+-----------------+-----------------+-----------------+-----------------+
| *               | **Policies and  | **Human         | **Knowledge and |
| *Organizational | Processes**     | Capital**       | Information     |
| Alignment and   |                 |                 | Management**    |
| Leadership**    |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 1.  Aligning    | 3.  Planning    | 6.  Valuing and | 10. Identifying |
|     Acquisition |                 |     Investing   |     Data and    |
|     with        |   Strategically |     in the      |     Technology  |
|     Bureau's/   |                 |     Acquisition |     that        |
|     Region's    | 4.  Effectively |     Workforce   |     Support     |
|     Missions    |     Managing    |                 |     Acquisition |
|     and Needs   |     the         | 7.  Strategic   |     Management  |
|                 |     Acquisition |     Human       |     Decisions   |
| 2.  Commitment  |     Process     |     Capital     |                 |
|     from        |                 |     Planning    | 1               |
|     Leadership  | 5.  Promoting   |                 | 1. Safeguarding |
|                 |     Successful  | 8.  Acquiring,  |     the         |
|                 |     Outcomes of |     Developing, |     Integrity   |
|                 |     Major       |     and         |     of          |
|                 |     Projects    |     Retaining   |     Operations  |
|                 |                 |     Talent      |     and Data    |
|                 |                 |                 |                 |
|                 |                 | 9.  Creating    |                 |
|                 |                 |     R           |                 |
|                 |                 | esults-Oriented |                 |
|                 |                 |                 |                 |
|                 |                 |  Organizational |                 |
|                 |                 |     Cultures    |                 |
+-----------------+-----------------+-----------------+-----------------+
| A.  Assuring    | A.  Partnering  | A.  Commitment  | A.  Tracking    |
|     Appropriate |     with        |     to Human    |     Acquisition |
|     Placement   |     Internal    |     Capital     |     Data;       |
|     of the      |                 |     Management  |     Translating |
|     Acquisition |   Organizations |                 |     Financial   |
|     Function    |                 |                 |     Data into   |
|                 | B.  Assessing   |                 |     Meaningful  |
| B.  Organizing  |     Internal    |                 |     Formats;    |
|     the         |                 |                 |     and         |
|     Acquisition |    Requirements |                 |     Analyzing   |
|     Function to |     and the     |                 |     Goods and   |
|     Operate     |     Impact of   |                 |     Services    |
|                 |     External    |                 |     Spending    |
|   Strategically |     Events      |                 |                 |
|                 |                 |                 |                 |
| C.  Clearly     |                 |                 |                 |
|     Defining    |                 |                 |                 |
|     and         |                 |                 |                 |
|     Integrating |                 |                 |                 |
|     Roles and   |                 |                 |                 |
|     R           |                 |                 |                 |
| esponsibilities |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 |                 | A.  Integration |                 |
|                 |                 |     and         |                 |
|                 |                 |     Alignment   |                 |
|                 |                 |                 |                 |
|                 |                 | B.  Data-Driven |                 |
|                 |                 |     Human       |                 |
|                 |                 |     Capital     |                 |
|                 |                 |     Decisions   |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 | A.  Empowering  |                 | A.  Ensuring    |
|                 |     C           |                 |     Effective   |
|                 | ross-Functional |                 |     General and |
|                 |     Teams       |                 |     Application |
|                 |                 |                 |     Controls,   |
|                 | B.  Managing    |                 |     and Data    |
|                 |     and         |                 |     Stewardship |
|                 |     Engaging    |                 |                 |
|                 |     Suppliers   |                 |                 |
|                 |                 |                 |                 |
|                 | C.  Monitoring  |                 |                 |
|                 |     and         |                 |                 |
|                 |     Providing   |                 |                 |
|                 |     Oversight   |                 |                 |
|                 |     to Achieve  |                 |                 |
|                 |     Desired     |                 |                 |
|                 |     Outcomes    |                 |                 |
|                 |                 |                 |                 |
|                 | D.  Enabling    |                 |                 |
|                 |     Financial   |                 |                 |
|                 |                 |                 |                 |
|                 |  Accountability |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 |                 | A.  Targeted    |                 |
|                 |                 |     Investments |                 |
|                 |                 |     in People   |                 |
+-----------------+-----------------+-----------------+-----------------+
| A.  Clear,      |                 |                 |                 |
|     Strong, and |                 |                 |                 |
|     Ethical     |                 |                 |                 |
|     Executive   |                 |                 |                 |
|     Leadership  |                 |                 |                 |
|                 |                 |                 |                 |
| B.  Effective   |                 |                 |                 |
|                 |                 |                 |                 |
|  Communications |                 |                 |                 |
|     and         |                 |                 |                 |
|     Continuous  |                 |                 |                 |
|     Improvement |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 |                 | A.  Empowerment |                 |
|                 |                 |     and         |                 |
|                 |                 |                 |                 |
|                 |                 |   Inclusiveness |                 |
|                 |                 |                 |                 |
|                 |                 | B.  Unit and    |                 |
|                 |                 |     Individual  |                 |
|                 |                 |     Performance |                 |
|                 |                 |     Linked to   |                 |
|                 |                 |                 |                 |
|                 |                 |  Organizational |                 |
|                 |                 |     Goals       |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 | A.  Using Sound |                 |                 |
|                 |     Capital     |                 |                 |
|                 |     Investment  |                 |                 |
|                 |     Strategies  |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| > []{.mark}     | > []{.mark}     | > []{.mark}     | > []{.mark}     |
| >               | >               | >               | >               |
| > []{.mark}     | > []{.mark}     | > []{.mark}     | > []{.mark}     |
|                 |                 |                 |                 |
|                 |                 |                 | []{.mark}       |
+-----------------+-----------------+-----------------+-----------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+======================+=======================+======================+
| **Organizational     | -   The acquisition   | -   Disconnects      |
| Alignment and        |     function has been |     exist between    |
| Leadership**         |     assigned the      |     where the        |
|                      |     appropriate       |     acquisition      |
| 1.  Aligning         |     degree of         |     function is      |
|     Acquisition with |     responsibility    |     placed in the    |
|     Bureau's/        |     and authority for |     region's         |
|     Region's         |     strategic         |     hierarchy and    |
|     Missions and     |     planning,         |     its actual role  |
|     Needs            |     management, and   |     in achieving the |
|                      |     oversight of the  |     bureau's         |
| ```{=html}           |     region's          |     missions or      |
| <!-- -->             |     purchases of      |     supporting its   |
| ```                  |     goods and         |     operations.      |
| A.  **[Assuring      |     services, and     |                      |
|     Appropriate      |     this              | -   Lack of          |
|     Placement of the |     responsibility is |     coordination     |
|     Acquisition      |     consistent with   |     across the       |
|     Fun              |     the significance  |     region's         |
| ction]{.underline}** |     of acquisition to |     contracting      |
|                      |     the bureau's and  |     activity results |
| Assess whether the   |     region's mission. |     in redundancy,   |
| current placement of |                       |     inconsistency,   |
| the acquisition      | -   Regional          |     and an inability |
| function meets the   |     management views  |     to leverage      |
| organization's       |     the acquisition   |     resources to     |
| needs, vis-à-vis     |     function as a     |     meet common or   |
| acquiring needed     |     strategic asset   |     shared           |
| goods and services,  |     in support of     |     requirements.    |
| supporting strategic |     core mission and  |                      |
| decision making, and |     business          | -   The acquisition  |
| ultimately           |     processes.        |     function is      |
| contributing to the  |                       |     viewed merely as |
| region's and         | -   Regional          |     an               |
| bureau's overall     |     management and    |     administrative   |
| business             |     staff view the    |     support function |
| performance.         |     acquisition       |     rather than as a |
| Consider: Is the     |     function as a     |     business         |
| acquisition function |     business partner  |     partner.         |
| fragmented? Is it in |     rather than a     |                      |
| a position where it  |     support function. |                      |
| can plan and provide |                       |                      |
| strategic support to | -   Acquisition of    |                      |
| the bureau/region?   |     goods and         |                      |
| Is it seen (and      |     services is       |                      |
| used) as an          |     viewed from a     |                      |
| administrative       |     bureau and/or     |                      |
| support function     |     agency-wide       |                      |
| rather than a        |     perspective.      |                      |
| business partner in  |     Acquisition is    |                      |
| supporting mission   |     planned from a    |                      |
| needs?               |     corporate         |                      |
|                      |     perspective       |                      |
|                      |     rather than on a  |                      |
|                      |     trans             |                      |
|                      | action-by-transaction |                      |
|                      |     basis.            |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Organizational     | -   The acquisition   | -   Regional         |
| Alignment and        |     function's        |     leadership lacks |
| Leadership**         |     mission is        |     a clear          |
