TheCIOusesagency‐wideITstrategiestoestablishcriticalelementsforbureau/componentandprogram‐levelCIOs’performance



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

definedacrosstheagency

program‐levelCIOevaluations

TheCIOhasaroleintheevaluationofbureau/componentandprogram‐levelCIOs

N1.CIOroleinongoingbureauCIO’sevaluations.RatingsofficialincludesinputfromtheCIOwhendetermininginitialandfinalsummaryrating

TheagencyCIO’sappraisalinputisusedtoinformfinalratingsofallrelevantbureau/componentandprogram‐levelCIOs

TheappropriateagencyCXO’sappraisalinputisusedtoinformfinalratingsofallrelevantbureau/componentandprogram‐levelCXOs

RightLeadership:Doestheorganization’sleadershiphavethenecessaryskillsandexperiencetoleadandensurethemanagementofITcanreachademonstratedmaturitylevel?

TheCXOandthebureau/componentandprogram‐levelCXOshavetheskillsnecessarytoeffectivelylead

Competencymodelsareusedtoinformleadership‐hiringdecisionsandsupporttraininganddevelopmentneeds

TheagencypromotescollaborativeleadershipacrosstheCXOsandmissionandbusinessorganizations.Inaddition,leadershipprovidesandpromotescoachingandmentoringthroughouttheorganization,setscontinuouslyhighergoalsandstandardsthatencouragesandrewardsprofessionalgrowth,andutilizesatransparentsuccessionplananddelegationofauthoritymodel

Agencyandbureau/componentandprogram‐levelleadershiphastheexperience,backgroundandcapabilitiesattheappropriatelevelofcomplexitytoengenderrespectandconfidenceinstakeholders,seniormanagementandemployees

TheCIOprovidescleardirectionandstrategies

TheCIOmaintainsatransparentroadmapofITprioritiesandtargetskills/competenciesnecessarytomeetagencymissionobjectivesanddelivertheITPortfolio

TheCIOcommunicatestheagency’sstrategicvisionforITandtheroleeachbureau/componentandprogram‐levelCIOplaysinattainingtheagency’sgoals

TheagencyCIOcommunicatestheagency’sstrategicvisionforITandtheroleeachbureau/componentandprogram‐levelCIOplaysinattainingtheagency’sgoals



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

TheagencyleadershipdrivesthecultureandchangemanagementprocessesinordertoobtainDemonstratedMaturityinITmanagement

TheagencyleadershipbelievesintheneedforimprovedITmanagementbutfocusesjustontheITorganization

TheagencyleadershipbelievesintheneedtoachieveDemonstratedMaturityinITmanagement,butthechangemanagementprocesseshavenotbeenimplementedtodrivethechangethroughtheorganization

TheagencyleadershipembracestheneedtoachieveDemonstratedMaturityinITmanagement,activelysupportschangemanagementprocessesthroughouttheorganization,andinstitutionalizesthechangeswithpolicies,practices,andtools

RightPeople:Doestheagencyhaveaclearviewoftheskillsandexperiencetoperformtheirassigneddutiesbothnowandintothefuture?IstheworkforceplanningprocessandcompetencymodelsusedtoguideandinformIThiringacrosstheorganization?

TheCXOsensuresthattheagencyhastherightpeople,withtherightskillsandgradesattherighttimetoeffectivelyleadanddeliverprograms

Adefinedcompetency‐drivencareerpathinformsprofessionalexpectationsanddevelopmentgoals

P1.ITWorkforcePlanning.Theorganizationhasidentifiedafuturestatefunctionaloperatingmodelthatismappedtothecriticalcompetencies.TheStrategicWorkforcePlanreflectsthehiringanddevelopmentnecessarytoenableagenciestoplanandleaddeliveryofprogramseffectively

TheITinvestmentportfolioinformsafrequentlyrefreshedcompetencyframeworkandassociatedcareerdevelopmentpaths

Effectiverecruitmentprogramsareinplace

Managersareempoweredtorecruitandretainmissioncriticaltalenttosupportagencyrequirements.ITstaffrecruitingprocessesrecognize“speedtomarket”issueswithhiring

