# Introduction

In 2000, the Government Accountability Office (GAO) published an
exposure draft of *Information Technology Investment Management: A
Framework for Assessing and Improving Process Maturity (ITIM)*. This
Framework is based upon the select/control/evaluate approach described
in the Clinger-Cohen Act of 1996 for selecting and managing Information
Technology (IT) investments. Later in March 2004, GAO released Version
1.1 of its ITIM Framework.[^1] The ITIM Framework is composed of 5
stages of increasing maturity as shown in Exhibit 1-1 and provides the
following:

-   A rigorous, standardized tool for internal and external evaluations
    of IT investment processes

-   A consistent and understandable mechanism for reporting the results
    of IT assessments

-   A road map that agencies can follow in improving their IT investment
    processes

Exhibit 1‑1: ITIM Stages of Maturity

![](media/image1.wmf){width="5.991666666666666in"
height="3.2993055555555557in"}Each ITIM stage contains critical
processes that are in turn contain component key practices. Each
critical process and each key practice, within an ITIM stage must be met
in order to fully achieve an ITIM stage rating.

The Department of the Interior (DOI) and its Bureaus are implementing
ITIM-related processes while addressing recommendations from GAO. The
ITIM Self Assessment Tool was developed to aid the DOI with ITIM
assessments, highlight strengths and weaknesses, and assist with
planning. The ITIM Self Assessment Tool is designed for use on Microsoft
Excel Version 2000 or later. The ITIM Self Assessment Tool is a
self-contained spreadsheet developed in Microsoft Excel, and requires no
special installation procedures.

This document provides guidance on using the ITIM Self Assessment Tool
to perform an ITIM self-assessment to determine an organization's
maturity level.

# ITIM Self Assessment Tool

The data is organized into tabs to allow for easy presentation and data
entry. Each tab in the ITIM Self Assessment Tool is explained in Exhibit
2-1.

Exhibit 2‑2: ITIM Self Assessment Tool Tabs

  ------------------------------------------------------------------------------
  **\#**   **Name**      **Notes**
  -------- ------------- -------------------------------------------------------
  1        Summary       Provides high-level ITIM rating results. There is no
                         user input on this tab.

  2        Graphics      Graphically depicts the progress for each key practice
                         within each ITIM maturity level. There is no user input
                         on this tab.

  3        Critical      Provides progress details for each key practice within
           Processes     each ITIM maturity level. There is no user input on
                         this tab.

  4        Stage2        Captures the user's input for the ITIM Stage 2
                         self-assessment.

  5        Stage3        Captures the user's input for the ITIM Stage 3
                         self-assessment.

  6        Stage4        Captures the user's input for the ITIM Stage 4
                         self-assessment.

  7        Stage5        Captures the user's input for the ITIM Stage 5
                         self-assessment.
  ------------------------------------------------------------------------------

Before using the tool, the user needs to obtain a copy of version 1.1 of
GAO's *Information Technology Investment Management: A Framework for
Assessing and Improving Process Maturity (ITIM)*, and become familiar
with the ITIM stages and the evidence and artifacts required to fulfill
each key practice.[^2]

Using the information in the GAO Framework as guidance, assess the
evidence supporting each key practice for each ITIM stage. The user can
then record the assessment by selecting the rating from the "Rating"
drop down box, using the following definitions:

-   **Executed---**The practice is in place.

-   **NA---**The practice is not relevant to the bureau or department's
    particular circumstances.

-   **Not Executed---**The bureau or department does not exhibit any
    aspects of the practice in place.

-   **Partially Executed---** The bureau or department has some, but not
    all, aspects of the practice in place. Examples of circumstances in
    which the bureau or department would receive this designation
    include when (1) some, but not all, of the elements of the practice
    were in place; (2) the bureau or department documented that it has
    the information or process in place but it was not in the prescribed
    form (e.g., in a specific document as required by law or the Office
    of Management and Budget (OMB)); (3) the bureau or department's
    documentation was in draft form; or (4) the bureau or department has
    a policy related to the practice but evidence supported that it had
    not been completely or consistently implemented.