|                      |     well-defined and  |     definition or    |
| 1.  Aligning         |     its goals and     |     understanding of |
|     Acquisition with |     strategies are    |     the acquisition  |
|     Bureau's/        |     consistent with   |     function's       |
|     Region's         |     and support the   |     mission, goals,  |
|     Missions and     |     bureau's overall  |     or strategies,   |
|     Needs            |     mission.          |     and/or its       |
|                      |                       |     potential as a   |
| ```{=html}           | -   The current       |     business         |
| <!-- -->             |     structure of the  |     partner.         |
| ```                  |     acquisition       |                      |
| B.  **[Organizing    |     function has been | -   The bureau       |
|     the Acquisition  |     assessed and      |     and/or region    |
|     Function to      |     appropriate       |     has not assessed |
|     Operate          |     changes made in   |     or made changes  |
|     Strategi         |     response to       |     to the role of   |
| cally]{.underline}** |     changes, such as  |     the acquisition  |
|                      |     in the missions,  |     function in      |
| How a region         |     operating         |     response to      |
| organizes and        |     environment,      |     significant      |
| manages its          |     budget,           |     changes. There   |
| acquisition function |     workforce, or     |     is no            |
| affects its ability  |     technology.       |     "continuous      |
| to operate           |                       |     review" or trend |
| strategically.       | -   Outcome-oriented  |     analysis to      |
| Fragmented business  |     performance       |     ensure           |
| units tend to reduce |     measures are used |     effectiveness    |
| the quality and      |     to assess the     |     and efficiency   |
| consistency of       |     success of the    |     of service       |
| overall bureau or    |     acquisition       |     delivery.        |
| corporate support.   |     function.         |                      |
| Consider: Does the   |                       | -   Performance      |
| region make          |                       |     measures are not |
| appropriate use of   |                       |     used to evaluate |
| technology and to    |                       |     the usefulness   |
| reduce               |                       |     of the           |
| fragmentation? Is    |                       |     acquisition      |
| the number of        |                       |     function to      |
| contracting          |                       |     support regional |
| officer's            |                       |     and bureau-wide  |
| appointments in the  |                       |     mission.         |
| region appropriate?  |                       |                      |
| Does support to      |                       |                      |
| field units overly   |                       |                      |
| extend the regional  |                       |                      |
| office staff's       |                       |                      |
| workload?            |                       |                      |
|                      |                       |                      |
| Could goods and      |                       |                      |
| services be acquired |                       |                      |
| more efficiently     |                       |                      |
| through a more       |                       |                      |
| strategic or         |                       |                      |
| corporate approach?  |                       |                      |
| Are                  |                       |                      |
| acquisition-related  |                       |                      |
| performance plans    |                       |                      |
| and metrics          |                       |                      |
| established,         |                       |                      |
| understood, and      |                       |                      |
| realized in a        |                       |                      |
| consistent manner    |                       |                      |
| within the region?   |                       |                      |
| Have there been      |                       |                      |
| recent changes       |                       |                      |
| within the bureau    |                       |                      |
| affecting the        |                       |                      |
| region's acquisition |                       |                      |
| function, e.g., new  |                       |                      |
| requirements,        |                       |                      |
| budget, workforce,   |                       |                      |
| technology? Does the |                       |                      |
| acquisition staff    |                       |                      |
| see itself as an     |                       |                      |
| active contributor   |                       |                      |
| to regional and      |                       |                      |
| bureau mission       |                       |                      |
| support?             |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Organizational     | -   Each stakeholder  | -   The acquisition  |
| Alignment and        |     in the            |     function's role  |
| Leadership**         |     acquisition       |     is unclear.      |
|                      |     process has       |                      |
| 1.  Aligning         |     clearly defined   | -   Acquisition and  |
|     Acquisition with |     roles and         |     other            |
|     Bureau's/        |     responsibilities. |     bureau/regional  |
|     Region's         |                       |     offices do not   |
|     Missions and     | -   There is a shared |     clearly          |
|     Needs            |     understanding of  |     communicate and  |
|                      |     each              |     cooperate.       |
| ```{=html}           |     participant's     |                      |
| <!-- -->             |     role in           | -   There is little  |
| ```                  |     acquisition       |     integration of   |
| C.  **[Clearly       |     activities.       |     acquisition      |
|     Defining and     |                       |     planning among   |
|     Integrating      | -   Acquisition       |     the different    |
|     Roles and        |     managers support  |     regional         |
|     Responsibil      |     the               |     entities with a  |
| ities]{.underline}** |     bureau's/regions  |     role in          |
|                      |                       |     acquisitions.    |
| Agency management at |    strategic-planning |                      |
| each level of the    |     and               | -   Conflicts among  |
| organization is      |     decision-making   |     stakeholders are |
| responsible for      |     needs.            |     left unresolved, |
| development of an    |                       |     thereby          |
| environment that     |                       |     resulting in     |
| encourages the       |                       |     inefficient      |
| establishment of     |                       |     operations.      |
| interaction and      |                       |                      |
| effective            |                       | -   The acquisition  |
| communication among  |                       |     office is        |
| disciplines.         |                       |     frequently       |
| Consider: Are there  |                       |     bypassed.        |
| organizational       |                       |                      |
| "stovepipes" within  |                       |                      |
| the region and/or    |                       |                      |
| within its           |                       |                      |
| acquisition function |                       |                      |
| that inhibit         |                       |                      |
| effective            |                       |                      |
| coordination with    |                       |                      |
| customers/           |                       |                      |
| stakeholders? Does   |                       |                      |
| the acquisition      |                       |                      |
| function clearly     |                       |                      |
| understand and       |                       |                      |
| articulate its role  |                       |                      |
| and potential in     |                       |                      |
| supporting mission   |                       |                      |
| critical functions   |                       |                      |
| to management,       |                       |                      |
| program offices, and |                       |                      |
| peers in finance,    |                       |                      |
| human capital, IT,   |                       |                      |
| and other            |                       |                      |
| disciplines? Are the |                       |                      |
| acquisition          |                       |                      |
| function's roles and |                       |                      |
| responsibilities     |                       |                      |
| clear and understood |                       |                      |
| by its               |                       |                      |
| cus                  |                       |                      |
| tomers/stakeholders, |                       |                      |
| e.g., contracting    |                       |                      |
| officer's role in    |                       |                      |
| selecting the proper |                       |                      |
| contractual          |                       |                      |
| instrument and       |                       |                      |
| procurement          |                       |                      |
| approach? How active |                       |                      |
| is the acquisition   |                       |                      |
| function in advance  |                       |                      |
| planning of regional |                       |                      |
| requirements?        |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Organizational     | -   Senior regional   | -   Senior regional  |
| Alignment and        |     leadership        |     leadership has   |
| Leadership**         |     provides          |     not defined a    |
|                      |     direction and     |     common direction |
| 2.  Commitment from  |     vision,           |     or vision for    |
|     Leadership       |     facilitates the   |     the acquisition  |
|                      |     development of    |     function.        |
| ```{=html}           |     common processes  |                      |
| <!-- -->             |     and approaches,   | -   Senior regional  |
| ```                  |     and is involved   |     leadership does  |
| A.  **[Clear,        |     in identifying    |     not continually  |
|     Strong, and      |     and assessing     |     support efforts  |
|     Ethical          |     risks associated  |     to develop       |
|     Executive        |     with meeting      |     common processes |
|     Leade            |     acquisition       |     and approaches.  |
| rship]{.underline}** |     objectives.       |                      |
|                      |                       | -   Senior regional  |
| Assess the           | -   Senior regional   |     leadership has   |
| acquisition          |     leadership        |     not              |
| function's direct    |     promotes a        |     comprehensively  |
| support from, and    |     strategic,        |     identified and   |
| access to regional   |     integrated, and   |     mitigated risks, |
| leadership in        |                       |     e.g., through    |
| mitigating risk and  |  regional/bureau-wide |     establishment    |
| promoting            |     approach to       |     and monitoring   |
| acquisition's role   |     acquisition.      |     of internal      |
| as a strategic       |                       |     controls.        |
| business resource in | -   Senior leadership |                      |
| accomplishing        |     and management    | -   Regional         |
| mission              |     set a positive    |     personnel do not |
| requirements.        |     and supportive    |     understand the   |