Managersareempoweredtorecruitandretainmissioncriticaltalenttosupportagencyrequirements.ITstaffrecruitingprocessesrecognize“speedtomarket”issueswithhiring.CHCOandotherCXOshaveagreeduponservicelevelsforCIOhiringtimeliness

Managersareempoweredtorecruitandretaintherighttalentintimetosupportagencyrequirementsandanticipateddemandusingallavailablehiringauthoritiesandworkforceplanningtools.Theagencyregularly,andconsistently,utilizesallavailablehiringauthoritiesto



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

recruitmissioncriticaltalent.CHCOandotherCXOshaveatransparentviewintoachievingagreed‐uponservice‐levelagreementsforhiringtimeliness

Effectivetrainingprogramsareinplace

Training,mentoringandcertificationprogramsareprovidedconsistentlyacrosstheagencyprogrammanagers,butotherstoincludesystemarchitect,developmentmanager,testmanager,configurationmanager,contractingofficer,cybersecurityprofessional,financial/budgetanalyst,acquisitionstaff,etc.

Robusttraining,mentoringandcertificationprogramsareprovidedconsistentlyacrosstheagencyprogrammanagers,butotherstoincludesystemarchitect,developmentmanager,testmanager,configurationmanager,contractingofficer,cybersecurityprofessional,financial/budgetanalyst,acquisitionstaff,etc.

Inadditiontotherobusttraining,mentoring,andcertificationprogramsacrossdisciplines,theITinvestmentportfolioinformsandissupportedbyacomprehensive,tailored,learninganddevelopmentcatalog

Contractresourcesareeffectivelyusedtosupportandsupplementstaff

ThereisanappropriatebalancebetweenpermanentstaffandcontractresourcestoensuresuccessfulITservicesandprogramdelivery

Staffserveasthoughtleaders,architects,andprogrammanagers,andareappropriatelyaugmentedbycontractresources

Theagencyeffectivelyusescontractresourcesasdeliveryexecutionandsurgesupport,aswellasSMEadvisors.TheStrategicWorkforcePlanincorporatescontractresourcesintheoverallagencystrategies



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FunctionalArea

Attributes Traits

Level1Basic



Characteristics


Characteristics

StrategicWorkforcePlanning:Doestheagencyhaveaneffective,completeworkforceplanningprocesstoidentifyworkforceskillandcompetencygaps?Isthisplanningprocessintegratedwithtalentmanagementtoensurethatpersonnelhaveordeveloptherequisiteskillsneededtosupportthemissionandadaptquicklytochangingrequirements?

StrategicITworkforceplansareinplace;gapsandplanstofillthosegapsexist

P1.ITWorkforcePlanning.ThereisastrategicITworkforceplandraftedinalignmentwithorganization'svision,missionandvalues‐Strategicskillgapsareidentifiedandaplaninplacetofillgapsthroughtrainingandrecruitment

Therearehighlyeffectivesystems,processesandproject‐baseddevelopmentopportunitiesinplacetoidentifyanddevelopthenextgenerationofleaders.Inaddition,theagencyregularlyreportsresultsoftalentmanagementprogramsonperformance.gov.

Dailycontrolsandperformancemeasuresareinplacetomeasureprogress.Inaddition,seniorleadershipcontinuallyassessesleadershiptalent

RightPlacementandAuthority:DoagencyCXOshavetheproperorganizationplacementandauthoritytoensuretheirabletoeffectivelydriveorganizationalmaturityintheirareaandinparticularsupporttheagency’sabilitytoeffectivelymanageIT?

TheCIOisintherightorganizationalroleandhasthenecessaryroles,responsibilitiesandauthorities

TheCIOispartoftheoverallorganizationalstrategicmanagementteam,andrepresentstheorganizationinintergovernmentalcommitteesandbeforethepublic

Q1.CIOreportstoagencyhead(ordeputy/COO).TheCXOsmeetsregularlywiththeheadoftheagency,theirdeputy,orthechiefoperatingofficer,providingstrategicadviceandcounsel,andisaffordedthenecessarysupportanddecisionauthority

TheCXOsreportdirectlytotheheadoftheagency,theirdeputyorthechiefoperatingofficer.Inaddition,bureau/componentandprogram‐levelCXOshavemirroredplacementandauthoritiesintheirbureau/componentorprogram