Enter the evidence that supports the selected rating in the "Summary of
Evidence/Comments" column, and supply the point of contact (POC) for the
evidence in the POC column. This will greatly aid in not only
identifying potential weaknesses, but also in preparing for a GAO audit.
Following entry of the data, the results will be displayed in the
"Summary," "Graphics," and "Critical Processes" tabs.

To assist in assessing progress on implementing ITIM Stage Two, Exhibit
2-2 provides a non-exhaustive list of evidence that may satisfy the
requirements for the 38 key practices. The evidence consists, in
general, of documentary reference artifacts defining organizational and
business process requirements and documentary tool artifacts
demonstrating that the business processes are in force. Note that many
of the activities require evidence gathered over a period of time to
demonstrate that the policies are indeed in force and being adhered to.

Exhibit 2‑3: Evidence for ITIM Stage Two Key Practices

  ------------------------------------------------------------------------------------------------
  **Type of           **Key Practice**                     **Potential   
  Practice**                                               Evidence**    
  ------------------- ------------------------------------ ------------- -------------------------
  **Instituting the                                                      
  Investment Board**                                                     

  **Organizational    1\. An enterprise-wide IT investment               IT investment boards'
  Commitment**        board composed of senior executives                charters, IT investment
                      from IT and business units is                      boards' meeting
                      responsible for defining and                       schedules, IT investment
                      implementing the agency\'s IT                      board meeting minutes
                      investment governance process.                     

                      2\. The organization has a                         IT investment process
                      documented IT investment process                   (CPIC) guide, IT
                      directing each investment board's                  investment boards'
                      operations.                                        meeting minutes

  **Prerequisites**   1\. Adequate resources, including                  Working groups' charters,
                      people, funding, and tools, are                    working groups' meeting
                      provided for supporting the                        schedules, working
                      operations of each IT investment                   groups' meeting minutes,
                      board.                                             software tools, such as
                                                                         ProSight, eCPIC,
                                                                         Primavera, and/or Web
                                                                         sites/portals

                      2\. The board members understand the               Training plans for board
                      organization\'s IT investment                      members, training records
                      management policies and procedures                 for board members,
                      and the tools and techniques used in               working group or IT
                      the board\'s decision-making                       investment board meeting
                      process.                                           minutes, IT investment
                                                                         board charters

                      3\. Each board\'s span of authority                IT investment process
                      and responsibility is defined to                   guide, investment board
                      minimize overlaps or gaps among the                charters
                      boards.                                            

  **Activities**      1\. The enterprise-wide investment                 IT investment boards'
                      board has oversight responsibilities               charters, IT investment
                      for developing and maintaining the                 boards' meeting minutes,
                      organization\'s documented IT                      IT investment process
                      investment process.                                guide, updated IT
                                                                         investment process guide

                      2\. Each investment board operates                 Investment boards'
                      in accordance with its assigned                    meeting schedules,
                      authority (and responsibility).                    investment boards'
                                                                         meeting minutes

                      3\. The organization has established               Memorandums or policy
                      management controls for ensuring                   documents providing that
                      that the investment boards\'                       management will carry out
                      decisions are carried out.                         decisions made by the IT
                                                                         investment boards, IT
                                                                         investment boards'
                                                                         meeting minutes

  **Meeting Business                                                     
  Needs**                                                                

  **Organizational    1\. The organization has documented                IT investment process
  Commitment**        policies and procedures for ensuring               (CPIC) guide, business
                      that IT projects or systems support                case process, OMB Exhibit
                      the organization\'s ongoing and                    300 process, project
                      future business needs.                             management guide

  **Prerequisites**   1\. The organization has a                         Agency strategic plan,
                      documented business mission with                   enterprise architecture,
                      stated goals and objectives.                       process improvement
                                                                         initiatives, performance
                                                                         measurement plans

                      2\. Adequate resources, including                  Allocated funds, staff,
                      people, funding, and tools, are                    staff job descriptions,
                      provided to ensure that IT projects                tools
                      and systems support the                            
                      organization\'s business needs and                 
                      meet users\' needs.                                