| Consider: Is the     |     attitude toward   |     importance of    |
| acquisition          |     internal control. |     developing and   |
| function's expertise |                       |     implementing     |
| fragmented through   | -   Senior leadership |     good internal    |
| assignments and      |     and management    |     controls.        |
| responsibilities in  |     support           |                      |
| a variety of         |     monitoring to     |                      |
| non-related areas?   |     assess the        |                      |
| Does regional        |     quality of        |                      |
| management set a     |     internal control  |                      |
| tone that recognizes |     performance and   |                      |
| the unique           |     to ensure that    |                      |
| contributions that   |     issues are        |                      |
| the acquisition      |     promptly          |                      |
| function can make to |     resolved.         |                      |
| regional decision    |                       |                      |
| making? Are          |                       |                      |
| assignments and      |                       |                      |
| duties properly      |                       |                      |
| separated? (The      |                       |                      |
| collateral duty      |                       |                      |
| environment may lend |                       |                      |
| itself to a higher   |                       |                      |
| degree of risk       |                       |                      |
| because clear lines  |                       |                      |
| of                   |                       |                      |
| respo                |                       |                      |
| nsibility/separation |                       |                      |
| of functions are     |                       |                      |
| obscured.) Does      |                       |                      |
| regional management  |                       |                      |
| support bureau-wide  |                       |                      |
| acquisition          |                       |                      |
| initiatives? Does    |                       |                      |
| regional management  |                       |                      |
| have a positive and  |                       |                      |
| supportive attitude  |                       |                      |
| towards internal     |                       |                      |
| controls to identify |                       |                      |
| and mitigate risk?   |                       |                      |
| Are field level      |                       |                      |
| acquisition          |                       |                      |
| activities reviewed  |                       |                      |
| in accordance with   |                       |                      |
| Departmental policy? |                       |                      |
| Are corrective       |                       |                      |
| action plans for     |                       |                      |
| field-level          |                       |                      |
| activities           |                       |                      |
| developed,           |                       |                      |
| implemented, and     |                       |                      |
| monitored?           |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Organizational     | -   Metrics used by   | -   There is         |
| Alignment and        |     leadership are    |     inadequate       |
| Leadership**         |     targeted at       |     communication    |
|                      |     demonstrating the |     from regional    |
| 2.  Commitment from  |     impact and value  |     leadership       |
|     Leadership       |     of the            |     regarding the    |
|                      |     acquisition       |     effectiveness of |
| ```{=html}           |     function and      |     the acquisition  |
| <!-- -->             |     provide useful    |     function and how |
| ```                  |     feedback to       |     it supports the  |
| B.  **[Effective     |     identify areas    |                      |
|     Communications   |     for improvement.  |    bureau's/region's |
|     and Continuous   |                       |     missions.        |
|     Improv           | -   Management        |                      |
| ement]{.underline}** |     expectations for  | -   There is no      |
|                      |     acquisition are   |     mechanism in     |
| Management needs to  |     clearly and       |     place for        |
| effectively          |     periodically      |     stakeholders to  |
| communicate to       |     communicated      |     provide          |
| employees the        |     within the        |     suggestions for  |
| bureau's/region's    |     region.           |     improvements to  |
| missions, values and |                       |     the acquisition  |
| expectations for the | -   Processes are in  |     process.         |
| acquisition          |     place to          |                      |
| function. Consider:  |     continuously      | -   Little change is |
| Are meaningful       |     gather            |     made to          |
| metrics used to      |     stakeholder       |     acquisition      |
| measure the          |     feedback          |     processes based  |
| effectiveness of the |     regarding the     |     on the needs and |
| regional acquisition |     effectiveness of  |     concerns         |
| function (including  |     the acquisition   |     expressed by     |
| field level          |     process and       |     affected         |
| activities) and to   |     identify areas    |     parties.         |
| provide the          |     needing           |                      |
| foundation for       |     improvement.      | -   Internal control |
| continuous           |                       |     monitoring       |
| improvement? Does    | -   Control           |     (e.g., peer      |
| management           |     activities are an |     review,          |
| communicate its      |     integral part of  |     checklists,      |
| expectations for the |     the               |     acquisition      |
| acquisition          |     bureau's/regions  |     management       |
| function? Does       |     planning,         |     reviews) does    |
| regional leadership  |     implementation,   |     not occur in the |
| facilitate and       |     review, and       |     course of normal |
| support clear lines  |     accountability    |     operations, is   |
| of communication     |     activities to     |     not performed    |
| among all parties?   |     ensure results    |     continually, and |
| Have regional        |     and proper        |     is not ingrained |
| personnel been asked |     stewardship of    |     in the region's  |
| for their views on   |     assets.           |     operations.      |
| the effectiveness of |                       |                      |
| this communication?  | -   Control           | -   The region has   |
| Have stakeholders    |     activities are    |     inadequate       |
| been asked for their |     continuously      |     policies,        |
| views on the         |     monitored for     |     procedures,      |
| effectiveness of the |     their             |     techniques, and  |
| existing acquisition |     effectiveness at  |     mechanisms in    |
| process and areas    |     ensuring          |     place to ensure  |
| needing improvement? |     acquisition       |     effective        |
| Are control          |     objectives are    |     implementation   |
| activities (i.e.,    |     met.              |     of agency and    |
| the policies,        |                       |     bureau           |
| procedures and       |                       |     management       |
| mechanisms in place  |                       |     directives.      |
| to address or        |                       |                      |
| mitigate risk and    |                       | -   The region has   |
| help ensure internal |                       |     not implemented  |
| control objectives   |                       |     a program to     |
| are met ) an         |                       |     continuously     |
| integral part of the |                       |     measure and      |
| bureau's/region's    |                       |     assess the       |
| planning,            |                       |     acquisition      |
| implementation,      |                       |     function's       |
| review, and          |                       |     performance in   |
| accountability       |                       |     supporting       |
| activities to ensure |                       |     bureau/regional  |
| results and proper   |                       |     missions or      |
| stewardship of       |                       |     achieving        |
| government           |                       |     acquisition      |
| resources? Does the  |                       |     goals.           |
| bureau and/or region |                       |                      |
| continuously monitor |                       | -   Performance      |
| control activities   |                       |     measures are in  |
| for their            |                       |     place but are    |
| effectiveness at     |                       |     not consistently |
| ensuring acquisition |                       |     utilized or      |
| objectives are met?  |                       |     communicated.    |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   Acquisition       | -   There is no      |
| Processes**          |     planning and      |     active and       |
|                      |     strategy          |     ongoing          |
| 3.  Planning         |     development       |     involvement      |
|     Strategically    |     support the       |     between          |
|                      |     bureau/region's   |     acquisition and  |
| ```{=html}           |     missions rather   |     stakeholders.    |
| <!-- -->             |     than focus on the |                      |
| ```                  |     needs of          | -   There is little  |
| A.  **[Partnering    |     individual        |     evidence of      |
|     with Internal    |                       |     advance          |
|     Organiza         |   units/transactions. |     acquisition      |
| tions]{.underline}** |                       |     planning.        |
|                      | -   Stakeholders work |                      |
| Federal Acquisition  |     on an ongoing     | -   Stakeholders do  |
| Regulation (FAR)     |     basis to define   |     not clearly      |
| Subpart 7.102        |     key business and  |     communicate      |
| requires agencies to |     acquisition       |     their needs or   |
| perform acquisition  |     drivers to        |     work together to |
| planning and conduct |     understand each   |     identify         |
| market research for  |     other's needs.    |     solutions.       |
| all acquisitions in  |                       |                      |
| order to promote and | -   The bureau/region | -   Lack of          |
| provide for: (1)     |     has structures in |     integration      |
| acquisition of       |     place that        |     across the       |
| commercial items to  |     require           |     acquisition      |
| the extent suitable; |     appropriate       |     function results |
| and (2) full and     |     coordination      |     in redundancy,   |
| open competition to  |     among             |     inconsistency,   |
| the maximum extent   |     stakeholders      |     and an inability |
| practicable. Section |     developing and    |     to leverage      |
| 7.102(b) states      |     implementing      |     resources to     |
| that: This planning  |     acquisition       |     meet shared      |
| shall integrate the  |     strategies.       |     requirements.    |
| efforts of all       |                       |                      |
| personnel            | -   Management        | -   Acquisition and  |
| responsible for      |     encourages and    |     financial        |
| significant aspects  |     supports          |     management       |
| of the acquisition.  |     appropriate and   |     officials do not |
| The purpose of this  |     timely            |     partner to       |
| planning is to       |     coordination      |     develop a shared |
| ensure that the      |     among             |     vision.          |
| Government meets its |     stakeholders in   |                      |
| needs in the most    |     acquisition       |                      |