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Characteristics


Characteristics

PROGRAM

MAN

AGEM

ENT

GOODPROGRAM

MANAGEM

ENTISTHEKEYTO

DELIVERINGNEWCAPABILITIES

FunctionalAreaDescription:TheobjectiveofFITARAistoimprovethemanagementofITwithinanagencyandhence,improvetheabilityforthatagencytodeliveritsmissionandconductitsbusiness.Programmanagementiseither:1)thesetofactivitiestodeliveraneworupgradedsetofcapabilitiestoultimatelysupportmissionorbusinessneedsoftheagency,andaprogrammayinvolvetheaseriesofrelated,ongoingprojects;or2)theongoingoperationsandmaintenanceofanexistingproductionsystem.Aspartofaprogram,theremaybeoneormoreacquisitions(buyingoflabororITservices,orhardwareandsoftware)tosupporttheoveralldeliveryoftheprogram.

Programandprojectmanagementdisciplines:Doestheagencyhaveawell‐definedsetofmanagementdisciplines(e.g.,schedule,estimation,requirements,configuration,operations,andriskmanagement)thatareusedconsistentlythroughouttheagency?Aremechanismsinplacetoensurethesedisciplinesarebeing

Disciplinesofsoundprogrammanagementarinplaceatstartofaprogram

Theagencyhasaprocessthatensurestheprogramandprojectmanagementdisciplinesareproperlyappliedthroughoutthelifeofaprogram

Theagencyhasaprocesstocontinuallyupdatemanagementdisciplinesbasedonfeedbackfromprogramstaffandthelatestindustrypractices

Experthelpisavailabletosupportprogramsthatareinneedofhelpinimplementingorrefiningmanagementdisciplinesforaprogram

AgencyhasadefinedaplanningprocessthatincludestheCIOinthereviewofallITcomponentsofmissionprogramplanning

AgencyhasdefinedaprocessthatincorporatesCFO,CIOandprogramleadershipinreviewsofITspendinginbroaderspendingplans,butconsidersITinvestmentswithotherusesofagencyfunding

C1.CIOroleinplanningprogrammanagement.CIOapprovestheITcomponentsofanyplans,throughdefinedplanningprocess,butagencyheadminimallybalancesITinvestmentswithotherusesofagencyfunding

CIOisfullyinvolvedwithplanningofITresourcesatallpointsintheirlifecycle,includingoperations,dispositionandmigrationacrossallagencyplanningprocesses



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Characteristics


Characteristics

properlyappliedinprograms?Istheretrainingandmentoringforpersonnelthatserveonprogramteams?Isthereaprocesstoupdatethesedisciplinestoensuretheagencyisusingmodernprogrammanagement?

Projectpersonnelaretrainedandcertifiedinthedisciplinesandlevelsnecessaryfortheirinitiative

Individualsonprogramteamshavepropertrainingintheapplicationofprogrammanagementdisciplines

Individualsonprogramteamshavepropertrainingintheapplicationofprogrammanagementdisciplines

Individualsonprogramteamshavepropertrainingintheapplicationofprogrammanagementdisciplines.Mentoringisavailabletoprogramsthatarestrugglingwithimplementationofoneormoreofthemanagementdisciplines



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Level1Basic



Characteristics


Characteristics

Horizontalintegration:Isthereproperlevelofinvolvementfromallappropriatestakeholdersforprograms,includingrepresentativesfromthemissionandbusinessorganization,CIO,CAO,CFO,CHCO,GeneralCounsel,etc.?Arethereclearandmeasurablesuccesscriteriathatallstakeholdersagreeto?IsthereanintegratedprogramteamthatallprogrampersonnelbelongtowithreportingtoaProgramManageronallaspectsofthedeliveryofthatprogram?Areallprogrampersonnelmeasuredonmeetingthesuccesscriteriaforthatprogram?