  **Activities**      1\. The organization defines and                   OMB Exhibit 300s,
                      documents business needs for both                  business cases
                      proposed and ongoing IT projects and               
                      systems.                                           

                      2\. The organization identifies                    OMB Exhibit 300s,
                      specific users and other                           business cases,
                      beneficiaries of IT projects and                   enterprise architecture
                      systems.                                           

                      3\. Users participate in project                   User acceptance
                      management throughout an IT                        documentation, metrics
                      project\'s or system\'s life cycle.                input from users, user
                                                                         requirements, project
                                                                         management plans

                      4\. The investment board                           Quarterly reviews and/or
                      periodically evaluates the alignment               reports, investment board
                      of its IT projects and systems with                meeting minutes,
                      the organization\'s strategic goals                investment board agendas,
                      and objectives and takes corrective                corrective action plans
                      actions when misalignment occurs.                  

  **Selecting an                                                         
  Investment**                                                           

  **Organizational    1\. The organization has documented                IT investment process
  Commitment**        policies and procedures for                        guide, IT investment
                      selecting new IT proposals.                        boards' charters

                      2\. The organization has documented                IT investment process
                      policies and procedures for                        guide, IT investment
                      reselecting ongoing IT investments.                boards' charters

                      3\. The organization has documented                IT investment process
                      policies and procedures for                        guide, IT investment
                      integrating funding with the process               boards' charters,
                      of selecting an investment.                        CFO-applicable policies
                                                                         and procedures

  **Prerequisites**   1\. Adequate resources, including                  Allocated funds, staff;
                      people, funding, and tools, are                    including an official
                      provided for identifying and                       designated to manage the
                      selecting IT projects and systems.                 process, staff job
                                                                         descriptions, software
                                                                         tools, such as ProSight,
                                                                         eCPIC, Primavera, and/or
                                                                         Web sites/portals

                      2\. Criteria for                                   IT investment process
                      analyzing/prioritizing/selecting new               guide, IT investment
                      IT investment opportunities have                   boards' charters
                      been established.                                  

                      3\. Criteria for                                   IT investment process
                      analyzing/prioritizing/reselecting                 guide, IT investment
                      IT investment opportunities have                   boards' charters
                      been established.                                  

                      4\. A mechanism exists to ensure                   IT investment process
                      that the criteria continue to                      guide, IT investment
                      reflect organizational objectives.                 boards' charters

  **Activities**      1\. The organization uses its                      Investment board meeting
                      defined selection process, including               minutes, investment board
                      predefined selection criteria, to                  agendas, decision
                      select new IT investments.                         memorandums or funding
                                                                         documents

                      2\. The organization uses the                      Investment board meeting
                      defined selection process, including               minutes, investment board
                      predefined selection criteria, to                  agendas, decision
                      reselect ongoing IT investments.                   memorandums or funding
                                                                         documents

                      3\. Executives' funding decisions                  Funding documents proving
                      are aligned with selection                         that decisions are
                      decisions.                                         aligned with selection
                                                                         decisions, IT investment
                                                                         boards' meeting minutes

  **Providing                                                            
  Investment                                                             
  Oversight**                                                            

  **Organizational    1\. The organization has documented                IT investment process
  Commitment**        policies and procedures for                        guide, project management
                      management oversight of IT projects                guide
                      and systems.                                       

  **Prerequisites**   1\. Adequate resources, including                  Allocated funds, staff;
                      people, funding, and tools, are                    including an official
                      provided for IT project oversight.                 designated to manage the
                                                                         process, staff job
                                                                         descriptions, software
                                                                         tools, such as ProSight,
                                                                         eCPIC, Primavera, and/or
                                                                         Web sites/portals