| effective,           |     planning.         |                      |
| economical, and      |                       |                      |
| timely manner. In    |                       |                      |
| this section you     |                       |                      |
| assess the strength  |                       |                      |
| of the acquisition   |                       |                      |
| function's           |                       |                      |
| engagement with      |                       |                      |
| stakeholders from    |                       |                      |
| various disciplines, |                       |                      |
| e.g., finance,       |                       |                      |
| legal, program       |                       |                      |
| offices, and other   |                       |                      |
| appropriate          |                       |                      |
| participants in      |                       |                      |
| identifying needs    |                       |                      |
| and planning         |                       |                      |
| acquisitions in a    |                       |                      |
| timely manner that   |                       |                      |
| allows for           |                       |                      |
| appropriate          |                       |                      |
| competition and the  |                       |                      |
| acquisition of       |                       |                      |
| commercial           |                       |                      |
| solutions. Are roles |                       |                      |
| and responsibilities |                       |                      |
| defined clearly?     |                       |                      |
| Does the acquisition |                       |                      |
| community provide    |                       |                      |
| well informed        |                       |                      |
| business guidance to |                       |                      |
| project managers? Is |                       |                      |
| acquisition          |                       |                      |
| concentrating on     |                       |                      |
| individual and       |                       |                      |
| possibly redundant   |                       |                      |
| transactions rather  |                       |                      |
| than taking a        |                       |                      |
| strategic approach   |                       |                      |
| to identifying       |                       |                      |
| repetitive           |                       |                      |
| requirements and     |                       |                      |
| leveraging buying    |                       |                      |
| power?               |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   Adequate and      | -   There is little  |
| Processes**          |     relevant data are |     evidence of      |
|                      |     available and     |     strategic and    |
| 3.  Planning         |     used to make      |     advance          |
|     Strategically    |     strategic         |     acquisition      |
|                      |     acquisition plans |     planning.        |
| ```{=html}           |     and decisions.    |     Acquisition      |
| <!-- -->             |                       |     planning is      |
| ```                  | -   The acquisition   |     completed on a   |
| B.  **[Assessing     |     function          |                      |
|     Internal         |     considers         | contract-by-contract |
|     Requirements and |     recurring         |     basis rather     |
|     the Impact of    |     purchases and     |     than with        |
|     External         |     develops or       |     consideration of |
|     E                |     participates in   |                      |
| vents]{.underline}** |                       |  bureauwide/regional |
|                      | bureau/departmentwide |     needs.           |
| Successful           |     acquisition plans |                      |
| acquisition          |     that best         | -   Data is not      |
| strategies require   |     leverage these    |     periodically     |
| sufficient attention |     acquisitions.     |     monitored or     |
| to analyzing         |                       |     analyzed for     |
| agency               | -   The region        |     acquisition      |
| /bureauwide/regional |     identifies        |     planning and     |
| needs. Past          |     opportunities for |     decision making. |
| acquisitions should  |     small and         |                      |
| be reviewed to       |     disadvantaged     | -   Frequent         |
| identify trends and  |     businesses and    |     emergency or     |
| opportunities for    |     consistently      |     sole-source      |
| consolidating        |     achieves          |     purchases are    |
| similar acquisitions |     socioeconomic     |     made to meet     |
| planned in the       |     goals.            |     routine or       |
| coming year to       |                       |     recurring needs. |
| leverage buying      | -   Acquisition plans |                      |
| power and reduce     |     are current and   | -   Function fails   |
| administrative       |     reflect           |     to achieve       |
| burdens. Acquisition |     anticipated       |     socioeconomic    |
| planning should take |     budgetary         |     goals.           |
| into consideration   |     resources.        |                      |
| the effects of the   |                       | -   The function is  |
| appropriations       | -   There is an       |     ill-equipped to  |
| process on the       |     awareness of      |     purchase goods   |
| timing and execution |     current and       |     and services     |
| of major contracts.  |     pending           |     needed to        |
| Additionally,        |     legislation,      |     respond to       |
| contracting          |     policy, and plans |     emergency        |
| personnel must be    |     and their         |     situations.      |
| aware of             |     potential         |                      |
| agency/bureau        |     implications on   |                      |
| strategic plans,     |     the acquisition   |                      |
| congressional        |     function.         |                      |
| mandates,            |                       |                      |
| socioeconomic policy | -   The acquisition   |                      |
| objectives, and      |     function has      |                      |
| other factors.       |     assessed and      |                      |
| Acquisition          |     incorporated      |                      |
| processes should     |     changes, as       |                      |
| also be sufficiently |     appropriate, to   |                      |
| flexible to address  |     enable its        |                      |
| unforeseen external  |     acquisition       |                      |
| events and           |     processes to      |                      |
| emergencies, e.g.,   |     better respond to |                      |
| fires, hurricanes,   |     unforeseen        |                      |
| etc. In this         |     external events   |                      |
| section, you assess  |     and emergencies.  |                      |
| the acquisition      |                       |                      |
| function's success   |                       |                      |
| in monitoring and    |                       |                      |
| effectively using    |                       |                      |
| transaction data,    |                       |                      |
| strategic planning,  |                       |                      |
| and awareness of     |                       |                      |
| external factors and |                       |                      |
| requirements and the |                       |                      |
| ability to work with |                       |                      |
| them.                |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   The function uses | -   The function     |
| Processes**          |     cross-functional  |     makes limited    |
|                      |     teams to plan for |     use of           |
| 4.  Effectively      |     and manage        |     cross-functional |
|     Managing the     |     projects. These   |     teams.           |
|     Acquisition      |     teams develop a   |                      |
|     Process          |     project plan to   | -   The acquisition  |
|                      |     implement         |     function does    |
| ```{=html}           |     projects          |     not effectively  |
| <!-- -->             |     effectively.      |     participate as a |
| ```                  |                       |     member of        |
| A.  **[Empowering    | -   Project           |     Integrated       |
|     Cross-Functional |     performance is    |     Project Teams,   |
|                      |     systematically    |     or feel          |
| Teams]{.underline}** |     monitored, and    |     empowered to     |
|                      |     controls and      |     contribute to    |
| Assess the           |     incentives are    |     project team     |
| function's use of    |     established for   |     decisions.       |
| cross-functional     |     accountability,   |                      |
| teams with the right |     e.g., Earned      | -   Contracting      |
| mix of knowledge,    |     Value Management. |     Officers         |
| technical expertise, |                       |     Representatives  |
| and credibility to   | -   Contracting       |     are not          |
| help better define   |     Officers          |     adequately       |
| their needs and      |     Representatives'  |     trained.         |
| identify, select,    |     training is       |                      |
| and manage providers |     current.          | -   Contracting      |
| of goods and         |                       |     Officers         |
| services, which in   | -   Contracting       |     Representatives  |
| turn helps ensure    |     Officers          |     and contracting  |
| that users' needs    |     Representatives   |     officers do not  |
| are met at the       |     work closely with |     communicate on   |
| lowest cost to the   |     the contracting   |     an ongoing basis |
| organization. Teams  |     officer.          |     throughout the   |
| generally include    |                       |                      |
| representatives from | -   Open, honest, and |   project/contract's |
| acquisition,         |     clear             |     period of        |
| internal users of    |     communication is  |     performance.     |
| goods and services,  |     encouraged among  |                      |
| and the budget or    |     all parties       | -   Project          |
| finance office. They |     including team    |     performance is   |
| are responsible for  |     members, program  |     not              |
| analyzing spend      |     officials, and    |     systematically   |
| data, identifying    |     contractors.      |     monitored, and   |
| and prioritizing     |                       |     controls and     |
| potential            |                       |     incentives are   |
| opportunities for    |                       |     not established  |
| more detailed        |                       |     for              |
| review, defining     |                       |     accountability,  |
| internal needs and   |                       |     e.g., Earned     |
| requirements, and    |                       |     Value            |
| conducting market    |                       |     Management.      |
| research. This       |                       |                      |
| process is vital to  |                       |                      |
| the capital planning |                       |                      |
| and                  |                       |                      |
| performance-based    |                       |                      |
| acquisition          |                       |                      |
| processes.           |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   The bureau/region | -   Knowledge of     |
| Processes**          |     trains its        |     s                |
|                      |     acquisition       | uppliers/contractors |
| 4.  Effectively      |     personnel on how  |     is not shared    |
|     Managing the     |     to manage         |     across the       |
|     Acquisition      |     supplier          |     contracting      |