Integratedprogramteamsareformedinwhichallappropriatestakeholders(toincludemissionorbusinessorganization,CIO,CAO,CHCO,CISO,CAO,etc.)haverepresentativesontheprogramteam

Programteamintegrationislimitedandsomemembersoftheprogramteamareincentivizedandtheirperformanceistoadegreemeasuredonmeetingtheprogramsuccesscriteria.Inadditiontointernalstakeholders,theteamhasidentifiedexternalstakeholdersforconsultationduringprogramexecution

Programteamconsistsoffullbusinesscomplimentandmostmembersoftheprogramteamareincentivizedandtheirperformanceismeasuredonmeetingtheprogramsuccesscriteria.Theprogramteamhasanexternalstakeholderengagementplan

ProgramTeamconsistsoffullbusinesscomplimentandallmembersoftheprogramteamareincentivizedandtheirperformanceissubstantiallymeasuredonmeetingtheprogramsuccesscriteria.Theprogramteamexecutesconsistentlyonanexternalstakeholderengagementplan



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Level1Basic



Characteristics


Characteristics

Comprehensiveandagilesystemdevelopmentlifecycle(SDLC):Doestheagencyhaveanappropriatesystemdevelopmentlifecyclethatlaysouttheapproachorapproachesthatwillbeusedtodesign,develop,testanddeploythesystem?Aretherepre‐definedpathsfordifferenttypesofITprojects?Canthesepathseasilybetailoredtofittheneedsofaprogram?

Theagencyhasacomprehensivesystemdevelopmentlifecycle

Theagencyhasasystemdevelopmentlifecycle(SDLC)

G1.CIOdefinesITprocessesandpoliciesTheSDLChaspathspre‐definedforsometypesofITprogramsandcaneasilybetailoredasrequiredforaprogram.Pathsaccommodatebothtraditionallinearanditerative/agileframeworks

TheSDLChaspathspre‐definedthatcanhandlealltypesofITprogramsandcaneasilybetailoredasrequiredforaprogram

TheagencyhasthenecessarypoliciesinplacetosupportITprograms

G1.CIOdefinesITprocessesandpoliciesAgencypoliciesandtoolskeepapprovalreviewprocessflowing,includinguseStrategicSourcingvehiclestoacceleratecontractingtimelines.Agencyrapidlyaddressesdisconnectsorobjectionstoreduceprojecttimingimpacts

Mostapprovalprocessesanddocumentsareintegratedanddevelopedwiththeintenttoshortentimebutnotsacrificecompletenessorquality

Allapprovalprocessesanddocumentsareintegratedanddevelopedwiththeintenttoshortentimebutnotsacrificecompletenessorquality

Theagencyestablishesaprocessforprogrammanagerstoengagestakeholders

E1.OngoingCIOengagementwithprogrammanagersCustomersareactivelyinvolvedinupfrontdesignanddevelopmentprocessestoprovidetheinsightandfeedbacktoensurethatITinvestmentsare

CustomersareactivelyinvolvedinthedevelopmentandtestingprocessestoprovidetheinsightandfeedbacktoensurethatITinvestmentsaredeliverycustomervalueandbusinessobjectives

Customersareactivelyinvolvedthrough‐outtheSDLCtodefine,design,andassessmentrequirementsbyprovidinginsightandfeedbacktoensurethatITinvestmentsaredeliverycustomervalueandbusinessobjectives



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Characteristics

incorporatedintotheagency’sstrategicplan

Developmentanduseofarchitecture:Isthereabusinessarchitectureforeachprogram,whichdescribestheoverallprocessofwhatthesystemmustdotosupportthedesiredbusinessormissionoutcomes?IsthisbusinessarchitecturederivedfromtheappropriateportfoliooftheEA?Isthereappropriatefocusondevelopmentofasolidtechnicalarchitecture,especiallyforacomplexsystemwithanumberofsubsystems?AretherepoliciesthatprescribetheuseofsharedITinfrastructure,leverageofexistingcapabilitieswherepossible,anduseofcommercialoff‐the‐

Programsutilizeabusinessarchitecturetodefineinitiativemissionorbusinessoutcomes

Someprogramshaveabusinessarchitecturethatdefinetheoverallmissionorbusinessmissionoutcomes

Mostprogramshaveabusinessarchitecturethatdefinestheoverallmissionorbusinessmissionoutcomes

Allprogramshaveabusinessarchitecturethatdefinestheoverallmissionorbusinessmissionoutcomes

BusinessarchitectureisdefinedandderivedfromtheEA

ThebusinessarchitectureforsomeprogramsisdefinedandderivedfromtheEA

ThebusinessarchitectureformostprogramsisdefinedandderivedfromtheEA,andthereisclarityregardinghowtheprogramfitsintoandmeetsenterpriseandportfoliorequirements