                      2\. IT projects and systems,                       OMB Exhibit 300s,
                      including those in steady state                    business cases, project
                      (operations and maintenance),                      management plans,
                      maintain approved project management               approval memorandums,
                      plans that include expected cost and               quarterly reviews and/or
                      schedule milestones and measurable                 reports, investment board
                      benefit and risk expectations.                     meeting minutes

  **Activities**      1\. Data on actual performance                     OMB Exhibit 300s,
                      (including cost, schedule, benefit                 business cases, project
                      and risk performance) are provided                 management plans,
                      to the appropriate IT investment                   approval memorandums,
                      board.                                             quarterly reviews and/or
                                                                         reports, investment board
                                                                         meeting minutes,
                                                                         investment board meeting
                                                                         agendas

                      2\. Using verified data, each                      OMB Exhibit 300s,
                      investment board regularly reviews                 business cases, project
                      the performance of IT projects and                 management plans,
                      systems against stated expectations.               approval memorandums,
                                                                         quarterly reviews and/or
                                                                         reports, investment board
                                                                         meeting minutes,
                                                                         investment board meeting
                                                                         agendas

                      3\. For each under-performing IT                   Project management plans,
                      project or system, appropriate                     corrective action plans,
                      actions are taken to correct or                    project management guide,
                      terminate the project or system in                 IT investment process
                      accordance with defined criteria and               guide, investment board
                      the documented policies and                        meeting minutes,
                      procedures for management oversight.               investment board meeting
                                                                         agendas

                      4\. The investment board regularly                 Corrective action plans,
                      tracks the implementation of                       investment board meeting
                      corrective actions for each                        minutes, investment board
                      under-performing project until the                 meeting agendas
                      actions are completed.                             

  **Capturing                                                            
  Investment                                                             
  Information**                                                          

  **Organizational    1\. The organization has documented                OMB Exhibit 300 process,
  Commitment**        policies and procedures for                        project management guide,
                      identifying and collecting                         IT investment process
                      information about IT projects and                  guide
                      systems to support the investment                  
                      management process.                                

                      2\. An official is assigned                        Project management guide,
                      responsibility for ensuring that the               IT investment process
                      investment information collected                   guide, memorandums
                      meets the needs of the investment                  
                      management process.                                

  **Prerequisites**   1\. Adequate resources, including                  Allocated funds, staff;
                      people, funding, and tools, are                    including an official
                      provided for identifying IT projects               designated to manage the
                      and systems and collecting relevant                process, staff job
                      investment information about them.                 descriptions, software
                                                                         tools, such as ProSight,
                                                                         eCPIC, Primavera, and/or
                                                                         Web sites/portals

  **Activities**      1\. The organization\'s IT projects                Repository of IT projects
                      and systems are identified, and                    and systems with
                      specific information is collected to               up-to-date information
                      support decisions about them.                      that is aligned with the
                                                                         project management guide
                                                                         and IT investment process
                                                                         guide

                      2\. The information that has been                  Repository with access to
                      collected is easily accessible and                 all decision makers,
                      understandable to decision makers                  reports and dashboards
                      and others.                                        from repository

                      3\. The information repository is                  Reports from the
                      used by investment decision makers                 repository, project
                      and others to support investment                   management guide, IT
                      management.                                        investment process guide,
                                                                         investment board meeting
                                                                         minutes, investment board
                                                                         meeting agendas, decision
                                                                         memorandums
  ------------------------------------------------------------------------------------------------

[^1]: Version 1.1 of the ITIM Framework can be obtained from
    [www.gao.gov/cgi-bin/getrpt?GAO-04-394G](http://www.gao.gov/cgi-bin/getrpt?GAO-04-394G).

[^2]: Version 1.1 of the ITIM Framework can be obtained from
    [www.gao.gov/cgi-bin/getrpt?GAO-04-394G](http://www.gao.gov/cgi-bin/getrpt?GAO-04-394G).