|     Process          |     relationships.    |     activity.        |
|                      |                       |                      |
| ```{=html}           | -   Past performance  | -   The function     |
| <!-- -->             |     evaluations are   |     continues to     |
| ```                  |     routinely         |     select the same  |
| B.  **[Managing and  |     prepared and      |     suppliers        |
|     Engaging         |     reviewed.         |     without          |
|     Supp             |                       |     periodically     |
| liers]{.underline}** | -   The function has  |     assessing        |
|                      |     established an    |     whether the      |
| One of the 24        |     effective         |     goods and        |
| initiatives under    |     communication and |     services offered |
| the President's      |     feedback system   |     are competitive  |
| Management Agenda's  |     with its          |     in terms of      |
| E-Gov program, the   |     suppliers.        |     price, quality,  |
|                      |                       |     and performance. |
| Integrated           | -   The acquisition   |                      |
| Acquisition          |     staff effectively | -   The acquisition  |
| Environment provides |     utilizes          |     staff lacks the  |
| Government           |     Integrated        |     skills,          |
| contracting          |     Acquisition       |     knowledge, and   |
| personnel with ample |     Environment tools |     expertise to     |
|                      |     in conducting     |     manage supplier  |
| opportunity to       |     market research,  |     relationships    |
| conduct on-line      |     soliciting        |     effectively.     |
| market research and  |     competition, and  |                      |
| monitor suppliers    |     making            | -   The acquisition  |
| through tools        |     contracting       |     staff does not   |
| including the        |     decisions.        |     effectively use  |
|                      |                       |     Integrated       |
| Central Contractor   |                       |     Acquisition      |
| Registration (CCR);  |                       |     Environment      |
| the Past Performance |                       |     tools in         |
| Information          |                       |     conducting       |
| Retrieval System     |                       |     market research, |
|                      |                       |     soliciting       |
| (PPIRS); the         |                       |     competition, and |
| Excluded Parties     |                       |     making           |
|                      |                       |     contracting      |
| Lists System (EPLS); |                       |     decisions.       |
| FedBizOpps; and the  |                       |                      |
| On-line              |                       | -   Past performance |
| Representations and  |                       |     evaluations are  |
| Certifications       |                       |     not routinely    |
| Application (ORCA).  |                       |     prepared and     |
| In this section you  |                       |     reviewed.        |
| assess the           |                       |                      |
| acquisition          |                       |                      |
| function's awareness |                       |                      |
| and use of these     |                       |                      |
| tools to identify    |                       |                      |
| suppliers and manage |                       |                      |
| supplier             |                       |                      |
| relationships        |                       |                      |
| thereby encouraging  |                       |                      |
| competition,         |                       |                      |
| enhanced price       |                       |                      |
| analysis, contractor |                       |                      |
| quality and          |                       |                      |
| performance. In      |                       |                      |
| addition,            |                       |                      |
| consideration must   |                       |                      |
| be given to past     |                       |                      |
| performance          |                       |                      |
| evaluation and       |                       |                      |
| reporting processes, |                       |                      |
| and processes in     |                       |                      |
| place for soliciting |                       |                      |
| and evaluating       |                       |                      |
| contractor feedback. |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   The bureau has    | -   Personnel        |
| Processes**          |     undertaken, and   |     responsible for  |
|                      |     the region has    |     contract         |
| 4.  Effectively      |     implemented a     |     management have  |
|     Managing the     |                       |     skills and       |
|     Acquisition      |    workforce-planning |     knowledge gaps   |
|     Process          |     effort to ensure  |     that inhibit     |
|                      |     that individuals  |     their ability to |
| ```{=html}           |     who award,        |     properly oversee |
| <!-- -->             |     manage, and       |     the types of     |
| ```                  |     monitor contracts |     contracts used.  |
| C.  **[Monitoring    |     have clearly      |                      |
|     and Providing    |     defined roles and | -   There are no     |
|     Oversight to     |     responsibilities  |     processes in     |
|     Achieve Desired  |     and have          |     place for        |
|     Out              |     appropriate       |     monitoring       |
| comes]{.underline}** |     workload, skills, |     whether          |
|                      |     and training to   |     contracts meet   |
| Assess the quality   |     perform their     |     cost, schedule,  |
| of acquisition       |     jobs effectively. |     performance, and |
| function's oversight |                       |     quality          |
| processes. Consider: | -   Processes are in  |     requirements.    |
| What tools,          |     place to          |                      |
| processes, and       |     effectively track | -   The              |
| controls does the    |     and monitor       |     bureau/region    |
| function use to      |     contractor        |     acquisition      |
| ensure effective     |     performance.      |     function does    |
| oversight of         |                       |     not assign clear |
| contractor           | -   The acquisition   |     roles and        |
| performance and of   |     oversight process |     responsibilities |
| employees making     |     is regularly      |     for overseeing   |
| purchases? Are the   |     reviewed, areas   |     contracts.       |
| roles and            |     needing           |                      |
| responsibilities of  |     improvement are   | -   The acquisition  |
| those who perform    |     identified, and   |     oversight        |
| contract management  |     corrective action |     process is not   |
| and oversight        |     plans are         |     regularly        |
| clearly defined?     |     established and   |     reviewed; areas  |
|                      |     implemented. For  |     needing          |
|                      |     example, are      |     improvement are  |
|                      |     field level       |     not properly     |
|                      |     reviews conducted |     identified; and  |
|                      |     in accordance     |     corrective       |
|                      |     with agency       |     action plans are |
|                      |     requirements? Are |     not consistently |
|                      |     commonalities     |     established and  |
|                      |     among review      |     implemented.     |
|                      |     findings analyzed |                      |
|                      |     and               |                      |
|                      |                       |                      |
|                      |   bureauwide/regional |                      |
|                      |     corrective        |                      |
|                      |     actions taken?    |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   The acquisition   | -   Acquisition and  |
| Processes**          |     workforce has     |     financial        |
|                      |     ready access and  |     management staff |
| 4.  Effectively      |     uses information  |     lacks access or  |
|     Managing the     |     on obligated and  |     fails to         |
|     Acquisition      |     expended funds,   |     effectively use  |
|     Process          |     with sufficient   |     critical         |
|                      |     information to    |     information,     |
| ```{=html}           |     assure proper     |     including fiscal |
| <!-- -->             |     oversight and     |     year;            |
| ```                  |     accounting at the |     ap               |
| D.  **[Enabling      |     contract level.   | propriation/Treasury |
|     Financial        |                       |     fund symbol;     |
|     Accountab        | -   Entries are made  |     organization     |
| ility]{.underline}** |     to the financial  |     code; cost       |
|                      |     management system |     center; object   |
| Throughout the       |     by appropriate    |     classification;  |
| acquisition process, |     personnel that    |     estimated        |
| financial            |     update the        |     amount; project  |
| information should   |     contract          |     code; program    |
| be tracked and       |     management and    |     code;            |
| communicated in a    |     property          |     transaction      |
| way that enables     |     accountability    |     date; action     |
| effective evaluation |     systems.          |     code;            |
| and assessment of    |                       |     subject-to-funds |
| acquisition          | -   The bureau/region |     availability     |
| activities. When     |     reports           |     indicator; asset |
| financial data are   |     frequently enough |     identifier code; |
| not useful,          |     to ensure         |     contractor       |
| relevant, timely, or |     accountability in |     code/name; award |
| reliable, the        |     the acquisition   |     date; and        |
| acquisition          |     function.         |     amounts          |
| function - as well   |                       |     increased and/or |
| as other functions   | -   Adjustments to    |     decreased.       |
| across an            |     contract          |                      |
| organization - are   |     accounting        | -   Acquisition and  |
| at risk of           |     records are       |     financial        |
| inefficient or       |     clearly reported  |     management staff |
| wasteful business    |     and accurate;     |     independently    |
| practices. IDEAS,    |     such adjustments  |     update the same  |
| FPDS-NG, and the CCR |     represent a low   |     types of data    |
| were designed to     |     percentage of     |     into independent |
| and, when properly   |     financial         |     financial and    |
| used, can provide    |     transactions.     |     contract         |
| acquisition staffs   |                       |     management       |
| with access to       | -   Erroneous and     |     systems.         |
| critical financial   |     improper payments |     Standard systems |
| and vendor           |     and cost overruns |     are not used.    |
| information. IDEAS   |     are tracked and   |                      |
| has a financial      |     are not a         | -   Inadequate       |
| interface that       |     significant       |     transaction      |
| eliminates the need  |     problem.          |     processing,      |
| for independent      |                       |     particularly     |
| entry of the same    | -   Contracting and   |     improper         |
| data by acquisition  |     financial         |     payments, occur  |
| and financial        |     officials take    |     frequently.      |
| staffs. In this      |     appropriate       |                      |
| section you assess   |     corrective action | -   Failure to       |
| the acquisition      |     when contractors  |     properly capture |
| function's access    |     are not meeting   |     and identify     |
| to, and most         |     expectations for  |     taxpayer         |