ThebusinessarchitectureforallprogramsisdefinedandderivedfromtheEA,andthereisclarityregardinghowtheprogramfitsintoandmeetsenterpriseandportfoliorequirements.Inaddition,allprogramshaveawell‐definedtechnicalarchitecturethatleveragesacommonplatformorinfrastructure

EAisintegratedwithITgovernance

AnEAprocessexistswithsomeprogramgovernanceintegrationtosupportprogramanalysisandalignmentwithtargetedstateformissionorbusiness

AnEAisintegratedwithgovernance,programoffices,andacquisitionstoestablishanas‐isstateandmoreimportantly,performcompleteanalysistomakedecisionsthatarein

AmatureEAisintegratedwithgovernance,programoffices,andacquisitionstounderstandtheas‐isstateandmoreimportantly,performcompleteanalysistomakedecisionsthatareinalignmentwithtargetedstateformissionor



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Level1Basic



Characteristics


Characteristics

shelfsolutionstothedegreepossible?

alignmentwithtargetedstateformissionorbusinessoutcomes

businessoutcomes

EAcontainssecurityarchitecture

Theagency’sEArecognizestheimportanceofITSecurity,buttherearesignificantgapsinsomeportfoliosandprograms

Theagency’sEArecognizestheimportanceofITSecurity,buttherearestillgapsinsomeportfoliosandprograms

Theagency’sEArecognizestheimportanceofITSecurity,capturinganas‐isstateandalsohasdeterminedato‐bestateforsecurityatanenterprise,portfolio,andprogramlevel

RightTiming:BestpracticeforITprogramsistofieldsmallerandincrementalreleasesoffunctionalitytolowerriskandgetenduserfeedbacktoensuretheprogramisprovidevaluetothecustomer.Aretheagency’sleadership,processes,andcultureenablingprogramstoorapidlytodelivercapabilities?Isdecisionmakingstreamlinedtominimizedelays?

Governanceprocessenablesproperengagementanddecisionmakingtoexpeditedelivery

Theagency'scultureandgovernanceprocessrequiresdecisionmakingattheenterpriselevel,nomattertheprogramsize,complexity,andrisk

Theagency'scultureandgovernanceprocessallowsforsomedelegateddecisionmakingatthelowestlevelpossible,basedonprogramsize,complexity,andrisk

Theagencyhasacultureandgovernanceprocesstodelegatedecisionmakingtothelowestlevelpossible

ThemajorityofITcapabilitiesaredeliveredviasmall,frequentreleasesprovidingiterativefunctionalityandresponsivetochangesinbusiness,technologies,risks,andbudgets

SomeITprojectsaredeliveredviasmall,frequentreleasesprovidingiterativefunctionalityandresponsivetochangesinbusiness,technologies,risks,andbudgets

G1.CIOdefinesITprocessesandpoliciesThemajorityITprojectsandsomeprogramaredeliveredviasmall,frequentreleasesprovidingiterativefunctionalityandresponsivetochangesinbusiness,technologies,risks,andbudgets

ThemajorityofITcapabilitiesaredeliveredviasmall,frequentreleasesprovidingiterativefunctionalityandresponsivetochangesinbusiness,technologies,risks,andbudgets.Inaddition,theagencyisusingacommonplatformorinfrastructureinthedefaultdesigntoenableeaseofintegration,andreduceprogram



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Level1Basic



Characteristics


Characteristics

scope,cost,schedule,andrisk

Programsusewell‐establishedsolutionstoexpeditetimetodelivery

Programsusecommercialoff‐the‐shelfsolutionswhenpossibleandleverageportfoliostrategies,contracts,andarchitecturestoacceleratedeliveries

Inadditiontousingcommercialoff‐the‐shelfsolutionswhenpossible,programsleveragetheuseofexistingagencycomponentsorservices

Programsarerequiredtoleverageexistingservices,componentsandsoftwarestandardstothemaximumdegreepossible

RightInformation:Doprogramteamshavethehavethemeanstoobtaintherightinformationtobeabletomakeproperlyinformeddecisions?Aretherequalitycontrolmechanismstohelp

Theagencyhasthenecessarymechanismsinplacetobaselineandmonitorprogramperformance

Whiletheagencyhasstandardreportingmechanismsinplace,eachprojectindividuallydetermineshowitwillbaselineandwhattoolsitwillusemonitorcost,scheduleandperformance.

Whiletheagencyhasstandardreportingmechanismsinplace,programsdetermineshowtheywillbaselineandwhattoolstheywillusetomonitorcost,scheduleandperformance

Theagencyhasstandardreportingmechanismsinplacethatallprogramsfollowtoestablishabaselineandstandardtoolsettomonitorcost,scheduleandperformance



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Level1Basic



Characteristics


Characteristics

ensuretheinformationiscorrect?Isthereevidence‐baseddecisionmakingthatisproperlyintegratedwiththegovernanceprocess?Istheretransparencyandinformationaccountability?Aremetricsactivelyusedtomeasureeffectivenessofprogramdelivery?

Agencyhasaprocesstoshareinformationandperformanalysisrequiredtosupportprogramdecision‐making

Demonstratedcapabilitytoprovidesomeprograminformationandanalysisrequiredtosupportinformeddecision‐makingusingreliableunderlyingdata

Demonstratedcapabilitytoprovidemostprograminformationandanalysisrequiredtosupportinformeddecision‐makingusingreliableunderlyingdata

Demonstratedcapabilitytoprovideallprograminformationandanalysisrequiredtosupportinformeddecision‐makingusingreliableunderlyingdata

Agencyhasastandardmethodforreportingonprogramstatus,risks,issues,andrecommendations

Programstaffprovidebasicreportingonprogramstatus,risks,issues,andrecommendations

Programstaffprovideconsistentandcompletereportingonprogramstatus,risks,issues,andrecommendations

Programstaffprovideconsistentandcompletereportingonprogramstatus,risks,issues,andrecommendationsviadashboardsbecausestandardsandtoolsforreportingarefullydefinedandimplemented

Agencyhasmetricsanddashboardsinplacetotrackprogramsandmakeimprovements

G1.CIOdefinesITprocessesandpoliciesTheagencyhassomeprogramexecutionprocessmetricsthataretrackedandusedtomakeimprovementswithresultspostedtoFederalITDashboard.

Programoutcomeandeffectivenesstrackingispartofagencyprocesswithdataaccuratelyreflectingthetruestatusoftheprograms.Someprogramexecutionprocessmetricsaretrackedandusedtomakeimprovements

Allprogramexecutionprocessmetricsaretrackedandusedtomakeimprovements.Dashboardsproviderealtimeviewofportfolio,program,andacquisitionstatus,allowfordrill‐downsforspecifics,andaretailorsforspecificstakeholderneeds

RiskManagement(whileaspecificmanagementdiscipline,riskmanagementisso

Agencyusesriskmanagementasastandardmechanismforassessing

Agencyhasacomprehensiveriskmanagementprocessinplaceforusebyprojectsand

Agencyhasacomprehensiveandwelldocumentedriskmanagementprocessin

Agencyensuresallprogramsareusingtheriskmanagementprocessandvalidatesprogramshaveproperlyimplementedandare



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Level1Basic



Characteristics


Characteristics

criticaltoprogramsuccessthatisrecognizedasanattributeforassessingprogrammanagementmaturity):Doestheagencyhaveacomprehensiveprogramriskmanagementapproach,toincluderiskidentificationandimpactassessment,riskprioritizationanalysis,riskmitigation,andriskreporting?Isthereproperescalationprocessesinplacetoaddressrisks?DoestheagencyhavetheprocessesinplacetoensurethataTechStatistriggeredwhenanagencydeterminesthataprojectishighrisk?

probabilityofprogramdelivery

programs,asappropriate

placeforprograms,withrisksandtheirrelationships,impacts,anddependenciesassessedbytheprogramteamandgovernancestructure,asappropriate

executingriskmanagement

TheagencyhasestablishedprocessestoensurethataTechStatistriggeredwhenanagencydeterminesthataprojectishighrisk

TechStatsaresometimesconductedforhigh‐riskprograms

J1.CIOroleinrecommendingmodification,terminationorpauseofITprojects.TechStatsareroutinelyconductedforhigh‐riskprograms