| importantly, use of  |     cost, schedule,   |     identification   |
| financial            |     or performance.   |     number for       |
| information.         |                       |     contractor       |
|                      |                       |     identification   |
|                      |                       |     and incoming     |
|                      |                       |     reporting and    |
|                      |                       |     debt collection  |
|                      |                       |     purposes.        |
|                      |                       |                      |
|                      |                       | -   Critical         |
|                      |                       |     information is   |
|                      |                       |     not being        |
|                      |                       |     captured, and    |
|                      |                       |     duplicative      |
|                      |                       |     actions on the   |
|                      |                       |     part of          |
|                      |                       |     acquisition and  |
|                      |                       |     financial        |
|                      |                       |     management       |
|                      |                       |     staffs are       |
|                      |                       |     required to      |
|                      |                       |     independently    |
|                      |                       |     update data into |
|                      |                       |     the various      |
|                      |                       |     systems thereby  |
|                      |                       |     significantly    |
|                      |                       |     increasing the   |
|                      |                       |     probability of   |
|                      |                       |     erroneous data   |
|                      |                       |     entry.           |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Policies and       | -   The bureau has a  | -   The bureau does  |
| Processes**          |     capital planning  |     not have a       |
|                      |     and investment    |     capital planning |
| 5.  Promoting        |     program that      |     and investment   |
|     Successful       |     recognizes the    |     program that     |
|     Outcomes of      |     acquisition       |     recognizes the   |
|     Major Projects   |     function's role   |     acquisition      |
|                      |     and               |     function's role  |
| ```{=html}           |     responsibility in |     and              |
| <!-- -->             |     project           |     responsibility   |
| ```                  |     management.       |     in project       |
| A.  **[Using Sound   |                       |     management.      |
|     Capital          | -   The acquisition   |                      |
|     Investment       |     staff actively    | -   The acquisition  |
|     Strat            |     participates as a |     staff does not   |
| egies]{.underline}** |     member of         |     participate as a |
|                      |     bureau/regional   |     member of        |
| Assess the bureau's  |     program           |     bureau/regional  |
| capital planning     |     Integrated        |     program          |
| processes and the    |     Project Teams.    |     Integrated       |
| bureau's/regional    |                       |     Project Teams.   |
| acquisition          | -   The acquisition   |                      |
| function's role in   |     staff develops    | -   ↓The Acquisition |
| it.                  |     the Acquisition   |     Strategies used  |
|                      |     Strategies used   |     in the           |
|                      |     in the            |                      |
|                      |     bureau's/region's |    bureau's/region's |
|                      |     project business  |     project business |
|                      |     cases.            |     cases are        |
|                      |                       |     developed        |
|                      | -   Contracting       |     without          |
|                      |     officers monitor  |     appropriate      |
|                      |     contractor        |     coordination     |
|                      |     implementation of |     with the         |
|                      |     FAR Earned Value  |     acquisition      |
|                      |     Management        |     function.        |
|                      |     requirements.     |                      |
|                      |                       | -   Contracting      |
|                      |                       |     officers do not  |
|                      |                       |     monitor          |
|                      |                       |     contractor       |
|                      |                       |     implementation   |
|                      |                       |     of FAR Earned    |
|                      |                       |     Value Management |
|                      |                       |     requirements.    |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Human Capital**    | -   Acquisition       | -   Leadership views |
|                      |     officials play a  |     people as costs  |
| 6.  Valuing and      |     significant role  |     rather than as   |
|     Investing in the |     in developing the |     assets.          |
|     Acquisition      |     bureau's/region's |                      |
|     Workforce        |     overall human     | -   Bureau/regional  |
|                      |     capital strategy  |     leadership makes |
| ```{=html}           |     and ensure that   |     decisions about  |
| <!-- -->             |     it reflects the   |     the workforce    |
| ```                  |     goals of the      |     without          |
| A.  **[Commitment to |     acquisition       |     considering how  |
|     Human Capital    |     function.         |     the decisions    |
|     Manag            |                       |     affect mission   |
| ement]{.underline}** | -   Acquisition       |     accomplishment,  |
|                      |     officials         |     e.g.,            |
| Assess               |     develop,          |     contracting      |
| bureau/regional      |     implement, and    |     officer's        |
| management's         |     evaluate human    |     appointments,    |
| commitment to        |     capital           |     workload.        |
| valuing and          |     approaches        |                      |
| investing in its     |     designed to       | -   Bureau/Regional  |
| acquisition          |     ensure            |     leadership and   |
| workforce. Consider: |     accountability,   |     management are   |
| Are Governmentwide   |     meet customer     |     not held         |
| acquisition          |     needs, and        |     accountable for  |
| workforce training   |     improve overall   |     effectively      |
| and education        |     business          |     managing the     |
| standards upheld     |     performance.      |     acquisition      |
| within the           |                       |     workforce.       |
| bureau/region? Do    | -   Acquisition       |                      |
| acquisition-related  |     officials         | -   Business         |
| performance          |     collaborate with  |     decisions        |
| standards and        |     and secure the    |     proceed without  |
| expectations cascade |     support of        |     consideration of |
| throughout the       |     managers at all   |     human capital    |
| contracting          |     levels for human  |     needs they       |
| activity? Are senior |     capital           |     entail or human  |
| bureau/regional      |     approaches.       |     capital          |
| leaders and managers |                       |     approaches       |
| held accountable for | -   Acquisition       |     necessary for    |
| effectively managing |     officials are     |     success.         |
| the acquisition      |     held accountable  |                      |
| workforce?           |     for managing the  | -                    |
|                      |     acquisition       |  Acquisition-related |
|                      |     workforce         |     performance      |
|                      |     effectively.      |     standards and    |
|                      |                       |     expectations do  |
|                      | -   Acquisition       |     not cascade      |
|                      |     employees are     |     throughout the   |
|                      |     provided with     |     contracting      |
|                      |     resources for     |     activity.        |
|                      |     continuous        |                      |
|                      |     learning efforts, |                      |
|                      |     competency-based  |                      |
|                      |     appraisal         |                      |
|                      |     systems, and      |                      |
|                      |     retention and     |                      |
|                      |     reward programs.  |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Human Capital**    | -   The region        | -   There is no      |
|                      |     follows           |     evidence that    |
| 7.  Strategic Human  |     comprehensive     |     the              |
|     Capital Planning |     agency/bureauwide |     bureau/region    |
|                      |     workforce         |     recognizes the   |
| ```{=html}           |     planning efforts. |     link between its |
| <!-- -->             |                       |     human capital    |
| ```                  | -   The bureau/region |     approaches and   |
| A.  **[Integration   |     has developed     |     organizational   |
|     and              |     strategies for    |     performance      |
|     Alig             |     recruiting,       |     objectives.      |
| nment]{.underline}** |     retaining, and    |                      |
|                      |     developing        | -   The              |
| Assess               |     acquisition       |                      |
| bureau/regional      |     staff, including  |  bureau/region/field |
| office success in    |     performance       |     unit adopts      |
| developing strategic |     measures to       |     human capital    |
| human capital plans  |     evaluate the      |     approaches       |
| that incorporate the |     contribution      |     without          |
| needs of the         |     these strategies  |     considering how  |
| acquisition          |     make in           |     well they        |
| function. Consider,  |     supporting the    |     support          |
| at the field and     |     agenc             |     organizational   |
| regional levels do   | y's/bureau's/region's |     and acquisition  |
| managers recruit,    |     acquisition       |     goals and        |
| hire, and manage     |     function and      |     strategies or    |
| their contracting    |     achieving its     |     how these        |
| support in a         |     mission and       |     approaches may   |
| unit-centric human   |     goals.            |     be interrelated. |
| capital approach     |                       |                      |
| that does not allow  | -   The bureau/region |                      |
| for consideration of |     has inventoried   |                      |
| how well the unit's  |     its acquisition   |                      |
| contracting function |     workforce and has |                      |
| supports             |     identified        |                      |
| Govermentwide        |     current and       |                      |
| qualification        |     future weaknesses |                      |
| requirements or      |     and needs in      |                      |
| agency-/bureauwide   |     acquisition       |                      |
| goals or strategies? |     skills.           |                      |
| Or does the region   |                       |                      |
| develop or follow a  |                       |                      |
| corporate approach   |                       |                      |
| to recruiting,       |                       |                      |
| hiring, and managing |                       |                      |
| its contracting      |                       |                      |
| support?             |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Human Capital**    | -   Data on the       | -   Bureau/regional  |
|                      |     bureau's/region's |     officials lack   |