AgencyTechStatsareroutinelyusessothatprogramsdonotbecomehigh‐risk

Risksareintegratedintoprogramdecision‐making

Risksareclearlyunderstoodbyseniorprogramstaff.Decision‐makingfocusesonrisksproactively.Prioritizationisbasedonabalancedsetoffactors,includingprobability,degreeofimpact,pasthistoryandinterdependencies

Risksareclearlyunderstoodatalllevelsofstaffandcontractorsonaprogramanditsconstituentprojects.Decision‐makingfocusesonproactivemanagementofrisks.Prioritizationisbasedonabalancedsetoffactors,includingprobability,degreeofimpact,pasthistoryandinterdependencies

Risksareclearlyunderstoodatalllevelsofstaffandcontractorsonaprogramanditsconstituentprojects.Decision‐makingfocusesonproactivemanagementofrisks.Prioritizationisbasedabalancedsetoffactors,includingprobability,degreeofimpact,pasthistoryandinterdependencies



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Level1Basic



Characteristics


Characteristics

InformationSecurity(IS)(whileaspecifictechnologyareaandsetofrequirementsforaprogram,informationsecurityissocriticalthatisrecognizedasanattributeforassessingprogrammanagementmaturity):Doprogramsproperlyrecognizeandincorporateinformationsecurityrequirements?Doestheagencyhaveproactivemeansinplacetokeepinformationsecuritypoliciesandapproachescurrent?Doestheagencymeasureeffectivenessofinformationsecurityoutcomesbyactivelycollectingmetrics?Doestheagencyusemetricstoimproveprogramsandacquisitionprocesses?

TheagencyhasintegratedISintoITprograms

TheagencyhasincludedISupfrontinsomeprograms,leveragingCIOEAandstandards

TheagencyhasincludedISupfrontinmostprograms,leveragingCIOEAandstandards

TheagencyhasfullyintegratedISinallprograms,leveragingCIOEAandstandards

ISrequirementsareintegratedintothesystemdevelopmentlifecycle

Securitydefectsarefoundandaddressedduringfinaltestingofprogram.Programimplementationsdelayedduetominimalsecurityrequirementsdefinedearly,delayingabilitytoobtainAuthoritytoOperate

Mostsecuritydefectsarefoundduringdevelopment.Post‐productiondefectsarereduced.ProgramimplementationscompletessecurityrequirementstoobtainAuthoritytoOperate

Securityisincorporatedthroughoutthesystemdevelopmentlifecycletoeliminatethemajorityofpost‐productiondefects

TheagencyincludesISandsupplychainlogisticsrequirementsinITprocurements

TheagencyincludesISrequirementsinITprocurements

TheagencyincludesISandsupplychainlogisticsrequirementsinITprocurements

TheagencyincludesISandsupplychainlogisticsrequirementsinITprocurementsandthereisacontinualprocesstoassessandimproveISrequirementsforITprocurements

TheagencyhasanapproachtoensureITsecuritypoliciesandapproachesforprogramsandacquisitionsarekeptcurrent

ThereissomeITsecurityprocessmetrictrackingandthereisareviewprocesstoleverageleadingITsecuritypractices

ThereisITsecurityprocessmetrictrackingandthereisareviewprocesstoleverageleadingITsecuritypractices

ITsecurityprocessmetricsaretrackedandthereisaprocesstoreviewandleverageleadingITsecuritypracticestobeusedtomakeimprovementstotheAgency’sITsecuritypolicies,approachesandITprogramsandacquisitions



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Level1Basic



Characteristics


Characteristics

MetricsareusedtomeasureeffectivenessofITsecurityoutcomesandimproveacquisitionprocesses

ITsecurityandsupplychainriskmanagementmeasuresaredefinedbutcollectionanduseofmeasuresvariesbyprogramandacquisitions

TheagencyhasinitiatedintegrationofISandsupplychainriskmanagementmeasuresandanalysisintoprogramstrategiesandacquisitionsfordevelopment,implementation,operationsandprocurements

TheagencyhasfullyintegratedISandsupplychainriskmanagementmeasuresandanalysisintoprogramstrategiesandacquisitionsfordevelopment,implementation,operationsandprocurements

Documents

IT Management Maturity Model - ACT-IAC