| 7.  Strategic Human  |     acquisition       |     or do not use    |
|     Capital Planning |     workforce are     |     critical         |
|                      |     reflected in      |     information with |
| ```{=html}           |     strategic         |     which to create  |
| <!-- -->             |     workforce         |     a profile of the |
| ```                  |     planning          |     acquisition      |
| B.  **[Data-Driven   |     documents.        |     workforce or to  |
|     Human Capital    |                       |     evaluate the     |
|     Deci             | -   Data are          |     effectiveness of |
| sions]{.underline}** |     available on      |     human capital    |
|                      |     staff             |     approaches.      |
| Assess the adequacy  |     development,      |                      |
| of data and the      |     including the     | -   Data is not used |
| effectiveness with   |     number of people  |     to evaluate and  |
| which it is used in  |     receiving         |     improve the      |
| making human capital |     training; and     |     effectiveness of |
| decisions related to |     money spent on    |     training and     |
| the acquisition      |     training.         |     development      |
| workforce. Consider: |     Acquisition       |     programs.        |
| Who is included in   |     workforce data    |                      |
| the acquisition      |     are used for      |                      |
| workforce? How does  |     planning and      |                      |
| the bureau/region    |     decision making.  |                      |
| track data on its    |                       |                      |
| acquisition          | -   The bureau/region |                      |
| workforce? How does  |     uses data to      |                      |
| the bureau/region    |     evaluate and      |                      |
| determine the        |     continuously      |                      |
| appropriate size of  |     improve the       |                      |
| its acquisition      |     effectiveness of  |                      |
| workforce: What      |     training and      |                      |
| training and         |     development       |                      |
| professional         |     programs.         |                      |
| certifications have  |                       |                      |
| current acquisition  |                       |                      |
| employees attained?  |                       |                      |
| How does the         |                       |                      |
| bureau/region track  |                       |                      |
| the acquisition      |                       |                      |
| staff's workload?    |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Human Capital**    | -   The bureau/region | -   Training and     |
|                      |     has prioritized   |     other human      |
| 8.  Acquiring,       |     the most          |     capital          |
|     Developing, and  |     important         |     expenditures are |
|     Retaining Talent |     training          |     minimized rather |
|                      |     initiatives and   |     than viewed as   |
| ```{=html}           |     secured top-level |     an investment.   |
| <!-- -->             |     commitment to     |                      |
| ```                  |     providing         | -   Funding decision |
| A.  **[Targeted      |     resources to      |     are made without |
|     Investments in   |     implement the     |     clearly defined  |
|     P                |     initiatives.      |     objectives or    |
| eople]{.underline}** |                       |     adequate         |
|                      | -   Goals,            |     consideration of |
| Assess the adequacy  |     expectations, and |     how they will    |
| of the               |     criteria for      |     impact the       |
| bureau's/region's    |     investments in    |     workforce.       |
| investment in and    |     human capital     |                      |
| enhancing the value  |     development are   | -   The              |
| of their acquisition |     clearly defined,  |     bureau/region    |
| staff. Investing in  |     transparent,      |     does not         |
| training for the     |     consistently      |     establish        |
| acquisition          |     applied, and      |     priorities,      |
| workforce is         |     based on expected |     provide adequate |
| critical to ensuring |     improvement in    |     funding, or      |
| adequate oversight   |     results.          |     track            |
| of the quality,      |                       |     investments in   |
| cost, and timeliness | -   Bureau/regional   |     human capital.   |
| of goods and         |     training          |                      |
| services delivered   |     investments are   | -   Individual       |
| by third parties.    |     monitored and     |     training plans   |
| Consider: Does the   |     evaluated for     |     are not          |
| bureau/region have a |     effectiveness.    |     established for  |
| method for           |                       |     all employees.   |
| determining the      |                       |                      |
| appropriate level of |                       | -   Little or no     |
| spending on          |                       |     evidence of      |
| training,            |                       |     succession       |
| recruiting, and      |                       |     planning.        |
| retention efforts?   |                       |                      |
| Are individual       |                       |                      |
| training plans       |                       |                      |
| established for all  |                       |                      |
| employees? Is        |                       |                      |
| continuous learning  |                       |                      |
| emphasized? Do       |                       |                      |
| managers             |                       |                      |
| consistently provide |                       |                      |
| resources to support |                       |                      |
| training and         |                       |                      |
| development          |                       |                      |
| priorities for the   |                       |                      |
| acquisition staff?   |                       |                      |
| Does the acquisition |                       |                      |
| function have a      |                       |                      |
| succession plan?     |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Human Capital**    | -   Bureau/regional   | -   Employee ideas   |
|                      |     management        |     are not sought   |
| 9.  Creating         |     obtains           |     by               |
|     Results-Oriented |     employees' ideas, |     bureau/regional  |
|     Organizational   |     involves          |     management and   |
|     Cultures         |     employees in      |     employees are    |
|                      |     planning and      |     not involved in  |
| ```{=html}           |     sharing           |     planning and     |
| <!-- -->             |     acquisition       |     sharing          |
| ```                  |     performance       |     acquisition      |
| A.  **[Empowerment   |     information, and  |     performance      |
|     and              |     incorporates      |     information      |
|     Inclusiv         |     employee feedback |     within the       |
| eness]{.underline}** |     into new policies |     bureau/region.   |
|                      |     and procedures.   |                      |
| Assess               |                       | -   Employees do not |
| bureau/regional      | -   Bureau/region has |     feel a sense of  |
| management's success |     established a     |     ownership about  |
| in getting           |     communication     |     policies and     |
| acquisition          |     strategy to       |     procedures.      |
| employees at all     |     create shared     |                      |
| levels of the        |     expectations      | -   Bureau/region    |
| organization         |     about the         |     has not          |
| involved in the      |     acquisition       |     established a    |
| planning process to  |     function and to   |     communication    |
| develop mission      |     report progress.  |     strategy to      |
| goals and objectives |                       |     create shared    |
| from a front-line    |                       |     expectations     |
| perspective.         |                       |     about the        |
| Consider: Does       |                       |     acquisition      |
| management seek      |                       |     function and to  |
| ideas from the       |                       |     report progress. |
| acquisition          |                       |                      |
| workforce? Do        |                       |                      |
| employees feel a     |                       |                      |
| sense of ownership   |                       |                      |
| about policies and   |                       |                      |
| procedures? Do       |                       |                      |
| managers involve     |                       |                      |
| employees when       |                       |                      |
| planning and sharing |                       |                      |
| acquisition          |                       |                      |
| performance          |                       |                      |
| information? Has the |                       |                      |
| bureau/region        |                       |                      |
| established a        |                       |                      |
| communication        |                       |                      |
| strategy to create   |                       |                      |
| shared expectations  |                       |                      |
| about the            |                       |                      |
| acquisition function |                       |                      |
| and to report        |                       |                      |
| progress?            |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Human Capital**    | -   Individual        | -   Performance      |
|                      |     performance       |     expectations are |
| 9.  Creating         |     expectations are  |     not aligned with |
|     Results-Oriented |     aligned with      |     organizational   |
|     Organizational   |     organizational    |     goals.           |
|     Cultures         |     and cross-cutting |                      |
|                      |     goals.            | -   The              |
| ```{=html}           |                       |     bureau/region    |
| <!-- -->             | -   Performance       |     does not use     |
| ```                  |     information is    |     performance      |
| B.  **[Unit and      |     routinely used to |     information to   |
|     Individual       |     track and plan    |     track progress   |
|     Performance      |     follow-up actions |     at meeting       |
|     Linked to        |     to address        |     organizational   |
|     Organizational   |     organizational    |     priorities.      |
|                      |     priorities.       |                      |
| Goals]{.underline}** |                       |                      |
|                      | -   Meaningful        |                      |
| Assess whether       |     distinctions in   |                      |
| acquisition employee |     performance are   |                      |
| performance plan     |     made.             |                      |
| metrics are clear    |                       |                      |
| and consistent, and  | -   Roles and         |                      |
| provide a "line of   |     responsibilities  |                      |
| sight" between       |     are defined and   |                      |
| individual           |     enable staff to   |                      |
| activities,          |     maintain a        |                      |
| organizational       |     consistent focus  |                      |
| requirements, e.g.,  |     on programmatic   |                      |
| A-123 compliance,    |     priorities even   |                      |
| Gove                 |     during            |                      |
| rnment/agency/bureau |     organizational    |                      |
| management           |     transitions.      |                      |
| initiatives, and     |                       |                      |
| organizational       |                       |                      |
| results. For         |                       |                      |
| example, do senior   |                       |                      |
| management           |                       |                      |
| performance          |                       |                      |
| requirements cascade |                       |                      |
| to employee          |                       |                      |
| performance plans in |                       |                      |
| a clear and          |                       |                      |
| consistent manner?   |                       |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Knowledge and      | -   Acquisition       | -   The              |
| Information          |     managers ensure   |     bureau/region    |
| Management**         |     that employees    |     has not          |
|                      |     are aware of the  |     collected the    |
| 10. Identifying Data |     importance of     |     full set of      |
|     and Technology   |     timely and        |     information or   |
|     that Support     |     accurate          |     data to make     |
|     Acquisition      |     transaction       |     effective and    |
|     Management       |     reporting, and    |     fact-based       |
|     Decisions        |     provide training  |     decisions.       |
|                      |     to ensure data    |                      |
| ```{=html}           |     quality.          | -   Data are not     |
| <!-- -->             |                       |     current,         |
| ```                  | -   Transaction data  |     reliable,        |
| A.  **[Tracking      |     are reported      |     complete, or     |
|     Acquisition      |     timely and        |     accurate.        |
|     Data;            |     accurately.       |                      |
|     Translating      |                       | -   The              |
|     Financial Data   | -   Transaction data  |     bureau/region    |
|     into Meaningful  |     is regularly      |     does not make    |
|     Formats; and     |     monitored for     |     needed data      |
|     Analyzing Goods  |     accuracy and      |     accessible to    |
|     and Services     |     completeness.     |     decision makers; |
|     Spe              |                       |     leading them to  |
| nding]{.underline}** | -   Transaction data  |     rely on          |
|                      |     is credible,      |     informal, ad-hoc |
| There is a wealth of |     reliable, and     |     systems to make  |
| acquisition data     |     timely, and is    |     acquisition      |
| available to         |     used to make      |     decisions.       |
| contracting          |     informed          |                      |
| personnel from a     |     decisions.        | -   Measurements     |
| variety of sources   |                       |     taken in support |
|                      | -   Contract          |     of metrics are   |
| (e.g., FPDS-NG,      |     management        |     not credible,    |
| IDEAS, FFS, etc.).   |     information       |     leading to       |
| Some of the data     |     tracks events     |     disagreements    |
| provided from these  |     throughout the    |     over numbers and |
| sources identify     |     life of a         |     the value of the |
| what the             |     contract, e.g.,   |     assessment       |
| bureau/region buys,  |     contract award,   |     process.         |
| how much it buys,    |     period of         |                      |
| and the procurement  |     performance,      | -   Financial        |
| methods used. The    |     modifications,    |     information      |
| data can be          |     close-out.        |     pertaining to    |
|                      |                       |     acquisition is   |
| used for the         | -   Financial data,   |     not of the       |
| following:           |     e.g., budgetary   |     proper scope,    |
|                      |     resources and     |     level of detail, |
| • Elimination of     |     funds             |     timing, content, |
| redundancies         |     availability,     |     and presentation |
|                      |     status of         |     format to        |
| • Identification of  |     obligations and   |     provide real     |
| strategic sourcing   |     expenditures on   |     value to users.  |
| opportunities        |     individual        |                      |
|                      |     contracts,        | -   Acquisition      |
| • Internal control   |     outstanding       |     information      |
| monitoring purposes  |     purchase          |     received by      |
|                      |     requests, and     |     financial        |
| • Highlighting areas |     payments for the  |     management staff |
| where                |     receipt of goods  |     is not clear and |
| addi                 |     and services are  |     understandable,  |
| tional/supplementary |     readily available |     impairing        |
| training is          |     to stakeholders.  |     efficient        |
| necessary            |                       |     processing of    |
|                      | -   Finance           |     the information  |
| • Workload           |     executives work   |     into management  |
| management (office   |     with acquisition  |     reports.         |
| to agencywide)       |     executives and    |                      |
|                      |     managers on an    | -   The              |
| Assess how           |     ongoing basis to  |     bureau/region    |
| accurately           |     determine         |     does not conduct |
| transaction data are |     business and      |     or make regular  |
| reported and the     |     acquisition       |     use of spend     |
| effectiveness with   |     information       |     analysis.        |
| which they are used. |     needed to manage  |                      |
|                      |     and oversee the   | -   Spend analysis   |
|                      |     bureau's/region's |     is impeded       |
|                      |     missions and      |     because data are |
|                      |     objectives.       |     not credible,    |
|                      |                       |     reliable, or     |
|                      | -   Relevant          |     timely.          |
|                      |     financial         |                      |
|                      |     information       | -   Information is   |
|                      |     pertaining to     |     not maintained   |
|                      |     acquisition is    |     in a             |
|                      |     presented with    |     standardized     |
|                      |     suitable detail   |     format or is of  |
|                      |     in an             |     poor quality,    |
|                      |     understandable    |     thus hampering   |
|                      |     format.           |     efforts to use   |
|                      |                       |     data to more     |
|                      | -   Bureau/regional   |     effectively      |
|                      |     contracting       |     management goods |
|                      |     personnel make    |     and services     |
|                      |     regular use of    |     spending.        |
|                      |     data and spend    |                      |
|                      |     analysis          |                      |
|                      |     techniques to     |                      |
|                      |     support strategic |                      |
|                      |     planning efforts. |                      |
|                      |                       |                      |
|                      | -   The bureau/region |                      |
|                      |     knows how much it |                      |
|                      |     is spending using |                      |
|                      |     purchase cards    |                      |
|                      |     and has           |                      |
|                      |     considered this   |                      |
|                      |     information in    |                      |
|                      |     its spend         |                      |
|                      |     analysis.         |                      |
|                      |                       |                      |
|                      | -   The bureau/region |                      |
|                      |     uses a variety of |                      |
|                      |     information,      |                      |
|                      |     including         |                      |
|                      |     financial data,   |                      |
|                      |     to conduct a      |                      |
|                      |     spend analysis.   |                      |
+----------------------+-----------------------+----------------------+

+----------------------+-----------------------+----------------------+
| **Cornerstone/       | **Look for:**         | **Beware of:**       |
| Element/ Factor**    |                       |                      |
+----------------------+-----------------------+----------------------+
| **Knowledge and      | -   Sufficient        | -   System and data  |
| Information          |     resources are     |     reviews/tests do |
| Management**         |     dedicated to      |     not take place   |
|                      |     ensuring that     |     on a routine     |
| 11. Safeguarding the |     users are         |     basis.           |
|     Integrity of     |     provided with     |                      |
|     Operations and   |     proper system     | -   Insufficient     |
|     Data             |     support and use.  |     support is       |
|                      |                       |     provided to      |
| ```{=html}           | -   Systems and data  |     administer       |
| <!-- -->             |     are routinely     |     systems and      |
| ```                  |     monitored and     |     assist users.    |
| A.  **[Ensuring      |     tested for        |                      |
|     Effective        |     quality and       | -   Corrective       |
|     General and      |     reliability.      |     actions are not  |
|     Application      |                       |     taken in a       |
|     Controls, and    | -   Corrective        |     timely manner to |
|     Data             |     actions are taken |     address          |
|     Stewar           |     in a timely       |     identified       |
| dship]{.underline}** |     manner to address |     weaknesses.      |
|                      |     any identified    |                      |
| Assess the           |     weaknesses.       | -   System access    |
| bureau's/region's    |                       |     rights are not   |
| administration and   | -   System access     |     sufficiently     |
| monitoring of its    |     rights are        |     monitored.       |
| acquisition related  |     closely           |                      |
| data systems, as     |     monitored.        | -   The              |
| required by OMB      |                       |                      |
| Circular A-123.      | -   The               |    bureau's/region's |
| Consider: Is         |     bureau's/region's |     internal         |
| acquisition system   |     internal controls |     controls are     |
| support provided as  |     provide           |     insufficient to  |
| a collateral duty?   |     reasonable        |     provide          |
| Are systems and data |     assurance that    |     reasonable       |
| routinely monitored  |     data are          |     assurance that   |
| for quality and      |     accurate,         |     data are         |
| reliability? Are     |     complete, timely, |     accurate,        |
| corrective actions   |     and reliable.     |     complete,        |
| taken in a timely    |                       |     timely, and      |
| manner when areas of | -   Data are          |     reliable.        |
| weakness are         |     redundant only    |                      |
| identified? Are      |     when necessary.   | -   Data are         |
| system access rights |     Inconsistencies   |     redundant.       |
| closely monitored?   |     are eliminated.   |     Inconsistencies  |
| Are redundant data   |                       |     are not          |
| and/or systems used? | -   Data are          |     eliminated.      |
|                      |     accessible to     |                      |
|                      |     authorized users  | -   Data are not     |
|                      |     when needed.      |     accessible to    |
|                      |                       |     authorized users |
|                      |                       |     when needed.     |
+----------------------+-----------------------+----------------------+